Raymond James & Associates, Inc.
- Regulatory AUM
- $501B
- Discretionary
- $379B
- Clients
- 531,617
- Avg AUM / client
- $942K
- Accounts
- 1,143,145
- Employees
- 16,780
AUM over time
Annual snapshots from Form ADV filings · as of Jun 26, 2026
Asset allocation (SMA assets by investment type)
as of Jun 26, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 413,527 | $116B | 23.2% |
| High net worth individuals | 99,598 | $289B | 57.6% |
| Banking or thrift institutions | 710 | $1.8B | 0.36% |
| Pension and profit sharing plans | 9,726 | $46.1B | 9.2% |
| Charitable organizations | 196 | $1.1B | 0.21% |
| State or municipal government entities | 117 | $4.8B | 0.96% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 385 | $2.3B | 0.47% |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 7,358 | $40.0B | 7.99% |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| St Petersburg College Foundation Inc EIN 591954362 | St Petersburg, FL | 03/31/2024 |
| Raymond James Charitable Endowment Fund EIN 593652538 | St Petersburg, FL | 03/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 349.
People (5,722)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Tashtego Spring Elwyn | President Chief Executive Officer Director | Jan 2001 (26y) | Less than 5% | |
| Shawn Joseph Barko | Chief Compliance Officer | May 2008 (18y) | Less than 5% | |
| Santelli, Jonathan | General Counsel / Secretary | May 2016 (10y) | Less than 5% | |
| Campagnoli, Vincent John | Chief Information Officer | Jun 2016 (10y) | Less than 5% | |
| Keith G. Rust | Director, Principal Operations Officer | Mar 2017 (9y) | Less than 5% | |
| Kim Rachelle Jenson | Chief Operating Officer | Jul 2017 (9y) | Less than 5% | |
| Ollia, Marshall, Farrokh | Principal Financial Officer / Finop, Chief Financial Officer, Director, Treasurer | Apr 2018 (8y) | Less than 5% | |
| Bunn, James Edward | Director | Mar 2019 (7y) | Less than 5% | |
| Curtis, Scott | Director | Mar 2019 (7y) | Less than 5% | |
| Sickling, James Philip | Director | Mar 2019 (7y) | Less than 5% | |
| Philip Roger Martin | Ria Chief Compliance Officer | Jul 2019 (7y) | Less than 5% | |
| Auletta, Suzanne Elizabeth | Director | Aug 2021 (5y) | Less than 5% | |
| Bruce Jay Rhodes | Registered representative | Jul 1983 (43y) | ||
| Dennis William Zank | Registered representative | Jul 1983 (43y) | ||
| Francis Stanley Godbold | Registered representative | Jul 1983 (43y) | ||
| Margaret Chow Starner | Registered representative | CFP | Jul 1983 (43y) | |
| Jeffrey Paul Julien | Registered representative | Feb 1986 (40y) | ||
| Prescott Alan Barkow | Registered representative | CFP | Jul 1987 (39y) | |
| Holly Sharon Price | Registered representative | Jul 1987 (39y) | ||
| Lewis Mark Carron | Registered representative | Jan 1990 (37y) | ||
| Grayson Heard Holly | Registered representative | Jan 1991 (36y) | ||
| Jeffrey Kirk Hearn | Registered representative | Feb 1991 (35y) | ||
| Debra Dawson Stephens | Registered representative | Sep 1991 (35y) | ||
| Alan Todd Patten | Registered representative | Mar 1993 (33y) | ||
| Ozgur Karaosmanoglu | Registered representative | Apr 1993 (33y) | ||
| Thomas Scott Thornton | Registered representative | Jun 1993 (33y) | ||
| Ross David Preville | Registered representative | Sep 1993 (33y) | ||
| Tobin Kirk Hom | Registered representative | Nov 1993 (33y) | ||
| William Bartley Hoyt | Registered representative | CFP | Dec 1993 (33y) | |
| Robert Marvin Fierman | Registered representative | Jan 1994 (33y) | ||
| Bruce Goodwin Crawford | Registered representative | Oct 1994 (32y) | ||
| Raymond Ernest Lee | Registered representative | Nov 1994 (32y) | ||
| Robert Morris Kurtz | Registered representative | Jan 1995 (32y) | ||
| Robert Brian Mcpherson | Registered representative | Feb 1995 (31y) | ||
| Gary B Grisham | Registered representative | Feb 1995 (31y) | ||
| Joseph John Shemenski | Registered representative | Mar 1995 (31y) | ||
| Gene Alexander Melamud | Registered representative | Mar 1995 (31y) | ||
| Charles Thomas Zimmerman | Registered representative | Sep 1995 (31y) | ||
| John Morrison Connally | Registered representative | Oct 1995 (31y) | ||
| Brent Eric Peoples | Registered representative | Nov 1995 (31y) | ||
| Mark Gregory Thompson | Registered representative | CFP | Nov 1995 (31y) | |
| William Bruce Body | Registered representative | Nov 1995 (31y) | ||
| Barbara B Corrao | Registered representative | Jun 1996 (30y) | ||
| John Michael Splain | Registered representative | Jun 1996 (30y) | ||
| Nancy Hand Weingard | Registered representative | Jun 1996 (30y) | ||
| Mark William Wardzinski | Registered representative | Jun 1996 (30y) | ||
| Loren Cary Sydney | Registered representative | Jul 1996 (30y) | ||
| Dennis Wayne Briggs | Registered representative | Sep 1996 (30y) | ||
| Brian Blair Rockwell | Registered representative | Oct 1996 (30y) | ||
| David Ward Fenstermaker | Registered representative | Oct 1996 (30y) | ||
| Philip L Evans | Registered representative | Feb 1997 (29y) | ||
| David Booty Doherty | Registered representative | Apr 1997 (29y) | ||
| Elizabeth Anne Bedinger | Registered representative | Jun 1997 (29y) | ||
| Kevin Michael Pate | Registered representative | Jun 1997 (29y) | ||
| Thad Benedict Fuller | Registered representative | Jun 1997 (29y) | ||
| Jerry Anthony Willenborg | Registered representative | Jul 1997 (29y) | ||
| George R Lipsey | Registered representative | Jul 1997 (29y) | ||
| Kristin M Smith | Registered representative | Jul 1997 (29y) | ||
| Richard Jude Caccamise | Registered representative | Jan 1998 (29y) | ||
| Scott Alan Weingarden | Registered representative | Jan 1998 (29y) | ||
| Jonathon E Tuft | Registered representative | Feb 1998 (28y) | ||
| Courtney Keith Anderson | Registered representative | Mar 1998 (28y) | ||
| Walter Scott Newmann | Registered representative | Mar 1998 (28y) | ||
| David Nyle Brady | Registered representative | Apr 1998 (28y) | ||
| Steven Thomas Wilmarth | Registered representative | May 1998 (28y) | ||
| Ilona Jennifer Box | Registered representative | Jul 1998 (28y) | ||
| Keith Alvin Homme | Registered representative | Aug 1998 (28y) | ||
| Matthew James Mcdermott | Registered representative | Sep 1998 (28y) | ||
| Kevin Dickson Ryan | Registered representative | Oct 1998 (28y) | ||
| Douglas Allen Gates | Registered representative | Jan 1999 (28y) | ||
| Robert Eugene Jones | Registered representative | Mar 1999 (27y) | ||
| Amanda Hickman Murphy | Registered representative | Jun 1999 (27y) | ||
| Alfred Anthony Caudullo | Registered representative | Jul 1999 (27y) | ||
| Tracy Marie Alm | Registered representative | CFP | Sep 1999 (27y) | |
| Kenneth Michael Lampos | Registered representative | Sep 1999 (27y) | ||
| Harvey M. Strauss | Registered representative | Nov 1999 (27y) | ||
| James Elliot Feit | Registered representative | Dec 1999 (27y) | ||
| Walter Lee Hood | Registered representative | Jan 2000 (27y) | ||
| Erik Paul Loranger | Registered representative | Feb 2000 (26y) | ||
| William Louis Waters | Registered representative | Mar 2000 (26y) | ||
| Stephen Frederick Fricke | Registered representative | Mar 2000 (26y) | ||
| Berry Williams | Registered representative | May 2000 (26y) | ||
| Michael Derry Hilger | Registered representative | Jun 2000 (26y) | ||
| Irene Masloff Haberstroh | Registered representative | Jun 2000 (26y) | ||
| Paul Byron Elkjer | Registered representative | Jul 2000 (26y) | ||
| William Alfred Scarborough | Registered representative | Jan 2001 (26y) | ||
| Craig Lee Reed | Registered representative | Jan 2001 (26y) | ||
| Julia Lynn Stalnaker | Registered representative | CFP | Mar 2001 (25y) | |
| James Bayard Evans | Registered representative | Apr 2001 (25y) | ||
| Jeffrey David Kirkhoff | Registered representative | Apr 2001 (25y) | ||
| William Thomas Theis | Registered representative | Apr 2001 (25y) | ||
| Gary Wayne Kleinman | Registered representative | May 2001 (25y) | ||
| Edward Charles Sudzina | Registered representative | May 2001 (25y) | ||
| Mark Timothy Kirkhoff | Registered representative | Jul 2001 (25y) | ||
| Daniel John Kraus | Registered representative | Nov 2001 (25y) | ||
| Thorne Wade Robalin | Registered representative | Nov 2001 (25y) | ||
| Timothy James Tracey | Registered representative | Jan 2002 (25y) | ||
| Marc Blake Rudofker | Registered representative | Mar 2002 (24y) | ||
| David Lawrence Kelso | Registered representative | Mar 2002 (24y) | ||
| John P Schloss | Registered representative | Apr 2002 (24y) | ||
| David Michael Kolpien | Registered representative | Jun 2002 (24y) | ||
| Timothy L Baker | Registered representative | Jul 2002 (24y) | ||
| Mitchell Louis Silverman | Registered representative | Sep 2002 (24y) | ||
| John Enochs Pinkley | Registered representative | Oct 2002 (24y) | ||
| Richard Lee Snipes | Registered representative | Feb 2003 (23y) | ||
| Angela Ayd Nye | Registered representative | Feb 2003 (23y) | ||
| Erik Mills Fruland | Registered representative | Feb 2003 (23y) | ||
| Steven Andrew Romanoff | Registered representative | Feb 2003 (23y) | ||
| Marie Simmons Vidal | Registered representative | Mar 2003 (23y) | ||
| Michael Paul Ragsdale | Registered representative | Mar 2003 (23y) | ||
| Steven Dean Devenney | Registered representative | Mar 2003 (23y) | ||
| Ellis Anderson Green | Registered representative | Apr 2003 (23y) | ||
| Jeffrey Michael Brown | Registered representative | Apr 2003 (23y) | ||
| Peter Douglas Cwalina | Registered representative | Apr 2003 (23y) | ||
| Richard Hopp Weil | Registered representative | Apr 2003 (23y) | ||
| Steve T Kaasbell | Registered representative | Apr 2003 (23y) | ||
| Waldemar Jose Vidal | Registered representative | Apr 2003 (23y) | ||
| Dewey Everette Isom | Registered representative | May 2003 (23y) | ||
| Clay Cale Rucker | Registered representative | Jun 2003 (23y) | ||
| James Ray Edwards | Registered representative | Aug 2003 (23y) | ||
| Joseph John Ciaramitaro | Registered representative | Aug 2003 (23y) | ||
| Scott Christopher Mahnken | Registered representative | Sep 2003 (23y) | ||
| Lori Ann Scott Klein | Registered representative | Sep 2003 (23y) | ||
| Beth Ann K Sparks | Registered representative | Oct 2003 (23y) | ||
| Bradley Matthew Davis | Registered representative | Oct 2003 (23y) | ||
| Sean William Fitzpatrick | Registered representative | Nov 2003 (23y) | ||
| Michael Eugene Petersen | Registered representative | Nov 2003 (23y) | ||
| James Louis Roble | Registered representative | CFP | Dec 2003 (23y) | |
| Paul James Rampolla | Registered representative | Dec 2003 (23y) | ||
| William Hosea Shepard | Registered representative | Jan 2004 (23y) | ||
| David Ellis Haddad | Registered representative | Mar 2004 (22y) | ||
| Joseph Michael Johnson | Registered representative | Mar 2004 (22y) | ||
| Stephan Craig Machovina | Registered representative | May 2004 (22y) | ||
| Sean C Kelly | Registered representative | May 2004 (22y) | ||
| Duane Christopher Chaney | Registered representative | Aug 2004 (22y) | ||
| Dean Michael Pippio | Registered representative | Sep 2004 (22y) | ||
| Glenn Walter Hudson | Registered representative | Sep 2004 (22y) | ||
| Michael Warren Hayman | Registered representative | Sep 2004 (22y) | ||
| Robert Christopher Eckardt | Registered representative | Sep 2004 (22y) | ||
| Jason Price Williams | Registered representative | Oct 2004 (22y) | ||
| Thomas Edward Nitti | Registered representative | Oct 2004 (22y) | ||
| Damien Francis Bertucelli | Registered representative | Nov 2004 (22y) | ||
| Denise Hannah Samson | Registered representative | Dec 2004 (22y) | ||
| Dominick Vincent Paonessa | Registered representative | Dec 2004 (22y) | ||
| Eric Joseph Longphee | Registered representative | Dec 2004 (22y) | ||
| Franco Lumia | Registered representative | Dec 2004 (22y) | ||
| Jacob Cecil Shumacker | Registered representative | Dec 2004 (22y) | ||
| Michael Keith White | Registered representative | Dec 2004 (22y) | ||
| Michelle Dalton Carothers | Registered representative | Dec 2004 (22y) | ||
| Peter Corrao | Registered representative | Dec 2004 (22y) | ||
| Robert Edward Goff | Registered representative | Dec 2004 (22y) | ||
| Scott Fredric Teich | Registered representative | Dec 2004 (22y) | ||
| Walter Eubon Jones | Registered representative | Dec 2004 (22y) | ||
| Keith Ameche Davis | Registered representative | Jan 2005 (22y) | ||
| Michael Charles Garlisi | Registered representative | Feb 2005 (21y) | ||
| Kevin Patrick Kernan | Registered representative | Feb 2005 (21y) | ||
| Linda Snavely Van Pelt | Registered representative | Feb 2005 (21y) | ||
| Sean Cornelius Suarez | Registered representative | Mar 2005 (21y) | ||
| Kenneth Alan Whitley | Registered representative | Mar 2005 (21y) | ||
| Megan Elizabeth Nelson Williams | Registered representative | Mar 2005 (21y) | ||
| John Robert Reuter | Registered representative | Apr 2005 (21y) | ||
| Michael Todd Bennett | Registered representative | Apr 2005 (21y) | ||
| Allan David Gottesman | Registered representative | Apr 2005 (21y) | ||
| Fred Simon Maschmidt | Registered representative | May 2005 (21y) | ||
| Sara Palmer Neuhaus | Registered representative | May 2005 (21y) | ||
| Dave Dean Mckinney | Registered representative | May 2005 (21y) | ||
| Darcie Helen Guerin | Registered representative | Jun 2005 (21y) | ||
| Curtis William Keough | Registered representative | Jun 2005 (21y) | ||
| William Barton Close | Registered representative | CFP | Jun 2005 (21y) | |
| Daniel J Dawson | Registered representative | Jun 2005 (21y) | ||
| Michael Angelo Jones | Registered representative | Jun 2005 (21y) | ||
| Thomas James Keech | Registered representative | Jul 2005 (21y) | ||
| Russell Allen Johnson | Registered representative | Jul 2005 (21y) | ||
| Charles Alonzo Church | Registered representative | Jul 2005 (21y) | ||
| Christine W Cavell | Registered representative | Jul 2005 (21y) | ||
| Susan Saunders Hedberg | Registered representative | Jul 2005 (21y) | ||
| Lance Christopher Turner | Registered representative | Jul 2005 (21y) | ||
| Qurdricka Lashawn Ward | Registered representative | Aug 2005 (21y) | ||
| John Earl Threlkeld | Registered representative | Aug 2005 (21y) | ||
| Chad Bryan Tortorice | Registered representative | CFP | Sep 2005 (21y) | |
| Jeffrey Charles Gartman | Registered representative | Sep 2005 (21y) | ||
| Mark Gerald Overby | Registered representative | Sep 2005 (21y) | ||
| Adam Jerrold Meinrod | Registered representative | Sep 2005 (21y) | ||
| Christopher Scott Leeper | Registered representative | Sep 2005 (21y) | ||
| Dennis Fredrick Schwartz | Registered representative | Oct 2005 (21y) | ||
| Carolyn E Caffee | Registered representative | Oct 2005 (21y) | ||
| Wesley Eugene Singleton | Registered representative | Oct 2005 (21y) | ||
| Beverly Dawson | Registered representative | Nov 2005 (21y) | ||
| Suzanne Sylvia Kerr | Registered representative | Nov 2005 (21y) | ||
| Matthew Scott Chapman | Registered representative | Nov 2005 (21y) | ||
| Daniel J. Snow | Registered representative | Nov 2005 (21y) | ||
| Mire Jonovski | Registered representative | Nov 2005 (21y) | ||
| Frank Walter Penn | Registered representative | Dec 2005 (21y) | ||
| Jennifer Allen Miller | Registered representative | Dec 2005 (21y) | ||
| Wendell Jay Sarmir | Registered representative | Jan 2006 (21y) | ||
| Mark Thomas Abbott | Registered representative | Feb 2006 (20y) | ||
| Diane Elizabeth Mcgovern | Registered representative | Feb 2006 (20y) | ||
| Maria Erneston Hendershott | Registered representative | Feb 2006 (20y) | ||
| Robert James Hodgson | Registered representative | Mar 2006 (20y) | ||
| Timothy John Kemper | Registered representative | Mar 2006 (20y) | ||
| Brett Anthony Thompson | Registered representative | Mar 2006 (20y) | ||
| William Copeland Hudson | Registered representative | Mar 2006 (20y) | ||
| Grant Marshall Davis | Registered representative | Mar 2006 (20y) | ||
| Michael Adam Frayman | Registered representative | Mar 2006 (20y) | ||
| Dennis Joseph Brodeur | Registered representative | Apr 2006 (20y) | ||
| Philip Charles Ohman | Registered representative | Apr 2006 (20y) | ||
| Stuart Thomas Mccormick | Registered representative | CFP | Apr 2006 (20y) | |
| Eric Fred Bachinsky | Registered representative | Apr 2006 (20y) | ||
| Gregory Richard Huck | Registered representative | Apr 2006 (20y) | ||
| James Ralph Neff | Registered representative | Apr 2006 (20y) | ||
| Jeffrey Bret Mason | Registered representative | Apr 2006 (20y) | ||
| Walter Leroy Sparks | Registered representative | Apr 2006 (20y) | ||
| Mary Elizabeth Nolan | Registered representative | May 2006 (20y) | ||
| Gary Wayne Kearney | Registered representative | May 2006 (20y) | ||
| Bradley Thomas Dantzler | Registered representative | Jun 2006 (20y) | ||
| Evelyn Alicia Schoenholtz | Registered representative | Jun 2006 (20y) | ||
| Reza Mollabashy | Registered representative | Jun 2006 (20y) | ||
| Frank Robert Diego | Registered representative | Jun 2006 (20y) | ||
| Richard A. Holine | Registered representative | CFP | Jun 2006 (20y) | |
| Steven Mark Cohen | Registered representative | Jun 2006 (20y) | ||
| Paula Boyka | Registered representative | Jul 2006 (20y) | ||
| Sterling Todd Warburton | Registered representative | Jul 2006 (20y) | ||
| Gordon Nathan Clakley | Registered representative | Jul 2006 (20y) | ||
| Brian Francis Liberty | Registered representative | Jul 2006 (20y) | ||
| Shane William Cooney | Registered representative | Jul 2006 (20y) | ||
| Ryan Gage Nugent | Registered representative | Jul 2006 (20y) | ||
| Carl Walter Blackwood | Registered representative | Jul 2006 (20y) | ||
| Charles Mark Robinton | Registered representative | Jul 2006 (20y) | ||
| William Raymond Cooney | Registered representative | Jul 2006 (20y) | ||
| Carrie Elizabeth Stinchfield | Registered representative | Jul 2006 (20y) | ||
| Kerrie Lynn Best | Registered representative | Aug 2006 (20y) | ||
| Eric Clarence Seidl | Registered representative | Aug 2006 (20y) | ||
| Laura Steckler | Registered representative | Sep 2006 (20y) | ||
| Michael B Scrimenti | Registered representative | Sep 2006 (20y) | ||
| Chris Allen Kittell | Registered representative | Sep 2006 (20y) | ||
| William Eric Foggo | Registered representative | CFP | Sep 2006 (20y) | |
| Colleen Ann Schon | Registered representative | Sep 2006 (20y) | ||
| Kyndra Jean Chaffin | Registered representative | Sep 2006 (20y) | ||
| Lisa A James | Registered representative | Sep 2006 (20y) | ||
| Nancy Terrie Whigham | Registered representative | Sep 2006 (20y) | ||
| Todd Patrick Walz | Registered representative | Sep 2006 (20y) | ||
| Joseph Fisch Gallivan | Registered representative | Oct 2006 (20y) | ||
| Michael Harry O'meara | Registered representative | Oct 2006 (20y) | ||
| Douglas Lee Cooper | Registered representative | Oct 2006 (20y) | ||
| Lisa R. Gamble | Registered representative | Oct 2006 (20y) | ||
| Susan Marie Moore Bommarito | Registered representative | Oct 2006 (20y) | ||
| Harris Michael Konter | Registered representative | Nov 2006 (20y) | ||
| Trevis Edward Gillow | Registered representative | Nov 2006 (20y) | ||
| Lindsey Paul Hicks | Registered representative | Nov 2006 (20y) | ||
| Jerome Edward Grause | Registered representative | Nov 2006 (20y) | ||
| Troy Brandon Gibbs | Registered representative | Nov 2006 (20y) | ||
| Gregg Roger Mekler | Registered representative | Nov 2006 (20y) | ||
| Steven Robert Peters | Registered representative | Dec 2006 (20y) | ||
| James Christopher O'hara | Registered representative | Jan 2007 (20y) | ||
| Mark Andrew De St. Jean | Registered representative | Jan 2007 (20y) | ||
| Robert Ryan Strange | Registered representative | Jan 2007 (20y) | ||
| John Denny Macpherson | Registered representative | Jan 2007 (20y) | ||
| Nicholas Lee Lacy | Registered representative | Jan 2007 (20y) | ||
| John Paul Haag | Registered representative | Jan 2007 (20y) | ||
| Richard Michael Mcdowell | Registered representative | Jan 2007 (20y) | ||
| Greg H Ghodsi | Registered representative | Feb 2007 (19y) | ||
| George Glaydon Lifsey | Registered representative | Feb 2007 (19y) | ||
| John Agostino Bottiglia | Registered representative | Feb 2007 (19y) | ||
| John Kennedy O'connor | Registered representative | Feb 2007 (19y) | ||
| Danielle Divito Krise | Registered representative | Feb 2007 (19y) | ||
| Matthew Heath Gootson | Registered representative | Feb 2007 (19y) | ||
| Everett Taylor Collins | Registered representative | Feb 2007 (19y) | ||
| John Lakin Garth | Registered representative | Feb 2007 (19y) | ||
| Ginger Rogers Snyder | Registered representative | CFP | Feb 2007 (19y) | |
| Dave Martin Hilgendorf | Registered representative | Mar 2007 (19y) | ||
| Michael Anthony Napolitano | Registered representative | CFP | Mar 2007 (19y) | |
| William Casey Martin | Registered representative | Mar 2007 (19y) | ||
| Larry Joseph Ellis | Registered representative | CFP | Mar 2007 (19y) | |
| Anne Sophie M Colas | Registered representative | Mar 2007 (19y) | ||
| Alain Georges Albergel | Registered representative | Mar 2007 (19y) | ||
| David Lee Thompson | Registered representative | Mar 2007 (19y) | ||
| Norman Eric Nelson | Registered representative | Mar 2007 (19y) | ||
| David Salo Lerner | Registered representative | Mar 2007 (19y) | ||
| Kristin L. Allen | Registered representative | Mar 2007 (19y) | ||
| Brian Douglas Verville | Registered representative | Apr 2007 (19y) | ||
| John Robert Lokar | Registered representative | Apr 2007 (19y) | ||
| Steven L Simmerman | Registered representative | Apr 2007 (19y) | ||
| Daniel George Decambra | Registered representative | Apr 2007 (19y) | ||
| Rebecca Alice Zwerin | Registered representative | May 2007 (19y) | ||
| Mark Todd Holbert | Registered representative | CFP | May 2007 (19y) | |
| Cynthia Louise Luepke | Registered representative | Jun 2007 (19y) | ||
| Scott Benjamin Medalen | Registered representative | Jun 2007 (19y) | ||
| Christopher Kuo Zen Spurgeon | Registered representative | Jun 2007 (19y) | ||
| Brian Jerome Lampsa | Registered representative | Jun 2007 (19y) | ||
| John Kenneth Dulay | Registered representative | CFA | Jun 2007 (19y) | |
| James Mark Mclaughlin | Registered representative | Jul 2007 (19y) | ||
| Peter George Barlow | Registered representative | Jul 2007 (19y) | ||
| Kendrick William White | Registered representative | Jul 2007 (19y) | ||
| Derek Trego Erwin | Registered representative | CFP | Jul 2007 (19y) | |
| Erica Anne Hoffman | Registered representative | Jul 2007 (19y) | ||
| Kevin Joseph Morrison | Registered representative | Jul 2007 (19y) | ||
| Kjersten Carlene Lazar | Registered representative | CFP | Jul 2007 (19y) | |
| Melinda Niang South | Registered representative | Aug 2007 (19y) | ||
| Melissa Elaine Hilley | Registered representative | Aug 2007 (19y) | ||
| Thomas Ross | Registered representative | Aug 2007 (19y) | ||
| Samuel Aspinwall | Registered representative | Aug 2007 (19y) | ||
| Jeremy Douglas Schmidt | Registered representative | Aug 2007 (19y) | ||
| Gregory Thomas Lord | Registered representative | CFP | Aug 2007 (19y) | |
| Timothy Lee Hansen | Registered representative | Sep 2007 (19y) | ||
| Bogdan Korszen | Registered representative | Sep 2007 (19y) | ||
| Brian David Grefe | Registered representative | Oct 2007 (19y) | ||
| Christopher Jon Wagner | Registered representative | Oct 2007 (19y) | ||
| Donald Wayne Minton | Registered representative | Oct 2007 (19y) | ||
| Roger Frederick Grefe | Registered representative | Oct 2007 (19y) | ||
| Stacey Justice Kasten | Registered representative | Oct 2007 (19y) | ||
| Maynard Edwin Hopper | Registered representative | Oct 2007 (19y) | ||
| Dale John Strabala | Registered representative | Oct 2007 (19y) | ||
| Dane Michael Webb | Registered representative | Oct 2007 (19y) | ||
| Joe Boyd Rowland | Registered representative | Nov 2007 (19y) | ||
| Heather Mccurley Noyes | Registered representative | Nov 2007 (19y) | ||
| John Paul Schneider | Registered representative | Nov 2007 (19y) | ||
| James Edward Williams | Registered representative | Nov 2007 (19y) | ||
| Jeffrey David Rubens | Registered representative | Dec 2007 (19y) | ||
| Jonathan Alan Pope | Registered representative | Jan 2008 (19y) | ||
| Allen Dirck Brinckerhoff | Registered representative | Jan 2008 (19y) | ||
| David Allen Brinckerhoff | Registered representative | Jan 2008 (19y) | ||
| Matthew Lee Brinckerhoff | Registered representative | Jan 2008 (19y) | ||
| James M Sullivan | Registered representative | Jan 2008 (19y) | ||
| Clifford John Mulder | Registered representative | Jan 2008 (19y) | ||
| Paul Joseph Roetenberger | Registered representative | Jan 2008 (19y) | ||
| James Joseph Roetenberger | Registered representative | Jan 2008 (19y) | ||
| Melissa Sherry Seifer | Registered representative | Jan 2008 (19y) | ||
| Doreen Marie Connolly | Registered representative | Feb 2008 (18y) | ||
| Geoffrey A. Simon | Registered representative | Feb 2008 (18y) | ||
| James Raymond Stanger | Registered representative | CFP | Feb 2008 (18y) | |
| Malcolm C Tarver | Registered representative | Feb 2008 (18y) | ||
| Julie Ellen Opheim | Registered representative | Mar 2008 (18y) | ||
| Rachel Begun Gammerman | Registered representative | Mar 2008 (18y) | ||
| David Kyle Wills | Registered representative | Mar 2008 (18y) | ||
| Amy Marie Mc Laughlin | Registered representative | Mar 2008 (18y) | ||
| David Mark Hill | Registered representative | CFP | Mar 2008 (18y) | |
| Michael Alan Haas | Registered representative | Mar 2008 (18y) | ||
| Christopher Pridemore Kelly | Registered representative | Mar 2008 (18y) | ||
| Carolyn Ruth Cahill Asher | Registered representative | Apr 2008 (18y) | ||
| Christopher Paul Rossberg | Registered representative | Apr 2008 (18y) | ||
| Marcellus Andrew Massari | Registered representative | Apr 2008 (18y) | ||
| Andrea Marie Osbourn | Registered representative | May 2008 (18y) | ||
| Ronald David Goldman | Registered representative | May 2008 (18y) | ||
| James Jarrell Prince | Registered representative | May 2008 (18y) | ||
| Robert Durham Blackford | Registered representative | May 2008 (18y) | ||
| John Dow Crocker | Registered representative | May 2008 (18y) | ||
| David Joseph Van De Riet | Registered representative | Jun 2008 (18y) | ||
| Katharina Marlene Glover | Registered representative | Jun 2008 (18y) | ||
| Kristen Lee Ericson | Registered representative | Jun 2008 (18y) | ||
| Paul Wesley Enoch | Registered representative | Jun 2008 (18y) | ||
| Patrick Joseph O'connor | Registered representative | Jul 2008 (18y) | ||
| Janet Andrea Nichols | Registered representative | Jul 2008 (18y) | ||
| Laurie B Martin | Registered representative | Jul 2008 (18y) | ||
| Thomas Joseph King | Registered representative | Jul 2008 (18y) | ||
| Russell William Stein | Registered representative | Jul 2008 (18y) | ||
| William Louis Stevenson | Registered representative | Jul 2008 (18y) | ||
| Thomas Joseph Hussey | Registered representative | Jul 2008 (18y) | ||
| Lawrence Stanley Zebko | Registered representative | Aug 2008 (18y) | ||
| Russell Darin Hurley | Registered representative | Aug 2008 (18y) | ||
| David Benjamin Holroyd | Registered representative | Aug 2008 (18y) | ||
| Michael Todd Krise | Registered representative | Aug 2008 (18y) | ||
| Karen Lynne Lucian | Registered representative | Aug 2008 (18y) | ||
| Alexander Galeti | Registered representative | Aug 2008 (18y) | ||
| Katherine Dubeau Landing | Registered representative | Sep 2008 (18y) | ||
| Michelle Gallehugh | Registered representative | Sep 2008 (18y) | ||
| Katherine Gough | Registered representative | Sep 2008 (18y) | ||
| John Thomas Osbourne | Registered representative | Sep 2008 (18y) | ||
| Stephen Earl Crabtree | Registered representative | Sep 2008 (18y) | ||
| Perrie Douglas Gibbons | Registered representative | Sep 2008 (18y) | ||
| Emily Linn Bush | Registered representative | Sep 2008 (18y) | ||
| Esther Ann Hill | Registered representative | Oct 2008 (18y) | ||
| Kelly Renee Delk | Registered representative | Oct 2008 (18y) | ||
| Randall Brian Francis | Registered representative | Oct 2008 (18y) | ||
| Samuel A Haley | Registered representative | Oct 2008 (18y) | ||
| Douglas Wayne Stewart | Registered representative | Oct 2008 (18y) | ||
| Gerald Daniel Saelzer | Registered representative | Oct 2008 (18y) | ||
| Jacqueline Ann Bishop Burke | Registered representative | Oct 2008 (18y) | ||
| Jeffrey Aaron Atlas | Registered representative | Oct 2008 (18y) | ||
| Michael Martin Cohen | Registered representative | Nov 2008 (18y) | ||
| Eric James Mayer | Registered representative | Nov 2008 (18y) | ||
| Kristy Ann Sullivan | Registered representative | CFP | Nov 2008 (18y) | |
| Beverly Jo Hager | Registered representative | Nov 2008 (18y) | ||
| Joshua Addison Waymire | Registered representative | Nov 2008 (18y) | ||
| Timothy Allan Klingensmith | Registered representative | Nov 2008 (18y) | ||
| Christopher Thomas Spires | Registered representative | Nov 2008 (18y) | ||
| Michael Dustin Wilder | Registered representative | Nov 2008 (18y) | ||
| Bruce T Cacho Negrete | Registered representative | Nov 2008 (18y) | ||
| Ruth Louise Doepel | Registered representative | CFP | Dec 2008 (18y) | |
| Timothy Alan Gunn | Registered representative | Dec 2008 (18y) | ||
| Vicky S Campbell | Registered representative | CFP | Dec 2008 (18y) | |
| Donna Jean Simmons | Registered representative | Dec 2008 (18y) | ||
| Christopher Ryan Butler | Registered representative | CFA | Jan 2009 (18y) | |
| Dominique Anisha Ingold | Registered representative | Jan 2009 (18y) | ||
| Scott David Linington | Registered representative | Jan 2009 (18y) | ||
| Joseph Paul Goebel | Registered representative | Jan 2009 (18y) | ||
| William David Newman | Registered representative | Jan 2009 (18y) | ||
| Jeffrey Michael Locker | Registered representative | Jan 2009 (18y) | ||
| John Raymond Markle | Registered representative | Jan 2009 (18y) | ||
| Steven Andrew Cann | Registered representative | Jan 2009 (18y) | ||
| Lori M Brown | Registered representative | Jan 2009 (18y) | ||
| Jason W Connally | Registered representative | Feb 2009 (17y) | ||
| Brian Darrell Haugen | Registered representative | Feb 2009 (17y) | ||
| Russell Hilary Cotton | Registered representative | Feb 2009 (17y) | ||
| Charles Franklin Nedbal | Registered representative | CFP | Feb 2009 (17y) | |
| Linda Carol Healy | Registered representative | Feb 2009 (17y) | ||
| Amir Shahpari | Registered representative | Feb 2009 (17y) | ||
| Brian Barron Williams | Registered representative | Mar 2009 (17y) | ||
| Diane Lynn Morgan | Registered representative | Mar 2009 (17y) | ||
| David Bruce Criner | Registered representative | Mar 2009 (17y) | ||
| Cynthia Jo Gilmore | Registered representative | Mar 2009 (17y) | ||
| Michael Wayne Moranville | Registered representative | Mar 2009 (17y) | ||
| Mary Lynn Loggins | Registered representative | CFP | Mar 2009 (17y) | |
| Joseph Erik Zenker | Registered representative | Mar 2009 (17y) | ||
| Lorri J Gillock Cordelli | Registered representative | Mar 2009 (17y) | ||
| Kenneth Lee Nettleton | Registered representative | Apr 2009 (17y) | ||
| Lynn K. Opp | Registered representative | Apr 2009 (17y) | ||
| Rhonda Marie Denzio | Registered representative | Apr 2009 (17y) | ||
| David H Joe | Registered representative | Apr 2009 (17y) | ||
| James Daniel Hitchcock | Registered representative | Apr 2009 (17y) | ||
| Donald Rex Welch | Registered representative | Apr 2009 (17y) | ||
| Steven David Desmet | Registered representative | Apr 2009 (17y) | ||
| Ivan G Gordon | Registered representative | Apr 2009 (17y) | ||
| Robin Louise Mcnally | Registered representative | Apr 2009 (17y) | ||
| William Jones | Registered representative | Apr 2009 (17y) | ||
| Wilson Shaw Studstill | Registered representative | Apr 2009 (17y) | ||
| Everett Terrell Anderson | Registered representative | Apr 2009 (17y) | ||
| David Mitchell Brodsky | Registered representative | May 2009 (17y) | ||
| Jeffrey Edward Blum | Registered representative | May 2009 (17y) | ||
| Adam James Campbell | Registered representative | May 2009 (17y) | ||
| Nicole Suzanne Pollard | Registered representative | May 2009 (17y) | ||
| Linda Marie Nolting | Registered representative | May 2009 (17y) | ||
| Shawn Patrick Taylor | Registered representative | May 2009 (17y) | ||
| William Arlan Gray | Registered representative | May 2009 (17y) | ||
| Christian Vargas | Registered representative | May 2009 (17y) | ||
| Ulrich Koenig | Registered representative | May 2009 (17y) | ||
| Christopher Keiley Coulter | Registered representative | May 2009 (17y) | ||
| Michael William Ladd | Registered representative | Jun 2009 (17y) | ||
| Edward Alexander Myers | Registered representative | CFP | Jun 2009 (17y) | |
| Lisa Marie Goretsas | Registered representative | Jun 2009 (17y) | ||
| Mark Kevan Mekler | Registered representative | Jun 2009 (17y) | ||
| John Marcus Harris | Registered representative | Jun 2009 (17y) | ||
| Fred Carter Williams | Registered representative | Jun 2009 (17y) | ||
| Jonathan Mark Lieber | Registered representative | Jun 2009 (17y) | ||
| Richard Alan Placey | Registered representative | Jun 2009 (17y) | ||
| Hendra Prawira Iskandar | Registered representative | Jun 2009 (17y) | ||
| Scott Lee Mings | Registered representative | Jul 2009 (17y) | ||
| Susan Kay Ramey | Registered representative | Jul 2009 (17y) | ||
| Patricia Strauss Otterson | Registered representative | Jul 2009 (17y) | ||
| Dwayne Mark Peltier | Registered representative | Jul 2009 (17y) | ||
| Randall Ross Lanning | Registered representative | Jul 2009 (17y) | ||
| Tammy Renee East | Registered representative | Jul 2009 (17y) | ||
| Joel Sanford Singer | Registered representative | Jul 2009 (17y) | ||
| Peter Michael Bursik | Registered representative | Aug 2009 (17y) | ||
| Vincent Joseph Becker | Registered representative | Aug 2009 (17y) | ||
| Bernard Edward Packard | Registered representative | CFP | Sep 2009 (17y) | |
| Timothy Jonathan Montfort | Registered representative | Sep 2009 (17y) | ||
| Richard Allen Hartman | Registered representative | Sep 2009 (17y) | ||
| Douglas William Coombs | Registered representative | Sep 2009 (17y) | ||
| Douglas M Mick | Registered representative | Oct 2009 (17y) | ||
| Robert Michael Di Falco | Registered representative | Oct 2009 (17y) | ||
| Ronald J Caffrey | Registered representative | Oct 2009 (17y) | ||
| Heather Leigh Elsenbach | Registered representative | Oct 2009 (17y) | ||
| Daniel Joseph Kemler | Registered representative | Oct 2009 (17y) | ||
| Aydin Omer Tuncer | Registered representative | Jan 2010 (17y) | ||
| Lisa Lynn Stella | Registered representative | Jan 2010 (17y) | ||
| Glen Charles Mccormick | Registered representative | Jan 2010 (17y) | ||
| Thomas Allen Biermann | Registered representative | Jan 2010 (17y) | ||
| Louis Milton Vision | Registered representative | Jan 2010 (17y) | ||
| William Roy Bredt | Registered representative | Jan 2010 (17y) | ||
| Dana Paul Goldfarb | Registered representative | Feb 2010 (16y) | ||
| Kyle Adam Hensley | Registered representative | CFP | Feb 2010 (16y) | |
| Douglas James Adler | Registered representative | Feb 2010 (16y) | ||
| John Michael Stollmeyer | Registered representative | Feb 2010 (16y) | ||
| Randall Scott Norden | Registered representative | Feb 2010 (16y) | ||
| Carole F. Bestervelt | Registered representative | Mar 2010 (16y) | ||
| Darlene Harris Hybels | Registered representative | Mar 2010 (16y) | ||
| David Joseph Byrd | Registered representative | Mar 2010 (16y) | ||
| John Francis Peters | Registered representative | Mar 2010 (16y) | ||
| Kenneth James Schenden | Registered representative | Mar 2010 (16y) | ||
| Matthew John Zandi | Registered representative | Mar 2010 (16y) | ||
| Steven Robert Wujczyk | Registered representative | Mar 2010 (16y) | ||
| Pasquale Evangelista | Registered representative | Mar 2010 (16y) | ||
| Scott Stauffer | Registered representative | CFP | Apr 2010 (16y) | |
| Ilse Katrina Saewert | Registered representative | Apr 2010 (16y) | ||
| Allen John Kowalski | Registered representative | Apr 2010 (16y) | ||
| Tracy Mcintyre Belton | Registered representative | Apr 2010 (16y) | ||
| Douglas James Bulger | Registered representative | Apr 2010 (16y) | ||
| Jeffrey Yves Laborde | Registered representative | Apr 2010 (16y) | ||
| Angela Dawn Hughes | Registered representative | Apr 2010 (16y) | ||
| Julie Bivins Riley | Registered representative | Apr 2010 (16y) | ||
| Marc Adam Kopelman | Registered representative | Apr 2010 (16y) | ||
| John Campbell Davis | Registered representative | CFP | Apr 2010 (16y) | |
| Gregory Michael Helck | Registered representative | Apr 2010 (16y) | ||
| Charlene Theresa Langford | Registered representative | May 2010 (16y) | ||
| Seth Peter Crist | Registered representative | May 2010 (16y) | ||
| Sean Patrick Cooney | Registered representative | May 2010 (16y) | ||
| Mark Alan Caselton | Registered representative | May 2010 (16y) | ||
| Andrew John Coughlin | Registered representative | Jun 2010 (16y) | ||
| John Todd Schaefer | Registered representative | Jun 2010 (16y) | ||
| Stanley Mark Parker | Registered representative | Jun 2010 (16y) | ||
| Chad Brian Harris | Registered representative | Jun 2010 (16y) | ||
| Aaron Jason Werner | Registered representative | Jul 2010 (16y) | ||
| David Paul Pitre | Registered representative | Jul 2010 (16y) | ||
| Holly Jo Marks | Registered representative | Jul 2010 (16y) | ||
| Scott Douglas Casimiri | Registered representative | Aug 2010 (16y) | ||
| Stephen Timothy Falzone | Registered representative | Aug 2010 (16y) | ||
| James Brian Cummins | Registered representative | Aug 2010 (16y) | ||
| Paul Scott Schultz | Registered representative | Sep 2010 (16y) | ||
| Noreen M Mcclure | Registered representative | Sep 2010 (16y) | ||
| David Alan Fogleman | Registered representative | Sep 2010 (16y) | ||
| James Brian Guisinger | Registered representative | Sep 2010 (16y) | ||
| Betty Jane Napier | Registered representative | Sep 2010 (16y) | ||
| Craig Walter Robison | Registered representative | Sep 2010 (16y) | ||
| Daniel Thomas Wisniewski | Registered representative | Sep 2010 (16y) | ||
| Glen Aldrich Walborn | Registered representative | Sep 2010 (16y) | ||
| Joshua James Rajewski | Registered representative | Sep 2010 (16y) | ||
| Kimberly Lynn Melletat | Registered representative | Sep 2010 (16y) | ||
| Patrice Lanell Josiene Sinclair | Registered representative | Sep 2010 (16y) | ||
| Paul John Benson | Registered representative | Sep 2010 (16y) | ||
| Phillip J West | Registered representative | Sep 2010 (16y) | ||
| Wayne Anthony Pittel | Registered representative | Sep 2010 (16y) | ||
| Andrew Scott Grabinski | Registered representative | Sep 2010 (16y) | ||
| James A Hemenway | Registered representative | Sep 2010 (16y) | ||
| Michael P Doyle | Registered representative | Sep 2010 (16y) | ||
| Ralph Jerome Koss | Registered representative | Sep 2010 (16y) | ||
| Robert Ross Benjamin | Registered representative | Sep 2010 (16y) | ||
| Tyler Samuel Spence | Registered representative | Sep 2010 (16y) | ||
| William Edward Gieselman | Registered representative | Sep 2010 (16y) | ||
| Van Joseph Hauswirth | Registered representative | Sep 2010 (16y) | ||
| Joshua Keith Curran | Registered representative | Oct 2010 (16y) | ||
| Lori Ann Vieau | Registered representative | Oct 2010 (16y) | ||
| Mark Ambrose Forsthoefel | Registered representative | Oct 2010 (16y) | ||
| Andrea Kotch Duda | Registered representative | Oct 2010 (16y) | ||
| Andrew Thomas Bageris | Registered representative | Oct 2010 (16y) | ||
| Carl James Meyers | Registered representative | Oct 2010 (16y) | ||
| Daniel Marc Kleinheksel | Registered representative | Oct 2010 (16y) | ||
| Daniel Patrick Keller | Registered representative | Oct 2010 (16y) | ||
| David Edward Farley | Registered representative | Oct 2010 (16y) | ||
| Donald John Nadeau | Registered representative | Oct 2010 (16y) | ||
| Donald Marshall Cox | Registered representative | Oct 2010 (16y) | ||
| Ellen Veronica Martz | Registered representative | Oct 2010 (16y) | ||
| Jeffrey Kirk Pasche | Registered representative | Oct 2010 (16y) | ||
| Karen Rashid Balow | Registered representative | Oct 2010 (16y) | ||
| Mark Donald Canavesio | Registered representative | Oct 2010 (16y) | ||
| Mark John Napolitano | Registered representative | Oct 2010 (16y) | ||
| Richard Bernard Tropea | Registered representative | Oct 2010 (16y) | ||
| Robert Lee Altizer | Registered representative | Oct 2010 (16y) | ||
| Robert Michael Peabody | Registered representative | Oct 2010 (16y) | ||
| Timothy Lee Baldwin | Registered representative | Oct 2010 (16y) | ||
| William Joseph Konchal | Registered representative | Oct 2010 (16y) | ||
| Philip Joseph Maniaci | Registered representative | Oct 2010 (16y) | ||
| Christopher Thomas Eilers | Registered representative | Oct 2010 (16y) | ||
| Sarah Marie Valencourt | Registered representative | Oct 2010 (16y) | ||
| David Gerard Kuzner | Registered representative | Nov 2010 (16y) | ||
| Sherry Marie Brown | Registered representative | Nov 2010 (16y) | ||
| Elaine Anna Kendell | Registered representative | Dec 2010 (16y) | ||
| Alicia Anne Tatu | Registered representative | Dec 2010 (16y) | ||
| Jarrell Reid Prince | Registered representative | Dec 2010 (16y) | ||
| Angela Dawn Walton | Registered representative | Dec 2010 (16y) | ||
| Timothy Joseph Cullen | Registered representative | CFP | Dec 2010 (16y) | |
| Joseph John Saverino | Registered representative | Dec 2010 (16y) | ||
| Tammi Sue Huckabee | Registered representative | Jan 2011 (16y) | ||
| Mark Kempton Mckinnon | Registered representative | Jan 2011 (16y) | ||
| William Joshua Cooper | Registered representative | Jan 2011 (16y) | ||
| Danielle Asako Delgado Ellison | Registered representative | Jan 2011 (16y) | ||
| Baxter Taylor Woodard | Registered representative | Jan 2011 (16y) | ||
| Jennifer Lea Mcintyre | Registered representative | Jan 2011 (16y) | ||
| Jeffrey Scott Vanderweele | Registered representative | Jan 2011 (16y) | ||
| Toni E. Curles | Registered representative | Jan 2011 (16y) | ||
| David Mcwilliam Lucas | Registered representative | Jan 2011 (16y) | ||
| Denise Michelle Book Hernandez | Registered representative | Jan 2011 (16y) | ||
| Carolyn Nicholson Hash | Registered representative | Jan 2011 (16y) | ||
| Robert Glenn Schwartz | Registered representative | Jan 2011 (16y) | ||
| Brian Michael Nestor | Registered representative | Feb 2011 (15y) | ||
| Teresa Marie Finney | Registered representative | Chartered Financial Consultant | Feb 2011 (15y) | |
| Robert Alexander Martinez | Registered representative | Feb 2011 (15y) | ||
| Addison Palmer Knight | Registered representative | Feb 2011 (15y) | ||
| Derek Paul Brunette | Registered representative | Mar 2011 (15y) | ||
| Jad H Khoury | Registered representative | Mar 2011 (15y) | ||
| Beth Watts Dominguez | Registered representative | CFP | Mar 2011 (15y) | |
| Jill Marie French | Registered representative | Mar 2011 (15y) | ||
| Sonya Helena Gelb Choeff | Registered representative | Mar 2011 (15y) | ||
| David Patrick Kelly | Registered representative | Mar 2011 (15y) | ||
| Jessica Lynn Byard | Registered representative | Mar 2011 (15y) | ||
| Joseph Abramo Musumeci | Registered representative | Mar 2011 (15y) | ||
| Benjamin Bader Rose | Registered representative | CFP | Apr 2011 (15y) | |
| Peteris Robert Abuls | Registered representative | Apr 2011 (15y) | ||
| Laurie Brennan Murphy | Registered representative | Apr 2011 (15y) | ||
| Jennifer Marie Schols | Registered representative | Apr 2011 (15y) | ||
| Richard Allen Bone | Registered representative | CFP | Apr 2011 (15y) | |
| James Allen Eller | Registered representative | Apr 2011 (15y) | ||
| Timothy David Disparte | Registered representative | Apr 2011 (15y) | ||
| Valerie D'addona | Registered representative | Apr 2011 (15y) | ||
| Brent Steven Burrows | Registered representative | Apr 2011 (15y) | ||
| Gregory Lambert Thatcher | Registered representative | CFA | Apr 2011 (15y) | |
| Dana Lynn Sizemore | Registered representative | Apr 2011 (15y) | ||
| Stephen Brian Stillwell | Registered representative | Apr 2011 (15y) | ||
| Morgan Christine Staudt | Registered representative | Apr 2011 (15y) | ||
| Robert Paul Lyublanovits | Registered representative | Apr 2011 (15y) | ||
| Donald Edward Peterson | Registered representative | May 2011 (15y) | ||
| May Elizabeth Gibson | Registered representative | May 2011 (15y) | ||
| Charles Earl Betts | Registered representative | May 2011 (15y) | ||
| Jeremy Douglas Brothers | Registered representative | May 2011 (15y) | ||
| William Korlann Krebs | Registered representative | Chartered Financial Consultant | May 2011 (15y) | |
| Patrick Peter Luckart | Registered representative | May 2011 (15y) | ||
| Warren Frederick Wilson | Registered representative | May 2011 (15y) | ||
| Wendy Sue Homstad | Registered representative | CFP | May 2011 (15y) | |
| William Baxter Metz | Registered representative | Jun 2011 (15y) | ||
| Troy Douglas Petry | Registered representative | Jun 2011 (15y) | ||
| Robert Sullivan Chase | Registered representative | Jun 2011 (15y) | ||
| Julie Ann Rockwell | Registered representative | Jun 2011 (15y) | ||
| James Vernon Hart | Registered representative | Jun 2011 (15y) | ||
| Mary Theresa Williams | Registered representative | Jun 2011 (15y) | ||
| Leeann Funk Lambert | Registered representative | Jun 2011 (15y) | ||
| Matthew Philip Riordan | Registered representative | Jun 2011 (15y) | ||
| Woodrow Wilson Hicks | Registered representative | Jul 2011 (15y) | ||
| Patrick Michael Seiler | Registered representative | CFP | Jul 2011 (15y) | |
| Tyson Kendrick Bryant | Registered representative | Jul 2011 (15y) | ||
| Danna Jean Campbell | Registered representative | Aug 2011 (15y) | ||
| Mattison Rhame Mccurry | Registered representative | Aug 2011 (15y) | ||
| Wyatt Harrington Brooks | Registered representative | Aug 2011 (15y) | ||
| Thomas A Seiler | Registered representative | Aug 2011 (15y) | ||
| Tina R Hicks | Registered representative | Aug 2011 (15y) | ||
| Michael Scott Mullenbach | Registered representative | Aug 2011 (15y) | ||
| Adam Bryant Hawks | Registered representative | CFP | Aug 2011 (15y) | |
| Keith Duane Yoder | Registered representative | Aug 2011 (15y) | ||
| Kevin James Sletten | Registered representative | Aug 2011 (15y) | ||
| Matthew August Glatz | Registered representative | Aug 2011 (15y) | ||
| Cory Michael Powell | Registered representative | Aug 2011 (15y) | ||
| Cheryl Ann Peschke | Registered representative | Aug 2011 (15y) | ||
| Michelle Ellen Reed | Registered representative | Sep 2011 (15y) | ||
| Steven Roy Weisberg | Registered representative | Oct 2011 (15y) | ||
| Joseph George Sacco | Registered representative | Oct 2011 (15y) | ||
| Joseph Michael Schoff | Registered representative | Oct 2011 (15y) | ||
| Randall Lee Haaff | Registered representative | Oct 2011 (15y) | ||
| Jeremy Daniel Dunford | Registered representative | Oct 2011 (15y) | ||
| Mark Allen Byars | Registered representative | CFP | Oct 2011 (15y) | |
| Joseph Anthony Baran | Registered representative | Oct 2011 (15y) | ||
| Jennifer Christine Albensoeder | Registered representative | Oct 2011 (15y) | ||
| Erin Doepel Wikstrom | Registered representative | Oct 2011 (15y) | ||
| Jennifer Finn Duffy | Registered representative | Oct 2011 (15y) | ||
| Margaret Gelina O'hearn | Registered representative | CFP | Oct 2011 (15y) | |
| Sandra J. Peters | Registered representative | Oct 2011 (15y) | ||
| Thomas Brian Pennell | Registered representative | Oct 2011 (15y) | ||
| Rachel Nohlgren | Registered representative | CFP | Nov 2011 (15y) | |
| George Edward Mathis | Registered representative | Nov 2011 (15y) | ||
| Joseph Gerald Weaver | Registered representative | Dec 2011 (15y) | ||
| Wesley Gordon Scott | Registered representative | Dec 2011 (15y) | ||
| Albert Henley Green | Registered representative | CFP | Dec 2011 (15y) | |
| Hance Wesley Mc Kenzie | Registered representative | Dec 2011 (15y) | ||
| Tracey Anne Martin | Registered representative | Dec 2011 (15y) | ||
| Stephen Patrick Raborn | Registered representative | Dec 2011 (15y) | ||
| Arthur Finkelberg | Registered representative | CFP CFA | Jan 2012 (15y) | |
| Annemarie Burgess Burgess | Registered representative | Jan 2012 (15y) | ||
| Lisa Ann Detanna | Registered representative | Jan 2012 (15y) | ||
| Michael Patrick Travis | Registered representative | Jan 2012 (15y) | ||
| Lori Ann Endicott | Registered representative | CFP | Jan 2012 (15y) | |
| Heidi Anne O'dea | Registered representative | Jan 2012 (15y) | ||
| Todd Roger Evans | Registered representative | CFP | Feb 2012 (15y) | |
| Sean Patrick Kilbride | Registered representative | Feb 2012 (14y) | ||
| Kathleen Ann Richardson | Registered representative | Feb 2012 (14y) | ||
| Christine Marie Miller | Registered representative | Feb 2012 (14y) | ||
| Anna Marie Segura | Registered representative | Feb 2012 (14y) | ||
| Brent A Carlton | Registered representative | Feb 2012 (14y) | ||
| Florence Marie Chandler | Registered representative | Feb 2012 (14y) | ||
| Marc Allyn Young | Registered representative | CFP | Feb 2012 (14y) | |
| Timothy A Campisano | Registered representative | CFP | Feb 2012 (14y) | |
| Jeremy Keith Meurer | Registered representative | Feb 2012 (14y) | ||
| Matthew A Perrelli | Registered representative | Feb 2012 (14y) | ||
| Richard Anthony O'connell | Registered representative | Feb 2012 (14y) | ||
| Eric Jon Waszolek | Registered representative | Feb 2012 (14y) | ||
| Sara Lenai Schupp | Registered representative | Feb 2012 (14y) | ||
| Abu B M Farukh | Registered representative | Mar 2012 (14y) | ||
| Misty Fatema Farukh | Registered representative | CFP | Mar 2012 (14y) | |
| Robert Eugene Ellis | Registered representative | Mar 2012 (14y) | ||
| Jeffrey Ted Jones | Registered representative | Mar 2012 (14y) | ||
| Andrew Neil Haley | Registered representative | Apr 2012 (14y) | ||
| Lee Jackson Powell | Registered representative | Apr 2012 (14y) | ||
| Albert Nicholas Goetze | Registered representative | Apr 2012 (14y) | ||
| Edward Carl Krausnick | Registered representative | Apr 2012 (14y) | ||
| Gavin Michael Murrey | Registered representative | Apr 2012 (14y) | ||
| Joseph Michael Gibbs | Registered representative | Apr 2012 (14y) | ||
| Meghan Parham Mccrary | Registered representative | Apr 2012 (14y) | ||
| Regina Miller Grace | Registered representative | Apr 2012 (14y) | ||
| Sally Rast Ramsey | Registered representative | Apr 2012 (14y) | ||
| Michael Eugene Turnbough | Registered representative | Apr 2012 (14y) | ||
| William Arnot Geary | Registered representative | Apr 2012 (14y) | ||
| Bradley W Trujillo | Registered representative | Apr 2012 (14y) | ||
| Brian Daniel Trujillo | Registered representative | CFP | Apr 2012 (14y) | |
| Steven Mark Ringquist | Registered representative | Apr 2012 (14y) | ||
| Scott Alfred Cumbie | Registered representative | Apr 2012 (14y) | ||
| Michael Thomas Perino | Registered representative | Apr 2012 (14y) | ||
| William Bradley Smith | Registered representative | Apr 2012 (14y) | ||
| Roy Scott Sachs | Registered representative | Apr 2012 (14y) | ||
| Bonnie Kaye Adamczak Brown | Registered representative | May 2012 (14y) | ||
| Christopher Tyler Mercer | Registered representative | May 2012 (14y) | ||
| Lisa Diana Bergman | Registered representative | May 2012 (14y) | ||
| Thomas Tracey Shoup | Registered representative | May 2012 (14y) | ||
| Jonathan Towne Melges | Registered representative | Jun 2012 (14y) | ||
| Robert Jason Weinberg | Registered representative | Jun 2012 (14y) | ||
| Sandra Marcela Melges | Registered representative | Jun 2012 (14y) | ||
| Brennan Lewis Bennett | Registered representative | Jun 2012 (14y) | ||
| Kirste Lija Plunket | Registered representative | Jun 2012 (14y) | ||
| Mark Jeffrey Debbs | Registered representative | Jun 2012 (14y) | ||
| Claus D Meyer | Registered representative | Jun 2012 (14y) | ||
| Robert William Parker | Registered representative | Jun 2012 (14y) | ||
| Samuel E Bortz | Registered representative | Jun 2012 (14y) | ||
| Alan Isaac Sasson | Registered representative | Jun 2012 (14y) | ||
| Omar Jose De La Rosa | Registered representative | Jun 2012 (14y) | ||
| Patrice Marie Henning | Registered representative | Jul 2012 (14y) | ||
| Evan Joseph Schechter | Registered representative | Jul 2012 (14y) | ||
| Timothy Michael Kelley | Registered representative | Jul 2012 (14y) | ||
| Larry Neil Koenigsberg | Registered representative | Aug 2012 (14y) | ||
| Diane Emmons Taylor | Registered representative | Aug 2012 (14y) | ||
| Vonda Rochelle Grant | Registered representative | CFP | Aug 2012 (14y) | |
| Marci Elizabeth Moore | Registered representative | CFP | Aug 2012 (14y) | |
| Daniel Jon Rabatsky | Registered representative | Sep 2012 (14y) | ||
| Christopher Glynn Yarbrough | Registered representative | Sep 2012 (14y) | ||
| Marc L Kanoff | Registered representative | Sep 2012 (14y) | ||
| Richard A Benson | Registered representative | Sep 2012 (14y) | ||
| Amy Miller Wade | Registered representative | Sep 2012 (14y) | ||
| Kathryn Leighann Perry | Registered representative | Sep 2012 (14y) | ||
| Marty Carlis Green | Registered representative | Sep 2012 (14y) | ||
| Ryan Earle Ehrhart | Registered representative | Sep 2012 (14y) | ||
| Anthony Scott Rowland | Registered representative | Sep 2012 (14y) | ||
| Kevin David Rea | Registered representative | Sep 2012 (14y) | ||
| Aaron Clay Hickman | Registered representative | Sep 2012 (14y) | ||
| James King Owens | Registered representative | Sep 2012 (14y) | ||
| Matt Lawson Roche | Registered representative | Sep 2012 (14y) | ||
| Michael David Pagliari | Registered representative | Oct 2012 (14y) | ||
| Joel Eberhardt Foster | Registered representative | Oct 2012 (14y) | ||
| Rosa Lares Schulte | Registered representative | Oct 2012 (14y) | ||
| Stephen Palmer Rosen | Registered representative | Oct 2012 (14y) | ||
| Harold William Lynde | Registered representative | Oct 2012 (14y) | ||
| Randall Lawrence Mceachern | Registered representative | Oct 2012 (14y) | ||
| Deanna Nicole Musso | Registered representative | Oct 2012 (14y) | ||
| Patrick Thomas Duerr | Registered representative | Oct 2012 (14y) | ||
| Paul Scott Rittelmeyer | Registered representative | Oct 2012 (14y) | ||
| Thomas Joseph Savoie | Registered representative | Oct 2012 (14y) | ||
| Paul John Benson Iii | Registered representative | Oct 2012 (14y) | ||
| Gary Steven Weiss | Registered representative | Oct 2012 (14y) | ||
| Philip Nicholas Singleton | Registered representative | Oct 2012 (14y) | ||
| Veronica L. Schulz | Registered representative | Oct 2012 (14y) | ||
| Paul Rusty Lanier | Registered representative | Oct 2012 (14y) | ||
| Victoria Elena Azpurua | Registered representative | Nov 2012 (14y) | ||
| Susan Mary Quinter | Registered representative | Nov 2012 (14y) | ||
| Scott Alan Cutliff | Registered representative | Nov 2012 (14y) | ||
| Erik Jack Willanger | Registered representative | Nov 2012 (14y) | ||
| Donald Dean Horras | Registered representative | Nov 2012 (14y) | ||
| Jon Todd Metzger | Registered representative | Nov 2012 (14y) | ||
| Nolene Nanette Metzger | Registered representative | Nov 2012 (14y) | ||
| Kevin James Mccarthy | Registered representative | Dec 2012 (14y) | ||
| Jeffrey Ray Faucette | Registered representative | Dec 2012 (14y) | ||
| Bradley Shay Scott | Registered representative | Jan 2013 (14y) | ||
| Hugh Curtis Tanner | Registered representative | Jan 2013 (14y) | ||
| Deborah Rhodes Van Buskirk | Registered representative | Jan 2013 (14y) | ||
| Leigh Bennett Vuncannon | Registered representative | Jan 2013 (14y) | ||
| Annette Rosenfield | Registered representative | Jan 2013 (14y) | ||
| Daniel Keith Battjes | Registered representative | CFP | Jan 2013 (14y) | |
| Kimberly Hathaway Goble | Registered representative | Jan 2013 (14y) | ||
| Seth Adrian Townsend | Registered representative | Jan 2013 (14y) | ||
| Marlene M. Fowler | Registered representative | Jan 2013 (14y) | ||
| Casey Bulgin | Registered representative | Jan 2013 (14y) | ||
| Jesse Alan Peck | Registered representative | Jan 2013 (14y) | ||
| David Wayne Mcleroy | Registered representative | Jan 2013 (14y) | ||
| Craig Pollak Federer | Registered representative | Jan 2013 (14y) | ||
| Aimee Kathleen Zedlitz | Registered representative | Feb 2013 (13y) | ||
| Alan Marion Hughes | Registered representative | Chartered Financial Consultant | Feb 2013 (13y) | |
| Alfred Lafayette Stratford | Registered representative | Feb 2013 (13y) | ||
| Allan E Weiss | Registered representative | Feb 2013 (13y) | ||
| Allan Mark Gottlieb | Registered representative | Feb 2013 (13y) | ||
| Allison Drake Davis | Registered representative | Feb 2013 (13y) | ||
| Andrew Philip Pearce | Registered representative | Feb 2013 (13y) | ||
| Andrew Stephenson Burd | Registered representative | Feb 2013 (13y) | ||
| Andrew Tyler Fort | Registered representative | Feb 2013 (13y) | ||
| Angela Earnhardt Barnhart | Registered representative | Feb 2013 (13y) | ||
| Anne Barbara Platt | Registered representative | Feb 2013 (13y) | ||
| Anne E Routon | Registered representative | Feb 2013 (13y) | ||
| Anneliese Hill Watts | Registered representative | Feb 2013 (13y) | ||
| Anthony Bruce Johnson | Registered representative | Feb 2013 (13y) | ||
| Anthony John Romano | Registered representative | Feb 2013 (13y) | ||
| Austin Allen Routon | Registered representative | Feb 2013 (13y) | ||
| April Cherie Chapman | Registered representative | Feb 2013 (13y) | ||
| Bernard J Cohen | Registered representative | Feb 2013 (13y) | ||
| Billy Alexander Mock | Registered representative | Feb 2013 (13y) | ||
| Brentley Howard Berry | Registered representative | Feb 2013 (13y) | ||
| Brian Corbett Alford | Registered representative | Feb 2013 (13y) | ||
| Brian L. Mcgee | Registered representative | Feb 2013 (13y) | ||
| Brian Todd Southerland | Registered representative | Feb 2013 (13y) | ||
| Bruce Edwin Angotti | Registered representative | Feb 2013 (13y) | ||
| Bryan Kirk Bordelon | Registered representative | Feb 2013 (13y) | ||
| Byron Edward Mitson | Registered representative | Feb 2013 (13y) | ||
| Bruce Mckiernan White | Registered representative | Feb 2013 (13y) | ||
| Candis A Brown | Registered representative | Feb 2013 (13y) | ||
| Carol Cato Keathley | Registered representative | Feb 2013 (13y) | ||
| Carrington Eggleston Coulter | Registered representative | Feb 2013 (13y) | ||
| Casey Alexander Rainey | Registered representative | CFP | Feb 2013 (13y) | |
| Cathy Lynne Beasley | Registered representative | Feb 2013 (13y) | ||
| Chad Christian Hayward | Registered representative | Feb 2013 (13y) | ||
| Charles Gardner Claus | Registered representative | Feb 2013 (13y) | ||
| Charles Howard Clawson | Registered representative | Feb 2013 (13y) | ||
| Charles Landon Myers | Registered representative | Feb 2013 (13y) | ||
| Charles Meyer Bowman | Registered representative | Feb 2013 (13y) | ||
| Charles Philip Guercio | Registered representative | Feb 2013 (13y) | ||
| Charles Wilder Greenlee | Registered representative | Feb 2013 (13y) | ||
| Charles William Kinslow | Registered representative | Feb 2013 (13y) | ||
| Chase Henderson Gore | Registered representative | Feb 2013 (13y) | ||
| Christie Leigh Autry | Registered representative | Feb 2013 (13y) | ||
| Christopher Allan Greggs | Registered representative | Feb 2013 (13y) | ||
| Christopher Brook Witt | Registered representative | Feb 2013 (13y) | ||
| Christopher Gates Caldwell | Registered representative | Feb 2013 (13y) | ||
| Christopher Ray Smith | Registered representative | Feb 2013 (13y) | ||
| Christopher Todd Crifasi | Registered representative | Feb 2013 (13y) | ||
| Cindy Kay Russell | Registered representative | Feb 2013 (13y) | ||
| Claudia Marie Billeaud | Registered representative | Feb 2013 (13y) | ||
| Colin Hunter Kirkby | Registered representative | Feb 2013 (13y) | ||
| Cornelius Harrington Bissell | Registered representative | Feb 2013 (13y) | ||
| Craigen Scott Schoen | Registered representative | Feb 2013 (13y) | ||
| Crystal Chelette Wooldridge | Registered representative | Feb 2013 (13y) | ||
| Cynthia Elaine Harless | Registered representative | Feb 2013 (13y) | ||
| Cynthia Grace Jones | Registered representative | Feb 2013 (13y) | ||
| Cynthia Jean Mitchell | Registered representative | Feb 2013 (13y) | ||
| Chad Justin House | Registered representative | Feb 2013 (13y) | ||
| Daniel Bryan Parker | Registered representative | Feb 2013 (13y) | ||
| Daniel David Herman | Registered representative | Feb 2013 (13y) | ||
| Daniel Richard Chassee | Registered representative | Feb 2013 (13y) | ||
| Daniel Robert Leugers | Registered representative | Feb 2013 (13y) | ||
| Darryl Wayne Thompson | Registered representative | Feb 2013 (13y) | ||
| David Alan Rodenberg | Registered representative | Feb 2013 (13y) | ||
| David Anthony Martin | Registered representative | Feb 2013 (13y) | ||
| David Benjamin Fletcher | Registered representative | CFP | Feb 2013 (13y) | |
| David Henderson Anthony | Registered representative | Feb 2013 (13y) | ||
| David L Rains | Registered representative | Feb 2013 (13y) | ||
| David Paul Broussard | Registered representative | Feb 2013 (13y) | ||
| David Ray Gallahar | Registered representative | Feb 2013 (13y) | ||
| David Reid Petty | Registered representative | CFP | Feb 2013 (13y) | |
| David Scott Hollier | Registered representative | CFP | Feb 2013 (13y) | |
| David Thomas Curley | Registered representative | Feb 2013 (13y) | ||
| David Vincent Schrader | Registered representative | Feb 2013 (13y) | ||
| Debora Celestino | Registered representative | Feb 2013 (13y) | ||
| Deborah Cliffordbrown | Registered representative | Feb 2013 (13y) | ||
| Deborah Woelfel Crownover | Registered representative | Feb 2013 (13y) | ||
| Derek Lee Daniels | Registered representative | Feb 2013 (13y) | ||
| Derrick Ramon Lewis | Registered representative | Feb 2013 (13y) | ||
| Devon Taylor Ward Sharrah | Registered representative | Feb 2013 (13y) | ||
| Donald Joe Davis | Registered representative | Feb 2013 (13y) | ||
| Donna Gay Stewart | Registered representative | Feb 2013 (13y) | ||
| Donnia O. Walton | Registered representative | Feb 2013 (13y) | ||
| Douglas Marchand Minor | Registered representative | Feb 2013 (13y) | ||
| Douglas Mitchell Crenshaw | Registered representative | Feb 2013 (13y) | ||
| Douglas Wayne Lee | Registered representative | Feb 2013 (13y) | ||
| Daniel Floyd Pugh | Registered representative | Feb 2013 (13y) | ||
| Daniel G Lane | Registered representative | Feb 2013 (13y) | ||
| Eduardo Antonio Bonilla | Registered representative | Feb 2013 (13y) | ||
| Edward Barton Moore | Registered representative | Feb 2013 (13y) | ||
| Edward Montgomery Knox | Registered representative | Feb 2013 (13y) | ||
| Elizabeth Aulick Robertson | Registered representative | Feb 2013 (13y) | ||
| Emilie Kay Theriot | Registered representative | Feb 2013 (13y) | ||
| Eugene Temple Millsap | Registered representative | Feb 2013 (13y) | ||
| Eric Shane Le Blanc | Registered representative | Feb 2013 (13y) | ||
| Frances Diana Hamby | Registered representative | Feb 2013 (13y) | ||
| Frank Joseph Domino | Registered representative | CFP | Feb 2013 (13y) | |
| Franklin David Homberg | Registered representative | CFP | Feb 2013 (13y) | |
| Frederic Lamar Dupree | Registered representative | Feb 2013 (13y) | ||
| Gary Allen Garstecki | Registered representative | Feb 2013 (13y) | ||
| Gary Chris Tate | Registered representative | Feb 2013 (13y) | ||
| Gary Mark Smith | Registered representative | CFA | Feb 2013 (13y) | |
| Gary Wayne Davis | Registered representative | Feb 2013 (13y) | ||
| George Edward Arras | Registered representative | Feb 2013 (13y) | ||
| George Hunt Mitchell | Registered representative | CFP | Feb 2013 (13y) | |
| George Rolfe Miller | Registered representative | Feb 2013 (13y) | ||
| Gerald Nathan Padawer | Registered representative | Feb 2013 (13y) | ||
| Grady Calvin Benford | Registered representative | Feb 2013 (13y) | ||
| Grant Vincent Mcdermott | Registered representative | Feb 2013 (13y) | ||
| Greggory Casteix Harris | Registered representative | Feb 2013 (13y) | ||
| Gregory B Renner | Registered representative | Feb 2013 (13y) | ||
| Gregory Dale Williams | Registered representative | Feb 2013 (13y) | ||
| Gregory King Trulock | Registered representative | Feb 2013 (13y) | ||
| Gregory Lynn Majors | Registered representative | Feb 2013 (13y) | ||
| Gina Kelley Schwartz | Registered representative | Feb 2013 (13y) | ||
| Hazel Jean Heriges | Registered representative | Feb 2013 (13y) | ||
| Heidi Suzanne Gough | Registered representative | Feb 2013 (13y) | ||
| Henry Lastrapes Mayer | Registered representative | CFP | Feb 2013 (13y) | |
| Harriett Lynne Henning | Registered representative | Feb 2013 (13y) | ||
| Jacob Courtnay Rudolph | Registered representative | Feb 2013 (13y) | ||
| Jacquelyn Upshaw Clark | Registered representative | Feb 2013 (13y) | ||
| James Brierly Moon | Registered representative | Feb 2013 (13y) | ||
| James Claude Salem | Registered representative | Feb 2013 (13y) | ||
| James David Yarbrough | Registered representative | Feb 2013 (13y) | ||
| James Edward Phillips | Registered representative | Feb 2013 (13y) | ||
| James Fleming Norvell | Registered representative | Feb 2013 (13y) | ||
| James Forrest Burnett | Registered representative | Feb 2013 (13y) | ||
| James Franklin Durham | Registered representative | Feb 2013 (13y) | ||
| James Kelley Vaughn | Registered representative | Feb 2013 (13y) | ||
| James Kevin Floyd | Registered representative | Feb 2013 (13y) | ||
| James Lee Brown | Registered representative | Feb 2013 (13y) | ||
| James Michael Forster | Registered representative | CFP | Feb 2013 (13y) | |
| James Michael Moyer | Registered representative | Feb 2013 (13y) | ||
| James Odell Nichols | Registered representative | Feb 2013 (13y) | ||
| James Patrick Clifford | Registered representative | Feb 2013 (13y) | ||
| James T. Kuczynski | Registered representative | CFP | Feb 2013 (13y) | |
| James Tunstall Inge | Registered representative | Feb 2013 (13y) | ||
| James Werner Leibach | Registered representative | Feb 2013 (13y) | ||
| Janet Helene Sanders | Registered representative | Feb 2013 (13y) | ||
| Jason David Patterson | Registered representative | Feb 2013 (13y) | ||
| Jason Lee Fontane | Registered representative | Feb 2013 (13y) | ||
| Jeffrey Francis Miley | Registered representative | Feb 2013 (13y) | ||
| Jeffrey G Hull | Registered representative | Feb 2013 (13y) | ||
| Jeffrey Gordon Hull | Registered representative | Feb 2013 (13y) | ||
| Jeffrey Kent Gardner | Registered representative | Feb 2013 (13y) | ||
| Jennifer Ann Lawson | Registered representative | Feb 2013 (13y) | ||
| Jennifer Bauer | Registered representative | Feb 2013 (13y) | ||
| Jennifer Finkle Martinez | Registered representative | Feb 2013 (13y) | ||
| Jennifer Michelle Bernard | Registered representative | Feb 2013 (13y) | ||
| Jennifer Ward Taylor | Registered representative | Feb 2013 (13y) | ||
| Jenny Lee Everman | Registered representative | Feb 2013 (13y) | ||
| Jeremy Glen Ramsey | Registered representative | Feb 2013 (13y) | ||
| Jerome Marks Dattel | Registered representative | Feb 2013 (13y) | ||
| Jerome Robert Renaudin | Registered representative | Feb 2013 (13y) | ||
| Joe Harmon Byrd | Registered representative | Feb 2013 (13y) | ||
| Joey Hien Nguyen | Registered representative | Feb 2013 (13y) | ||
| John Allen Clausen | Registered representative | Feb 2013 (13y) | ||
| John Benson Davison | Registered representative | Feb 2013 (13y) | ||
| John Burke Strange | Registered representative | Feb 2013 (13y) | ||
| John Campbell Sudduth | Registered representative | Feb 2013 (13y) | ||
| John Carroll Martin | Registered representative | Feb 2013 (13y) | ||
| John Christopher Correro | Registered representative | Feb 2013 (13y) | ||
| John Christopher Raulston | Registered representative | Feb 2013 (13y) | ||
| John Clifford Foster | Registered representative | Feb 2013 (13y) | ||
| John David Thomas | Registered representative | Feb 2013 (13y) | ||
| John Davidson Alexander | Registered representative | Feb 2013 (13y) | ||
| John Eric Quigley | Registered representative | Feb 2013 (13y) | ||
| John Fletcher Talley | Registered representative | Feb 2013 (13y) | ||
| John Fox Matthews | Registered representative | Feb 2013 (13y) | ||
| John Franklin Hill | Registered representative | Feb 2013 (13y) | ||
| John Gordon Sligh | Registered representative | Feb 2013 (13y) | ||
| John Grover Wilson | Registered representative | Feb 2013 (13y) | ||
| John Hilliard Pettey | Registered representative | Feb 2013 (13y) | ||
| John Lee Bowen | Registered representative | Feb 2013 (13y) | ||
| John Mark Anderson | Registered representative | Feb 2013 (13y) | ||
| John Mark Pickering | Registered representative | Feb 2013 (13y) | ||
| John Michael Skinner | Registered representative | Feb 2013 (13y) | ||
| John Ray Earnhardt | Registered representative | Feb 2013 (13y) | ||
| John Robert Havranek | Registered representative | Feb 2013 (13y) | ||
| John Roland Roussell | Registered representative | Feb 2013 (13y) | ||
| John Thomas Walter Pace | Registered representative | Feb 2013 (13y) | ||
| John Troy Howard | Registered representative | Feb 2013 (13y) | ||
| John Walter Phelan | Registered representative | Feb 2013 (13y) | ||
| John Whittemore Stokes | Registered representative | Feb 2013 (13y) | ||
| John Wiley Maiden | Registered representative | Feb 2013 (13y) | ||
| Jon Carney Emerson | Registered representative | Feb 2013 (13y) | ||
| Jon Thomas Lewis | Registered representative | Feb 2013 (13y) | ||
| Jonathan B Cohen | Registered representative | Feb 2013 (13y) | ||
| Jonathan Edward Lyons | Registered representative | Feb 2013 (13y) | ||
| Joseph Celestino | Registered representative | Feb 2013 (13y) | ||
| Joseph Edward Thompson | Registered representative | Feb 2013 (13y) | ||
| Joseph Jordan French | Registered representative | Feb 2013 (13y) | ||
| Joseph Lanier Brockman | Registered representative | CFP | Feb 2013 (13y) | |
| Joseph Patrick Wofford | Registered representative | Feb 2013 (13y) | ||
| Joseph Stephen Hardwick | Registered representative | Feb 2013 (13y) | ||
| Joseph Theodore Dehmer | Registered representative | Feb 2013 (13y) | ||
| Joshua Logan Newman | Registered representative | Feb 2013 (13y) | ||
| Joshua Michael Masariu | Registered representative | Feb 2013 (13y) | ||
| Joyce Roberts Chustz | Registered representative | Feb 2013 (13y) | ||
| Julie Mcsweeney Alexander | Registered representative | Feb 2013 (13y) | ||
| Julie Wardlaw Smith | Registered representative | Feb 2013 (13y) | ||
| Justin Roger Kreis | Registered representative | Feb 2013 (13y) | ||
| Jason Tilton Latham | Registered representative | Feb 2013 (13y) | ||
| Jonathan Morton Campbell | Registered representative | Feb 2013 (13y) | ||
| Kaon Nelson | Registered representative | CFP | Feb 2013 (13y) | |
| Karen Doss | Registered representative | Feb 2013 (13y) | ||
| Karen Lynn Gallahar | Registered representative | Feb 2013 (13y) | ||
| Kathleen Bridget Kernan | Registered representative | Feb 2013 (13y) | ||
| Kathy Pettis Cunningham | Registered representative | Feb 2013 (13y) | ||
| Keith Howard Steele | Registered representative | Feb 2013 (13y) | ||
| Kelly Rene Flores | Registered representative | Feb 2013 (13y) | ||
| Kellye Lee Phillips | Registered representative | Feb 2013 (13y) | ||
| Kenneth Edward Yarbrough | Registered representative | Feb 2013 (13y) | ||
| Kenneth Wright Allen | Registered representative | Feb 2013 (13y) | ||
| Kevin M Tierney | Registered representative | Feb 2013 (13y) | ||
| Kevin Michael Dallas | Registered representative | Feb 2013 (13y) | ||
| Kimberly Dolan Johnson | Registered representative | Feb 2013 (13y) | ||
| Kyle Lesley Cooper | Registered representative | Feb 2013 (13y) | ||
| Kelly Gagne Gibson | Registered representative | Feb 2013 (13y) | ||
| Kyle Thomas Martin | Registered representative | Feb 2013 (13y) | ||
| Laquita R Smith | Registered representative | Feb 2013 (13y) | ||
| Laura Aucoin Jones | Registered representative | Feb 2013 (13y) | ||
| Lawson Hugh Ballard | Registered representative | Feb 2013 (13y) | ||
| Lee Brian Schierloh | Registered representative | Feb 2013 (13y) | ||
| Lenard Mark Iglar | Registered representative | Feb 2013 (13y) | ||
| Leo Marc Sanchez | Registered representative | Feb 2013 (13y) | ||
| Leonard Clifton Skelton | Registered representative | Feb 2013 (13y) | ||
| Leonard Edward Schettino | Registered representative | Feb 2013 (13y) | ||
| Lewis Edward Fisher | Registered representative | Feb 2013 (13y) | ||
| Lewis Harold Rogers | Registered representative | Feb 2013 (13y) | ||
| Linda Carole Vanauken | Registered representative | Feb 2013 (13y) | ||
| Lisa Lyn Westmoreland | Registered representative | Feb 2013 (13y) | ||
| Lisa Riales Johnson | Registered representative | Feb 2013 (13y) | ||
| Lisa Rogers Boone | Registered representative | CFP | Feb 2013 (13y) | |
| Lloyd James Miller | Registered representative | Feb 2013 (13y) | ||
| Logan Burch Phillips | Registered representative | Feb 2013 (13y) | ||
| Lonnie Richard May | Registered representative | Feb 2013 (13y) | ||
| Lori Ann Roberts | Registered representative | Feb 2013 (13y) | ||
| Luis Manuel Garcia | Registered representative | Feb 2013 (13y) | ||
| Lynn Trusty Shaw | Registered representative | Feb 2013 (13y) | ||
| Lynn Trusty Shaw Ii | Registered representative | Feb 2013 (13y) | ||
| Lynn Williams Kelly | Registered representative | Feb 2013 (13y) | ||
| Margaret Mccarver | Registered representative | Feb 2013 (13y) | ||
| Mark Alan Maxwell | Registered representative | Feb 2013 (13y) | ||
| Mark Charles Henry | Registered representative | Feb 2013 (13y) | ||
| Mark Daniel Morris | Registered representative | Feb 2013 (13y) | ||
| Mark Edward Whatley | Registered representative | Feb 2013 (13y) | ||
| Mark Lee Nixon | Registered representative | Feb 2013 (13y) | ||
| Mark Saalfield Norris | Registered representative | Feb 2013 (13y) | ||
| Mark Walker Payne | Registered representative | Feb 2013 (13y) | ||
| Martin Bernard Silverfield | Registered representative | Feb 2013 (13y) | ||
| Martin Leo Truax | Registered representative | Feb 2013 (13y) | ||
| Matt John Engerer | Registered representative | Feb 2013 (13y) | ||
| Matthew Branton Laird | Registered representative | Feb 2013 (13y) | ||
| Matthew Logan Colvin | Registered representative | CFP | Feb 2013 (13y) | |
| Michael Allen Bratton | Registered representative | Feb 2013 (13y) | ||
| Michael Brian Fink | Registered representative | Feb 2013 (13y) | ||
| Michael David Gold | Registered representative | Feb 2013 (13y) | ||
| Michael Justin Gallagher | Registered representative | Feb 2013 (13y) | ||
| Michael Lawrence Anthony | Registered representative | Feb 2013 (13y) | ||
| Michael Lawrence Goldman | Registered representative | Feb 2013 (13y) | ||
| Michael Lesley Cooper | Registered representative | Feb 2013 (13y) | ||
| Michael Phelan Lowe | Registered representative | Feb 2013 (13y) | ||
| Michael Phelan Lowe | Registered representative | Feb 2013 (13y) | ||
| Michael S Weiss | Registered representative | Feb 2013 (13y) | ||
| Michael Stephen Lavera | Registered representative | Feb 2013 (13y) | ||
| Michael Wayne Ary | Registered representative | Feb 2013 (13y) | ||
| Michelle Clark Prince | Registered representative | CFP | Feb 2013 (13y) | |
| Miles Jason Pure | Registered representative | Feb 2013 (13y) | ||
| Mirela Elliott | Registered representative | Feb 2013 (13y) | ||
| Monica Beth Wiesel | Registered representative | Feb 2013 (13y) | ||
| Matthew Michael Weber | Registered representative | Feb 2013 (13y) | ||
| Nathan Alan Weddle | Registered representative | Feb 2013 (13y) | ||
| Neil Franklin Adams | Registered representative | Feb 2013 (13y) | ||
| Nicole Dieck Mcleod | Registered representative | Feb 2013 (13y) | ||
| Nicole Zielke Harris | Registered representative | Feb 2013 (13y) | ||
| Norman Lee Duhon | Registered representative | Feb 2013 (13y) | ||
| Oliver Harris Delchamps | Registered representative | Feb 2013 (13y) | ||
| Pamela Atchley Baird | Registered representative | Feb 2013 (13y) | ||
| Patrice Ann Thomas | Registered representative | Feb 2013 (13y) | ||
| Patrick Brendan Lane | Registered representative | Feb 2013 (13y) | ||
| Paul Christian Morgan | Registered representative | CFP | Feb 2013 (13y) | |
| Paul Jude Huval | Registered representative | Feb 2013 (13y) | ||
| Paul Lytton Seneker | Registered representative | Feb 2013 (13y) | ||
| Paul Michael Brown | Registered representative | Feb 2013 (13y) | ||
| Paul Nicholas Feder | Registered representative | Feb 2013 (13y) | ||
| Paul Stephenson Burd | Registered representative | Feb 2013 (13y) | ||
| Paul William Kerbey | Registered representative | Feb 2013 (13y) | ||
| Perry Allen Brown | Registered representative | Feb 2013 (13y) | ||
| Peter Leslie Bermont | Registered representative | Feb 2013 (13y) | ||
| Peter Taylor Persons | Registered representative | Feb 2013 (13y) | ||
| Peter Weaver Squire | Registered representative | Feb 2013 (13y) | ||
| Patrick Nelson Hewitt | Registered representative | Feb 2013 (13y) | ||
| Ray Frederick Peck | Registered representative | Feb 2013 (13y) | ||
| Raymond Crawford Suplee | Registered representative | Feb 2013 (13y) | ||
| Renae Louise Cobern | Registered representative | Feb 2013 (13y) | ||
| Richard Andrew Fowler | Registered representative | Feb 2013 (13y) | ||
| Richard Earl Palmer | Registered representative | Feb 2013 (13y) | ||
| Richard Hanlon Rowan | Registered representative | Feb 2013 (13y) | ||
| Richard Harlan Gilmore | Registered representative | Feb 2013 (13y) | ||
| Richard Joseph Vaughn | Registered representative | Feb 2013 (13y) | ||
| Richard Lee Martini | Registered representative | Feb 2013 (13y) | ||
| Richard Louis Preis | Registered representative | Feb 2013 (13y) | ||
| Richard Michael Noonan | Registered representative | Feb 2013 (13y) | ||
| Ricky P Hunt | Registered representative | Feb 2013 (13y) | ||
| Ricky Winn | Registered representative | Feb 2013 (13y) | ||
| Rita Wright Oujesky | Registered representative | Feb 2013 (13y) | ||
| Robert Allen Vaughn | Registered representative | Feb 2013 (13y) | ||
| Robert Anthony Shy | Registered representative | Feb 2013 (13y) | ||
| Robert Augustus Mccord | Registered representative | Feb 2013 (13y) | ||
| Robert Delmas Gooch | Registered representative | Feb 2013 (13y) | ||
| Robert Emmett Schaffer | Registered representative | Feb 2013 (13y) | ||
| Robert Glen Cockrell | Registered representative | CFP | Feb 2013 (13y) | |
| Robert Henry Waechter | Registered representative | Feb 2013 (13y) | ||
| Robert Lee Pollard | Registered representative | Feb 2013 (13y) | ||
| Robert Patrick Mcgrew | Registered representative | Feb 2013 (13y) | ||
| Robert Perry Clark | Registered representative | CFP | Feb 2013 (13y) | |
| Robert Wayne Young | Registered representative | Feb 2013 (13y) | ||
| Robert William Carnes | Registered representative | CFP | Feb 2013 (13y) | |
| Robert Wilson Moores | Registered representative | Feb 2013 (13y) | ||
| Robin Lynn Heiken | Registered representative | Feb 2013 (13y) | ||
| Robin P. Seale | Registered representative | Feb 2013 (13y) | ||
| Roger Keith Renfro | Registered representative | Feb 2013 (13y) | ||
| Roland Robert Larmore | Registered representative | Feb 2013 (13y) | ||
| Roy Byrd Price | Registered representative | Feb 2013 (13y) | ||
| Ryan Paraoan Luzod | Registered representative | CFP Chartered Financial Consultant | Feb 2013 (13y) | |
| Richard Edward Yoch | Registered representative | Feb 2013 (13y) | ||
| Robert Banks Donnelly | Registered representative | Feb 2013 (13y) | ||
| Robert Edward Carney | Registered representative | Feb 2013 (13y) | ||
| Robert Stephen Hester | Registered representative | Feb 2013 (13y) | ||
| Samuel Allen Loring | Registered representative | Feb 2013 (13y) | ||
| Samuel Jackson Galloway | Registered representative | Feb 2013 (13y) | ||
| Sandy Chaleunsinh | Registered representative | Feb 2013 (13y) | ||
| Sara Hall Clemmer | Registered representative | Feb 2013 (13y) | ||
| Sassene Sumner Dyer | Registered representative | Feb 2013 (13y) | ||
| Scott Alexander King | Registered representative | Feb 2013 (13y) | ||
| Scott Andrew Simpson | Registered representative | Feb 2013 (13y) | ||
| Scott Cecil Chadwell | Registered representative | Feb 2013 (13y) | ||
| Scott Robert Pilcher | Registered representative | Feb 2013 (13y) | ||
| Shannon Marie Fuller | Registered representative | Feb 2013 (13y) | ||
| Shannon Wayne Holland | Registered representative | CFP | Feb 2013 (13y) | |
| Sheryl M Campbell | Registered representative | Feb 2013 (13y) | ||
| Skylar Scott Jordan | Registered representative | Feb 2013 (13y) | ||
| Sonia Katyal | Registered representative | CFP | Feb 2013 (13y) | |
| Spencer Jay Lynch | Registered representative | Feb 2013 (13y) | ||
| Stanley Roland Jones | Registered representative | Feb 2013 (13y) | ||
| Stephen Dodd Elam | Registered representative | Feb 2013 (13y) | ||
| Stephen K Wallace | Registered representative | Feb 2013 (13y) | ||
| Steven Dale Kellough | Registered representative | Feb 2013 (13y) | ||
| Steven Reid Mitchell | Registered representative | CFP | Feb 2013 (13y) | |
| Stuart Alan Reid | Registered representative | Feb 2013 (13y) | ||
| Susan Smith Craigie | Registered representative | Feb 2013 (13y) | ||
| Tammy Lynn Schmaltz | Registered representative | Feb 2013 (13y) | ||
| Tandy Giddens Lewis | Registered representative | CFP | Feb 2013 (13y) | |
| Terry Allen Brough | Registered representative | Feb 2013 (13y) | ||
| Thomas Andrew Oconnor | Registered representative | Feb 2013 (13y) | ||
| Thomas Edward Frye | Registered representative | Feb 2013 (13y) | ||
| Thomas Michael Barnes | Registered representative | Feb 2013 (13y) | ||
| Thomas Michael Hyde | Registered representative | Feb 2013 (13y) | ||
| Thomas Patrick Curran | Registered representative | CFP | Feb 2013 (13y) | |
| Thomas Sutherland Pfeifer | Registered representative | Feb 2013 (13y) | ||
| Thomas Whitmeyer O'brien | Registered representative | Feb 2013 (13y) | ||
| Thuy Doan West | Registered representative | Feb 2013 (13y) | ||
| Tiffany Christine Wyles | Registered representative | Feb 2013 (13y) | ||
| Timothy Baine Kelley | Registered representative | Feb 2013 (13y) | ||
| Tommy Ray Cockrell | Registered representative | Feb 2013 (13y) | ||
| Travis Lee Mcafee | Registered representative | Feb 2013 (13y) | ||
| Troy King | Registered representative | CFP | Feb 2013 (13y) | |
| Vicki Brewer Smart | Registered representative | Feb 2013 (13y) | ||
| Vijaya L Fincher | Registered representative | Feb 2013 (13y) | ||
| W Gage Logan | Registered representative | Feb 2013 (13y) | ||
| Walter John Zelop | Registered representative | Feb 2013 (13y) | ||
| Walter Yost Hooper | Registered representative | Feb 2013 (13y) | ||
| Wendsday L Hughes | Registered representative | Feb 2013 (13y) | ||
| William Baker Fowler | Registered representative | Feb 2013 (13y) | ||
| William Brantley Anthony | Registered representative | Feb 2013 (13y) | ||
| William Byron Lawson | Registered representative | Feb 2013 (13y) | ||
| William Charles Warner | Registered representative | Feb 2013 (13y) | ||
| William Colin Seibert | Registered representative | Feb 2013 (13y) | ||
| William Darin Butler | Registered representative | Feb 2013 (13y) | ||
| William F Wolbrecht | Registered representative | Feb 2013 (13y) | ||
| William Garrett Greene | Registered representative | Feb 2013 (13y) | ||
| William Guy Branscome | Registered representative | Feb 2013 (13y) | ||
| William Milton Morris | Registered representative | Feb 2013 (13y) | ||
| William Morris Lellyett | Registered representative | Feb 2013 (13y) | ||
| William Sellers Nalty | Registered representative | Feb 2013 (13y) | ||
| William Taft Middleton | Registered representative | Feb 2013 (13y) | ||
| William Ward Mayer | Registered representative | CFP | Feb 2013 (13y) | |
| William Williams Deupree | Registered representative | Feb 2013 (13y) | ||
| Willis Cobb Hagan | Registered representative | Feb 2013 (13y) | ||
| Wilson Allen Moore | Registered representative | Feb 2013 (13y) | ||
| Wesley Calvin Brumfield | Registered representative | CFP | Feb 2013 (13y) | |
| Matthew Nicholas Harring | Registered representative | Feb 2013 (13y) | ||
| Brian Wayne Salters | Registered representative | Feb 2013 (13y) | ||
| Charles Alvin Music | Registered representative | Feb 2013 (13y) | ||
| Jan K Nettekoven | Registered representative | Feb 2013 (13y) | ||
| Amanda Jean Morland | Registered representative | Mar 2013 (13y) | ||
| Christin Duncan Simon | Registered representative | Mar 2013 (13y) | ||
| Brian Reid Markowitz | Registered representative | Mar 2013 (13y) | ||
| Kenneth Supman | Registered representative | Mar 2013 (13y) | ||
| Richard Anthony Kaczynski | Registered representative | Mar 2013 (13y) | ||
| Robert Phillip Weingard | Registered representative | Apr 2013 (13y) | ||
| Gary Michael Franklin | Registered representative | Apr 2013 (13y) | ||
| Katharyn Evans Smith | Registered representative | Apr 2013 (13y) | ||
| Roger Courtland Williams | Registered representative | Apr 2013 (13y) | ||
| Michael Dean Wagner | Registered representative | CFP | Apr 2013 (13y) | |
| Kyle Jay Christianson | Registered representative | Apr 2013 (13y) | ||
| Jacob Trever Turner | Registered representative | Apr 2013 (13y) | ||
| Ryan Nicholas Weakley | Registered representative | Apr 2013 (13y) | ||
| Kassi L Harrington | Registered representative | May 2013 (13y) | ||
| William Louis Waters Ii | Registered representative | May 2013 (13y) | ||
| Todd I. Polackin | Registered representative | May 2013 (13y) | ||
| David Wyatt Turner | Registered representative | May 2013 (13y) | ||
| Jason Palmer Nymark | Registered representative | May 2013 (13y) | ||
| Dayna Jean Olmsted | Registered representative | May 2013 (13y) | ||
| Alexandra Kay Branca | Registered representative | CFP | May 2013 (13y) | |
| Sylvia Howe | Registered representative | May 2013 (13y) | ||
| Brenda White Meadows | Registered representative | May 2013 (13y) | ||
| David Joseph Brown | Registered representative | May 2013 (13y) | ||
| David Shane Robertson | Registered representative | May 2013 (13y) | ||
| Sean Erik Ekiert | Registered representative | May 2013 (13y) | ||
| Daniel Christopher Horgan | Registered representative | Jun 2013 (13y) | ||
| Patrick Alexander Brannam | Registered representative | Jun 2013 (13y) | ||
| Robert Carl Burns | Registered representative | Jun 2013 (13y) | ||
| James Nance Haltiwanger | Registered representative | CFP | Jun 2013 (13y) | |
| David Joseph Vargas | Registered representative | Jun 2013 (13y) | ||
| Lindsay Nicole Wilson | Registered representative | Jun 2013 (13y) | ||
| Christopher George Rogers | Registered representative | Jun 2013 (13y) | ||
| Dana Andrew Ricker | Registered representative | Jun 2013 (13y) | ||
| David Michael Mitchell | Registered representative | Jun 2013 (13y) | ||
| Richard Alan Fontana | Registered representative | Jun 2013 (13y) | ||
| Brandon B Roisman | Registered representative | CFP | Jul 2013 (13y) | |
| Peter Lewis Dewald | Registered representative | Jul 2013 (13y) | ||
| Cory Nathaniel Rodrigue | Registered representative | Jul 2013 (13y) | ||
| William Roy Hagen | Registered representative | Jul 2013 (13y) | ||
| Kerrie Leigh Milligan | Registered representative | Jul 2013 (13y) | ||
| Jay Michael Oldham | Registered representative | Aug 2013 (13y) | ||
| David Blackshear Hamilton Chaffe | Registered representative | CFP | Aug 2013 (13y) | |
| Christopher Joseph Hedrick | Registered representative | Aug 2013 (13y) | ||
| Christopher Laurence Young | Registered representative | CFP | Aug 2013 (13y) | |
| Edward Charles Baldwin | Registered representative | Aug 2013 (13y) | ||
| Joseph George Rice | Registered representative | Aug 2013 (13y) | ||
| Rhonda Lynn Rommel | Registered representative | CFP | Aug 2013 (13y) | |
| Jennifer Anne Youker | Registered representative | CFP | Aug 2013 (13y) | |
| Paul Andrew Metcalfe | Registered representative | Aug 2013 (13y) | ||
| Brian Dalton Shepard | Registered representative | Sep 2013 (13y) | ||
| Allison Danielle Zelli | Registered representative | Sep 2013 (13y) | ||
| Cameron James Diehl | Registered representative | Sep 2013 (13y) | ||
| Charles M Bonatakis | Registered representative | Sep 2013 (13y) | ||
| David Carlo Fanciullacci | Registered representative | Sep 2013 (13y) | ||
| Skyler Heimark Potter | Registered representative | CFP | Sep 2013 (13y) | |
| Sarah Anne Dahdouh | Registered representative | Sep 2013 (13y) | ||
| Jeff Allen Dakin | Registered representative | Sep 2013 (13y) | ||
| Richard Boyd Swift | Registered representative | Sep 2013 (13y) | ||
| Kosta George Bouris | Registered representative | Sep 2013 (13y) | ||
| Andrew Michael Read | Registered representative | CFA | Oct 2013 (13y) | |
| Justin Scott Jenkins | Registered representative | Oct 2013 (13y) | ||
| Jason Saunders | Registered representative | Oct 2013 (13y) | ||
| Stephanie Elizabeth Kelly | Registered representative | Oct 2013 (13y) | ||
| Chad Allen Peschke | Registered representative | Oct 2013 (13y) | ||
| Mark David Mazman | Registered representative | Oct 2013 (13y) | ||
| Ross Paul Hart | Registered representative | Oct 2013 (13y) | ||
| Michael Scott Brown | Registered representative | Oct 2013 (13y) | ||
| Douglas Andrew Noble | Registered representative | CFP Chartered Financial Consultant | Oct 2013 (13y) | |
| Gregory Thomas Bowden | Registered representative | CFP | Oct 2013 (13y) | |
| Jaynie Stuart Fields | Registered representative | Oct 2013 (13y) | ||
| Rodney Lee Dahl | Registered representative | CFP | Oct 2013 (13y) | |
| Matthew Stephen Baehr | Registered representative | Nov 2013 (13y) | ||
| John Anthony Mcdermott | Registered representative | Nov 2013 (13y) | ||
| Mark Anthony Barrett | Registered representative | Nov 2013 (13y) | ||
| David Ronald Rodrigo | Registered representative | CFP | Nov 2013 (13y) | |
| Jason Eric Goldberg | Registered representative | Nov 2013 (13y) | ||
| Aimee Lee Boggs | Registered representative | Nov 2013 (13y) | ||
| Christine Elizabeth Tharp | Registered representative | Nov 2013 (13y) | ||
| Dale Michael Jurek | Registered representative | Nov 2013 (13y) | ||
| David Michael Huffman | Registered representative | Nov 2013 (13y) | ||
| William Baker Heyser | Registered representative | Nov 2013 (13y) | ||
| Nena Marie Howden | Registered representative | Nov 2013 (13y) | ||
| Justin Jacob Hancher | Registered representative | Dec 2013 (13y) | ||
| Eugene Steven Marx | Registered representative | Dec 2013 (13y) | ||
| Robert Turner Krebs | Registered representative | Dec 2013 (13y) | ||
| Nancy Jean Goethel | Registered representative | Dec 2013 (13y) | ||
| Adriana Frazier | Registered representative | Dec 2013 (13y) | ||
| Paul Jason Mahfouz | Registered representative | Dec 2013 (13y) | ||
| Claire Rodrigue Cooney | Registered representative | CFP | Jan 2014 (13y) | |
| Perry M Korszen | Registered representative | Jan 2014 (13y) | ||
| James Randolph Rankin | Registered representative | Jan 2014 (13y) | ||
| Sally Steen Avalon | Registered representative | CFP | Jan 2014 (13y) | |
| Alan Bruce Elovitz | Registered representative | Jan 2014 (13y) | ||
| Tammy Rebecca Hancock | Registered representative | Jan 2014 (13y) | ||
| Christy Ann Cornell | Registered representative | Jan 2014 (13y) | ||
| Randy Christopher Lacombe | Registered representative | Jan 2014 (13y) | ||
| Walter Mathew Bokovitz | Registered representative | Jan 2014 (13y) | ||
| Theresa Lynn Hilgendorf | Registered representative | Feb 2014 (12y) | ||
| Thomas Wayne Dedrick | Registered representative | Feb 2014 (12y) | ||
| Jody Dean Clark | Registered representative | Feb 2014 (12y) | ||
| Craig Allen Gilmour | Registered representative | CFP | Feb 2014 (12y) | |
| Joseph Edward Johnson | Registered representative | CFP | Mar 2014 (12y) | |
| Stephen Thomas Whitfield | Registered representative | Mar 2014 (12y) | ||
| Alex Ivan Gallego | Registered representative | Mar 2014 (12y) | ||
| Rhonda Lynn Weinman | Registered representative | CFP | Mar 2014 (12y) | |
| Gary Alan Rigby | Registered representative | Mar 2014 (12y) | ||
| Catherine Michelle Hunter | Registered representative | CFP | Mar 2014 (12y) | |
| Scott Charles Bambach | Registered representative | Mar 2014 (12y) | ||
| James William Shircliff | Registered representative | Mar 2014 (12y) | ||
| Fredrick Grantham Tribble | Registered representative | Mar 2014 (12y) | ||
| Warren Vincent Wright | Registered representative | Mar 2014 (12y) | ||
| Nicholas J Shepard | Registered representative | Mar 2014 (12y) | ||
| James Jordan Szafranski | Registered representative | CFP | Mar 2014 (12y) | |
| Elizabeth Jayne Tkacz Breitner | Registered representative | CFP | Mar 2014 (12y) | |
| Gregory Allen Nixon | Registered representative | Mar 2014 (12y) | ||
| James Goulet | Registered representative | Mar 2014 (12y) | ||
| Nancy Lucille Patterson | Registered representative | Mar 2014 (12y) | ||
| Patton Alan Teagle | Registered representative | Mar 2014 (12y) | ||
| Thomas Auld Jewett | Registered representative | Mar 2014 (12y) | ||
| Sarah Elizabeth Lance Welch | Registered representative | Mar 2014 (12y) | ||
| Danielle R. Page | Registered representative | Apr 2014 (12y) | ||
| Gary Jay Handler | Registered representative | Apr 2014 (12y) | ||
| Michael Kieran Casey | Registered representative | Apr 2014 (12y) | ||
| Philip Thomas Maurer | Registered representative | Apr 2014 (12y) | ||
| Raymond Anthony Gutowski | Registered representative | Apr 2014 (12y) | ||
| Andrew John Bilotta | Registered representative | CFP | Apr 2014 (12y) | |
| Daniel Collette Jones | Registered representative | Apr 2014 (12y) | ||
| David Michael Kushner | Registered representative | Apr 2014 (12y) | ||
| Douglas P Clark | Registered representative | Apr 2014 (12y) | ||
| Douglas Stuart Clark | Registered representative | Apr 2014 (12y) | ||
| Edwin R Mcdevitt | Registered representative | Apr 2014 (12y) | ||
| John Thomas Mccaffery | Registered representative | Apr 2014 (12y) | ||
| Joseph Christopher Allen | Registered representative | Apr 2014 (12y) | ||
| Katherine Monica Labuda | Registered representative | CFP | Apr 2014 (12y) | |
| Kelly L.M. Rindock | Registered representative | Apr 2014 (12y) | ||
| Paul Michael Tedeschi | Registered representative | Apr 2014 (12y) | ||
| Richard Gordon Greenwald | Registered representative | Apr 2014 (12y) | ||
| Terrence Victor Fant | Registered representative | Apr 2014 (12y) | ||
| Lisa C Esteves Dixon | Registered representative | CFP | Apr 2014 (12y) | |
| Marsha Lynn Adkins | Registered representative | Apr 2014 (12y) | ||
| Kevin Anders Kozak | Registered representative | Apr 2014 (12y) | ||
| Aaron Douglas Anderson | Registered representative | Apr 2014 (12y) | ||
| Lisa Ann Barrantes Delossantos | Registered representative | Chartered Financial Consultant | Apr 2014 (12y) | |
| Thomas Michael Walrond | Registered representative | Apr 2014 (12y) | ||
| Barry D. Richter | Registered representative | Apr 2014 (12y) | ||
| Hilary Seabrook Blust | Registered representative | Apr 2014 (12y) | ||
| Rebecca Citrenbaum Perkins | Registered representative | Apr 2014 (12y) | ||
| Heather Rene Kakabeeke | Registered representative | CFP | Apr 2014 (12y) | |
| Jamie L Wills | Registered representative | Apr 2014 (12y) | ||
| Katherine Rose Robinson | Registered representative | Apr 2014 (12y) | ||
| Stephen Robert Besse | Registered representative | CFP | May 2014 (12y) | |
| Suzette Marie Dybiec | Registered representative | May 2014 (12y) | ||
| Walter Henry Hauser | Registered representative | May 2014 (12y) | ||
| Zachary Gordon Kessler | Registered representative | May 2014 (12y) | ||
| William Kermet Bell | Registered representative | CFP | May 2014 (12y) | |
| Carlton Lindsay Brown | Registered representative | CFP | May 2014 (12y) | |
| Jodi Lynn Harrison | Registered representative | May 2014 (12y) | ||
| Robert Joseph Wood | Registered representative | May 2014 (12y) | ||
| Adele Louise Jacques | Registered representative | May 2014 (12y) | ||
| Matthew Joseph Rogers | Registered representative | May 2014 (12y) | ||
| Mark Christopher Norton | Registered representative | May 2014 (12y) | ||
| Justin Trevor Adams | Registered representative | May 2014 (12y) | ||
| Stacey Rene Maham | Registered representative | May 2014 (12y) | ||
| Anthony Agosta | Registered representative | May 2014 (12y) | ||
| Andrew Michael O'neil | Registered representative | Jun 2014 (12y) | ||
| Ashley Elizabeth Folk | Registered representative | Jun 2014 (12y) | ||
| Larry Wendell Jackson | Registered representative | Jun 2014 (12y) | ||
| Paul Andrew Jesinskis | Registered representative | Jun 2014 (12y) | ||
| Ryan Edward Roche | Registered representative | Jun 2014 (12y) | ||
| Susan Crist | Registered representative | Jun 2014 (12y) | ||
| Denise Marie Palmer | Registered representative | Jun 2014 (12y) | ||
| Margaret Mary Kimmel | Registered representative | CFP | Jun 2014 (12y) | |
| Stacy Jane Caudill | Registered representative | Jun 2014 (12y) | ||
| James Hamilton Weymouth | Registered representative | Jul 2014 (12y) | ||
| Matthew Morris Gordon | Registered representative | CFP | Jul 2014 (12y) | |
| Joshua Housen Anderson | Registered representative | Jul 2014 (12y) | ||
| Andrew M Waldbaum | Registered representative | Jul 2014 (12y) | ||
| Lynne Pehl Calvert | Registered representative | Jul 2014 (12y) | ||
| Robert Willis Pehl | Registered representative | Jul 2014 (12y) | ||
| John Robert Reuter | Registered representative | Jul 2014 (12y) | ||
| Christopher Richard Boyd | Registered representative | Jul 2014 (12y) | ||
| Lori Dee Flanagan | Registered representative | Jul 2014 (12y) | ||
| Brian John Rowley | Registered representative | Jul 2014 (12y) | ||
| James Edward Miller | Registered representative | Jul 2014 (12y) | ||
| Melissa Jean Jaeger | Registered representative | Jul 2014 (12y) | ||
| Kelly Petrocella | Registered representative | CFP | Aug 2014 (12y) | |
| Christine Diane Pedrick | Registered representative | Aug 2014 (12y) | ||
| Nicole Ann Morawski | Registered representative | Aug 2014 (12y) | ||
| Susannah Marie Madden | Registered representative | Aug 2014 (12y) | ||
| Jilian Ann Kolesa | Registered representative | Aug 2014 (12y) | ||
| John Raymond Ivory | Registered representative | Aug 2014 (12y) | ||
| Matthew Lewis Ransom | Registered representative | Aug 2014 (12y) | ||
| David Pipkin Feaster | Registered representative | Aug 2014 (12y) | ||
| Charles Bynum Satterwhite | Registered representative | Sep 2014 (12y) | ||
| Allyn Lindley Donaubauer | Registered representative | Sep 2014 (12y) | ||
| Shelby Scott Feurtado | Registered representative | Sep 2014 (12y) | ||
| Suzanne Michelle Peterson | Registered representative | Sep 2014 (12y) | ||
| Paul M Rice | Registered representative | Sep 2014 (12y) | ||
| Erina Sinoimeri Ford | Registered representative | CFA | Sep 2014 (12y) | |
| Eric Gustav Degoldsmith Rothschild | Registered representative | Sep 2014 (12y) | ||
| Penny Sue Tipsword | Registered representative | Sep 2014 (12y) | ||
| Timothy Richard Ziola | Registered representative | Sep 2014 (12y) | ||
| David Barrett Berman | Registered representative | Sep 2014 (12y) | ||
| Mark Andrew Arkelian | Registered representative | Sep 2014 (12y) | ||
| Jake Robert Brown | Registered representative | Sep 2014 (12y) | ||
| Carole Gill Yates | Registered representative | Sep 2014 (12y) | ||
| Patrick Rea Yates | Registered representative | Sep 2014 (12y) | ||
| John Frederich Simpson | Registered representative | Sep 2014 (12y) | ||
| Jesus Cruz | Registered representative | Sep 2014 (12y) | ||
| Michael Robert Witt | Registered representative | Oct 2014 (12y) | ||
| Damon Michael Henderson | Registered representative | Oct 2014 (12y) | ||
| David Eugene Williams | Registered representative | Oct 2014 (12y) | ||
| John William Chavies | Registered representative | Oct 2014 (12y) | ||
| Henry Conlin Wall | Registered representative | Oct 2014 (12y) | ||
| Jose Armando Landeros | Registered representative | Oct 2014 (12y) | ||
| Jason Michael Goldstein | Registered representative | Oct 2014 (12y) | ||
| Jill O'hara Recknagel | Registered representative | Oct 2014 (12y) | ||
| Gary Joseph Curry | Registered representative | CFP | Oct 2014 (12y) | |
| Marsha Lee Werner | Registered representative | Oct 2014 (12y) | ||
| Dean Morgan Paugh | Registered representative | Oct 2014 (12y) | ||
| Gregory Johnson Kershner | Registered representative | CFP | Nov 2014 (12y) | |
| Adam Tyler Tindle | Registered representative | Nov 2014 (12y) | ||
| John Albert Veith | Registered representative | Nov 2014 (12y) | ||
| Trenton Kroeger Morton | Registered representative | CFP | Nov 2014 (12y) | |
| Scott Leland Hitchcock | Registered representative | Nov 2014 (12y) | ||
| William Michael Mann Jr. | Registered representative | Nov 2014 (12y) | ||
| Blake Peter Bergeron | Registered representative | Nov 2014 (12y) | ||
| Joseph Wilson Watson | Registered representative | Nov 2014 (12y) | ||
| Gennaro Anthony Marsico | Registered representative | Nov 2014 (12y) | ||
| Mark D O'leary | Registered representative | Nov 2014 (12y) | ||
| Samuel William Spanos | Registered representative | Nov 2014 (12y) | ||
| Stephen A Kimmel | Registered representative | Nov 2014 (12y) | ||
| Todd Christopher Todorich | Registered representative | Nov 2014 (12y) | ||
| Vickie Lynn Bobchak | Registered representative | Nov 2014 (12y) | ||
| Robert Mason Lewis | Registered representative | Nov 2014 (12y) | ||
| John Lawrence Connolly | Registered representative | Nov 2014 (12y) | ||
| Lawrence Grier Williford | Registered representative | CFP | Dec 2014 (12y) | |
| Jordan Richard Niefeld | Registered representative | Dec 2014 (12y) | ||
| Lionel Rolando Rivera | Registered representative | Dec 2014 (12y) | ||
| Michelle Mc Cafferty Retzer | Registered representative | Dec 2014 (12y) | ||
| Chirstopher Michael Drennen | Registered representative | Dec 2014 (12y) | ||
| David Anderson Sutton | Registered representative | Dec 2014 (12y) | ||
| David Brian Brennan | Registered representative | Dec 2014 (12y) | ||
| Gary Wayne Froud | Registered representative | Dec 2014 (12y) | ||
| Todd Raymond Lovell | Registered representative | Dec 2014 (12y) | ||
| Robert K Torrington | Registered representative | Dec 2014 (12y) | ||
| Howard Franzblau | Registered representative | Jan 2015 (12y) | ||
| Richard Alfred Devine | Registered representative | Jan 2015 (12y) | ||
| Barbara Lin Wilson | Registered representative | Jan 2015 (12y) | ||
| Heather Marie Mills | Registered representative | Jan 2015 (12y) | ||
| Joshua Andrew Rosenzweig | Registered representative | Jan 2015 (12y) | ||
| Paul Bryan Berman | Registered representative | Jan 2015 (12y) | ||
| Susan Valdivia | Registered representative | Jan 2015 (12y) | ||
| Danielle Jolene Ferrer | Registered representative | Jan 2015 (12y) | ||
| James Henry Pohlman | Registered representative | Jan 2015 (12y) | ||
| Samuel C. Gross | Registered representative | Jan 2015 (12y) | ||
| Tonya Ann Rasmussen | Registered representative | Jan 2015 (12y) | ||
| Jason Nicholas Abeles | Registered representative | Jan 2015 (12y) | ||
| Alfred Glen Sickinger | Registered representative | Feb 2015 (11y) | ||
| Lori Michelle Bagwell | Registered representative | Feb 2015 (11y) | ||
| Brian James Lamb | Registered representative | Feb 2015 (11y) | ||
| Heidi Gillespie Schenz | Registered representative | Feb 2015 (11y) | ||
| Katherine Helen Roulston | Registered representative | Feb 2015 (11y) | ||
| Ann Haile Mueller | Registered representative | Feb 2015 (11y) | ||
| Kelly A Mckinney | Registered representative | Feb 2015 (11y) | ||
| Robert D. Winebrenner | Registered representative | Feb 2015 (11y) | ||
| Stephen Walter Hussey | Registered representative | Feb 2015 (11y) | ||
| William Leo Creedon | Registered representative | Feb 2015 (11y) | ||
| Erik Steven Lawser | Registered representative | Mar 2015 (11y) | ||
| Toni Lee Ondek | Registered representative | CFP | Mar 2015 (11y) | |
| Louis Robert Spence | Registered representative | CFP | Mar 2015 (11y) | |
| Griffin Michael Suit | Registered representative | Mar 2015 (11y) | ||
| Lois Annette St Pierre | Registered representative | Mar 2015 (11y) | ||
| Kostas Nickolas Mattis | Registered representative | Mar 2015 (11y) | ||
| James Michael Watts | Registered representative | Mar 2015 (11y) | ||
| Murphy J Bradshaw | Registered representative | Apr 2015 (11y) | ||
| Robert Charles Pesce | Registered representative | Apr 2015 (11y) | ||
| Shannon Kuykendall Bennett | Registered representative | Apr 2015 (11y) | ||
| Jacques Mauricio Borisewitz | Registered representative | Apr 2015 (11y) | ||
| Gary David Sievewright | Registered representative | Apr 2015 (11y) | ||
| Judson Sibley Potter | Registered representative | Apr 2015 (11y) | ||
| Michelle Ped | Registered representative | Apr 2015 (11y) | ||
| Michelle Lynn Evanich | Registered representative | Apr 2015 (11y) | ||
| Albert Edward Miller | Registered representative | CFP | Apr 2015 (11y) | |
| Shane Thomas Beckman | Registered representative | Apr 2015 (11y) | ||
| Robert Aaron Parke | Registered representative | Apr 2015 (11y) | ||
| Ryan Manyx Bartley | Registered representative | May 2015 (11y) | ||
| Wiley Richard Gardner | Registered representative | May 2015 (11y) | ||
| Christopher Alan Fienup | Registered representative | May 2015 (11y) | ||
| David Michael Jones | Registered representative | May 2015 (11y) | ||
| James Wellington Stoops | Registered representative | May 2015 (11y) | ||
| Terrence Joseph Andrysiak | Registered representative | May 2015 (11y) | ||
| Angelo Paul Oddo | Registered representative | May 2015 (11y) | ||
| Jennifer L Olsen | Registered representative | May 2015 (11y) | ||
| Michael Richard Drainville | Registered representative | May 2015 (11y) | ||
| Adam Lee Coselmon | Registered representative | May 2015 (11y) | ||
| Ashley Green Moss | Registered representative | May 2015 (11y) | ||
| Christopher John Leavy | Registered representative | May 2015 (11y) | ||
| Ronald Rikio Ban | Registered representative | May 2015 (11y) | ||
| Dana Andrew Czmer | Registered representative | May 2015 (11y) | ||
| Catherine Marie Trinder Miller | Registered representative | May 2015 (11y) | ||
| Jessica Parker Norris | Registered representative | CFP | May 2015 (11y) | |
| Patrick Aaron Norris | Registered representative | May 2015 (11y) | ||
| Patti J Steffens | Registered representative | May 2015 (11y) | ||
| Paul Michael Walker | Registered representative | May 2015 (11y) | ||
| Gregory Evan Kraus | Registered representative | May 2015 (11y) | ||
| Matthew G. Fernandez | Registered representative | May 2015 (11y) | ||
| John Southall Sumner | Registered representative | CFP | May 2015 (11y) | |
| William Charles Tumlin | Registered representative | May 2015 (11y) | ||
| Bruce Henry Daigle | Registered representative | Jun 2015 (11y) | ||
| Diane Kimberley Fisher | Registered representative | Jun 2015 (11y) | ||
| Matthew Cicero | Registered representative | Jun 2015 (11y) | ||
| Walter F Wydo | Registered representative | Jun 2015 (11y) | ||
| Charles Joseph Bauder | Registered representative | Jun 2015 (11y) | ||
| Amanda Jo Bloomfield | Registered representative | Jun 2015 (11y) | ||
| Ryan Christopher Weber | Registered representative | Jun 2015 (11y) | ||
| Ryan William Ames | Registered representative | Jun 2015 (11y) | ||
| Staci Marie Geiger | Registered representative | Jun 2015 (11y) | ||
| Harriet Carson Bruce | Registered representative | Jun 2015 (11y) | ||
| Holly C Squicciarini | Registered representative | Jun 2015 (11y) | ||
| Don Anthony D'adesky | Registered representative | Jun 2015 (11y) | ||
| Kevin Morris Gourrier | Registered representative | Jun 2015 (11y) | ||
| Wilhelm K Lemke | Registered representative | Jun 2015 (11y) | ||
| Robert Paretti | Registered representative | Jun 2015 (11y) | ||
| Marc Adam Preyer | Registered representative | Jun 2015 (11y) | ||
| Dawn Marie Maddox | Registered representative | Jun 2015 (11y) | ||
| Erich John Dischert | Registered representative | Jun 2015 (11y) | ||
| Daniel Charles Herron | Registered representative | CFP | Jun 2015 (11y) | |
| Samuel Garrett Maness | Registered representative | Jun 2015 (11y) | ||
| William Hunter Martiniere | Registered representative | Jun 2015 (11y) | ||
| William Stephens Lamb | Registered representative | Jun 2015 (11y) | ||
| George Parker Swift | Registered representative | Jun 2015 (11y) | ||
| Lisa Vincent Thornton | Registered representative | Jul 2015 (11y) | ||
| Theresa Neitzel Benson | Registered representative | Jul 2015 (11y) | ||
| Grant Heflin | Registered representative | Jul 2015 (11y) | ||
| Bonnie Kathryn Harper | Registered representative | CFP | Jul 2015 (11y) | |
| Christina Jones Gartrell | Registered representative | Jul 2015 (11y) | ||
| Seth Willis Kuhn | Registered representative | Jul 2015 (11y) | ||
| Amber Koop Seale | Registered representative | CFP | Jul 2015 (11y) | |
| Dax Aaron Seale | Registered representative | CFP | Jul 2015 (11y) | |
| Howard Barkley Wedemeyer | Registered representative | CFA | Jul 2015 (11y) | |
| Holly R. Boucher | Registered representative | CFP | Jul 2015 (11y) | |
| Andrew Richard Lipsey | Registered representative | Jul 2015 (11y) | ||
| Matthew Aaron Johnson | Registered representative | Jul 2015 (11y) | ||
| Peter Hedge King | Registered representative | Jul 2015 (11y) | ||
| Armik Aghakhani | Registered representative | Jul 2015 (11y) | ||
| John Scott Wicke | Registered representative | Jul 2015 (11y) | ||
| Merry Lyn Bagwell | Registered representative | Jul 2015 (11y) | ||
| Paul Leon Wrisley | Registered representative | Aug 2015 (11y) | ||
| Marnie Adrienne Sharp | Registered representative | Aug 2015 (11y) | ||
| Reid Burke Strange | Registered representative | Aug 2015 (11y) | ||
| Jonathan David Bowman | Registered representative | Aug 2015 (11y) | ||
| John William Cassin | Registered representative | Aug 2015 (11y) | ||
| Mark Russell Corbin | Registered representative | Aug 2015 (11y) | ||
| Meagan M Greenberg | Registered representative | Aug 2015 (11y) | ||
| Pamela Kay Mccomas | Registered representative | Aug 2015 (11y) | ||
| Michelle Elizabeth Mauritz | Registered representative | Aug 2015 (11y) | ||
| Christopher Lee Holladay | Registered representative | CFP | Aug 2015 (11y) | |
| Kimberly T Henderson | Registered representative | Aug 2015 (11y) | ||
| Victor Alan Philleo | Registered representative | Aug 2015 (11y) | ||
| Holly Ann Linville | Registered representative | Sep 2015 (11y) | ||
| Nicholas Anthony Masey | Registered representative | Sep 2015 (11y) | ||
| Austin Jennings Hart | Registered representative | Sep 2015 (11y) | ||
| Michael James Schopler | Registered representative | Sep 2015 (11y) | ||
| Carrie Lind | Registered representative | CFP | Sep 2015 (11y) | |
| Lisa Lynn Klima | Registered representative | Sep 2015 (11y) | ||
| Nancy Klemperer Leizman | Registered representative | Sep 2015 (11y) | ||
| Alexander Ray Drexel | Registered representative | Sep 2015 (11y) | ||
| Christopher Weidler | Registered representative | CFP | Sep 2015 (11y) | |
| Edward Miall Durham | Registered representative | Sep 2015 (11y) | ||
| Sarah J Eder | Registered representative | Sep 2015 (11y) | ||
| Terri L Steffner | Registered representative | Sep 2015 (11y) | ||
| Jason Lee Tiser | Registered representative | Sep 2015 (11y) | ||
| Beth Jamy Demarco | Registered representative | Sep 2015 (11y) | ||
| Jennifer Mary Collins | Registered representative | Sep 2015 (11y) | ||
| Joe L Bain | Registered representative | Sep 2015 (11y) | ||
| Robert Michael Campbell | Registered representative | Sep 2015 (11y) | ||
| Christopher Scott Finkler | Registered representative | Sep 2015 (11y) | ||
| Kennie Allan Taylor | Registered representative | Sep 2015 (11y) | ||
| Peter Michael Steffens | Registered representative | Sep 2015 (11y) | ||
| Tiana Henika | Registered representative | Sep 2015 (11y) | ||
| Rodney Burton Lineberry | Registered representative | Oct 2015 (11y) | ||
| Tracy Marie Lardiere | Registered representative | Oct 2015 (11y) | ||
| Lauren M Iddins | Registered representative | Oct 2015 (11y) | ||
| Robert William Burghart | Registered representative | Oct 2015 (11y) | ||
| Aron Michael Weingard | Registered representative | CFP | Oct 2015 (11y) | |
| Paul Joseph Bobal | Registered representative | Oct 2015 (11y) | ||
| Yelena Peshko | Registered representative | Oct 2015 (11y) | ||
| Gregory Robert Casten | Registered representative | Oct 2015 (11y) | ||
| James Earl Groves | Registered representative | Nov 2015 (11y) | ||
| Michael Alexander Grande | Registered representative | Nov 2015 (11y) | ||
| Walter James Snider | Registered representative | Nov 2015 (11y) | ||
| Chris Vincent Harkins | Registered representative | Nov 2015 (11y) | ||
| James Thornton Edwards | Registered representative | Nov 2015 (11y) | ||
| Jacqueline Marie Rudenis | Registered representative | Nov 2015 (11y) | ||
| Robert Michael Gardner | Registered representative | Nov 2015 (11y) | ||
| Michael Walter Ollmann | Registered representative | Nov 2015 (11y) | ||
| Elliot Weissmark | Registered representative | Nov 2015 (11y) | ||
| Gordon Heyworth | Registered representative | Nov 2015 (11y) | ||
| Christina L Hoerter | Registered representative | Nov 2015 (11y) | ||
| Mark Charles Marotta | Registered representative | Nov 2015 (11y) | ||
| Christopher John Mahoney | Registered representative | Nov 2015 (11y) | ||
| Kiyoko Johnson | Registered representative | Nov 2015 (11y) | ||
| Lynne Abrahams Whitehead | Registered representative | Nov 2015 (11y) | ||
| Thomas Edward Brown | Registered representative | CFP Chartered Financial Consultant | Nov 2015 (11y) | |
| John Arthur Robinson | Registered representative | CFP | Nov 2015 (11y) | |
| Michael David Saut | Registered representative | Nov 2015 (11y) | ||
| Scott Lee Abee | Registered representative | Nov 2015 (11y) | ||
| Solitaire Yolanda Dasher Smiley | Registered representative | Nov 2015 (11y) | ||
| Stephanie Howard Kidd | Registered representative | Nov 2015 (11y) | ||
| James Wesley Forrester | Registered representative | Dec 2015 (11y) | ||
| Christopher James Marchand | Registered representative | Dec 2015 (11y) | ||
| Brian James Crowley | Registered representative | Dec 2015 (11y) | ||
| Julie Schellhase Sevelius | Registered representative | Dec 2015 (11y) | ||
| Sanford Family | Registered representative | Dec 2015 (11y) | ||
| Steven E Wilcox | Registered representative | Dec 2015 (11y) | ||
| Zachary Clayton Kamber | Registered representative | Dec 2015 (11y) | ||
| Kevin Joseph David | Registered representative | Dec 2015 (11y) | ||
| Paul David Willson | Registered representative | Dec 2015 (11y) | ||
| Natalie Victoria Van Schoyck | Registered representative | Dec 2015 (11y) | ||
| Lauri Lynn Mcdougall | Registered representative | Dec 2015 (11y) | ||
| Anthony Louis Iacobucci | Registered representative | Jan 2016 (11y) | ||
| Kevin Mahoney | Registered representative | Jan 2016 (11y) | ||
| Kristen M Koluch | Registered representative | Jan 2016 (11y) | ||
| Philip Anthony Murphy | Registered representative | Jan 2016 (11y) | ||
| John Hughes Mclean | Registered representative | Jan 2016 (11y) | ||
| Richard Weston Keenan | Registered representative | Jan 2016 (11y) | ||
| Kristine M Conn | Registered representative | Jan 2016 (11y) | ||
| Lorayne Cynthia Fiorillo | Registered representative | Jan 2016 (11y) | ||
| J J Heaton | Registered representative | Chartered Financial Consultant | Jan 2016 (11y) | |
| Sherrill M. Kullander | Registered representative | Jan 2016 (11y) | ||
| John Cooper Mickle | Registered representative | Jan 2016 (11y) | ||
| Julie Singer | Registered representative | CFP | Jan 2016 (11y) | |
| Michael Alan Bentley | Registered representative | Jan 2016 (11y) | ||
| Russell Werme | Registered representative | Jan 2016 (11y) | ||
| Nicholas Joseph Bruno | Registered representative | Jan 2016 (11y) | ||
| Brenda Claire Kelley | Registered representative | Jan 2016 (11y) | ||
| Erikson Eldridge Hameline | Registered representative | Jan 2016 (11y) | ||
| Joseph George Hameline | Registered representative | Jan 2016 (11y) | ||
| Tsvetelina Elkova Georgiev | Registered representative | Jan 2016 (11y) | ||
| Simone S Kriger | Registered representative | Jan 2016 (11y) | ||
| Dennis Eugene Allen | Registered representative | CFP | Jan 2016 (11y) | |
| Kristy Elizabeth Mcgee | Registered representative | Jan 2016 (11y) | ||
| Jennifer Hannah Dayoub | Registered representative | Jan 2016 (11y) | ||
| Matthew Stephen Dowdle | Registered representative | Feb 2016 (11y) | ||
| Nicholas Christopher Patrico | Registered representative | Feb 2016 (10y) | ||
| Chad Arlen Caywood | Registered representative | Feb 2016 (10y) | ||
| William Trent Ridd | Registered representative | Feb 2016 (10y) | ||
| Alexander Brian Sayers | Registered representative | Feb 2016 (10y) | ||
| Larry James Kimo Goeas | Registered representative | Feb 2016 (10y) | ||
| Michelle Lauren Wooten | Registered representative | Feb 2016 (10y) | ||
| Nicholas James Roth | Registered representative | Feb 2016 (10y) | ||
| Donna Jean Dembeck | Registered representative | Feb 2016 (10y) | ||
| Edward Fernberger | Registered representative | Feb 2016 (10y) | ||
| Jeri Polaar Richard | Registered representative | Feb 2016 (10y) | ||
| Jaclyn Nichole Merkley | Registered representative | Feb 2016 (10y) | ||
| Clinton Grant Graves | Registered representative | Feb 2016 (10y) | ||
| Jason Matthew Pucci | Registered representative | Feb 2016 (10y) | ||
| John R Firek | Registered representative | Mar 2016 (10y) | ||
| Justin Michael Bickerstaff | Registered representative | CFP | Mar 2016 (10y) | |
| Ryan Hall Ridlehuber | Registered representative | Mar 2016 (10y) | ||
| Thomas P Small | Registered representative | Mar 2016 (10y) | ||
| Evan Turan Onder | Registered representative | Mar 2016 (10y) | ||
| Terrance Wilbert Dedrick | Registered representative | Mar 2016 (10y) | ||
| Ryan Leslie Schumann | Registered representative | Mar 2016 (10y) | ||
| Christian Ernst Langenstein | Registered representative | Mar 2016 (10y) | ||
| Patrick Brendan O'donnell | Registered representative | Mar 2016 (10y) | ||
| Nicole Lauree Trottier Rogers | Registered representative | Mar 2016 (10y) | ||
| Jennifer Bigler | Registered representative | Mar 2016 (10y) | ||
| Dwight Glenn Edwards | Registered representative | Mar 2016 (10y) | ||
| Richard Orland Paris | Registered representative | Mar 2016 (10y) | ||
| Ryan Avallon Bass | Registered representative | Mar 2016 (10y) | ||
| Mark Joel Rubin | Registered representative | Mar 2016 (10y) | ||
| Jacob Koby Arinus | Registered representative | Mar 2016 (10y) | ||
| Bronwyn Ann Kiene Minier | Registered representative | Mar 2016 (10y) | ||
| Michael Patrick Mclaughlin | Registered representative | CFP | Mar 2016 (10y) | |
| Richard Alfred Reid | Registered representative | Mar 2016 (10y) | ||
| Brian G Carter | Registered representative | Apr 2016 (10y) | ||
| Cinnamon L Chaney | Registered representative | Apr 2016 (10y) | ||
| David Harry Richman | Registered representative | Apr 2016 (10y) | ||
| David Anthony Hanson | Registered representative | Apr 2016 (10y) | ||
| Alan Alfonso Lazzara | Registered representative | CFA | Apr 2016 (10y) | |
| Janel Rena Fahey | Registered representative | Apr 2016 (10y) | ||
| Timothy John Dorothy | Registered representative | Apr 2016 (10y) | ||
| Jessica Lynne Deminey | Registered representative | Apr 2016 (10y) | ||
| Craig D Norton | Registered representative | Apr 2016 (10y) | ||
| Linda Roe O'connor | Registered representative | Apr 2016 (10y) | ||
| Nathan Douglas Bell | Registered representative | Apr 2016 (10y) | ||
| Jennifer Ashley Witt | Registered representative | May 2016 (10y) | ||
| Tad M. Petersen | Registered representative | May 2016 (10y) | ||
| David R Craw | Registered representative | May 2016 (10y) | ||
| Patrick John Roberson | Registered representative | May 2016 (10y) | ||
| Evan Romain Griner | Registered representative | May 2016 (10y) | ||
| Michael Lawrence Mulloy | Registered representative | May 2016 (10y) | ||
| Timothy Lee Vansolkema | Registered representative | May 2016 (10y) | ||
| Kenton Grant Cardon | Registered representative | May 2016 (10y) | ||
| Steven Woods | Registered representative | May 2016 (10y) | ||
| Andrea Tracy Slaughter | Registered representative | May 2016 (10y) | ||
| Austin Mackenzie Spires | Registered representative | May 2016 (10y) | ||
| Brieanne Kathleen Case | Registered representative | May 2016 (10y) | ||
| George Driver Bragaw | Registered representative | May 2016 (10y) | ||
| John Alan Dufek | Registered representative | May 2016 (10y) | ||
| Tara Jean Orendorff | Registered representative | May 2016 (10y) | ||
| Philip Hans Artmann | Registered representative | May 2016 (10y) | ||
| Randy Boyd Rankin | Registered representative | May 2016 (10y) | ||
| Shane M Scott | Registered representative | May 2016 (10y) | ||
| Roger Martin Veome | Registered representative | May 2016 (10y) | ||
| Thomas Raymond Morrill | Registered representative | May 2016 (10y) | ||
| Anna M. Manning | Registered representative | Jun 2016 (10y) | ||
| Kevin Bruce Brown | Registered representative | Jun 2016 (10y) | ||
| Charles William Kusche | Registered representative | Jun 2016 (10y) | ||
| Paul Thomas Renedo | Registered representative | Jun 2016 (10y) | ||
| Sadik Kulla | Registered representative | Jun 2016 (10y) | ||
| Karla Sue Gifford | Registered representative | Jun 2016 (10y) | ||
| Mark Tayler Southwell | Registered representative | CFP | Jun 2016 (10y) | |
| Harmon Sanders Dickson | Registered representative | Jun 2016 (10y) | ||
| Chad A. Gardner | Registered representative | CFP | Jun 2016 (10y) | |
| Christopher G Shoukry | Registered representative | CFA | Jun 2016 (10y) | |
| Charles Arthur Wood | Registered representative | Jun 2016 (10y) | ||
| Brandon Earl Smith | Registered representative | Jul 2016 (10y) | ||
| Brian Carl Cross | Registered representative | Jul 2016 (10y) | ||
| Jamie Sue Phillips | Registered representative | Jul 2016 (10y) | ||
| Melissa Michelle Barnett | Registered representative | Jul 2016 (10y) | ||
| Laura L Murphy | Registered representative | Jul 2016 (10y) | ||
| Lewis Russell Walterhouse | Registered representative | Jul 2016 (10y) | ||
| Robert Joseph Wetzork | Registered representative | Jul 2016 (10y) | ||
| William Hinton Andrews | Registered representative | Jul 2016 (10y) | ||
| William Overton Day | Registered representative | CFP | Jul 2016 (10y) | |
| Lamar Maurice Ware | Registered representative | Jul 2016 (10y) | ||
| Jeanice Ann Sawyer | Registered representative | Jul 2016 (10y) | ||
| Francis Rene Flores | Registered representative | CFP | Jul 2016 (10y) | |
| Christine L Diemidio | Registered representative | Jul 2016 (10y) | ||
| Lawrence Dominic Christian | Registered representative | Jul 2016 (10y) | ||
| Leah Alexis Baker | Registered representative | CFP | Jul 2016 (10y) | |
| Luke Jared Petrarca | Registered representative | Aug 2016 (10y) | ||
| Courtney Irwin Clakley | Registered representative | CFP Chartered Financial Consultant | Aug 2016 (10y) | |
| Karrie Lynn Verduin | Registered representative | Aug 2016 (10y) | ||
| Lorelia L. Rodriguez | Registered representative | Aug 2016 (10y) | ||
| Debra Kay Riedel | Registered representative | Aug 2016 (10y) | ||
| Donald John Mccullough | Registered representative | Aug 2016 (10y) | ||
| Megan Nina Weakland | Registered representative | Aug 2016 (10y) | ||
| Patrick James Jon Courtright | Registered representative | Aug 2016 (10y) | ||
| William T. Sparks | Registered representative | CFP | Aug 2016 (10y) | |
| Josh Jess Miles | Registered representative | Aug 2016 (10y) | ||
| Michele Renee Cisario | Registered representative | Aug 2016 (10y) | ||
| Christine Robertson | Registered representative | Aug 2016 (10y) | ||
| Matthew Edward Todd | Registered representative | Aug 2016 (10y) | ||
| William Cory Harless | Registered representative | CFP | Aug 2016 (10y) | |
| Justin Taylor Kissner | Registered representative | CFP | Aug 2016 (10y) | |
| Jacob Tyler Matthews | Registered representative | Aug 2016 (10y) | ||
| James Downing Yonker | Registered representative | CFP | Aug 2016 (10y) | |
| Megan Wells Berning | Registered representative | Aug 2016 (10y) | ||
| Doan Trang Hoang Tran Bell | Registered representative | Aug 2016 (10y) | ||
| Sean J Badgett | Registered representative | Sep 2016 (10y) | ||
| Aimee Elizabeth Fox | Registered representative | Sep 2016 (10y) | ||
| Albert Charles Boris | Registered representative | Sep 2016 (10y) | ||
| Alex Kongkraphun | Registered representative | Sep 2016 (10y) | ||
| Andrew F Hearon | Registered representative | Sep 2016 (10y) | ||
| Andrew George Kaplan | Registered representative | Sep 2016 (10y) | ||
| Anthony Charles Han | Registered representative | CFP | Sep 2016 (10y) | |
| Anthony Charles Wiggan | Registered representative | Sep 2016 (10y) | ||
| Anthony Mark Fagella | Registered representative | Sep 2016 (10y) | ||
| Ashley Garner Abbott | Registered representative | Sep 2016 (10y) | ||
| Barbara Corn Woodcock | Registered representative | Sep 2016 (10y) | ||
| Beth Elaine Chessler | Registered representative | Sep 2016 (10y) | ||
| Bradley Joseph Laconte | Registered representative | Sep 2016 (10y) | ||
| Brian C Kaplan | Registered representative | Sep 2016 (10y) | ||
| Bruce Howard Treitman | Registered representative | Sep 2016 (10y) | ||
| Barry Marc Sobel | Registered representative | Sep 2016 (10y) | ||
| Brian Francis Pocock | Registered representative | Sep 2016 (10y) | ||
| Bryan A. Stepanian | Registered representative | Sep 2016 (10y) | ||
| Carlos Munozlucas | Registered representative | Sep 2016 (10y) | ||
| Carmen Ancuta Budai | Registered representative | Sep 2016 (10y) | ||
| Carrie Marie Yackee | Registered representative | Sep 2016 (10y) | ||
| Charles Albert Corpening | Registered representative | Sep 2016 (10y) | ||
| Chester Jackson Sheffield | Registered representative | Sep 2016 (10y) | ||
| Christopher Anthony Sozio | Registered representative | Sep 2016 (10y) | ||
| Christopher Michael Conway | Registered representative | CFP | Sep 2016 (10y) | |
| Craig Lewis Cerone | Registered representative | Sep 2016 (10y) | ||
| Cynthia Lee Brown | Registered representative | Sep 2016 (10y) | ||
| Charles Garrett Mutz | Registered representative | Sep 2016 (10y) | ||
| Daniel James Boszhardt | Registered representative | Sep 2016 (10y) | ||
| Daniel James Delp | Registered representative | Sep 2016 (10y) | ||
| Darian Jason Cohen | Registered representative | Sep 2016 (10y) | ||
| Debora Ryder | Registered representative | Sep 2016 (10y) | ||
| Deborah Lyn Starr | Registered representative | Sep 2016 (10y) | ||
| Diana Victoria Hurst | Registered representative | Sep 2016 (10y) | ||
| Donna Maria Raymond | Registered representative | Sep 2016 (10y) | ||
| Douglas Alfred Berl | Registered representative | Sep 2016 (10y) | ||
| Douglas Smith Boszhardt | Registered representative | Sep 2016 (10y) | ||
| Dylan Mortenson Colby | Registered representative | Sep 2016 (10y) | ||
| Edwin Ross Bergen | Registered representative | Sep 2016 (10y) | ||
| Francis Bartlett Lane | Registered representative | Sep 2016 (10y) | ||
| Francis Lee Bryan | Registered representative | Sep 2016 (10y) | ||
| Francis Lee Bryan | Registered representative | Sep 2016 (10y) | ||
| Frank Woods Winford | Registered representative | Sep 2016 (10y) | ||
| Fred Courtney Croll Crozier | Registered representative | Sep 2016 (10y) | ||
| Gerald Master Lowe | Registered representative | CFP | Sep 2016 (10y) | |
| Gregory Alan Galbraith | Registered representative | Sep 2016 (10y) | ||
| Holli Joelle Rigdon | Registered representative | Sep 2016 (10y) | ||
| Iris Shih I Lee | Registered representative | Sep 2016 (10y) | ||
| Jack Lamar Pace | Registered representative | Sep 2016 (10y) | ||
| James Duncan Zahringer | Registered representative | Sep 2016 (10y) | ||
| James Edward Knight | Registered representative | Sep 2016 (10y) | ||
| James Gray Galloway | Registered representative | Sep 2016 (10y) | ||
| James R Fink | Registered representative | Sep 2016 (10y) | ||
| Jason David Zaks | Registered representative | Sep 2016 (10y) | ||
| Jeffrey I Fishman | Registered representative | Sep 2016 (10y) | ||
| Jeffrey Thorne Sloan | Registered representative | CFP Chartered Financial Consultant | Sep 2016 (10y) | |
| Jennifer Bottalico | Registered representative | CFP | Sep 2016 (10y) | |
| Jennifer Marie Race | Registered representative | Sep 2016 (10y) | ||
| Jennifer Pagels Rusy | Registered representative | Sep 2016 (10y) | ||
| Jessica Marlene Sharp | Registered representative | Sep 2016 (10y) | ||
| Jill Mcallister Gordon | Registered representative | Sep 2016 (10y) | ||
| John Leo Kelly | Registered representative | Sep 2016 (10y) | ||
| John M Delappe | Registered representative | Sep 2016 (10y) | ||
| John Stephen Heck | Registered representative | Sep 2016 (10y) | ||
| Jordan A Funt | Registered representative | Sep 2016 (10y) | ||
| Joseph M Estes | Registered representative | Sep 2016 (10y) | ||
| Joshua Lee Skivington | Registered representative | Sep 2016 (10y) | ||
| Justin A Rosato | Registered representative | Sep 2016 (10y) | ||
| Jo Ellen Pontius | Registered representative | Sep 2016 (10y) | ||
| Kelia Dawn Coffey | Registered representative | Sep 2016 (10y) | ||
| Kenneth Charles Germann | Registered representative | Sep 2016 (10y) | ||
| Kevin Scott Fernandez | Registered representative | Sep 2016 (10y) | ||
| Lawrence W Gonnello | Registered representative | Sep 2016 (10y) | ||
| Linda Krupka | Registered representative | Sep 2016 (10y) | ||
| Lisa C Cranford | Registered representative | Sep 2016 (10y) | ||
| Luis Daniel Correa | Registered representative | Sep 2016 (10y) | ||
| Leanne M Evans | Registered representative | Sep 2016 (10y) | ||
| Mac Davis Hargrove | Registered representative | CFP | Sep 2016 (10y) | |
| Marcus Franco Aiello | Registered representative | CFP | Sep 2016 (10y) | |
| Margaret Ann Comer | Registered representative | Sep 2016 (10y) | ||
| Mark David Carpenter | Registered representative | Sep 2016 (10y) | ||
| Mark James Mchugh | Registered representative | Sep 2016 (10y) | ||
| Mark Oneill | Registered representative | Sep 2016 (10y) | ||
| Mary Wray Henshaw | Registered representative | Sep 2016 (10y) | ||
| Matthew Taylor Ayers | Registered representative | Sep 2016 (10y) | ||
| Melinda Ann Fishel | Registered representative | Sep 2016 (10y) | ||
| Melissa Weakly Hess | Registered representative | Sep 2016 (10y) | ||
| Martha Jean Stevens | Registered representative | Sep 2016 (10y) | ||
| Narciso Munoz | Registered representative | Sep 2016 (10y) | ||
| Natalie Suzanne Vicchio | Registered representative | Sep 2016 (10y) | ||
| Patrick Bryant Nickerson | Registered representative | Sep 2016 (10y) | ||
| Paul P Ruane | Registered representative | Sep 2016 (10y) | ||
| Philip Lucian Thomas | Registered representative | Sep 2016 (10y) | ||
| Philip Norman Disspain | Registered representative | Sep 2016 (10y) | ||
| Pierre Economacos | Registered representative | Sep 2016 (10y) | ||
| Perry Trimble | Registered representative | Sep 2016 (10y) | ||
| Regina R Prajapati | Registered representative | Sep 2016 (10y) | ||
| Richard Christopher Patrick Courtney | Registered representative | Sep 2016 (10y) | ||
| Richard Conrad Spangler | Registered representative | Sep 2016 (10y) | ||
| Richard Craig Harris | Registered representative | Sep 2016 (10y) | ||
| Richard Kayser Parker | Registered representative | Sep 2016 (10y) | ||
| Robbie O'neil Chandler | Registered representative | Sep 2016 (10y) | ||
| Robert Paul Kenney | Registered representative | Sep 2016 (10y) | ||
| Robert Quick | Registered representative | Sep 2016 (10y) | ||
| Rodric Andrew Mackay | Registered representative | Sep 2016 (10y) | ||
| Roger Bruce Syracuse | Registered representative | Sep 2016 (10y) | ||
| Ronald Paul Antipa | Registered representative | Sep 2016 (10y) | ||
| Ryan O'neill | Registered representative | Sep 2016 (10y) | ||
| Rhonda Joy Sihpol | Registered representative | Sep 2016 (10y) | ||
| Samantha Shengman Hsu | Registered representative | Sep 2016 (10y) | ||
| Sarah Heidt Bagnoni | Registered representative | Sep 2016 (10y) | ||
| Scott Alan Ashmore | Registered representative | Sep 2016 (10y) | ||
| Shanker Lal Sadhwani | Registered representative | Sep 2016 (10y) | ||
| Steven M Schneider | Registered representative | Sep 2016 (10y) | ||
| Susan Mary Thornton | Registered representative | Sep 2016 (10y) | ||
| Teresa A Welsh | Registered representative | Sep 2016 (10y) | ||
| Todd Richard Kingsley | Registered representative | Sep 2016 (10y) | ||
| Trevor Blakeslee Colby | Registered representative | Sep 2016 (10y) | ||
| Vanessa Amada Jennings | Registered representative | CFP | Sep 2016 (10y) | |
| Vincent Mallozzi | Registered representative | Sep 2016 (10y) | ||
| Wendy Ferguson | Registered representative | Sep 2016 (10y) | ||
| Wilfredo Willie Figueroa | Registered representative | Sep 2016 (10y) | ||
| William Dennie Spry | Registered representative | Sep 2016 (10y) | ||
| William Edward Ramos | Registered representative | Sep 2016 (10y) | ||
| Winthrop Crapo Harvey | Registered representative | Sep 2016 (10y) | ||
| Zachary L Garber | Registered representative | CFA | Sep 2016 (10y) | |
| Wallace D Williams | Registered representative | Sep 2016 (10y) | ||
| Mark Ian Leyton | Registered representative | Sep 2016 (10y) | ||
| Charles Davis Bourne | Registered representative | Sep 2016 (10y) | ||
| George Preston Elliott | Registered representative | Sep 2016 (10y) | ||
| Mitchell E Eric Lothes | Registered representative | Sep 2016 (10y) | ||
| Brett C Kellam | Registered representative | Sep 2016 (10y) | ||
| Thomas Hugh Mc Laren | Registered representative | Sep 2016 (10y) | ||
| Andrew Rutherford Koch | Registered representative | Sep 2016 (10y) | ||
| Benjamin Edmund Price | Registered representative | Sep 2016 (10y) | ||
| Tadd Duane Hicks | Registered representative | CFP | Sep 2016 (10y) | |
| Hadi Fahimi | Registered representative | Sep 2016 (10y) | ||
| Michael Thomas Bianchini | Registered representative | Sep 2016 (10y) | ||
| Mo Fahimi | Registered representative | Sep 2016 (10y) | ||
| Jeffery Lane Mallula | Registered representative | Sep 2016 (10y) | ||
| Adam James Artiano | Registered representative | Oct 2016 (10y) | ||
| Jo Anne Irace Duffy | Registered representative | Oct 2016 (10y) | ||
| Marcus B Tomaino | Registered representative | CFP | Oct 2016 (10y) | |
| Angela Marie Vitale | Registered representative | Oct 2016 (10y) | ||
| Theresa Ann Dollard | Registered representative | Oct 2016 (10y) | ||
| Robert William Driskell | Registered representative | Oct 2016 (10y) | ||
| William Dean Seugling | Registered representative | Oct 2016 (10y) | ||
| Lindsey Michelle Cook Doss | Registered representative | Oct 2016 (10y) | ||
| Steven David Lesko | Registered representative | Oct 2016 (10y) | ||
| Thomas Wright Rudderow | Registered representative | CFP | Oct 2016 (10y) | |
| Jennifer Denee Scott | Registered representative | Oct 2016 (10y) | ||
| Benjamin Bradley Lifsey | Registered representative | Oct 2016 (10y) | ||
| Joseph Louis Divestea | Registered representative | Oct 2016 (10y) | ||
| Krista Lynne Leonard | Registered representative | Oct 2016 (10y) | ||
| Mark J Mezzone | Registered representative | Oct 2016 (10y) | ||
| William Hyde Cleaver | Registered representative | Oct 2016 (10y) | ||
| Donald William Elster | Registered representative | Oct 2016 (10y) | ||
| Bryan Christopher Epperson | Registered representative | Oct 2016 (10y) | ||
| Katherine Cromwell Fisher Schultz | Registered representative | Oct 2016 (10y) | ||
| James Kenneth Cestone | Registered representative | Nov 2016 (10y) | ||
| Charles Allen Figg | Registered representative | Nov 2016 (10y) | ||
| George Donald Ewins | Registered representative | Nov 2016 (10y) | ||
| Richard Jouret Kowalski | Registered representative | Nov 2016 (10y) | ||
| Jeffrey Ryan Ardantz | Registered representative | Nov 2016 (10y) | ||
| Kristen Mattingly Ellis | Registered representative | Nov 2016 (10y) | ||
| Jeffrey A Painter | Registered representative | CFP | Nov 2016 (10y) | |
| Stephen North Oberlin | Registered representative | Nov 2016 (10y) | ||
| Marjorie Kaye Brown | Registered representative | Nov 2016 (10y) | ||
| Richard John Sane | Registered representative | Nov 2016 (10y) | ||
| Zachary Todd Hersman | Registered representative | Nov 2016 (10y) | ||
| Theresa A Swett | Registered representative | Nov 2016 (10y) | ||
| Lucy Christine Palms | Registered representative | Nov 2016 (10y) | ||
| Craig Hampton Decker | Registered representative | Nov 2016 (10y) | ||
| Matthew S. Loftus | Registered representative | CFP | Nov 2016 (10y) | |
| Michelle Rene Moore | Registered representative | Nov 2016 (10y) | ||
| Hamilton Parrish Neal | Registered representative | Dec 2016 (10y) | ||
| Lesley Holmes | Registered representative | Dec 2016 (10y) | ||
| Philip Milton Greer | Registered representative | Dec 2016 (10y) | ||
| Samantha Anne Mcmillan | Registered representative | Dec 2016 (10y) | ||
| Warren Lovett Edge | Registered representative | Dec 2016 (10y) | ||
| William Harold Dukelow | Registered representative | Dec 2016 (10y) | ||
| Timothy Michael Riley | Registered representative | Dec 2016 (10y) | ||
| Carter Wyatt Mc Crary | Registered representative | CFP | Dec 2016 (10y) | |
| Lydia Virginia Woodruff | Registered representative | Dec 2016 (10y) | ||
| Cherene Lynn Smith | Registered representative | Jan 2017 (10y) | ||
| Michael P Iaquinta | Registered representative | Jan 2017 (10y) | ||
| Stephen Bruce Pryor | Registered representative | Jan 2017 (10y) | ||
| Therese Chi Nguyen Tukalski | Registered representative | Jan 2017 (10y) | ||
| Kathryn Ella Hayden | Registered representative | Jan 2017 (10y) | ||
| Timothy Clayton Volce | Registered representative | Jan 2017 (10y) | ||
| Suzanne Catherine Latour | Registered representative | Jan 2017 (10y) | ||
| Michael John Skrynecki | Registered representative | Jan 2017 (10y) | ||
| James David Perry | Registered representative | Jan 2017 (10y) | ||
| Kevin James Cahill | Registered representative | Jan 2017 (10y) | ||
| Andrew Joseph Schultz | Registered representative | CFP | Jan 2017 (10y) | |
| Matthew Elias West | Registered representative | Jan 2017 (10y) | ||
| Michele Edna Lemire | Registered representative | Jan 2017 (10y) | ||
| Richard Edgar Greenwood | Registered representative | Jan 2017 (10y) | ||
| Freda Blankenship Evans | Registered representative | Jan 2017 (10y) | ||
| Stephen Rolfe Miller | Registered representative | CFP | Jan 2017 (10y) | |
| Brian Patrick Baskin | Registered representative | Feb 2017 (9y) | ||
| Michael J. Francisco | Registered representative | Feb 2017 (9y) | ||
| Todd Leonard Sherman | Registered representative | Feb 2017 (9y) | ||
| Gerald James Mckeon | Registered representative | Feb 2017 (9y) | ||
| Andrew London Ryan | Registered representative | Feb 2017 (9y) | ||
| Jonathan Tanner Mueller | Registered representative | Feb 2017 (9y) | ||
| John David Niswonger | Registered representative | Feb 2017 (9y) | ||
| Blake E Gordon | Registered representative | Feb 2017 (9y) | ||
| Roger James Shawn | Registered representative | CFP | Feb 2017 (9y) | |
| Amanda Simconis Gunn | Registered representative | Feb 2017 (9y) | ||
| William James Forsyth | Registered representative | Feb 2017 (9y) | ||
| Kimberly M. Short | Registered representative | Feb 2017 (9y) | ||
| Bradley Joseph Kaminski | Registered representative | CFP | Feb 2017 (9y) | |
| Brian Keith Linder | Registered representative | CFP | Mar 2017 (9y) | |
| Brian Christopher Pick | Registered representative | Mar 2017 (9y) | ||
| Christine Noelle Engel | Registered representative | Mar 2017 (9y) | ||
| Craig R Fought | Registered representative | Mar 2017 (9y) | ||
| Heather A Poole | Registered representative | Mar 2017 (9y) | ||
| Robert Polan Boiarsky | Registered representative | Mar 2017 (9y) | ||
| Bradford Skidmore Parsons | Registered representative | Mar 2017 (9y) | ||
| Terri Ann Fought | Registered representative | Mar 2017 (9y) | ||
| Jennifer L Malaney | Registered representative | Mar 2017 (9y) | ||
| Joseph Whalen | Registered representative | Mar 2017 (9y) | ||
| Graham Alan Rigby | Registered representative | Mar 2017 (9y) | ||
| Patricia Botticelli Bennett | Registered representative | Mar 2017 (9y) | ||
| Nathan Jon Larson | Registered representative | Mar 2017 (9y) | ||
| Bradford Lawrence Flowers | Registered representative | Mar 2017 (9y) | ||
| Celesta Ann Freeman | Registered representative | Mar 2017 (9y) | ||
| John Preston Watts | Registered representative | Mar 2017 (9y) | ||
| Russell Turner Henshaw | Registered representative | Mar 2017 (9y) | ||
| Steuart Adair Evans | Registered representative | Mar 2017 (9y) | ||
| Dipti Dastidar | Registered representative | Mar 2017 (9y) | ||
| Walter Hunter Stamper | Registered representative | Mar 2017 (9y) | ||
| David John Perez | Registered representative | Mar 2017 (9y) | ||
| Daniel Hugh Ryan | Registered representative | CFP | Apr 2017 (9y) | |
| Jessica Crownover Phifer | Registered representative | Apr 2017 (9y) | ||
| Magda Haydee Salgado | Registered representative | Apr 2017 (9y) | ||
| Zachary Rider | Registered representative | Apr 2017 (9y) | ||
| Danyell Jones Munassi | Registered representative | Apr 2017 (9y) | ||
| Ryan Joseph Tedesco | Registered representative | Apr 2017 (9y) | ||
| Lauren Tara Ahern | Registered representative | Apr 2017 (9y) | ||
| Aaron Michael Galloway | Registered representative | Apr 2017 (9y) | ||
| Elias Tache | Registered representative | Apr 2017 (9y) | ||
| Evan Marnin Olson | Registered representative | Apr 2017 (9y) | ||
| C. Kemper Wharton | Registered representative | CFP | Apr 2017 (9y) | |
| Michael T Oney | Registered representative | Apr 2017 (9y) | ||
| Shannon Marie Butler | Registered representative | Apr 2017 (9y) | ||
| Dawn Michele Deangelo | Registered representative | Apr 2017 (9y) | ||
| Richard Grobman | Registered representative | May 2017 (9y) | ||
| Matthew J Koehling | Registered representative | May 2017 (9y) | ||
| Kathleen J Roshay | Registered representative | May 2017 (9y) | ||
| Kenneth William Robbins | Registered representative | May 2017 (9y) | ||
| Magdalena Maria Lesmana | Registered representative | May 2017 (9y) | ||
| Benjamin Payne Lincoln | Registered representative | May 2017 (9y) | ||
| Vickie Jo Bollinger | Registered representative | May 2017 (9y) | ||
| Rebecca Lee Schneeberger | Registered representative | May 2017 (9y) | ||
| Kirsty M. Leeson Walker | Registered representative | May 2017 (9y) | ||
| Sandra S Martin | Registered representative | CFP | May 2017 (9y) | |
| Charles Lambert White | Registered representative | May 2017 (9y) | ||
| Miussett Salomon | Registered representative | May 2017 (9y) | ||
| Robin Lee Ucci | Registered representative | May 2017 (9y) | ||
| Bryan Matthias Lemke | Registered representative | May 2017 (9y) | ||
| Elam Windom Wright | Registered representative | May 2017 (9y) | ||
| Kevin Michael Dowd | Registered representative | May 2017 (9y) | ||
| Denise Frances Leong Tanaka | Registered representative | May 2017 (9y) | ||
| Hunter Gregory Macwilliams | Registered representative | Jun 2017 (9y) | ||
| Geoffrey Nicholas Carey | Registered representative | Jun 2017 (9y) | ||
| John Frederick Johnson | Registered representative | Jun 2017 (9y) | ||
| Leeann Huggins | Registered representative | CFP | Jun 2017 (9y) | |
| Glen Thomas Milligan | Registered representative | CFP | Jun 2017 (9y) | |
| Bradley John Rumenapp | Registered representative | Jun 2017 (9y) | ||
| Jefferson Tyler Thompson | Registered representative | Jun 2017 (9y) | ||
| Gail Moulson Giclas | Registered representative | Jun 2017 (9y) | ||
| Myra Creasy Pierotti | Registered representative | Jun 2017 (9y) | ||
| Kim Marie Ohler | Registered representative | CFP | Jun 2017 (9y) | |
| Seth Allen Wernick | Registered representative | Jun 2017 (9y) | ||
| Brooke Erin Sanchez | Registered representative | Jun 2017 (9y) | ||
| Christy J Falco | Registered representative | Jun 2017 (9y) | ||
| George Alan Selters | Registered representative | CFP | Jun 2017 (9y) | |
| Gregg Shizuo Matsuura | Registered representative | Jun 2017 (9y) | ||
| Karen Kikue Yoshimura Yasukawa | Registered representative | Jun 2017 (9y) | ||
| Paul Akira Yamashita | Registered representative | Jun 2017 (9y) | ||
| Reid Ken Kobashigawa | Registered representative | Jun 2017 (9y) | ||
| Susanne M Millard | Registered representative | Jun 2017 (9y) | ||
| Wesley Kiyoshi Yamamoto | Registered representative | CFP | Jun 2017 (9y) | |
| Ronald Hisao Kikawa | Registered representative | Jun 2017 (9y) | ||
| David Orne | Registered representative | CFP | Jun 2017 (9y) | |
| Robert Matthew Waters | Registered representative | Jun 2017 (9y) | ||
| Alana P Scott | Registered representative | Jun 2017 (9y) | ||
| James Connett Hartzell | Registered representative | Jun 2017 (9y) | ||
| Jon Ellis Vance | Registered representative | Jun 2017 (9y) | ||
| Matthew Kirkham Lattig | Registered representative | Jun 2017 (9y) | ||
| Michael Wayne Faircloth | Registered representative | Jun 2017 (9y) | ||
| Ross Stuart Eng | Registered representative | Jul 2017 (9y) | ||
| Maria Eugenia Forero | Registered representative | Jul 2017 (9y) | ||
| Megan Ann Miller | Registered representative | Jul 2017 (9y) | ||
| Stephen Charles Neff | Registered representative | Jul 2017 (9y) | ||
| Mark Oconnell Downey | Registered representative | Jul 2017 (9y) | ||
| Caroline Milena Pherson | Registered representative | Jul 2017 (9y) | ||
| Lena Marie Trotter Beasley | Registered representative | Jul 2017 (9y) | ||
| Kyle William Hawthorne | Registered representative | Jul 2017 (9y) | ||
| Margaret K Martinez | Registered representative | Jul 2017 (9y) | ||
| Roger William Sullivan | Registered representative | Jul 2017 (9y) | ||
| William Bowen Mcrae | Registered representative | Jul 2017 (9y) | ||
| Keith Charles Bock | Registered representative | CFP | Jul 2017 (9y) | |
| Patricia Colleen Wilson | Registered representative | Jul 2017 (9y) | ||
| Todd Lowell Kissel | Registered representative | Jul 2017 (9y) | ||
| Cory Lavergne | Registered representative | Jul 2017 (9y) | ||
| Tanya Celeste Wandoff | Registered representative | Jul 2017 (9y) | ||
| Rebecca Laiche | Registered representative | Jul 2017 (9y) | ||
| Rosa Maria Ebling | Registered representative | Jul 2017 (9y) | ||
| Vincent Lopes | Registered representative | CFP | Jul 2017 (9y) | |
| Jack T Bayer | Registered representative | Jul 2017 (9y) | ||
| Joshua Pasahow | Registered representative | CFP | Jul 2017 (9y) | |
| Reed Murray | Registered representative | Aug 2017 (9y) | ||
| Christopher Shannon Montgomery | Registered representative | Aug 2017 (9y) | ||
| Kelly K Crockett | Registered representative | Aug 2017 (9y) | ||
| Cory Foster Kleinman | Registered representative | Aug 2017 (9y) | ||
| Jennifer Tyler Carroll | Registered representative | Aug 2017 (9y) | ||
| Martin Joseph Carroll | Registered representative | CFP | Aug 2017 (9y) | |
| Christopher Michael Mclaughlin | Registered representative | Aug 2017 (9y) | ||
| Daniel Arnaud Roland | Registered representative | Aug 2017 (9y) | ||
| Jason Bradley Miyashita | Registered representative | Aug 2017 (9y) | ||
| Leonardo Ferreira De Barros | Registered representative | CFP | Aug 2017 (9y) | |
| Maria Jesus Fraile Alonso | Registered representative | Aug 2017 (9y) | ||
| Stuart Yates Johnson | Registered representative | Aug 2017 (9y) | ||
| Brendan Patrick Hurley | Registered representative | Aug 2017 (9y) | ||
| Gary Peter Cohen | Registered representative | Aug 2017 (9y) | ||
| Douglas Clark Brigman | Registered representative | CFP | Aug 2017 (9y) | |
| Elizabeth V Smith | Registered representative | Aug 2017 (9y) | ||
| Leonard Nelson Alsfeld | Registered representative | Aug 2017 (9y) | ||
| Pamela Moore | Registered representative | Aug 2017 (9y) | ||
| Naomi Faye Abrams | Registered representative | Aug 2017 (9y) | ||
| Martin Erwin Bry | Registered representative | Aug 2017 (9y) | ||
| Michael John Martin | Registered representative | Aug 2017 (9y) | ||
| Vincent Daniel Grucza | Registered representative | CFP | Aug 2017 (9y) | |
| Amanda Louise Penitz | Registered representative | Aug 2017 (9y) | ||
| Frank Dilalla | Registered representative | Aug 2017 (9y) | ||
| Anthony David Allen | Registered representative | Sep 2017 (9y) | ||
| Brent Michael Suchy | Registered representative | Sep 2017 (9y) | ||
| Glenda Rae Suchy | Registered representative | CFP | Sep 2017 (9y) | |
| John Keld Madsen | Registered representative | Sep 2017 (9y) | ||
| Nancy Georgi Free | Registered representative | CFP | Sep 2017 (9y) | |
| Eric J Emelander | Registered representative | Sep 2017 (9y) | ||
| Paul Charles Buckles | Registered representative | Sep 2017 (9y) | ||
| Gerald Francis Boesen | Registered representative | CFP | Sep 2017 (9y) | |
| Alexander Udwari | Registered representative | Sep 2017 (9y) | ||
| Michael Partridge | Registered representative | Sep 2017 (9y) | ||
| Charles Michael Gocken | Registered representative | Sep 2017 (9y) | ||
| Daniel Thomas Regner | Registered representative | Sep 2017 (9y) | ||
| Joselyn Estefany Nordstrom | Registered representative | Sep 2017 (9y) | ||
| Kenneth M Offenberg | Registered representative | Sep 2017 (9y) | ||
| Patrick Richard O'donovan | Registered representative | Sep 2017 (9y) | ||
| Tracey Jean Clark | Registered representative | CFP | Sep 2017 (9y) | |
| James Alexander Baber | Registered representative | Sep 2017 (9y) | ||
| Angela Marie Bourgeois | Registered representative | Oct 2017 (9y) | ||
| Joshua Paul Aylesworth | Registered representative | CFP | Oct 2017 (9y) | |
| Mark Krauss | Registered representative | Oct 2017 (9y) | ||
| Shannon Elizabeth Rouzier | Registered representative | Oct 2017 (9y) | ||
| David Irwin Katz | Registered representative | Oct 2017 (9y) | ||
| My V. Edmonds | Registered representative | CFP | Oct 2017 (9y) | |
| Peter Masouras John Masouras | Registered representative | Oct 2017 (9y) | ||
| David Alan Rice | Registered representative | CFP | Oct 2017 (9y) | |
| John P. Bergerson | Registered representative | CFA | Oct 2017 (9y) | |
| John Alen Derosa | Registered representative | Oct 2017 (9y) | ||
| Seth Adam Hoffman | Registered representative | Oct 2017 (9y) | ||
| Colin John Leavey | Registered representative | Oct 2017 (9y) | ||
| Deanna V. Derosa | Registered representative | Oct 2017 (9y) | ||
| Francisco Jose Rodriguez Ramirez | Registered representative | Oct 2017 (9y) | ||
| William Wilson Best | Registered representative | Oct 2017 (9y) | ||
| Nicole Clara Wilson | Registered representative | Oct 2017 (9y) | ||
| Caleb Walker Cronic | Registered representative | Oct 2017 (9y) | ||
| Wendy S Ashford | Registered representative | Oct 2017 (9y) | ||
| Nicholas Marvin Bageris | Registered representative | Oct 2017 (9y) | ||
| Rebecca Ann Gucwa | Registered representative | Oct 2017 (9y) | ||
| Edward William Galvin | Registered representative | Nov 2017 (9y) | ||
| Iliana Cantu | Registered representative | Nov 2017 (9y) | ||
| Graham Francis Goodwin | Registered representative | Nov 2017 (9y) | ||
| Arthur J Springer | Registered representative | Nov 2017 (9y) | ||
| Bradly James Sunanday | Registered representative | Nov 2017 (9y) | ||
| Jose R Velez | Registered representative | Nov 2017 (9y) | ||
| Seth Adam Bolno | Registered representative | Nov 2017 (9y) | ||
| Matthew Robert Lascari | Registered representative | Nov 2017 (9y) | ||
| Bradley Gilbert Gray | Registered representative | Nov 2017 (9y) | ||
| Scott Allen Hunter | Registered representative | Nov 2017 (9y) | ||
| Santuzza L Timiraos | Registered representative | Nov 2017 (9y) | ||
| David Jeffrey Howard | Registered representative | Nov 2017 (9y) | ||
| Bob Dale Cackley | Registered representative | Nov 2017 (9y) | ||
| Brian David Cassin | Registered representative | CFP | Nov 2017 (9y) | |
| Miguel Angel Quinones | Registered representative | Nov 2017 (9y) | ||
| Robert Andrew Cackley | Registered representative | Nov 2017 (9y) | ||
| Linda Joan Fulgenzi | Registered representative | Nov 2017 (9y) | ||
| Deonna Stargel Colvin | Registered representative | Dec 2017 (9y) | ||
| Margaret Alsfeld Kaul | Registered representative | Dec 2017 (9y) | ||
| Alyse Daphne Chatelain | Registered representative | Dec 2017 (9y) | ||
| Tyler Thomas Staples | Registered representative | CFP | Dec 2017 (9y) | |
| John Anthony Carelli | Registered representative | Dec 2017 (9y) | ||
| Michael Brendan Feeley | Registered representative | Dec 2017 (9y) | ||
| Deborah Lynn Haines | Registered representative | Dec 2017 (9y) | ||
| Adrian Robert Tinoco | Registered representative | Dec 2017 (9y) | ||
| John J Hoffman | Registered representative | Dec 2017 (9y) | ||
| Amanda Brannon Overby | Registered representative | CFP | Jan 2018 (9y) | |
| Michael William Townsend | Registered representative | CFP | Jan 2018 (9y) | |
| Eric Patrick Geedey | Registered representative | Jan 2018 (9y) | ||
| Lori Ann Rupe | Registered representative | Jan 2018 (9y) | ||
| Richard Conrad Spangler | Registered representative | Jan 2018 (9y) | ||
| Elizabeth Anne Bates | Registered representative | Jan 2018 (9y) | ||
| Mark Antony Greer | Registered representative | Jan 2018 (9y) | ||
| Mark William Leonhard | Registered representative | CFP | Jan 2018 (9y) | |
| Ryan Michael Hickey | Registered representative | Jan 2018 (9y) | ||
| Sherida Lynn Ferguson | Registered representative | CFP | Jan 2018 (9y) | |
| Cody Martin Maciejewski | Registered representative | Jan 2018 (9y) | ||
| Cheryl L Myler | Registered representative | Jan 2018 (9y) | ||
| Aaron Joseph Cavazos | Registered representative | Jan 2018 (9y) | ||
| David P Dillon | Registered representative | CFP | Jan 2018 (9y) | |
| Honor B Rodgers | Registered representative | Jan 2018 (9y) | ||
| Kashif Amir Khan | Registered representative | Jan 2018 (9y) | ||
| Robert Charles Daum | Registered representative | Jan 2018 (9y) | ||
| Julie Robertson Stonebarger | Registered representative | Jan 2018 (9y) | ||
| Christopher Michael Lussier | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Bruce R Dunham | Registered representative | Jan 2018 (9y) | ||
| Wendy Lynn Sachs | Registered representative | Jan 2018 (9y) | ||
| Karl Douglas Rohrbaugh | Registered representative | Feb 2018 (8y) | ||
| Phillip Pierre Closuit | Registered representative | Feb 2018 (8y) | ||
| Jane Fitzwilliam | Registered representative | Feb 2018 (8y) | ||
| Matthew Harrison Allen | Registered representative | Feb 2018 (8y) | ||
| Gregory Steven Sieber | Registered representative | Feb 2018 (8y) | ||
| Kenneth E Hicks | Registered representative | CFP | Feb 2018 (8y) | |
| Nicholas Turner Philippi | Registered representative | CFP | Feb 2018 (8y) | |
| Lauren Ann Gotay | Registered representative | Feb 2018 (8y) | ||
| Lynn Zanconato Evans | Registered representative | Feb 2018 (8y) | ||
| Matthew T Lefebvre | Registered representative | Feb 2018 (8y) | ||
| Joshua Edward Dunn | Registered representative | Feb 2018 (8y) | ||
| Lyle Joseph Floyd | Registered representative | Feb 2018 (8y) | ||
| Christopher F Halotek | Registered representative | Feb 2018 (8y) | ||
| John L Donovan | Registered representative | Feb 2018 (8y) | ||
| Steven Hartman | Registered representative | Feb 2018 (8y) | ||
| Jennifer Bruzas | Registered representative | Mar 2018 (8y) | ||
| Joshua Peter Cerezo | Registered representative | Mar 2018 (8y) | ||
| Mark Lee Liley | Registered representative | Mar 2018 (8y) | ||
| Mark Lloyd Griffin | Registered representative | Mar 2018 (8y) | ||
| Andrew David Hobbs | Registered representative | CFP | Mar 2018 (8y) | |
| Shelley Ann Stefanits | Registered representative | Mar 2018 (8y) | ||
| Marjan Kamyar | Registered representative | Mar 2018 (8y) | ||
| Gary John Coughlin | Registered representative | Mar 2018 (8y) | ||
| Nancy Teresa Knapp | Registered representative | Mar 2018 (8y) | ||
| Christopher Ross Palermo | Registered representative | Mar 2018 (8y) | ||
| John Jason Flaherty | Registered representative | Mar 2018 (8y) | ||
| Kapil Bhatia | Registered representative | Mar 2018 (8y) | ||
| Casey Nicole Fiora | Registered representative | Mar 2018 (8y) | ||
| Matthew John Sanchez | Registered representative | Mar 2018 (8y) | ||
| Ellen Ann Paschal | Registered representative | Mar 2018 (8y) | ||
| Nicholas James Sarto | Registered representative | Mar 2018 (8y) | ||
| Geoffrey Case Gatlin | Registered representative | Mar 2018 (8y) | ||
| John Mitchell Nebens | Registered representative | Mar 2018 (8y) | ||
| Phillip Roland Valadez | Registered representative | Mar 2018 (8y) | ||
| Kathleen Ortiz | Registered representative | Mar 2018 (8y) | ||
| Sheila Lee Gabel | Registered representative | Mar 2018 (8y) | ||
| Leslie R Schilp | Registered representative | Mar 2018 (8y) | ||
| Michael Clifford Colby | Registered representative | Apr 2018 (8y) | ||
| Reid White Palmer | Registered representative | Apr 2018 (8y) | ||
| Charles David Sherman | Registered representative | Apr 2018 (8y) | ||
| David Lindsay Reid | Registered representative | Apr 2018 (8y) | ||
| Christina Marie Abbey | Registered representative | Apr 2018 (8y) | ||
| Daniel Louis Kramer | Registered representative | Apr 2018 (8y) | ||
| Diana R Sodano | Registered representative | Apr 2018 (8y) | ||
| Gary Ronald Rosen | Registered representative | Apr 2018 (8y) | ||
| Grigori Lvov | Registered representative | Apr 2018 (8y) | ||
| Janet M Ertl | Registered representative | Apr 2018 (8y) | ||
| Jeffrey Michael Porasik | Registered representative | Apr 2018 (8y) | ||
| Paul Steven Cohen | Registered representative | Apr 2018 (8y) | ||
| Suzanne Catherine Yde | Registered representative | Apr 2018 (8y) | ||
| Nicholas Alan Slater | Registered representative | Apr 2018 (8y) | ||
| Scott David Sullivan | Registered representative | Apr 2018 (8y) | ||
| Manuela Bogarin Teixeira | Registered representative | Apr 2018 (8y) | ||
| Jennifer Lynne Thompson | Registered representative | Apr 2018 (8y) | ||
| Mark Daniel Heeney | Registered representative | Chartered Financial Consultant | Apr 2018 (8y) | |
| Benjamin Daniel Davis | Registered representative | Apr 2018 (8y) | ||
| Donald James Simpson | Registered representative | Apr 2018 (8y) | ||
| Jason Graves | Registered representative | Apr 2018 (8y) | ||
| Christopher Joseph Ruifrok | Registered representative | Apr 2018 (8y) | ||
| Terry Ann Roth | Registered representative | Apr 2018 (8y) | ||
| Octave Joseph Francis | Registered representative | Apr 2018 (8y) | ||
| David Michael Brendza | Registered representative | Apr 2018 (8y) | ||
| John Joseph Mcdermott | Registered representative | Apr 2018 (8y) | ||
| Richard Matthew Brendza | Registered representative | Apr 2018 (8y) | ||
| Robert Philip Regent | Registered representative | Apr 2018 (8y) | ||
| Braden West Schmitt | Registered representative | Apr 2018 (8y) | ||
| Christopher S Fils | Registered representative | Apr 2018 (8y) | ||
| John Spencer Banks | Registered representative | Apr 2018 (8y) | ||
| Julie Lynn Kramer | Registered representative | CFP | Apr 2018 (8y) | |
| Teresa Newton Combs | Registered representative | Apr 2018 (8y) | ||
| Tricia A. Zanon | Registered representative | Apr 2018 (8y) | ||
| Alvin Sobhi Semma | Registered representative | Apr 2018 (8y) | ||
| John Edward Martin | Registered representative | Apr 2018 (8y) | ||
| Joshua Daniel Zeller | Registered representative | CFP | Apr 2018 (8y) | |
| Ross Elliot Dowling | Registered representative | Apr 2018 (8y) | ||
| Thomas Richard Sonnentag | Registered representative | Apr 2018 (8y) | ||
| Chase Allen Schaefer | Registered representative | Apr 2018 (8y) | ||
| Brittany A Mallo | Registered representative | Apr 2018 (8y) | ||
| Corey Atterbury Steadman | Registered representative | Apr 2018 (8y) | ||
| Jeffrey Philip Zurek | Registered representative | Apr 2018 (8y) | ||
| Katherine Mary Clarke | Registered representative | May 2018 (8y) | ||
| Laura Dollar Schulman | Registered representative | CFP | May 2018 (8y) | |
| Raquel R Kusy | Registered representative | May 2018 (8y) | ||
| Blane Anthony Wright | Registered representative | May 2018 (8y) | ||
| John Paul Clifford | Registered representative | May 2018 (8y) | ||
| Julie Marie Evans | Registered representative | May 2018 (8y) | ||
| Timothy Alan Godin | Registered representative | May 2018 (8y) | ||
| Blake Michael Caldwell | Registered representative | May 2018 (8y) | ||
| Dean Douglas Dancer | Registered representative | May 2018 (8y) | ||
| Geoffrey William Moore | Registered representative | May 2018 (8y) | ||
| Joe Malave | Registered representative | May 2018 (8y) | ||
| Michael Alan Gertsch | Registered representative | May 2018 (8y) | ||
| Thomas Joseph Goelz | Registered representative | May 2018 (8y) | ||
| Amy Christine Pryor Horak | Registered representative | May 2018 (8y) | ||
| Anders Christopher Bergmann | Registered representative | May 2018 (8y) | ||
| Brian Thomas Abraham | Registered representative | May 2018 (8y) | ||
| Lynn Marie Gehoski | Registered representative | May 2018 (8y) | ||
| Michael Eric Wegener | Registered representative | Personal Financial Specialist | May 2018 (8y) | |
| Roger C Cooley | Registered representative | May 2018 (8y) | ||
| Katharine Colbert Mac Donald | Registered representative | May 2018 (8y) | ||
| Bobby Lee O'brian | Registered representative | May 2018 (8y) | ||
| Joseph Andrew Scotto | Registered representative | May 2018 (8y) | ||
| Lee Walter Miller | Registered representative | CFP | May 2018 (8y) | |
| Marla Triester Hinman | Registered representative | May 2018 (8y) | ||
| Pamela Ruth Miller | Registered representative | May 2018 (8y) | ||
| Steven Lee Grossman | Registered representative | May 2018 (8y) | ||
| Andrew Spears | Registered representative | May 2018 (8y) | ||
| Clark Edward Morrison | Registered representative | CFP | May 2018 (8y) | |
| Lori Ellen Whiteman | Registered representative | May 2018 (8y) | ||
| Charles Calvin Curtis | Registered representative | May 2018 (8y) | ||
| Blaire Mc Carthy Hilt | Registered representative | May 2018 (8y) | ||
| Christopher Stephen Gallo | Registered representative | May 2018 (8y) | ||
| Dylan Thomas Mc Evilly | Registered representative | May 2018 (8y) | ||
| Jacqueline Roxanne Postell | Registered representative | May 2018 (8y) | ||
| Leland Werner | Registered representative | May 2018 (8y) | ||
| Jerrod Timms Brown | Registered representative | May 2018 (8y) | ||
| Erin Louise Eckhouse | Registered representative | May 2018 (8y) | ||
| Clay William Brandt | Registered representative | CFP | May 2018 (8y) | |
| Nathaniel William Brandt | Registered representative | May 2018 (8y) | ||
| Lauren Edwards Liles | Registered representative | CFP | May 2018 (8y) | |
| John Edward Pascarella | Registered representative | May 2018 (8y) | ||
| Donna Munchheimer Faircloth | Registered representative | May 2018 (8y) | ||
| Douglas John Wulbrecht | Registered representative | Jun 2018 (8y) | ||
| James Walker Melstrom | Registered representative | Jun 2018 (8y) | ||
| John T. Cavender | Registered representative | Jun 2018 (8y) | ||
| Linda Jean Pardini | Registered representative | Jun 2018 (8y) | ||
| Preston Joseph Perez | Registered representative | Jun 2018 (8y) | ||
| Stephen J Green | Registered representative | Jun 2018 (8y) | ||
| David John Blake | Registered representative | Jun 2018 (8y) | ||
| Frank Reid Shipley | Registered representative | Jun 2018 (8y) | ||
| Bahi Boshra Reyad Beshara | Registered representative | Jun 2018 (8y) | ||
| Camille Diona York Adrien | Registered representative | Jun 2018 (8y) | ||
| Robert Dale Dukate | Registered representative | Jun 2018 (8y) | ||
| Henry R Grinberg | Registered representative | Jun 2018 (8y) | ||
| Jon Paul H Witkop | Registered representative | Jun 2018 (8y) | ||
| Forrest Stephen Duncan | Registered representative | Jun 2018 (8y) | ||
| James Robert Wildman | Registered representative | Jun 2018 (8y) | ||
| Alec Hagen | Registered representative | Jun 2018 (8y) | ||
| Lance Allen Lyday | Registered representative | CFP | Jun 2018 (8y) | |
| Alan Scott Moore | Registered representative | Jun 2018 (8y) | ||
| Louis Gregory Frascogna | Registered representative | Jun 2018 (8y) | ||
| Matthew Agricola Grieb | Registered representative | CFP | Jun 2018 (8y) | |
| Bradley W Sussman | Registered representative | CFA | Jun 2018 (8y) | |
| Julia Theresa Cosse | Registered representative | Jun 2018 (8y) | ||
| William Hosea Shepard | Registered representative | Jun 2018 (8y) | ||
| Alyssa Marie Tropea | Registered representative | Jun 2018 (8y) | ||
| Allison Guzman | Registered representative | Jun 2018 (8y) | ||
| Roger Arkming Jee | Registered representative | Jun 2018 (8y) | ||
| Stephen Michael Orzo | Registered representative | CFP | Jun 2018 (8y) | |
| Susan Marie Kuczynski | Registered representative | Jul 2018 (8y) | ||
| Mark Lewis Levy | Registered representative | Jul 2018 (8y) | ||
| Douglas Simon | Registered representative | Jul 2018 (8y) | ||
| Jennifer Tuyen Ha | Registered representative | Jul 2018 (8y) | ||
| Pamela J Hinchy | Registered representative | Jul 2018 (8y) | ||
| Paul Michael Dorsey | Registered representative | CFP Chartered Financial Consultant | Jul 2018 (8y) | |
| Christian Paul De Sario | Registered representative | Jul 2018 (8y) | ||
| Eric Kendall Busko | Registered representative | Jul 2018 (8y) | ||
| Jared O Neal | Registered representative | Jul 2018 (8y) | ||
| Adam Obluck | Registered representative | Jul 2018 (8y) | ||
| Michael Stuart Lubin | Registered representative | CFP | Jul 2018 (8y) | |
| William Joseph Genthert | Registered representative | Jul 2018 (8y) | ||
| Anne Margaret Gotingco | Registered representative | Jul 2018 (8y) | ||
| Ashli Tyler Bowen | Registered representative | Jul 2018 (8y) | ||
| Raymond Charles Pratt | Registered representative | Jul 2018 (8y) | ||
| Timothy William Gibson | Registered representative | Jul 2018 (8y) | ||
| William A Sarmiento | Registered representative | Jul 2018 (8y) | ||
| David John Long | Registered representative | Jul 2018 (8y) | ||
| Ilya Yeverovich | Registered representative | Jul 2018 (8y) | ||
| Patricia Balezentis | Registered representative | Jul 2018 (8y) | ||
| Kenneth W Judd | Registered representative | CFP | Aug 2018 (8y) | |
| Jared Edward Sanders | Registered representative | CFP | Aug 2018 (8y) | |
| Nathan D. Shields | Registered representative | CFP | Aug 2018 (8y) | |
| Christopher James Peszek | Registered representative | Aug 2018 (8y) | ||
| Paul Elbert Lentini | Registered representative | CFP Chartered Financial Consultant | Aug 2018 (8y) | |
| Michael Dean Dancer | Registered representative | Aug 2018 (8y) | ||
| Mark Vincent Obrzut | Registered representative | Aug 2018 (8y) | ||
| Edward Lowell Plotkin | Registered representative | Aug 2018 (8y) | ||
| Jennifer Allison King | Registered representative | Aug 2018 (8y) | ||
| Jessica C De Luca | Registered representative | Aug 2018 (8y) | ||
| Thomas C O'neill | Registered representative | Aug 2018 (8y) | ||
| Joshua Sunanday | Registered representative | Aug 2018 (8y) | ||
| Evan S Brooks | Registered representative | Aug 2018 (8y) | ||
| Patricia Lois Zito | Registered representative | Aug 2018 (8y) | ||
| Thomas Carl O'neill | Registered representative | Aug 2018 (8y) | ||
| Edmond Harold Wilson | Registered representative | Aug 2018 (8y) | ||
| David Warren Mesker | Registered representative | Aug 2018 (8y) | ||
| Jonathan Morse Heitner | Registered representative | Aug 2018 (8y) | ||
| Megan Kristine Davis | Registered representative | Aug 2018 (8y) | ||
| Sara Elizabeth Bravo | Registered representative | Aug 2018 (8y) | ||
| Brian Eamon Kelley | Registered representative | Aug 2018 (8y) | ||
| Tracey Ann Czopek | Registered representative | Aug 2018 (8y) | ||
| Christopher Joseph Fluehr | Registered representative | Aug 2018 (8y) | ||
| David Barry Deans | Registered representative | Aug 2018 (8y) | ||
| Harvey Phillip Cook | Registered representative | Aug 2018 (8y) | ||
| Joshua Allen Geary | Registered representative | Aug 2018 (8y) | ||
| Mary Elizabeth Hillery Hargrove | Registered representative | Aug 2018 (8y) | ||
| Phillip Merrill Cook | Registered representative | Aug 2018 (8y) | ||
| Stephen Michael Colligan | Registered representative | CFP | Aug 2018 (8y) | |
| Brennan Charles Thompson | Registered representative | CFP | Aug 2018 (8y) | |
| Benjamin Whittaker Runnells | Registered representative | Aug 2018 (8y) | ||
| Bernard Joseph Haselhorst | Registered representative | Aug 2018 (8y) | ||
| Jeffrey Joseph Winkler | Registered representative | Aug 2018 (8y) | ||
| Joseph Andrew Danley | Registered representative | Aug 2018 (8y) | ||
| Mark Mccoy Barber | Registered representative | Aug 2018 (8y) | ||
| Vicky Lynn Langenhorst | Registered representative | Aug 2018 (8y) | ||
| Edward Gerard Henrichs | Registered representative | Sep 2018 (8y) | ||
| Ryan David Radyko | Registered representative | Sep 2018 (8y) | ||
| Cole Mc Cardel | Registered representative | CFP | Sep 2018 (8y) | |
| David Wade Tomberlin | Registered representative | Sep 2018 (8y) | ||
| Scott David Csaky | Registered representative | Sep 2018 (8y) | ||
| Timothy Edward Kowalski | Registered representative | Sep 2018 (8y) | ||
| Matthew Timothy Shafer | Registered representative | Sep 2018 (8y) | ||
| Christopher James Nolan | Registered representative | Sep 2018 (8y) | ||
| Daniel Scott Bare | Registered representative | Sep 2018 (8y) | ||
| Elizabeth Mc Lean Herbst | Registered representative | Sep 2018 (8y) | ||
| Timothy Martin Holcombe | Registered representative | Sep 2018 (8y) | ||
| Gary Anthony Waldron | Registered representative | Sep 2018 (8y) | ||
| Seraphim M Rine | Registered representative | Sep 2018 (8y) | ||
| Edward Kleinman | Registered representative | Sep 2018 (8y) | ||
| Leia Elizabeth Farmer | Registered representative | Sep 2018 (8y) | ||
| Perry Martin Holcombe | Registered representative | Sep 2018 (8y) | ||
| Patricia Lynn Sans | Registered representative | Sep 2018 (8y) | ||
| Martin Peter Mitela | Registered representative | CFA | Sep 2018 (8y) | |
| Kyle Patrick Dunham | Registered representative | CFP | Sep 2018 (8y) | |
| Ryan Joseph Hendricks | Registered representative | Sep 2018 (8y) | ||
| John Andrews | Registered representative | Sep 2018 (8y) | ||
| Adam Zachary Hand | Registered representative | Sep 2018 (8y) | ||
| Joseph Anthony Peterson | Registered representative | Sep 2018 (8y) | ||
| Andrea Corella Saint Pere | Registered representative | Sep 2018 (8y) | ||
| Joseph James Klauzar | Registered representative | Sep 2018 (8y) | ||
| Megan Michelle Ringwelski | Registered representative | Sep 2018 (8y) | ||
| Stephen Maynard Martin | Registered representative | Sep 2018 (8y) | ||
| Charles John Lindholm | Registered representative | Oct 2018 (8y) | ||
| Krystine Isbelle Pereda | Registered representative | CFP | Oct 2018 (8y) | |
| William Benjamin Weber | Registered representative | Oct 2018 (8y) | ||
| Becky L Pemerton | Registered representative | Oct 2018 (8y) | ||
| Bradford Brindley Lott | Registered representative | CFP | Oct 2018 (8y) | |
| John Henry Terrell | Registered representative | Oct 2018 (8y) | ||
| Emily Boster | Registered representative | Oct 2018 (8y) | ||
| Anna Marie Buckhalter | Registered representative | Oct 2018 (8y) | ||
| Benjamin John Nicholson | Registered representative | Oct 2018 (8y) | ||
| Betty Barker Schutte Box | Registered representative | CFP | Oct 2018 (8y) | |
| Sabrina Evelyn Fox | Registered representative | Oct 2018 (8y) | ||
| Sean F Reynolds | Registered representative | Oct 2018 (8y) | ||
| Troy Raymond Yenser | Registered representative | CFP | Oct 2018 (8y) | |
| Cecelia Hardwick Perez | Registered representative | Oct 2018 (8y) | ||
| Michael Dennis Huston | Registered representative | Oct 2018 (8y) | ||
| Cynthia Gail Drewry | Registered representative | Oct 2018 (8y) | ||
| Shellane Marie Howard | Registered representative | Oct 2018 (8y) | ||
| Alexander Jackson Moore | Registered representative | Oct 2018 (8y) | ||
| Jonathan Jordan Palmer | Registered representative | Oct 2018 (8y) | ||
| Janet Lee | Registered representative | Oct 2018 (8y) | ||
| Jessica Vanessa Valera | Registered representative | Oct 2018 (8y) | ||
| Kara M Thorn | Registered representative | CFP | Oct 2018 (8y) | |
| Craig Patrick Hochman | Registered representative | Oct 2018 (8y) | ||
| Wendy Jayne Myers | Registered representative | Oct 2018 (8y) | ||
| Patrick Peter Demers | Registered representative | Oct 2018 (8y) | ||
| William R Hornung | Registered representative | CFP | Oct 2018 (8y) | |
| Amanda Gima | Registered representative | Oct 2018 (8y) | ||
| Marissa Anne Day | Registered representative | Oct 2018 (8y) | ||
| Jill Laverne Wilson | Registered representative | Oct 2018 (8y) | ||
| Kara Marie Hill Kuehner | Registered representative | Oct 2018 (8y) | ||
| Richard Allan Walsh | Registered representative | Oct 2018 (8y) | ||
| Rhonda Lynn Morcillo | Registered representative | Oct 2018 (8y) | ||
| Andrew Paul Madlinger | Registered representative | CFP | Nov 2018 (8y) | |
| Joel Andrew Estes | Registered representative | Nov 2018 (8y) | ||
| Michael Paul Antoni | Registered representative | Nov 2018 (8y) | ||
| Peter Barry | Registered representative | Nov 2018 (8y) | ||
| Chad Jeremy Danforth | Registered representative | Nov 2018 (8y) | ||
| Kortney Ann Jolley | Registered representative | Nov 2018 (8y) | ||
| Louis Michael Gasbarra | Registered representative | Nov 2018 (8y) | ||
| Martha Mary Caldwell | Registered representative | Nov 2018 (8y) | ||
| Minka Lynn Latta | Registered representative | Nov 2018 (8y) | ||
| Jennifer Ines Napper | Registered representative | CFP | Nov 2018 (8y) | |
| Tucker Alexander Fox | Registered representative | Nov 2018 (8y) | ||
| James William Dailey | Registered representative | Nov 2018 (8y) | ||
| Douglas G Anderson | Registered representative | Nov 2018 (8y) | ||
| Samuel Dewhirst Courtney | Registered representative | Nov 2018 (8y) | ||
| Ryan William Gerdts | Registered representative | Nov 2018 (8y) | ||
| William Bernard Gerdts | Registered representative | Nov 2018 (8y) | ||
| Jenny Gyurova Hite | Registered representative | CFP | Nov 2018 (8y) | |
| Lawrence Vincent Adam | Registered representative | Nov 2018 (8y) | ||
| Thomas Frederick Graf | Registered representative | CFP | Nov 2018 (8y) | |
| Bryan David Casebere | Registered representative | Nov 2018 (8y) | ||
| Kyle Anthony Richardson | Registered representative | Nov 2018 (8y) | ||
| Chelsy Pellegrin | Registered representative | Nov 2018 (8y) | ||
| Matthew Dennis Oliver | Registered representative | Nov 2018 (8y) | ||
| Patrick Joseph Scanlan | Registered representative | Nov 2018 (8y) | ||
| Christina Marie Ward | Registered representative | Nov 2018 (8y) | ||
| Deborah Anne Cicatelli | Registered representative | Dec 2018 (8y) | ||
| Gerald M Hamm | Registered representative | Dec 2018 (8y) | ||
| Lisa Jane Walsh | Registered representative | Dec 2018 (8y) | ||
| Peter Joseph Walsh | Registered representative | Dec 2018 (8y) | ||
| Theodore Ronald Meihofer | Registered representative | Dec 2018 (8y) | ||
| Christopher Daniel Wiegand | Registered representative | Dec 2018 (8y) | ||
| Lee Roger Cook | Registered representative | Dec 2018 (8y) | ||
| Barry Paul Sarin | Registered representative | Dec 2018 (8y) | ||
| Beth Ann Doyle | Registered representative | Dec 2018 (8y) | ||
| Courtney Wallen | Registered representative | Dec 2018 (8y) | ||
| Claude Michael Parrott | Registered representative | Dec 2018 (8y) | ||
| Jackson Robert Dille | Registered representative | Dec 2018 (8y) | ||
| John Patrick Campbell | Registered representative | Dec 2018 (8y) | ||
| William Claude Parrott | Registered representative | Dec 2018 (8y) | ||
| Colleen Marie O'brien | Registered representative | Dec 2018 (8y) | ||
| Donna Blackwell Rich | Registered representative | Dec 2018 (8y) | ||
| Jill Mcaleese Rowe | Registered representative | Dec 2018 (8y) | ||
| Orville Frank Mohler | Registered representative | Dec 2018 (8y) | ||
| Jake William Spaccarotelli | Registered representative | Dec 2018 (8y) | ||
| Alec Lee Tropea | Registered representative | Jan 2019 (8y) | ||
| Lawson Hugh Ballard | Registered representative | Jan 2019 (8y) | ||
| Daniel Patrick Pan | Registered representative | Jan 2019 (8y) | ||
| Mark William Teed | Registered representative | Jan 2019 (8y) | ||
| Susan Margaret Mckenna | Registered representative | Jan 2019 (8y) | ||
| Zachary Cole Hamm | Registered representative | Jan 2019 (8y) | ||
| Kristine Elizabeth Reed | Registered representative | Jan 2019 (8y) | ||
| Bryan George Bertucci | Registered representative | Jan 2019 (8y) | ||
| Jordan Andrew Dickson | Registered representative | Jan 2019 (8y) | ||
| Rhonda B Edwards | Registered representative | Jan 2019 (8y) | ||
| Thomas Anthony Fragale | Registered representative | Jan 2019 (8y) | ||
| Timothy Shaler Smith | Registered representative | Jan 2019 (8y) | ||
| Jamie Rene Hogan | Registered representative | Jan 2019 (8y) | ||
| Krista Tracy Kenney | Registered representative | Jan 2019 (8y) | ||
| Charles Dale Watson | Registered representative | Jan 2019 (8y) | ||
| Timothy S Brady | Registered representative | Jan 2019 (8y) | ||
| Robert Brian Reece | Registered representative | Jan 2019 (8y) | ||
| W Michael Macfarlane | Registered representative | Jan 2019 (8y) | ||
| Brandon Robert Cooke | Registered representative | Jan 2019 (8y) | ||
| George Wesley Oliver | Registered representative | Jan 2019 (8y) | ||
| Theodore Glenn Shively | Registered representative | Jan 2019 (8y) | ||
| Thad Winter | Registered representative | Jan 2019 (8y) | ||
| Michael Anthony Yakos | Registered representative | Jan 2019 (8y) | ||
| Mark Rorke Remund | Registered representative | Jan 2019 (8y) | ||
| Nichola S Agins | Registered representative | Jan 2019 (8y) | ||
| Austin Michael Farah | Registered representative | CFP | Feb 2019 (8y) | |
| Charles Andrew Phillipson | Registered representative | Feb 2019 (8y) | ||
| Christian Avery Allen | Registered representative | CFP | Feb 2019 (8y) | |
| Jeffrey Davies | Registered representative | Feb 2019 (8y) | ||
| John M Michael Schindler | Registered representative | Feb 2019 (8y) | ||
| Scott Gerard Bennett | Registered representative | CFP | Feb 2019 (8y) | |
| Kass Theodore Welchlin | Registered representative | Feb 2019 (7y) | ||
| Yvonne Marie Carver | Registered representative | Feb 2019 (7y) | ||
| Jack Gecovich | Registered representative | Feb 2019 (7y) | ||
| William Stanton Miller | Registered representative | Feb 2019 (7y) | ||
| Andrew Charles Jensen | Registered representative | Feb 2019 (7y) | ||
| Gregory E Stevens | Registered representative | Feb 2019 (7y) | ||
| John Grant Aspell | Registered representative | Feb 2019 (7y) | ||
| Mark Andrew Reifschneider | Registered representative | CFP | Feb 2019 (7y) | |
| Paul Bradley Waterman | Registered representative | Feb 2019 (7y) | ||
| Stephen Vincent Spires | Registered representative | Feb 2019 (7y) | ||
| Yvonne Emeric | Registered representative | Feb 2019 (7y) | ||
| Elana Feldstein Milianta | Registered representative | Feb 2019 (7y) | ||
| Timothy Patick Rafferty | Registered representative | Feb 2019 (7y) | ||
| Jon Thornton Dayton | Registered representative | Feb 2019 (7y) | ||
| Brandon Baird | Registered representative | Feb 2019 (7y) | ||
| Korisa Anne Petre | Registered representative | Feb 2019 (7y) | ||
| Matthew Christian Donahue | Registered representative | Feb 2019 (7y) | ||
| Mark C Roller | Registered representative | Feb 2019 (7y) | ||
| Amanda Bishop Patel | Registered representative | Feb 2019 (7y) | ||
| Carlos J Nino | Registered representative | Feb 2019 (7y) | ||
| Jacqueline Lee Jenkins | Registered representative | Feb 2019 (7y) | ||
| Sandra Eleanor Yates | Registered representative | Feb 2019 (7y) | ||
| Shane Michael O'brien | Registered representative | Mar 2019 (7y) | ||
| Stacey Gean Englander | Registered representative | Mar 2019 (7y) | ||
| Deborah Riney Smith | Registered representative | Mar 2019 (7y) | ||
| Paul Michael Hulen | Registered representative | Mar 2019 (7y) | ||
| Alyssa M Klein | Registered representative | Mar 2019 (7y) | ||
| Anna Paczes | Registered representative | Mar 2019 (7y) | ||
| Charles Barney Rudnick | Registered representative | Mar 2019 (7y) | ||
| Felicia Chauntal Salfran | Registered representative | Mar 2019 (7y) | ||
| Keegan R Hyland | Registered representative | Mar 2019 (7y) | ||
| Willis Anthony Lovell | Registered representative | Mar 2019 (7y) | ||
| Steven Jacques Bayardelle | Registered representative | Mar 2019 (7y) | ||
| Matthew W Gourgues | Registered representative | Mar 2019 (7y) | ||
| Colleen Clark Higgins | Registered representative | Mar 2019 (7y) | ||
| Perry Franklin Carter | Registered representative | Mar 2019 (7y) | ||
| Gregg Walter Stupinski | Registered representative | Mar 2019 (7y) | ||
| Tavis Christian Mccourt | Registered representative | CFA | Mar 2019 (7y) | |
| Dustin Joseph Martin | Registered representative | Mar 2019 (7y) | ||
| Leonard J Boniface | Registered representative | Mar 2019 (7y) | ||
| Paul Christopher Ciardi | Registered representative | Mar 2019 (7y) | ||
| William Chambers Miller | Registered representative | Mar 2019 (7y) | ||
| Jeffrey Edward Budd | Registered representative | CFP | Mar 2019 (7y) | |
| Jennifer Foster Mills | Registered representative | Mar 2019 (7y) | ||
| William Charles Mackeeman | Registered representative | Mar 2019 (7y) | ||
| Kimberly Lynn Geiger | Registered representative | Mar 2019 (7y) | ||
| Jeremy Fraser Perrin | Registered representative | Apr 2019 (7y) | ||
| James A Kidney | Registered representative | Apr 2019 (7y) | ||
| Dominick John Dibona | Registered representative | Apr 2019 (7y) | ||
| Tara Lyn Bachinsky | Registered representative | Apr 2019 (7y) | ||
| William Christian Tesche | Registered representative | Apr 2019 (7y) | ||
| Andrea Lee Patrick | Registered representative | Apr 2019 (7y) | ||
| Brennen Claudemere Vedel | Registered representative | Apr 2019 (7y) | ||
| Marc Damon Hallick | Registered representative | Apr 2019 (7y) | ||
| Tyler Curtis Jackson | Registered representative | Apr 2019 (7y) | ||
| William Romain Spell | Registered representative | Apr 2019 (7y) | ||
| David Bret Kallenberg | Registered representative | Apr 2019 (7y) | ||
| Joseph Christopher Horner | Registered representative | Apr 2019 (7y) | ||
| Kimberly Ann Earnhardt | Registered representative | Apr 2019 (7y) | ||
| Amanda Marie Bell | Registered representative | Apr 2019 (7y) | ||
| Gus C Panos | Registered representative | Apr 2019 (7y) | ||
| Jason Lee Firek | Registered representative | CFP | Apr 2019 (7y) | |
| Jennifer Jill Pulcini | Registered representative | Apr 2019 (7y) | ||
| John G Gaynor | Registered representative | Apr 2019 (7y) | ||
| Sam Osborne | Registered representative | Apr 2019 (7y) | ||
| William Frederick Drew | Registered representative | Apr 2019 (7y) | ||
| Ali Z Dhanji | Registered representative | Apr 2019 (7y) | ||
| Deanna Renee Wright | Registered representative | Apr 2019 (7y) | ||
| James Edwin Summers | Registered representative | CFP | Apr 2019 (7y) | |
| Martin Raymond Majchrzak | Registered representative | Apr 2019 (7y) | ||
| Craig Olin Vinson | Registered representative | Apr 2019 (7y) | ||
| Geoffrey David Hunter | Registered representative | Apr 2019 (7y) | ||
| William Richard Dagistino | Registered representative | CFP | Apr 2019 (7y) | |
| Hynson Howell Marvel | Registered representative | Apr 2019 (7y) | ||
| Troy Allen Kestner | Registered representative | CFP | Apr 2019 (7y) | |
| Marc Barry Orloff | Registered representative | Apr 2019 (7y) | ||
| Mary G Rigsbee | Registered representative | Apr 2019 (7y) | ||
| Beverly Kay Schmitt | Registered representative | Apr 2019 (7y) | ||
| Kevin Michael Snell | Registered representative | Apr 2019 (7y) | ||
| Michael Lewis Druffner | Registered representative | Apr 2019 (7y) | ||
| Richard Leon Pecce | Registered representative | Apr 2019 (7y) | ||
| Mary Helena Lorenzi | Registered representative | May 2019 (7y) | ||
| Kristin L Delong | Registered representative | May 2019 (7y) | ||
| Marisa Coldwell | Registered representative | May 2019 (7y) | ||
| Timothy Francis Hickey | Registered representative | May 2019 (7y) | ||
| Joseph Marie Andreoli | Registered representative | May 2019 (7y) | ||
| William Rustin Seyle | Registered representative | May 2019 (7y) | ||
| David Rhynehardt Neubert | Registered representative | May 2019 (7y) | ||
| Kevin Koss | Registered representative | May 2019 (7y) | ||
| Paul Kirsh Jacobson | Registered representative | May 2019 (7y) | ||
| Shane Thomas Calkin | Registered representative | May 2019 (7y) | ||
| Jacob Vaknin | Registered representative | May 2019 (7y) | ||
| Frank Ryan Geary | Registered representative | May 2019 (7y) | ||
| Erin Lee Marken | Registered representative | May 2019 (7y) | ||
| Douglas J Marken | Registered representative | May 2019 (7y) | ||
| Scott Jeffery Tomaszewski | Registered representative | May 2019 (7y) | ||
| Michael Trey La Vera | Registered representative | May 2019 (7y) | ||
| Philip W Collier | Registered representative | May 2019 (7y) | ||
| Stephen Thomas Ryan | Registered representative | May 2019 (7y) | ||
| David L Frank | Registered representative | CFP | May 2019 (7y) | |
| Richard Patrick Hammond | Registered representative | May 2019 (7y) | ||
| Robert David Pearson | Registered representative | May 2019 (7y) | ||
| Ginamarie Schembre | Registered representative | May 2019 (7y) | ||
| Brett Harris Salzer | Registered representative | CFP | May 2019 (7y) | |
| Daniel Arthur Nickow | Registered representative | May 2019 (7y) | ||
| Andrew Gerrets Necaise | Registered representative | May 2019 (7y) | ||
| Christopher S Weng | Registered representative | May 2019 (7y) | ||
| Christina Ellona Becker | Registered representative | May 2019 (7y) | ||
| Michael M Minvielle | Registered representative | May 2019 (7y) | ||
| Jonas John Dufek | Registered representative | May 2019 (7y) | ||
| Leif Eric Mahler | Registered representative | May 2019 (7y) | ||
| Maura Holowchak | Registered representative | CFP | May 2019 (7y) | |
| Samuel Robert Rockwell | Registered representative | May 2019 (7y) | ||
| Jason Lee Ray Betts | Registered representative | Jun 2019 (7y) | ||
| Michelle L. Marquez | Registered representative | Jun 2019 (7y) | ||
| Rebecca Shannon Hickman | Registered representative | Jun 2019 (7y) | ||
| Ivan Gabriel Burrola | Registered representative | Jun 2019 (7y) | ||
| Ramon Gabriel Burrola | Registered representative | Jun 2019 (7y) | ||
| Cole Thomas Wilmarth | Registered representative | CFP | Jun 2019 (7y) | |
| Jamie Kenneth Moulton | Registered representative | Jun 2019 (7y) | ||
| Matthew David Koth | Registered representative | Jun 2019 (7y) | ||
| Andrea R. Burkhalter | Registered representative | Jun 2019 (7y) | ||
| Matthew Mckinney Garnett | Registered representative | CFP | Jun 2019 (7y) | |
| Alejandro Burrola Hernandez | Registered representative | Jun 2019 (7y) | ||
| Guillermo Elias | Registered representative | Jun 2019 (7y) | ||
| Jorge A Rosas | Registered representative | Jun 2019 (7y) | ||
| Matthew J. Fisher | Registered representative | Jun 2019 (7y) | ||
| Matthew Todd Pruitt | Registered representative | Jun 2019 (7y) | ||
| Russell Andrey Skibicki | Registered representative | Jun 2019 (7y) | ||
| Kenie Theresa Wrenn | Registered representative | Jun 2019 (7y) | ||
| Qlirim Dauti | Registered representative | CFP | Jun 2019 (7y) | |
| Bryan Christopher Dunn | Registered representative | Jun 2019 (7y) | ||
| Joseph Nolan Bell | Registered representative | Jun 2019 (7y) | ||
| Franklin Parrish Sparkman | Registered representative | Jun 2019 (7y) | ||
| Margret Helen Schrant | Registered representative | CFP | Jun 2019 (7y) | |
| Kimberly Ann Tuzzolino | Registered representative | Jun 2019 (7y) | ||
| Kristie Ann Strubeck | Registered representative | Jun 2019 (7y) | ||
| Matthew Mccandless Fox | Registered representative | Jun 2019 (7y) | ||
| Amber Marie Zinser | Registered representative | Jul 2019 (7y) | ||
| Leigh Michelle Paul | Registered representative | Jul 2019 (7y) | ||
| Nick Hulling | Registered representative | Jul 2019 (7y) | ||
| Frank Edward Mckenna | Registered representative | Jul 2019 (7y) | ||
| Rene Antonio Dierkes | Registered representative | Jul 2019 (7y) | ||
| Gregory David Vandergrift | Registered representative | CFP Chartered Financial Consultant | Jul 2019 (7y) | |
| Kristin D Lane | Registered representative | Jul 2019 (7y) | ||
| Zachary Ryan Vandergrift | Registered representative | Jul 2019 (7y) | ||
| Ashlee Kaye Miller | Registered representative | Jul 2019 (7y) | ||
| Davin Lee Kubo | Registered representative | Jul 2019 (7y) | ||
| Kimberly Ann Torralva | Registered representative | Jul 2019 (7y) | ||
| Michael Scott Kovie | Registered representative | Jul 2019 (7y) | ||
| Rakhi Sood Pritchard | Registered representative | Jul 2019 (7y) | ||
| Shawn Michael Peterson | Registered representative | Jul 2019 (7y) | ||
| Sean Anthony Garcia | Registered representative | Jul 2019 (7y) | ||
| Randel Guerra Morris | Registered representative | CFP | Jul 2019 (7y) | |
| Laurel Ann Markley | Registered representative | Jul 2019 (7y) | ||
| Max Zachary Peretzky | Registered representative | Jul 2019 (7y) | ||
| Robert Henry Matofsky | Registered representative | CFP Chartered Financial Consultant | Jul 2019 (7y) | |
| Daniel Lee Reece | Registered representative | Jul 2019 (7y) | ||
| Jennifer Shields Anders | Registered representative | CFP | Jul 2019 (7y) | |
| Michael Joseph Fowler | Registered representative | Jul 2019 (7y) | ||
| Ian Dodd Spradling | Registered representative | Jul 2019 (7y) | ||
| Adrienne Nicole Cates | Registered representative | Jul 2019 (7y) | ||
| Timothy Chien Wei Chen | Registered representative | Jul 2019 (7y) | ||
| Kevin Collier Lokey | Registered representative | Jul 2019 (7y) | ||
| Thomas Alexander Lord | Registered representative | Aug 2019 (7y) | ||
| Eitan Esan | Registered representative | Aug 2019 (7y) | ||
| Daniel Christopher Mccalpin | Registered representative | Aug 2019 (7y) | ||
| Tammy Renee Alexander | Registered representative | Aug 2019 (7y) | ||
| Thomas R Fields | Registered representative | Aug 2019 (7y) | ||
| Jason Mark Peterson | Registered representative | Aug 2019 (7y) | ||
| Quinn Alexander Ebright | Registered representative | Aug 2019 (7y) | ||
| Ariel Bobroff | Registered representative | Aug 2019 (7y) | ||
| Fred Michael Asfoury | Registered representative | CFP | Aug 2019 (7y) | |
| Lisa Luke Workman | Registered representative | Aug 2019 (7y) | ||
| Alfred Joseph Espro | Registered representative | Aug 2019 (7y) | ||
| Benjamin Ronald Burrows | Registered representative | Aug 2019 (7y) | ||
| Charles Brett Bryan | Registered representative | Aug 2019 (7y) | ||
| Wesley Adam Gottesman | Registered representative | Aug 2019 (7y) | ||
| Nicholas Pearson Picucci | Registered representative | Aug 2019 (7y) | ||
| Tracy M. Mcmahon | Registered representative | Aug 2019 (7y) | ||
| Zahara Ali Torres | Registered representative | Aug 2019 (7y) | ||
| Alexander M. Wong | Registered representative | Aug 2019 (7y) | ||
| Nathanael J Putrich | Registered representative | Aug 2019 (7y) | ||
| Ryan James Bowen | Registered representative | Aug 2019 (7y) | ||
| Cheryl June Sanchez | Registered representative | Aug 2019 (7y) | ||
| Kayla Breann French | Registered representative | Aug 2019 (7y) | ||
| Margaret Ann Broome | Registered representative | Aug 2019 (7y) | ||
| R John Grzesiak | Registered representative | CFP | Aug 2019 (7y) | |
| Donald Glenn Phillips | Registered representative | Aug 2019 (7y) | ||
| Joseph Morrongiello | Registered representative | Aug 2019 (7y) | ||
| Alan Joseph Marshall | Registered representative | Aug 2019 (7y) | ||
| Ricardo James Armijo | Registered representative | Aug 2019 (7y) | ||
| Timothy Matthew Cooper | Registered representative | CFP | Aug 2019 (7y) | |
| Adam David Proger | Registered representative | Sep 2019 (7y) | ||
| Ignacio Maria Crespi Flores | Registered representative | Sep 2019 (7y) | ||
| Paul F Grambsch | Registered representative | Sep 2019 (7y) | ||
| Stanwood Chandler Sweetser | Registered representative | CFP | Sep 2019 (7y) | |
| Adriana N Sormani | Registered representative | Sep 2019 (7y) | ||
| Jackson M Stewart | Registered representative | Sep 2019 (7y) | ||
| Joseph Alan Marshall | Registered representative | Sep 2019 (7y) | ||
| Ruth Zambo Kitzmann | Registered representative | Sep 2019 (7y) | ||
| Aimee Kathleen Holmes | Registered representative | Sep 2019 (7y) | ||
| Casey Elizabeth Bradford | Registered representative | Sep 2019 (7y) | ||
| Kevin Wood Bannister | Registered representative | Sep 2019 (7y) | ||
| Mark Allen Raney | Registered representative | Sep 2019 (7y) | ||
| Michael Christopher Rodenburg | Registered representative | Sep 2019 (7y) | ||
| Nevin Patrick Cavanaugh | Registered representative | Sep 2019 (7y) | ||
| Brandi Downey | Registered representative | Sep 2019 (7y) | ||
| Jon Russell | Registered representative | Sep 2019 (7y) | ||
| Megan Renee Simmons | Registered representative | Sep 2019 (7y) | ||
| Michael A Hudzik | Registered representative | Sep 2019 (7y) | ||
| Ryan M Winkler | Registered representative | Sep 2019 (7y) | ||
| William Lee Cardwell | Registered representative | Sep 2019 (7y) | ||
| Addison John Conley | Registered representative | Sep 2019 (7y) | ||
| Ellen Grace Gibson | Registered representative | Sep 2019 (7y) | ||
| Paige Hill Passerallo | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Quenten Mac Grew Kirby | Registered representative | Sep 2019 (7y) | ||
| Allison Megan Woolery | Registered representative | Sep 2019 (7y) | ||
| Joseph Livio Borrelli | Registered representative | Sep 2019 (7y) | ||
| Lisa Marie Mifsud | Registered representative | Sep 2019 (7y) | ||
| Ryan Noel Barker | Registered representative | Sep 2019 (7y) | ||
| Sara Noelle Witt | Registered representative | Sep 2019 (7y) | ||
| Lauriann Delay | Registered representative | CFA | Sep 2019 (7y) | |
| William Horne Sterling | Registered representative | CFP CFA | Sep 2019 (7y) | |
| Clifford Joseph David | Registered representative | Sep 2019 (7y) | ||
| Erik W Weiss | Registered representative | CFP | Sep 2019 (7y) | |
| David Clark Kemper | Registered representative | Sep 2019 (7y) | ||
| Dustin Lisk | Registered representative | Sep 2019 (7y) | ||
| Florence Mary Prospero | Registered representative | Sep 2019 (7y) | ||
| James Frederick Alioto | Registered representative | Sep 2019 (7y) | ||
| Jon Todd Hoell | Registered representative | Sep 2019 (7y) | ||
| Jeremy Wayne Thomas | Registered representative | Sep 2019 (7y) | ||
| Nikolas Anthony Alfonso | Registered representative | CFA | Sep 2019 (7y) | |
| David Edward Thompson | Registered representative | Sep 2019 (7y) | ||
| Helena Borges Fortes | Registered representative | Sep 2019 (7y) | ||
| Michael James Gapinski | Registered representative | Sep 2019 (7y) | ||
| Natanie Nicole Keller | Registered representative | Sep 2019 (7y) | ||
| Nicole Michel Boniface | Registered representative | Sep 2019 (7y) | ||
| Thomas Hardy Huggins | Registered representative | Sep 2019 (7y) | ||
| Tyler Braxton Pankey | Registered representative | Sep 2019 (7y) | ||
| Erin K Bethge | Registered representative | CFP | Sep 2019 (7y) | |
| Gary Lawrence Wardein | Registered representative | Sep 2019 (7y) | ||
| Michael Kostrub | Registered representative | Sep 2019 (7y) | ||
| Annlouise Marie Bleecker | Registered representative | Sep 2019 (7y) | ||
| Christopher Stephen Branton | Registered representative | Sep 2019 (7y) | ||
| Charles Donovan Alfaro | Registered representative | Sep 2019 (7y) | ||
| Charles Matthew Fagan | Registered representative | CFP | Sep 2019 (7y) | |
| Don Philip Grijalva | Registered representative | Sep 2019 (7y) | ||
| Eric Cotton Dexter | Registered representative | Sep 2019 (7y) | ||
| Gail M Leger | Registered representative | Sep 2019 (7y) | ||
| Kellie Elizabeth Lambert | Registered representative | Oct 2019 (7y) | ||
| Kelly Anderson | Registered representative | Oct 2019 (7y) | ||
| Darcie Michelle Fugatt | Registered representative | Oct 2019 (7y) | ||
| Gregory W Middleton | Registered representative | Oct 2019 (7y) | ||
| Jared Kenneth Kirby | Registered representative | Oct 2019 (7y) | ||
| Rebekah Joy Powers | Registered representative | Oct 2019 (7y) | ||
| Jordan Kenneth Rummel | Registered representative | Oct 2019 (7y) | ||
| Theodore Leon White | Registered representative | Oct 2019 (7y) | ||
| Elizabeth G Knight | Registered representative | Oct 2019 (7y) | ||
| Pamela Gaye Hintz | Registered representative | Oct 2019 (7y) | ||
| Richard B. Austin | Registered representative | Oct 2019 (7y) | ||
| Angela Marie Kunze | Registered representative | Oct 2019 (7y) | ||
| Corey Edward Wagner | Registered representative | Oct 2019 (7y) | ||
| James Gavin Hawkins | Registered representative | Oct 2019 (7y) | ||
| Kenneth Kaj Haycraft | Registered representative | CFP | Oct 2019 (7y) | |
| Rachel Marie Holland | Registered representative | Oct 2019 (7y) | ||
| Gene Freeman Swindle | Registered representative | Oct 2019 (7y) | ||
| Christopher J Stanford | Registered representative | Oct 2019 (7y) | ||
| Matthew Chapman Douglas | Registered representative | Oct 2019 (7y) | ||
| Christina Schrant | Registered representative | Oct 2019 (7y) | ||
| Tanner Low | Registered representative | Oct 2019 (7y) | ||
| Douglas William Deubel | Registered representative | Oct 2019 (7y) | ||
| Jacqueline Susan Bartosz | Registered representative | Oct 2019 (7y) | ||
| James Alfred Ducharme | Registered representative | CFP | Oct 2019 (7y) | |
| John Joseph Donahoe | Registered representative | Oct 2019 (7y) | ||
| Michael Charles Rowland | Registered representative | CFP | Oct 2019 (7y) | |
| Tariq Mohammad Azam | Registered representative | Oct 2019 (7y) | ||
| Austin Patrick Wingett | Registered representative | Nov 2019 (7y) | ||
| Daeshawn Marquise Wade | Registered representative | Nov 2019 (7y) | ||
| Gregory Maurice Reabold | Registered representative | Nov 2019 (7y) | ||
| Kristin Marie Hudson | Registered representative | Nov 2019 (7y) | ||
| David Arthur Aldridge | Registered representative | Nov 2019 (7y) | ||
| Elijah Lares | Registered representative | Nov 2019 (7y) | ||
| Shari Anna Stiles | Registered representative | Nov 2019 (7y) | ||
| Eric Matthew Petersen | Registered representative | Nov 2019 (7y) | ||
| Jennifer King Cherry | Registered representative | Nov 2019 (7y) | ||
| Nathan D Smith | Registered representative | Nov 2019 (7y) | ||
| Timothy Robert Hutson | Registered representative | Nov 2019 (7y) | ||
| Jeremy Silvas | Registered representative | Nov 2019 (7y) | ||
| Alexander Leon Louie Kaschmitter | Registered representative | CFP | Nov 2019 (7y) | |
| Brian Benjamin Dag | Registered representative | Nov 2019 (7y) | ||
| Daniel John Kaschmitter | Registered representative | Nov 2019 (7y) | ||
| Ican Damilola Osinjolu | Registered representative | CFP Chartered Financial Consultant | Nov 2019 (7y) | |
| Steven James Pagoaga | Registered representative | Nov 2019 (7y) | ||
| William John Gelegotis | Registered representative | Nov 2019 (7y) | ||
| Anthony Raymond Lott | Registered representative | CFP | Nov 2019 (7y) | |
| Deborah Lynne Szymchack | Registered representative | Nov 2019 (7y) | ||
| Gary Hughes Schaffhauser | Registered representative | Nov 2019 (7y) | ||
| Kelly Dishaw | Registered representative | Nov 2019 (7y) | ||
| Nancy Anne Branton | Registered representative | Nov 2019 (7y) | ||
| Ryan James Paschen | Registered representative | Nov 2019 (7y) | ||
| Veronica Lynn Pies | Registered representative | Nov 2019 (7y) | ||
| Robert S Thompson | Registered representative | Nov 2019 (7y) | ||
| Todd Daniel Hamilton | Registered representative | CFP | Nov 2019 (7y) | |
| Robert Nicholas Tribolet | Registered representative | Nov 2019 (7y) | ||
| Catherine Aline Rowan | Registered representative | Nov 2019 (7y) | ||
| Pablo Ramon Heredia | Registered representative | Nov 2019 (7y) | ||
| Zachary Trace Norton | Registered representative | Nov 2019 (7y) | ||
| Peter Brodshaug Thurman | Registered representative | Dec 2019 (7y) | ||
| Derek Frank Ciampini | Registered representative | Dec 2019 (7y) | ||
| Ricardo Kassin Nasser | Registered representative | Dec 2019 (7y) | ||
| Ronald C Vaill | Registered representative | Dec 2019 (7y) | ||
| Wendy Gail Coppola | Registered representative | Dec 2019 (7y) | ||
| David Martin Moran | Registered representative | Dec 2019 (7y) | ||
| Lorin Clark Hamisak | Registered representative | Dec 2019 (7y) | ||
| Edvards Andris Repins | Registered representative | Dec 2019 (7y) | ||
| Rebecca E. Chicco | Registered representative | Dec 2019 (7y) | ||
| Robert Banks Marion | Registered representative | Dec 2019 (7y) | ||
| Eric C Termini | Registered representative | Dec 2019 (7y) | ||
| Jeanne L. Case | Registered representative | Dec 2019 (7y) | ||
| Tyson Afa Phillips | Registered representative | Dec 2019 (7y) | ||
| Nicole Mandich | Registered representative | Dec 2019 (7y) | ||
| Ashtin Noyes Johnson | Registered representative | CFP | Dec 2019 (7y) | |
| Jonathon Edward Young | Registered representative | Dec 2019 (7y) | ||
| William Alexander Longest | Registered representative | CFP Chartered Financial Consultant | Dec 2019 (7y) | |
| Cristina Curiale | Registered representative | CFP | Jan 2020 (7y) | |
| David Harris Colin | Registered representative | CFP | Jan 2020 (7y) | |
| Joseph Sawyer Mraz | Registered representative | Jan 2020 (7y) | ||
| Martin Alan Diamond | Registered representative | CFP | Jan 2020 (7y) | |
| Warren Allen Paquin | Registered representative | Jan 2020 (7y) | ||
| Dragan Paravinja | Registered representative | Jan 2020 (7y) | ||
| Heath Duncan Howell | Registered representative | Jan 2020 (7y) | ||
| Melissa Mc Peters Herzog | Registered representative | Jan 2020 (7y) | ||
| Scott Robert Hurley | Registered representative | Jan 2020 (7y) | ||
| Steve Michael Mc Carthy | Registered representative | CFP | Jan 2020 (7y) | |
| Robert Matthew Applegate | Registered representative | Jan 2020 (7y) | ||
| Geoffrey Ziegler | Registered representative | Jan 2020 (7y) | ||
| Megan H Johnson | Registered representative | Jan 2020 (7y) | ||
| Oksana Joy Nelson | Registered representative | Jan 2020 (7y) | ||
| Chrisonda Jamil Letre Mcdonald | Registered representative | Jan 2020 (7y) | ||
| Nataly Tracy | Registered representative | Jan 2020 (7y) | ||
| Ashley Foster Alexander | Registered representative | Jan 2020 (7y) | ||
| Barry Alan Bernstein | Registered representative | Jan 2020 (7y) | ||
| Frank Anthony Buttacavoli | Registered representative | Jan 2020 (7y) | ||
| Jason Donald Newton | Registered representative | CFP | Jan 2020 (7y) | |
| Julius Ernest Eldridge | Registered representative | Jan 2020 (7y) | ||
| Kristin Howell Seed | Registered representative | Jan 2020 (7y) | ||
| Tyler Gene Morris | Registered representative | CFP | Jan 2020 (7y) | |
| Christian Scott Crider | Registered representative | Jan 2020 (7y) | ||
| James Britton Richardson | Registered representative | Jan 2020 (7y) | ||
| Anastasiia Wolters | Registered representative | Jan 2020 (7y) | ||
| Matthew Geraci | Registered representative | Jan 2020 (7y) | ||
| Fiona Wing Chee Walker | Registered representative | Jan 2020 (7y) | ||
| John Christopher Malatino | Registered representative | CFP | Jan 2020 (7y) | |
| Michael Jay Borza | Registered representative | Jan 2020 (7y) | ||
| John S. Bonatakis | Registered representative | CFP | Jan 2020 (7y) | |
| Holly Jo Moriarty | Registered representative | Jan 2020 (7y) | ||
| Todd M Rubsamen | Registered representative | Jan 2020 (7y) | ||
| Jeffrey Scott Walker | Registered representative | Jan 2020 (7y) | ||
| Brittany Weiner Miller | Registered representative | Jan 2020 (7y) | ||
| Catherine Anne Springer Gallant | Registered representative | Jan 2020 (7y) | ||
| Robert Hugh Sasser | Registered representative | Jan 2020 (7y) | ||
| Richard Liebchen | Registered representative | Jan 2020 (7y) | ||
| Dionne L Reed | Registered representative | Jan 2020 (7y) | ||
| Joseph Barre Novak | Registered representative | Feb 2020 (6y) | ||
| Frederick Warren Wagner | Registered representative | CFP | Feb 2020 (6y) | |
| John Darold Simmons | Registered representative | Feb 2020 (6y) | ||
| Shelby Lynn Davis | Registered representative | Feb 2020 (6y) | ||
| Michael Eugene Poe | Registered representative | CFP | Feb 2020 (6y) | |
| Nicole Maria Casp | Registered representative | Feb 2020 (6y) | ||
| Matthew George Rowe | Registered representative | Feb 2020 (6y) | ||
| Michael K Robbins | Registered representative | CFP | Feb 2020 (6y) | |
| Samuel Edward Powers | Registered representative | Feb 2020 (6y) | ||
| Alena Joy Barlow | Registered representative | Feb 2020 (6y) | ||
| Cassie Holmes | Registered representative | Feb 2020 (6y) | ||
| John Robert Kamp | Registered representative | Feb 2020 (6y) | ||
| Kurt Charles Carter | Registered representative | Feb 2020 (6y) | ||
| Michael Robert Wojtek | Registered representative | CFP | Feb 2020 (6y) | |
| Robin Linduff Byford | Registered representative | CFP | Feb 2020 (6y) | |
| Sophany Wagoner | Registered representative | Feb 2020 (6y) | ||
| Andrew Morris Teaf | Registered representative | Feb 2020 (6y) | ||
| Mason James Norden | Registered representative | Feb 2020 (6y) | ||
| Annie Therese Campbell | Registered representative | Feb 2020 (6y) | ||
| John Steven Holder | Registered representative | Feb 2020 (6y) | ||
| Samuel James Abernathy | Registered representative | Feb 2020 (6y) | ||
| Gregory H Schink | Registered representative | Feb 2020 (6y) | ||
| Jeffrey Dean Clemmons | Registered representative | Feb 2020 (6y) | ||
| Annamarie Theresa Strickland | Registered representative | CFP | Feb 2020 (6y) | |
| Bobby Joe Davis | Registered representative | Mar 2020 (6y) | ||
| Richard Jackson Roeder | Registered representative | Mar 2020 (6y) | ||
| Gregory Ordmandy | Registered representative | Mar 2020 (6y) | ||
| Robert Bayley Kornemann | Registered representative | Mar 2020 (6y) | ||
| Kelly Marie Stewart | Registered representative | Mar 2020 (6y) | ||
| Matthew Jackson Watson | Registered representative | Mar 2020 (6y) | ||
| Laura Ann Cook | Registered representative | Mar 2020 (6y) | ||
| Andrew Logan Holman | Registered representative | Mar 2020 (6y) | ||
| Blake Krum | Registered representative | Mar 2020 (6y) | ||
| Eric Paul Westerdale | Registered representative | Mar 2020 (6y) | ||
| Joseph A Carrington | Registered representative | Mar 2020 (6y) | ||
| Muhamed Resic | Registered representative | Mar 2020 (6y) | ||
| Joseph Anthony Hamilton | Registered representative | Mar 2020 (6y) | ||
| Michael Robert Ferconio | Registered representative | Apr 2020 (6y) | ||
| Dustin Ellis | Registered representative | Apr 2020 (6y) | ||
| Jason Anthony Jachimowicz | Registered representative | Apr 2020 (6y) | ||
| Lynn Ann Shook | Registered representative | Apr 2020 (6y) | ||
| Enrique Triana | Registered representative | Apr 2020 (6y) | ||
| Pamela Ann Stoner | Registered representative | Apr 2020 (6y) | ||
| Lidisis Machin | Registered representative | Apr 2020 (6y) | ||
| Mark Gregory Mathews | Registered representative | Apr 2020 (6y) | ||
| Brandon Heath Mohawk | Registered representative | Apr 2020 (6y) | ||
| Charles Mark Isaacs | Registered representative | Apr 2020 (6y) | ||
| David Abraham Paller | Registered representative | Apr 2020 (6y) | ||
| Hans Oshiorenoyai Asoera | Registered representative | Apr 2020 (6y) | ||
| Thomas Kealy Rockel | Registered representative | Apr 2020 (6y) | ||
| Michael Dow Taylor | Registered representative | May 2020 (6y) | ||
| Brent C Hulling | Registered representative | May 2020 (6y) | ||
| Brady Christensen | Registered representative | May 2020 (6y) | ||
| John Eagan Salisbury | Registered representative | May 2020 (6y) | ||
| Veronica Herrera Aguirre | Registered representative | May 2020 (6y) | ||
| James Carter Boone | Registered representative | May 2020 (6y) | ||
| Keith Bryan Elser | Registered representative | May 2020 (6y) | ||
| Conor Robert Lynch | Registered representative | May 2020 (6y) | ||
| Eric Munoz | Registered representative | May 2020 (6y) | ||
| Ernesto Angueira | Registered representative | May 2020 (6y) | ||
| Susan Jacklyn Graziano | Registered representative | May 2020 (6y) | ||
| Christopher Russell Raftary | Registered representative | CFP | May 2020 (6y) | |
| Claudia E Wesson | Registered representative | May 2020 (6y) | ||
| Douglas Colby Stewart | Registered representative | May 2020 (6y) | ||
| Norman Daniel Townsend | Registered representative | CFP | May 2020 (6y) | |
| David Anderson Alford | Registered representative | May 2020 (6y) | ||
| Jeffrey Scott Tyler | Registered representative | May 2020 (6y) | ||
| Todd John Foley | Registered representative | May 2020 (6y) | ||
| Craig Erhard Weis | Registered representative | May 2020 (6y) | ||
| Mauricio Ricardo Cardenas | Registered representative | May 2020 (6y) | ||
| Michael Takeo Ariyoshi | Registered representative | May 2020 (6y) | ||
| Christopher James Dallenbach | Registered representative | May 2020 (6y) | ||
| Heather Ann Bloom | Registered representative | May 2020 (6y) | ||
| Jeffrey Lewis Smith | Registered representative | May 2020 (6y) | ||
| Joseph Russell Anderson | Registered representative | CFP | May 2020 (6y) | |
| Katherine Elizabeth Davalos | Registered representative | CFP | May 2020 (6y) | |
| Matthew A Lyman | Registered representative | May 2020 (6y) | ||
| Tyler Christian Anderl | Registered representative | May 2020 (6y) | ||
| Francis Xavier Blust | Registered representative | May 2020 (6y) | ||
| Jamila Kravarusic | Registered representative | May 2020 (6y) | ||
| Katherine Leslie Gross | Registered representative | May 2020 (6y) | ||
| Timothy James Gross | Registered representative | May 2020 (6y) | ||
| Stephen Mark Sullivan | Registered representative | Jun 2020 (6y) | ||
| John A Cleary | Registered representative | Jun 2020 (6y) | ||
| Steven Walter Sawyer | Registered representative | Jun 2020 (6y) | ||
| Charisse Leigh Veresh | Registered representative | Jun 2020 (6y) | ||
| Jeffrey Marvin Davis | Registered representative | Jun 2020 (6y) | ||
| Nicholas Henry Grinzinger | Registered representative | Jun 2020 (6y) | ||
| Michael Allen Kelley | Registered representative | Jun 2020 (6y) | ||
| Christopher Lauren Taylor | Registered representative | Jun 2020 (6y) | ||
| David Christian Warren | Registered representative | Jun 2020 (6y) | ||
| John David Crawford | Registered representative | Jun 2020 (6y) | ||
| John David Crawford | Registered representative | Jun 2020 (6y) | ||
| Ashley Tiffany Richards | Registered representative | CFP | Jun 2020 (6y) | |
| Nicole Anna Marie Mc Ilwaine | Registered representative | Jun 2020 (6y) | ||
| Paul D Andrews | Registered representative | Jun 2020 (6y) | ||
| Laura Lynne Demert | Registered representative | Jun 2020 (6y) | ||
| Royce Alan Burns | Registered representative | CFP Chartered Financial Consultant | Jun 2020 (6y) | |
| Elroy Masters | Registered representative | Jun 2020 (6y) | ||
| Kyle Schroeder | Registered representative | Jun 2020 (6y) | ||
| Idalia Del Daguin | Registered representative | Jul 2020 (6y) | ||
| Gabriela Romana Aguilar | Registered representative | Jul 2020 (6y) | ||
| Ann Aris Polonsky | Registered representative | Jul 2020 (6y) | ||
| Caterina Holt | Registered representative | Jul 2020 (6y) | ||
| Eric M Hobin | Registered representative | Jul 2020 (6y) | ||
| Jason Whittier | Registered representative | Jul 2020 (6y) | ||
| Jeffrey Michael Park | Registered representative | Jul 2020 (6y) | ||
| Joshua Scott Franklin | Registered representative | Jul 2020 (6y) | ||
| Kristen A Ragusin | Registered representative | Jul 2020 (6y) | ||
| Sharon Lynn Dunaway Alt | Registered representative | Jul 2020 (6y) | ||
| Antonio Giuseppe Sordillo | Registered representative | Jul 2020 (6y) | ||
| Jiles Robinson | Registered representative | Jul 2020 (6y) | ||
| Kandice A Husarik | Registered representative | Jul 2020 (6y) | ||
| Florence J Smith | Registered representative | CFP | Jul 2020 (6y) | |
| Tena Marie Kellis | Registered representative | Jul 2020 (6y) | ||
| Leo Douglas Goeas | Registered representative | Jul 2020 (6y) | ||
| Matthew F Vancleve | Registered representative | CFP | Jul 2020 (6y) | |
| Jeffrey Edward Zientara | Registered representative | Jul 2020 (6y) | ||
| Katherine Towar Kozlowski | Registered representative | Jul 2020 (6y) | ||
| Mark Anthony Triscik | Registered representative | Jul 2020 (6y) | ||
| Marina Sonya Tudela | Registered representative | Jul 2020 (6y) | ||
| Christopher Matthew Jett | Registered representative | Jul 2020 (6y) | ||
| Ellen Catherine Lundgren | Registered representative | Jul 2020 (6y) | ||
| Kenneth Scott Kurzer | Registered representative | Jul 2020 (6y) | ||
| Chari Elizabeth Rigby | Registered representative | CFP | Jul 2020 (6y) | |
| Alin Katiraei Frentzen | Registered representative | Jul 2020 (6y) | ||
| Deborah Pate Doss | Registered representative | Jul 2020 (6y) | ||
| Jared Stricklin | Registered representative | Jul 2020 (6y) | ||
| Lucas Charles Harris | Registered representative | Jul 2020 (6y) | ||
| Robert Solon Elliott | Registered representative | Jul 2020 (6y) | ||
| Craig A Lannaman | Registered representative | Jul 2020 (6y) | ||
| Frederic Michel Jamet | Registered representative | Jul 2020 (6y) | ||
| Michael Jay Shapiro | Registered representative | Jul 2020 (6y) | ||
| Christopher Quartararo | Registered representative | CFP | Aug 2020 (6y) | |
| Robert Glenn Ray | Registered representative | Aug 2020 (6y) | ||
| Darryl Douglas Dunn | Registered representative | Aug 2020 (6y) | ||
| Emily B Fernberger | Registered representative | Aug 2020 (6y) | ||
| Joshua Aaron Miller | Registered representative | Aug 2020 (6y) | ||
| Ryan M Gordon | Registered representative | Aug 2020 (6y) | ||
| Eryn E Whittier | Registered representative | Aug 2020 (6y) | ||
| Samuel H. Bever | Registered representative | Aug 2020 (6y) | ||
| Melissa Thammavongsa Keung | Registered representative | CFP | Aug 2020 (6y) | |
| Edwin John Lamberty | Registered representative | Aug 2020 (6y) | ||
| Caroline Grace Edwards | Registered representative | CFP | Aug 2020 (6y) | |
| Renee Johanna Hof Lacey | Registered representative | Aug 2020 (6y) | ||
| Brennan James Turner | Registered representative | Aug 2020 (6y) | ||
| Charles Byron Thompson | Registered representative | CFP Chartered Financial Consultant | Aug 2020 (6y) | |
| Rafael J. Santandreu | Registered representative | Aug 2020 (6y) | ||
| Robert Ernest Panzloff | Registered representative | Aug 2020 (6y) | ||
| Susan Elizabeth Bertash | Registered representative | Aug 2020 (6y) | ||
| Daniel Luis Valente | Registered representative | Aug 2020 (6y) | ||
| Jerry Padilla | Registered representative | Aug 2020 (6y) | ||
| Frederick Daniels | Registered representative | Aug 2020 (6y) | ||
| Mark Andrew Huss | Registered representative | Aug 2020 (6y) | ||
| Michael John Gambol | Registered representative | Aug 2020 (6y) | ||
| Renee Margaret Sessa | Registered representative | Aug 2020 (6y) | ||
| Efstathios George Kanteliotis | Registered representative | Aug 2020 (6y) | ||
| Elizabeth Ashley Towler | Registered representative | Aug 2020 (6y) | ||
| Stephen H Gitter | Registered representative | Aug 2020 (6y) | ||
| W. Mark Parker | Registered representative | Aug 2020 (6y) | ||
| Ian Reynolds Hamsher | Registered representative | Aug 2020 (6y) | ||
| Julio Marcelino Revuelta | Registered representative | Aug 2020 (6y) | ||
| Steven Letrung Quach | Registered representative | Sep 2020 (6y) | ||
| Chelsea Ruth Davidson Cellamare | Registered representative | Sep 2020 (6y) | ||
| Conor Lawrence Bayer | Registered representative | Sep 2020 (6y) | ||
| Thomas Joseph Sullivan | Registered representative | Sep 2020 (6y) | ||
| Thomas Mc Callum Pearce | Registered representative | Sep 2020 (6y) | ||
| William Bentley Lellyett | Registered representative | Sep 2020 (6y) | ||
| Byungdo Richard Yae | Registered representative | Sep 2020 (6y) | ||
| John Charles Joyce | Registered representative | Sep 2020 (6y) | ||
| Mark William Birringer | Registered representative | Sep 2020 (6y) | ||
| Colby Aaron Spann | Registered representative | CFP | Sep 2020 (6y) | |
| David P Gray | Registered representative | Sep 2020 (6y) | ||
| Erin Therese Mary | Registered representative | Sep 2020 (6y) | ||
| Keith Richard Jensen | Registered representative | Sep 2020 (6y) | ||
| Kirk Alan Abrahamson | Registered representative | Sep 2020 (6y) | ||
| Michael Glenn Charles Rowedder | Registered representative | Sep 2020 (6y) | ||
| Raquel Jaqueline Horvatin | Registered representative | Sep 2020 (6y) | ||
| C. Larry Stephens | Registered representative | Sep 2020 (6y) | ||
| Scott Townley Puff | Registered representative | Sep 2020 (6y) | ||
| Keith Dudley | Registered representative | Sep 2020 (6y) | ||
| Lauren Rudd | Registered representative | Sep 2020 (6y) | ||
| Monique Shandale Eatman | Registered representative | Sep 2020 (6y) | ||
| Stephanie Duvall | Registered representative | Sep 2020 (6y) | ||
| Joshua Nathaniel Reider | Registered representative | CFP | Sep 2020 (6y) | |
| Adair Mckoy Graham | Registered representative | Sep 2020 (6y) | ||
| Janet Dorothy Moeller | Registered representative | Sep 2020 (6y) | ||
| Vincent Paul Lisanke | Registered representative | Sep 2020 (6y) | ||
| Anthony Frank Gioco | Registered representative | CFA | Sep 2020 (6y) | |
| Geoffrey Alan Japchen | Registered representative | Sep 2020 (6y) | ||
| Kyle Adam Wenski | Registered representative | Sep 2020 (6y) | ||
| Joseph Gerald Offerman | Registered representative | Sep 2020 (6y) | ||
| Jason Frederick Peck | Registered representative | CFP | Sep 2020 (6y) | |
| John Patrick Mc Phillips | Registered representative | Sep 2020 (6y) | ||
| Michele Elizabeth Kelley | Registered representative | Sep 2020 (6y) | ||
| Joshua Graham Salter | Registered representative | Sep 2020 (6y) | ||
| Ryan Daniel Arredondo | Registered representative | Sep 2020 (6y) | ||
| Ionut Gusu | Registered representative | Sep 2020 (6y) | ||
| Erik Modansky | Registered representative | Oct 2020 (6y) | ||
| Lisa Marie Link Murphy | Registered representative | Oct 2020 (6y) | ||
| Ralph Terry Platt | Registered representative | Oct 2020 (6y) | ||
| Karen Lynn Poppema | Registered representative | Oct 2020 (6y) | ||
| Richard Anthony Ortega | Registered representative | Oct 2020 (6y) | ||
| Benjamin Steven Kneeland | Registered representative | Oct 2020 (6y) | ||
| James Anthony Grymala | Registered representative | Oct 2020 (6y) | ||
| Dennis Allen Deckerhoff | Registered representative | Oct 2020 (6y) | ||
| Jeffrey Alan Nydick | Registered representative | Oct 2020 (6y) | ||
| James Holloway | Registered representative | Oct 2020 (6y) | ||
| Mark Henry Kamp | Registered representative | Oct 2020 (6y) | ||
| Carolyn Elizabeth Stewart Hotra | Registered representative | Oct 2020 (6y) | ||
| Joseph Helmy | Registered representative | Oct 2020 (6y) | ||
| Jarrett S Frierson | Registered representative | Oct 2020 (6y) | ||
| Andrew Joseph Kubicsko | Registered representative | Oct 2020 (6y) | ||
| Jordan Michelle Ramsey | Registered representative | Oct 2020 (6y) | ||
| Daniel S Fisher | Registered representative | Nov 2020 (6y) | ||
| Kimberly Ann Briggs | Registered representative | Nov 2020 (6y) | ||
| Kevin Lawrence Mayer | Registered representative | Nov 2020 (6y) | ||
| Michael P Mac Connell | Registered representative | Nov 2020 (6y) | ||
| Andrew John Guarente | Registered representative | Nov 2020 (6y) | ||
| Bradley Hugh Perkins | Registered representative | Nov 2020 (6y) | ||
| William Christian Cordell | Registered representative | Nov 2020 (6y) | ||
| Jordan Joseph Berry | Registered representative | Nov 2020 (6y) | ||
| Jason Franzblau | Registered representative | CFA | Nov 2020 (6y) | |
| Jay Xavier Hitselberger | Registered representative | CFP | Nov 2020 (6y) | |
| Sarah Rose Filipowski | Registered representative | Nov 2020 (6y) | ||
| Sarah Peterson | Registered representative | Nov 2020 (6y) | ||
| Brian Jacob Franzblau | Registered representative | Nov 2020 (6y) | ||
| Mark Jay Pomerantz | Registered representative | Nov 2020 (6y) | ||
| Brian Michael Flemmer | Registered representative | Dec 2020 (6y) | ||
| Katherine Margaret Morgan | Registered representative | Dec 2020 (6y) | ||
| Bryce Joshua Schulzke | Registered representative | Dec 2020 (6y) | ||
| Don J Connot | Registered representative | CFP | Dec 2020 (6y) | |
| Joshua Tebbs Stout | Registered representative | Dec 2020 (6y) | ||
| Michael Bogue | Registered representative | Dec 2020 (6y) | ||
| Graham Thomas Roy | Registered representative | Dec 2020 (6y) | ||
| Heather Lyn Penrod | Registered representative | Dec 2020 (6y) | ||
| Amy Claire Barrett | Registered representative | Dec 2020 (6y) | ||
| Charles Dean Crist | Registered representative | Dec 2020 (6y) | ||
| Charles William Gillingham | Registered representative | Dec 2020 (6y) | ||
| Christopher Wade Johnson | Registered representative | Dec 2020 (6y) | ||
| Mark Andrew Jones | Registered representative | Dec 2020 (6y) | ||
| Ryan Hudson Jones | Registered representative | Dec 2020 (6y) | ||
| Susan Michele Dampier | Registered representative | Dec 2020 (6y) | ||
| Eliza Jane Mc Devitt | Registered representative | Dec 2020 (6y) | ||
| Victoria Lynn Tiehen | Registered representative | Dec 2020 (6y) | ||
| John Thomas Sutton | Registered representative | Dec 2020 (6y) | ||
| Stan Joseph Goodell | Registered representative | CFP | Dec 2020 (6y) | |
| Mary Ellison Sewell | Registered representative | Dec 2020 (6y) | ||
| Grace Loveland | Registered representative | Dec 2020 (6y) | ||
| Jessica Leigh Delgado | Registered representative | Dec 2020 (6y) | ||
| Mark William Schreiner | Registered representative | Dec 2020 (6y) | ||
| Caitlin Christine Brown | Registered representative | Dec 2020 (6y) | ||
| Sarah Catherine Horn | Registered representative | Jan 2021 (6y) | ||
| Linda Macleod | Registered representative | Jan 2021 (6y) | ||
| Matthew Justin Presy | Registered representative | Jan 2021 (6y) | ||
| Robin Perkins | Registered representative | Jan 2021 (6y) | ||
| Carmen Marie North | Registered representative | Jan 2021 (6y) | ||
| Claudia Anne Castellano | Registered representative | Jan 2021 (6y) | ||
| Frank Ferguson Houston | Registered representative | Jan 2021 (6y) | ||
| Joao Mariano Rotta | Registered representative | Jan 2021 (6y) | ||
| Kendall Sutton Park | Registered representative | CFP | Jan 2021 (6y) | |
| Sara G Gill | Registered representative | Jan 2021 (6y) | ||
| Andres Castillo | Registered representative | Jan 2021 (6y) | ||
| Paulo John Melton Barbosa | Registered representative | Jan 2021 (6y) | ||
| Maria Gabriela Besselievre | Registered representative | Jan 2021 (6y) | ||
| Justin Ryan Granit | Registered representative | CFP | Jan 2021 (6y) | |
| Toby Michael Banks | Registered representative | Jan 2021 (6y) | ||
| John Hartnett | Registered representative | Personal Financial Specialist | Jan 2021 (6y) | |
| Michael Mc Namee | Registered representative | CFP | Jan 2021 (6y) | |
| Nathan J Fair | Registered representative | Feb 2021 (6y) | ||
| Joseph William Brauner | Registered representative | Feb 2021 (5y) | ||
| Bruce John Sallah | Registered representative | Feb 2021 (5y) | ||
| Jose Antonio De La Lama | Registered representative | CFP | Feb 2021 (5y) | |
| Nathen Robert Pastorik | Registered representative | Feb 2021 (5y) | ||
| Claire French | Registered representative | Feb 2021 (5y) | ||
| Jana Mc Gregor Binkley | Registered representative | Feb 2021 (5y) | ||
| Michael Alan Rodenbaugh | Registered representative | Feb 2021 (5y) | ||
| Brian Thomas Cain | Registered representative | Feb 2021 (5y) | ||
| Bryan David Mc Kay | Registered representative | Feb 2021 (5y) | ||
| Michael Duy Thanh Nguyen | Registered representative | Feb 2021 (5y) | ||
| Holly Sarvis Ashby | Registered representative | Feb 2021 (5y) | ||
| Kathryn Jo Garvin | Registered representative | Feb 2021 (5y) | ||
| Richard Paul Altieri | Registered representative | Feb 2021 (5y) | ||
| Jeffrey Wilton Hays | Registered representative | Feb 2021 (5y) | ||
| John Everett Kerr | Registered representative | Feb 2021 (5y) | ||
| Samantha Elliott Barrett | Registered representative | Mar 2021 (5y) | ||
| Matthew Richard Harp | Registered representative | CFP | Mar 2021 (5y) | |
| Rick Layne Hartl | Registered representative | Mar 2021 (5y) | ||
| Robert Stanley Welsby | Registered representative | Mar 2021 (5y) | ||
| Chad Wesley Spencer | Registered representative | Mar 2021 (5y) | ||
| Douglas Kent Settle | Registered representative | CFA | Mar 2021 (5y) | |
| Paul George Mittman | Registered representative | Mar 2021 (5y) | ||
| Cindy Ann Gibson | Registered representative | Mar 2021 (5y) | ||
| Darren Croy | Registered representative | Mar 2021 (5y) | ||
| Elizabeth Jane Heard | Registered representative | Mar 2021 (5y) | ||
| John F Coyle | Registered representative | Mar 2021 (5y) | ||
| Sara Yasmin Qazi | Registered representative | Mar 2021 (5y) | ||
| Michael Paul Valachovics | Registered representative | Mar 2021 (5y) | ||
| Andres E Galvez | Registered representative | Mar 2021 (5y) | ||
| Christopher Murrle Philippsen | Registered representative | Mar 2021 (5y) | ||
| Michelle Kathleen Lynch Zebra | Registered representative | Mar 2021 (5y) | ||
| Matthew James Margolis | Registered representative | Mar 2021 (5y) | ||
| Rachel Jean Wilson | Registered representative | Mar 2021 (5y) | ||
| Ursula Chavez | Registered representative | Mar 2021 (5y) | ||
| Elizabeth Keaton Cunningham Riddle | Registered representative | Mar 2021 (5y) | ||
| Simone Belinda Pitter | Registered representative | Mar 2021 (5y) | ||
| William C Taylor | Registered representative | Mar 2021 (5y) | ||
| Patrick Hall | Registered representative | Mar 2021 (5y) | ||
| Sean Anthony Phillips | Registered representative | CFP | Mar 2021 (5y) | |
| James Baker Mc Gee | Registered representative | Mar 2021 (5y) | ||
| James Philip Helton | Registered representative | Mar 2021 (5y) | ||
| Jennifer Danielle Pelon | Registered representative | Mar 2021 (5y) | ||
| Martin Ellerbe Ferrara | Registered representative | Mar 2021 (5y) | ||
| Justin Thomas Preissler | Registered representative | Mar 2021 (5y) | ||
| Lee Lee Haverstock | Registered representative | Mar 2021 (5y) | ||
| Mark John Murphy | Registered representative | Mar 2021 (5y) | ||
| David Lee Everson | Registered representative | Mar 2021 (5y) | ||
| Christopher Vaughn Mccampbell | Registered representative | Mar 2021 (5y) | ||
| Deanna R Like | Registered representative | Mar 2021 (5y) | ||
| William Harvey Lockwood | Registered representative | Apr 2021 (5y) | ||
| Anastasios P Liosatos | Registered representative | Apr 2021 (5y) | ||
| James Ernest Hack | Registered representative | Apr 2021 (5y) | ||
| Maya Isabel Casanova | Registered representative | Apr 2021 (5y) | ||
| Maria Jose Pessoa | Registered representative | Apr 2021 (5y) | ||
| Ruby Kay Deboer | Registered representative | Apr 2021 (5y) | ||
| Earl I Silver | Registered representative | Apr 2021 (5y) | ||
| Sandi Jodanovic | Registered representative | Apr 2021 (5y) | ||
| Ian Stuart Rice | Registered representative | Apr 2021 (5y) | ||
| Joseph Michael Farris | Registered representative | Apr 2021 (5y) | ||
| Kevin James Sullivan | Registered representative | Apr 2021 (5y) | ||
| Katherine Micek | Registered representative | Apr 2021 (5y) | ||
| Pryia Nandan Roy | Registered representative | Apr 2021 (5y) | ||
| Ralph Anthony Liberatore | Registered representative | Apr 2021 (5y) | ||
| Jean Deshazo Jumet | Registered representative | Apr 2021 (5y) | ||
| William Earl Smith | Registered representative | Apr 2021 (5y) | ||
| Deborah Diane Hines | Registered representative | Apr 2021 (5y) | ||
| Lizzette Josephine Inchaustegui | Registered representative | Apr 2021 (5y) | ||
| Pablo Cesar Annovelli | Registered representative | CFP | Apr 2021 (5y) | |
| Reynaldo Figueredo | Registered representative | Apr 2021 (5y) | ||
| Matthew Jeffrey Brookins | Registered representative | Apr 2021 (5y) | ||
| Melissa Torres Riano Torrens | Registered representative | Apr 2021 (5y) | ||
| Orlando Judas Garcia | Registered representative | Apr 2021 (5y) | ||
| Daniel Paul Eberle | Registered representative | Apr 2021 (5y) | ||
| Edwin Bryan Horner | Registered representative | Apr 2021 (5y) | ||
| John E Andrysiak | Registered representative | Apr 2021 (5y) | ||
| Joseph Elbert Freeman | Registered representative | Apr 2021 (5y) | ||
| John Ashburn Gill | Registered representative | Apr 2021 (5y) | ||
| Mari Poland Hurd | Registered representative | Apr 2021 (5y) | ||
| Timothy Andrew Collins | Registered representative | Apr 2021 (5y) | ||
| Bobby James Conville | Registered representative | Apr 2021 (5y) | ||
| Victoria Noreen Taylor | Registered representative | Apr 2021 (5y) | ||
| Griselda Uzcategui | Registered representative | Apr 2021 (5y) | ||
| Javier Ferreira | Registered representative | Apr 2021 (5y) | ||
| Jeffrey Harold Stern | Registered representative | CFP | Apr 2021 (5y) | |
| John Clayton Vallentine | Registered representative | Apr 2021 (5y) | ||
| Richard Mandel Stern | Registered representative | Apr 2021 (5y) | ||
| Norma G Robredo | Registered representative | Apr 2021 (5y) | ||
| Stephen Talbot Spraker | Registered representative | Apr 2021 (5y) | ||
| Clint B Allaman | Registered representative | Apr 2021 (5y) | ||
| James Wendling | Registered representative | Apr 2021 (5y) | ||
| Steven Paul Van Der Schaaf | Registered representative | Apr 2021 (5y) | ||
| Andrea Denise Montalvo | Registered representative | May 2021 (5y) | ||
| David Lloyd Casso | Registered representative | CFP | May 2021 (5y) | |
| Marcos Bowers | Registered representative | May 2021 (5y) | ||
| Oscar Mauricio Gonzalez | Registered representative | May 2021 (5y) | ||
| Kevin Sean Townsend | Registered representative | CFP | May 2021 (5y) | |
| Pamela Ann Fisher | Registered representative | May 2021 (5y) | ||
| Steven Ray Williams | Registered representative | May 2021 (5y) | ||
| Steven G Williams | Registered representative | CFP | May 2021 (5y) | |
| Gerard Howard Thorn | Registered representative | May 2021 (5y) | ||
| Erin Elizabeth Squires | Registered representative | May 2021 (5y) | ||
| Rafael Ignacio Sagarbarria | Registered representative | May 2021 (5y) | ||
| Marcos Ricardo Cigagna | Registered representative | May 2021 (5y) | ||
| Yahaira Fernandez | Registered representative | May 2021 (5y) | ||
| Juan Felipe Souza Legorreta | Registered representative | May 2021 (5y) | ||
| Juan Carlos Bonelli | Registered representative | May 2021 (5y) | ||
| Miguel Angel Viyella | Registered representative | May 2021 (5y) | ||
| Edward William Sheehan | Registered representative | May 2021 (5y) | ||
| James Anthony Levy | Registered representative | May 2021 (5y) | ||
| Jorge Benitez | Registered representative | May 2021 (5y) | ||
| Anthony Thomas Burns | Registered representative | CFP | May 2021 (5y) | |
| Carla Maria Inurritegui | Registered representative | May 2021 (5y) | ||
| John Gordon Burns | Registered representative | CFP | May 2021 (5y) | |
| Scott Patrick Ellis | Registered representative | May 2021 (5y) | ||
| Charles Eugene Mintz | Registered representative | May 2021 (5y) | ||
| Charles Warren Mintz | Registered representative | CFP | May 2021 (5y) | |
| David Anthony Letourneau | Registered representative | May 2021 (5y) | ||
| Emily Rogers Harvey | Registered representative | May 2021 (5y) | ||
| Timothy Calhoun Gray | Registered representative | May 2021 (5y) | ||
| Xianwei Cheng | Registered representative | May 2021 (5y) | ||
| Donald Anthony Malmo | Registered representative | May 2021 (5y) | ||
| Robin Roy Moldenhauer | Registered representative | May 2021 (5y) | ||
| Bassem M Abou Zeid | Registered representative | May 2021 (5y) | ||
| John H Sullivan | Registered representative | May 2021 (5y) | ||
| James Patrick Ritchie | Registered representative | May 2021 (5y) | ||
| Joel Courtney Moline | Registered representative | May 2021 (5y) | ||
| Scott Alan Mercer | Registered representative | May 2021 (5y) | ||
| Eric Michael Stoneman | Registered representative | May 2021 (5y) | ||
| John Mark D Dalton | Registered representative | May 2021 (5y) | ||
| Michele Lea Weiss | Registered representative | May 2021 (5y) | ||
| Richard Young Sunwoo | Registered representative | May 2021 (5y) | ||
| Andrea Kay Santiago | Registered representative | May 2021 (5y) | ||
| Fernando Riojas | Registered representative | May 2021 (5y) | ||
| Nancy Ann Smith | Registered representative | May 2021 (5y) | ||
| Gustav Albert Fingado | Registered representative | CFP | Jun 2021 (5y) | |
| Matthew Martin Walter | Registered representative | Jun 2021 (5y) | ||
| Stacey Lee Bendfelt | Registered representative | Jun 2021 (5y) | ||
| Joel Theis | Registered representative | Jun 2021 (5y) | ||
| John Matthew Boggust | Registered representative | CFP | Jun 2021 (5y) | |
| Brandon Hutson | Registered representative | Jun 2021 (5y) | ||
| Doraida Fernandez | Registered representative | Jun 2021 (5y) | ||
| Shane Patrick Hendren | Registered representative | Jun 2021 (5y) | ||
| Dafna Gold | Registered representative | Jun 2021 (5y) | ||
| Gregory Thomas Milazzo | Registered representative | Jun 2021 (5y) | ||
| Randall Francis Watsek | Registered representative | CFP CFA | Jun 2021 (5y) | |
| Al Christopher Myrie | Registered representative | Jun 2021 (5y) | ||
| Andrew Joseph Borzilleri | Registered representative | Jun 2021 (5y) | ||
| Anne Marie Pasker | Registered representative | Jun 2021 (5y) | ||
| Bruce Patrick Davis | Registered representative | Jun 2021 (5y) | ||
| Carin Jean Frederick | Registered representative | Jun 2021 (5y) | ||
| Christopher James Guttilla | Registered representative | Jun 2021 (5y) | ||
| Christopher James Swanson | Registered representative | Jun 2021 (5y) | ||
| Christopher William Mcdonagh | Registered representative | Jun 2021 (5y) | ||
| Craig John Nolan | Registered representative | Jun 2021 (5y) | ||
| David John Melian | Registered representative | Jun 2021 (5y) | ||
| David Michael Bruhowzki | Registered representative | Jun 2021 (5y) | ||
| Donna H Colucci | Registered representative | Jun 2021 (5y) | ||
| Donna Elizabeth Andersen | Registered representative | Jun 2021 (5y) | ||
| Edward George Hynes | Registered representative | Jun 2021 (5y) | ||
| Frank Pranio | Registered representative | Jun 2021 (5y) | ||
| Grace Gloria Aslanian | Registered representative | Jun 2021 (5y) | ||
| James C Pucci | Registered representative | Jun 2021 (5y) | ||
| James Martin Pucci | Registered representative | Jun 2021 (5y) | ||
| James Wang | Registered representative | Jun 2021 (5y) | ||
| Jason William Gefaell | Registered representative | Jun 2021 (5y) | ||
| Jeff D. Wolk | Registered representative | Jun 2021 (5y) | ||
| Jennifer L York Whitbeck | Registered representative | Jun 2021 (5y) | ||
| Jennifer Sofia Pucci | Registered representative | Jun 2021 (5y) | ||
| Joan Marie Ferrara | Registered representative | Jun 2021 (5y) | ||
| Joseph Anthony Vinci | Registered representative | Jun 2021 (5y) | ||
| Joseph Bartumioli | Registered representative | Jun 2021 (5y) | ||
| Karl P Cedarleaf | Registered representative | Jun 2021 (5y) | ||
| Kimberly Ann Arguello | Registered representative | Jun 2021 (5y) | ||
| Kimberly Deanne Lawrence | Registered representative | Jun 2021 (5y) | ||
| Laura Anne O'brien | Registered representative | Jun 2021 (5y) | ||
| Lisa Marie Vandetti | Registered representative | Jun 2021 (5y) | ||
| Louis Anthony Osso | Registered representative | Jun 2021 (5y) | ||
| Matthew Wayne Madlinger | Registered representative | Jun 2021 (5y) | ||
| Melissa Lynn Taylor | Registered representative | CFP | Jun 2021 (5y) | |
| Michael Anthony Gaffney | Registered representative | Jun 2021 (5y) | ||
| Michele Alice Hunter | Registered representative | Jun 2021 (5y) | ||
| Michael Lawrence Caruso | Registered representative | Jun 2021 (5y) | ||
| Nicholas Karl Mennona | Registered representative | Jun 2021 (5y) | ||
| Patrick Michael Dowden | Registered representative | Jun 2021 (5y) | ||
| Randall P. Trahan | Registered representative | CFP | Jun 2021 (5y) | |
| Rosalind Anna Mouzouris | Registered representative | Jun 2021 (5y) | ||
| Russell William Johnson | Registered representative | Jun 2021 (5y) | ||
| Samuel Ashish Parmar | Registered representative | Jun 2021 (5y) | ||
| Stephanie Kelly | Registered representative | Jun 2021 (5y) | ||
| Steven T Zacharczyk | Registered representative | Jun 2021 (5y) | ||
| Susan Knopp Hite | Registered representative | Jun 2021 (5y) | ||
| Susan Ruth Cohn | Registered representative | Jun 2021 (5y) | ||
| Stephen Douglas Parker | Registered representative | Jun 2021 (5y) | ||
| Tara J Chenoweth | Registered representative | Jun 2021 (5y) | ||
| William Joseph Jackowski | Registered representative | Jun 2021 (5y) | ||
| Linda Anne O Loughlin | Registered representative | Jun 2021 (5y) | ||
| Matthew Ian Warshaw | Registered representative | Jun 2021 (5y) | ||
| Diego Kapelusznik | Registered representative | Jun 2021 (5y) | ||
| Emerson Matthews Brown | Registered representative | CFP | Jun 2021 (5y) | |
| Heather Elaine Hickman | Registered representative | Jun 2021 (5y) | ||
| Darrell Stephen Thomas | Registered representative | Jun 2021 (5y) | ||
| Demetrios Evangelos Protopapadakis | Registered representative | Jun 2021 (5y) | ||
| Harry Lee Pence | Registered representative | Jun 2021 (5y) | ||
| James Whitfield Warren | Registered representative | Jun 2021 (5y) | ||
| Jammie Lynn Perri | Registered representative | Jun 2021 (5y) | ||
| Nicholas Robert Rindock | Registered representative | Jun 2021 (5y) | ||
| Victor Simon Gill | Registered representative | Jun 2021 (5y) | ||
| Andrew Robert Lybrook | Registered representative | Jun 2021 (5y) | ||
| Kristin Elizabeth Kehl | Registered representative | Jun 2021 (5y) | ||
| Amy Elizabeth Smart | Registered representative | Jun 2021 (5y) | ||
| Kevin William Kiesel | Registered representative | Jun 2021 (5y) | ||
| Douglas Richard Amick | Registered representative | Jun 2021 (5y) | ||
| Kevin David Hudson | Registered representative | Jun 2021 (5y) | ||
| Sheryl Ann Barron | Registered representative | Jun 2021 (5y) | ||
| Tommy Edward Elms | Registered representative | Jul 2021 (5y) | ||
| Alberto Sisso | Registered representative | Jul 2021 (5y) | ||
| Ana Rebeca Maimon | Registered representative | Jul 2021 (5y) | ||
| Jennifer Pidala Rodriguez | Registered representative | Jul 2021 (5y) | ||
| Mason Windsor Wellborn | Registered representative | Jul 2021 (5y) | ||
| Ximena Maria Gomez | Registered representative | Jul 2021 (5y) | ||
| Nicholas J Peregoy | Registered representative | Jul 2021 (5y) | ||
| Matthew Rene Brunner | Registered representative | Jul 2021 (5y) | ||
| Mitshel Kein Lavander | Registered representative | Jul 2021 (5y) | ||
| Evan T Rush | Registered representative | Jul 2021 (5y) | ||
| Jack Thomas Mitchell | Registered representative | Jul 2021 (5y) | ||
| Michael Anthony Velarde | Registered representative | Jul 2021 (5y) | ||
| Selina Holguin Lucero | Registered representative | Jul 2021 (5y) | ||
| Henri Castro | Registered representative | Jul 2021 (5y) | ||
| Kimberly Sue Snyder | Registered representative | Jul 2021 (5y) | ||
| Rachel Weiss | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas Arthur Saunders | Registered representative | Jul 2021 (5y) | ||
| Arthur Leo Coleman | Registered representative | Jul 2021 (5y) | ||
| Bryan Eldie Morgan | Registered representative | Jul 2021 (5y) | ||
| Carlos Eduardo Paez | Registered representative | Jul 2021 (5y) | ||
| Matthew R Wilbur | Registered representative | Jul 2021 (5y) | ||
| Sarah Leadbitter Allen | Registered representative | Jul 2021 (5y) | ||
| Gil Rubio | Registered representative | CFP | Jul 2021 (5y) | |
| Zachary Theis | Registered representative | Jul 2021 (5y) | ||
| Christina Irene Lira | Registered representative | Jul 2021 (5y) | ||
| Jessica Wasserman Hall | Registered representative | Jul 2021 (5y) | ||
| Martin Fletcher Talley | Registered representative | Jul 2021 (5y) | ||
| Michael Dean Tangalakis | Registered representative | Jul 2021 (5y) | ||
| Peppi Pence Talley | Registered representative | Jul 2021 (5y) | ||
| Sara Wade | Registered representative | Jul 2021 (5y) | ||
| Jeannie Marie Whitlock Gravelle | Registered representative | Jul 2021 (5y) | ||
| Christopher Beavers | Registered representative | Jul 2021 (5y) | ||
| Emma Dutton Beavers | Registered representative | Jul 2021 (5y) | ||
| Mara Lynne Klein Ming | Registered representative | Jul 2021 (5y) | ||
| Matthew Dennis Beavers | Registered representative | Jul 2021 (5y) | ||
| Patricia Ann Wilson | Registered representative | Aug 2021 (5y) | ||
| Elyse Catherine Loeser | Registered representative | Aug 2021 (5y) | ||
| Lukas O.M. Bridenbeck | Registered representative | CFP | Aug 2021 (5y) | |
| Philip Carson Cox | Registered representative | Aug 2021 (5y) | ||
| Taylor Rose Fajkus | Registered representative | Aug 2021 (5y) | ||
| Eileen Grady | Registered representative | Aug 2021 (5y) | ||
| Ian Paul Macdonald | Registered representative | Aug 2021 (5y) | ||
| Shelley Titus | Registered representative | Aug 2021 (5y) | ||
| Adam English | Registered representative | Aug 2021 (5y) | ||
| Robert Byron Richardson | Registered representative | Aug 2021 (5y) | ||
| Jeffrey Adam Little | Registered representative | Aug 2021 (5y) | ||
| Alan Robert Rosenberg | Registered representative | Aug 2021 (5y) | ||
| David Skilton | Registered representative | Aug 2021 (5y) | ||
| Rebecca Leigh Schroeder | Registered representative | Aug 2021 (5y) | ||
| Dana Jolly Seiber | Registered representative | Aug 2021 (5y) | ||
| Francine A Payson | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Kimberly C Smith | Registered representative | Aug 2021 (5y) | ||
| Houston L Richards | Registered representative | Aug 2021 (5y) | ||
| James Christian Hack | Registered representative | CFP | Aug 2021 (5y) | |
| Tarek Z Salhab | Registered representative | Aug 2021 (5y) | ||
| Davis Michael Craw | Registered representative | Aug 2021 (5y) | ||
| Tricia Scardino O'neil | Registered representative | CFA | Aug 2021 (5y) | |
| Rees L Petersen | Registered representative | CFA | Aug 2021 (5y) | |
| Robert Earl Morris | Registered representative | Aug 2021 (5y) | ||
| Henry Lincourt Corcoran | Registered representative | Aug 2021 (5y) | ||
| Nancy Diane Stern | Registered representative | Aug 2021 (5y) | ||
| Richard Barrett Austin | Registered representative | Aug 2021 (5y) | ||
| Robert Lee Yi | Registered representative | Aug 2021 (5y) | ||
| Michael George Graham | Registered representative | Aug 2021 (5y) | ||
| James Michael Cohen | Registered representative | Sep 2021 (5y) | ||
| Michael Daniel Mclaughlin | Registered representative | Sep 2021 (5y) | ||
| Ofer Levy | Registered representative | Sep 2021 (5y) | ||
| David Chad Tanis | Registered representative | Sep 2021 (5y) | ||
| Patricia Valenzuela | Registered representative | Sep 2021 (5y) | ||
| Leslie Travis Mcintosh | Registered representative | Sep 2021 (5y) | ||
| Michael Glenn Bedsole | Registered representative | CFP | Sep 2021 (5y) | |
| Alejandro Triana | Registered representative | Sep 2021 (5y) | ||
| Joseph William Sheppard | Registered representative | Sep 2021 (5y) | ||
| Zachary Jacob Mekler | Registered representative | Sep 2021 (5y) | ||
| Cameron Ahari | Registered representative | Sep 2021 (5y) | ||
| Eric Albert Gustafson | Registered representative | CFP | Sep 2021 (5y) | |
| Steven Wayne Gustafson | Registered representative | Sep 2021 (5y) | ||
| Gabrielle Margaret Conforti | Registered representative | Sep 2021 (5y) | ||
| Lisa Anne Carey | Registered representative | Sep 2021 (5y) | ||
| Preston Paul Tagaras | Registered representative | Sep 2021 (5y) | ||
| Juan Martin Recio | Registered representative | Sep 2021 (5y) | ||
| Daniel Mark Tye | Registered representative | Sep 2021 (5y) | ||
| Christine M Satterfield | Registered representative | Sep 2021 (5y) | ||
| Erold Merko | Registered representative | Sep 2021 (5y) | ||
| William Edward Burmeister | Registered representative | Chartered Financial Consultant | Sep 2021 (5y) | |
| Paola Gonnet | Registered representative | Sep 2021 (5y) | ||
| Todd Michael Kluener | Registered representative | Sep 2021 (5y) | ||
| Jeffrey Kyle Soltman | Registered representative | Sep 2021 (5y) | ||
| Kimberly Lee Sellnow | Registered representative | Sep 2021 (5y) | ||
| Michael Elliot Sigmond | Registered representative | Sep 2021 (5y) | ||
| Kristin Lysak | Registered representative | Sep 2021 (5y) | ||
| Edward Emmett Carroll | Registered representative | Sep 2021 (5y) | ||
| Gregory Alan Fairfield | Registered representative | Sep 2021 (5y) | ||
| Jacob Verdoorn | Registered representative | Sep 2021 (5y) | ||
| Linda Diane Stirling | Registered representative | Sep 2021 (5y) | ||
| Lisa Gail Barker | Registered representative | Sep 2021 (5y) | ||
| Benjamin Kenneth Clauss | Registered representative | CFA | Sep 2021 (5y) | |
| Bradley James La Rue | Registered representative | Sep 2021 (5y) | ||
| Charles Alvin Murray | Registered representative | Sep 2021 (5y) | ||
| James Emery Gendron | Registered representative | CFP | Sep 2021 (5y) | |
| Matthew Steven Hary | Registered representative | Sep 2021 (5y) | ||
| Michael Edward Mcnamee | Registered representative | Sep 2021 (5y) | ||
| William Douglas Ellison | Registered representative | Sep 2021 (5y) | ||
| Brent Steven Elyea | Registered representative | Sep 2021 (5y) | ||
| Charles Michael Cooper | Registered representative | Sep 2021 (5y) | ||
| Jon Scott Blair | Registered representative | Sep 2021 (5y) | ||
| Matthew S Blair | Registered representative | Sep 2021 (5y) | ||
| Michael Jack Kritikos | Registered representative | Sep 2021 (5y) | ||
| Suzanne Watson Jenner | Registered representative | Sep 2021 (5y) | ||
| Thomas Gerard Stuhlsatz | Registered representative | Sep 2021 (5y) | ||
| Mark Douglas Sullivan | Registered representative | Oct 2021 (5y) | ||
| Michael David Simmerman | Registered representative | Oct 2021 (5y) | ||
| Ryan Warner Rothermund | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Alec James Nasto | Registered representative | Oct 2021 (5y) | ||
| Ricardo De La Torre | Registered representative | Oct 2021 (5y) | ||
| Eric Armstrong Williams | Registered representative | CFP Chartered Financial Consultant | Oct 2021 (5y) | |
| Joshua Matthew Garrett | Registered representative | Oct 2021 (5y) | ||
| Justin Ray Hissong | Registered representative | Oct 2021 (5y) | ||
| Alison Kosman | Registered representative | Oct 2021 (5y) | ||
| Daniel P Levin | Registered representative | Oct 2021 (5y) | ||
| Jason Albert Scarpellini | Registered representative | CFP | Oct 2021 (5y) | |
| Tyler J Brown | Registered representative | Oct 2021 (5y) | ||
| Andrew Olson Walther | Registered representative | CFP | Oct 2021 (5y) | |
| Ronald Humberto Llano | Registered representative | Oct 2021 (5y) | ||
| Lynn Brown Young | Registered representative | Oct 2021 (5y) | ||
| Brian Trymbiski | Registered representative | Oct 2021 (5y) | ||
| Diane M Galvin | Registered representative | Oct 2021 (5y) | ||
| Jesse F Brookreson | Registered representative | Oct 2021 (5y) | ||
| Jessica Rasely Hymel | Registered representative | Oct 2021 (5y) | ||
| Donald R Dentinger | Registered representative | Oct 2021 (5y) | ||
| Rebecca Ann Lovan | Registered representative | Oct 2021 (5y) | ||
| Robert Bosley Cregor | Registered representative | CFA | Oct 2021 (5y) | |
| Jose Ramon Diaz | Registered representative | Oct 2021 (5y) | ||
| Astrid Rodriguez Carranza | Registered representative | Oct 2021 (5y) | ||
| Christopher R Hanly | Registered representative | CFP | Oct 2021 (5y) | |
| Robert Arthur Dunn | Registered representative | Oct 2021 (5y) | ||
| William Lawrence Connelly | Registered representative | Oct 2021 (5y) | ||
| Grant Gilbert | Registered representative | CFP | Oct 2021 (5y) | |
| Sonnia Viyella | Registered representative | Oct 2021 (5y) | ||
| Eve Maria Gunther | Registered representative | Oct 2021 (5y) | ||
| Laura Jane Grewe | Registered representative | Oct 2021 (5y) | ||
| Laurel Beth Heiligstedt | Registered representative | Oct 2021 (5y) | ||
| Jenna Lynn Mielke | Registered representative | CFP | Oct 2021 (5y) | |
| Christopher D. La Rue | Registered representative | Oct 2021 (5y) | ||
| Veronica Cereceda | Registered representative | Oct 2021 (5y) | ||
| Jason Andrew Kristof | Registered representative | Oct 2021 (5y) | ||
| Mark Russel Kean | Registered representative | Oct 2021 (5y) | ||
| Paul Anthony Manfrey | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Ruth Ann Rozankovich | Registered representative | Oct 2021 (5y) | ||
| Edward Colin Long | Registered representative | Nov 2021 (5y) | ||
| Gregory Keith Bell | Registered representative | Nov 2021 (5y) | ||
| Thomas Alan Killingsworth | Registered representative | CFP | Nov 2021 (5y) | |
| Jennifer Lynn Main | Registered representative | CFP | Nov 2021 (5y) | |
| Sean Coen | Registered representative | Nov 2021 (5y) | ||
| Craig Michael De Long | Registered representative | Nov 2021 (5y) | ||
| Stephen P. Sackman | Registered representative | Nov 2021 (5y) | ||
| Marshall William Roy | Registered representative | Nov 2021 (5y) | ||
| Lisa C Mendis | Registered representative | Nov 2021 (5y) | ||
| Matthew Edward Assunto | Registered representative | Nov 2021 (5y) | ||
| Ryan D Doherty | Registered representative | Nov 2021 (5y) | ||
| Renee Kimberly Ramtahal | Registered representative | Nov 2021 (5y) | ||
| Brian William Baird | Registered representative | Nov 2021 (5y) | ||
| Christopher Lee Hudson | Registered representative | Nov 2021 (5y) | ||
| Daniel Fetty | Registered representative | Nov 2021 (5y) | ||
| Matt John Vanden Heuvel | Registered representative | Nov 2021 (5y) | ||
| Brian Martin Fornuto | Registered representative | Nov 2021 (5y) | ||
| Jon Rorke Remund | Registered representative | Nov 2021 (5y) | ||
| Adam J Gee | Registered representative | Nov 2021 (5y) | ||
| Zacharie Scott Bethel | Registered representative | Nov 2021 (5y) | ||
| Taylor Brownlee Jessie | Registered representative | Nov 2021 (5y) | ||
| Brandi L Greenleaf Barnes | Registered representative | Nov 2021 (5y) | ||
| James Clark Harmon | Registered representative | Nov 2021 (5y) | ||
| Kim Nikki Shechtman | Registered representative | Nov 2021 (5y) | ||
| Anothip Zimmerman | Registered representative | Nov 2021 (5y) | ||
| Melissa Carolina Martinez | Registered representative | Nov 2021 (5y) | ||
| Beau Jonathan Miller | Registered representative | Dec 2021 (5y) | ||
| Benjamin Ross Crayton | Registered representative | CFA | Dec 2021 (5y) | |
| Daniel Lebovitch | Registered representative | Dec 2021 (5y) | ||
| John Michael Clower | Registered representative | CFA | Dec 2021 (5y) | |
| Yonatan Reiss Marom | Registered representative | Dec 2021 (5y) | ||
| David Anthony Williams | Registered representative | Dec 2021 (5y) | ||
| Kevin Connor Scull | Registered representative | Dec 2021 (5y) | ||
| Yaakov Ari Ringler | Registered representative | Dec 2021 (5y) | ||
| Nicole Jane Mccuskey | Registered representative | Dec 2021 (5y) | ||
| Ross Charnley Hamilton | Registered representative | CFP | Dec 2021 (5y) | |
| Michael John Albrecht | Registered representative | Dec 2021 (5y) | ||
| Jeffrey Brock Little | Registered representative | Dec 2021 (5y) | ||
| Matthew Gallion | Registered representative | Dec 2021 (5y) | ||
| Amber Lenora Dietz | Registered representative | Dec 2021 (5y) | ||
| Fredy Bulla | Registered representative | Dec 2021 (5y) | ||
| John Williams | Registered representative | Dec 2021 (5y) | ||
| Thomas Joseph Powers | Registered representative | Dec 2021 (5y) | ||
| Tara A Santoro | Registered representative | Dec 2021 (5y) | ||
| S. Reed Grant | Registered representative | Dec 2021 (5y) | ||
| Jacob Haas | Registered representative | Dec 2021 (5y) | ||
| Lindsay Fitzgerald Mcleod | Registered representative | Dec 2021 (5y) | ||
| Jeffrey M Goldberg | Registered representative | Dec 2021 (5y) | ||
| Karen Mccloskey Lane | Registered representative | Dec 2021 (5y) | ||
| Elisabeth Erausquin Nethery | Registered representative | Dec 2021 (5y) | ||
| Caroline Elise Kearney | Registered representative | Jan 2022 (5y) | ||
| Leah Leslie Watkins | Registered representative | Jan 2022 (5y) | ||
| Sophia Patti | Registered representative | Jan 2022 (5y) | ||
| Lance O'brian Murphy | Registered representative | Jan 2022 (5y) | ||
| Alicia Lynn Forest | Registered representative | Jan 2022 (5y) | ||
| James Eugene Wohlford | Registered representative | Jan 2022 (5y) | ||
| Neal Benjamin Hickey | Registered representative | Jan 2022 (5y) | ||
| Robert Richard Moseley | Registered representative | Jan 2022 (5y) | ||
| Jacob James Kopczyk | Registered representative | Jan 2022 (5y) | ||
| Frederick James Rickey | Registered representative | Jan 2022 (5y) | ||
| Kayla Byler | Registered representative | Jan 2022 (5y) | ||
| Crystal Tiara Gil | Registered representative | Jan 2022 (5y) | ||
| Stephanie Martel Kerr | Registered representative | Jan 2022 (5y) | ||
| Charles Peter Albrecht | Registered representative | Jan 2022 (5y) | ||
| Henry P. Hessel | Registered representative | Jan 2022 (5y) | ||
| Ronald J Leipzig | Registered representative | Jan 2022 (5y) | ||
| Luis Fernando Campoo | Registered representative | Jan 2022 (5y) | ||
| Matthew Reid Herring | Registered representative | Jan 2022 (5y) | ||
| Andrew Alvine | Registered representative | Jan 2022 (5y) | ||
| Richard Allen Foster | Registered representative | Jan 2022 (5y) | ||
| Alfonso Giudici | Registered representative | Jan 2022 (5y) | ||
| Ariel Rebecca Urban | Registered representative | Jan 2022 (5y) | ||
| Lindsay L Cornette | Registered representative | Jan 2022 (5y) | ||
| Silas William Gassett | Registered representative | Jan 2022 (5y) | ||
| Dawson Wayne Carpenter | Registered representative | Feb 2022 (5y) | ||
| William Graham Ellenberg | Registered representative | CFP | Feb 2022 (4y) | |
| John Everett Killingsworth | Registered representative | Feb 2022 (4y) | ||
| Kimberly Ervin James | Registered representative | Feb 2022 (4y) | ||
| Shelley Ann Ragoonanan | Registered representative | Feb 2022 (4y) | ||
| Adam Duffy Kamp | Registered representative | Feb 2022 (4y) | ||
| Casey Sage | Registered representative | Feb 2022 (4y) | ||
| Joseph Paul Debonis | Registered representative | Feb 2022 (4y) | ||
| Justin Hein | Registered representative | Feb 2022 (4y) | ||
| William Grove Stewart | Registered representative | Feb 2022 (4y) | ||
| Jason Charles Jackson | Registered representative | Feb 2022 (4y) | ||
| William Grove Stewart | Registered representative | Feb 2022 (4y) | ||
| Kenneth Arthur Phillips | Registered representative | Feb 2022 (4y) | ||
| Kevin Barry Mahoney | Registered representative | Feb 2022 (4y) | ||
| Mollie Anne Marot | Registered representative | Feb 2022 (4y) | ||
| Charles Vernon Noyes | Registered representative | Feb 2022 (4y) | ||
| Joel John Gravina | Registered representative | Feb 2022 (4y) | ||
| Ryan Paul Finglass | Registered representative | Feb 2022 (4y) | ||
| John Patrick Patat | Registered representative | Feb 2022 (4y) | ||
| Juan Muñoz | Registered representative | Feb 2022 (4y) | ||
| James Michael Moreno | Registered representative | Feb 2022 (4y) | ||
| Keith Wagner | Registered representative | Feb 2022 (4y) | ||
| David Charles Vallie | Registered representative | Feb 2022 (4y) | ||
| Eric K Wrightsel | Registered representative | Feb 2022 (4y) | ||
| Michael Anania | Registered representative | Feb 2022 (4y) | ||
| Mitchel Vallie | Registered representative | CFP | Feb 2022 (4y) | |
| Dusty G. Kanute | Registered representative | Feb 2022 (4y) | ||
| Jeffrey Michael Frankos | Registered representative | Feb 2022 (4y) | ||
| Kenneth J. Vercellino | Registered representative | Feb 2022 (4y) | ||
| Matthew J. Kuraya Ziyadeh | Registered representative | Feb 2022 (4y) | ||
| Tracey M Manzi | Registered representative | CFA | Feb 2022 (4y) | |
| Amy Glover Hefner | Registered representative | Mar 2022 (4y) | ||
| Gregory Joseph Costello | Registered representative | Mar 2022 (4y) | ||
| Jake J. Phillips | Registered representative | Mar 2022 (4y) | ||
| Mark Allen De Gon | Registered representative | Mar 2022 (4y) | ||
| Steve C Harman | Registered representative | Mar 2022 (4y) | ||
| Cassie Marie Panzenbeck | Registered representative | Mar 2022 (4y) | ||
| Eugene Ray Rushton | Registered representative | Mar 2022 (4y) | ||
| Peyton Walker Haley | Registered representative | Mar 2022 (4y) | ||
| Bruno Perez | Registered representative | Mar 2022 (4y) | ||
| Gregory Brett Sapp | Registered representative | Mar 2022 (4y) | ||
| Jeremy Boyd Jones | Registered representative | Mar 2022 (4y) | ||
| Brian Scott Heberle | Registered representative | Mar 2022 (4y) | ||
| Craig Michael Cacini | Registered representative | CFP | Mar 2022 (4y) | |
| Erica Mongello Anastos | Registered representative | Mar 2022 (4y) | ||
| Leslie Jo Hewitt | Registered representative | Mar 2022 (4y) | ||
| Cheryl Ann Reed | Registered representative | Mar 2022 (4y) | ||
| Dustin Robert Helm | Registered representative | Mar 2022 (4y) | ||
| Eileen Maria Murphy | Registered representative | Mar 2022 (4y) | ||
| Ian Kane | Registered representative | Mar 2022 (4y) | ||
| John Charles Ferguson | Registered representative | Mar 2022 (4y) | ||
| Jason Matthew Hearn | Registered representative | Mar 2022 (4y) | ||
| Michelle A Loney | Registered representative | Mar 2022 (4y) | ||
| Marcelo Bestard | Registered representative | Mar 2022 (4y) | ||
| Sergio Mariscal Lozano | Registered representative | Mar 2022 (4y) | ||
| Laurie Zastawrny | Registered representative | Mar 2022 (4y) | ||
| Desiree Krystal Lujan | Registered representative | Mar 2022 (4y) | ||
| Glenn William Elmblad | Registered representative | Mar 2022 (4y) | ||
| Kristina Rumenova Doncheva Aldana | Registered representative | Mar 2022 (4y) | ||
| Cody Summerall | Registered representative | Mar 2022 (4y) | ||
| Michael William Murphy | Registered representative | Mar 2022 (4y) | ||
| David Corey Maxfield | Registered representative | Mar 2022 (4y) | ||
| E'lea Cooper Grant | Registered representative | Mar 2022 (4y) | ||
| Mark S Fuqua | Registered representative | Mar 2022 (4y) | ||
| Peter Attila Nagy | Registered representative | CFP | Mar 2022 (4y) | |
| Timothy John Colosimo | Registered representative | Mar 2022 (4y) | ||
| Adam Joseph Garber | Registered representative | Apr 2022 (4y) | ||
| Beau C Moyer | Registered representative | Apr 2022 (4y) | ||
| Christa L Ziegler | Registered representative | Apr 2022 (4y) | ||
| Drew M. Brown | Registered representative | Apr 2022 (4y) | ||
| Danielle C Knox | Registered representative | Apr 2022 (4y) | ||
| Danielle Eugenia Albert | Registered representative | Apr 2022 (4y) | ||
| Joanne B Bills | Registered representative | Apr 2022 (4y) | ||
| Jason Richard Frischknecht | Registered representative | Apr 2022 (4y) | ||
| Matthew Hartstein | Registered representative | Apr 2022 (4y) | ||
| Matthew Mattice | Registered representative | CFP Chartered Financial Consultant | Apr 2022 (4y) | |
| Ryan A Moyer | Registered representative | Apr 2022 (4y) | ||
| Steven J Moyer | Registered representative | Apr 2022 (4y) | ||
| Tobin Mcwilliams Hunsinger | Registered representative | Apr 2022 (4y) | ||
| Ana Imias Ansara | Registered representative | Apr 2022 (4y) | ||
| Darius Tremaine Dion Sabbides | Registered representative | Apr 2022 (4y) | ||
| Kurt H Klingenberg | Registered representative | Apr 2022 (4y) | ||
| Mark Allen Moyer | Registered representative | Apr 2022 (4y) | ||
| Sean Elliot Buck | Registered representative | Apr 2022 (4y) | ||
| Anthony Garcia | Registered representative | Apr 2022 (4y) | ||
| Geoffrey Williamson Japchen | Registered representative | Apr 2022 (4y) | ||
| Carla Ann Johnson | Registered representative | Apr 2022 (4y) | ||
| Kevin Alfred Ramos | Registered representative | Apr 2022 (4y) | ||
| Ronald Raymond Desbois | Registered representative | Apr 2022 (4y) | ||
| David Osborne Gillaspy | Registered representative | Apr 2022 (4y) | ||
| Donald Lee Moss | Registered representative | Apr 2022 (4y) | ||
| Anita P Sawrie | Registered representative | Apr 2022 (4y) | ||
| Austin Paul Ringquist | Registered representative | CFP | Apr 2022 (4y) | |
| Dane Michael Pinter | Registered representative | CFP | Apr 2022 (4y) | |
| Kevin Lane Cooper | Registered representative | Apr 2022 (4y) | ||
| Stephen Albert Labate | Registered representative | Apr 2022 (4y) | ||
| Gregory Brian Fieger | Registered representative | Apr 2022 (4y) | ||
| Nancy Marvel Gillespie | Registered representative | Apr 2022 (4y) | ||
| Edward Joseph James | Registered representative | Apr 2022 (4y) | ||
| Mary F Williams | Registered representative | Apr 2022 (4y) | ||
| Michael Davis Barker | Registered representative | Apr 2022 (4y) | ||
| Brian Craig Moran | Registered representative | Apr 2022 (4y) | ||
| Brian Mark Daniel | Registered representative | Apr 2022 (4y) | ||
| Brian Anthony Berns | Registered representative | Apr 2022 (4y) | ||
| Christopher David Gibbs | Registered representative | Apr 2022 (4y) | ||
| Lloyd Edward Gaw | Registered representative | CFP | Apr 2022 (4y) | |
| Alison Leslie Lewis | Registered representative | Apr 2022 (4y) | ||
| Cheryl Lynn Forbes | Registered representative | Apr 2022 (4y) | ||
| Jarrod Bruce Dawson | Registered representative | Apr 2022 (4y) | ||
| Paula Marie Morris Grieve | Registered representative | Apr 2022 (4y) | ||
| Robert M. Persons | Registered representative | Apr 2022 (4y) | ||
| Lianne Weber | Registered representative | Apr 2022 (4y) | ||
| David John Whaley | Registered representative | Apr 2022 (4y) | ||
| Patricia Anne Schrader | Registered representative | Apr 2022 (4y) | ||
| Alissa Nance Maness | Registered representative | Apr 2022 (4y) | ||
| Brantley Davis Hathaway | Registered representative | Apr 2022 (4y) | ||
| Mary Sarres Nelson | Registered representative | Apr 2022 (4y) | ||
| Rebecca Jane Gordon | Registered representative | Apr 2022 (4y) | ||
| Robert Steven Handley | Registered representative | Apr 2022 (4y) | ||
| Jeremy Charles Devin | Registered representative | May 2022 (4y) | ||
| Mary Alice Fuentes Ford | Registered representative | May 2022 (4y) | ||
| Michael S Taras | Registered representative | May 2022 (4y) | ||
| Noel E Christian Brewer | Registered representative | May 2022 (4y) | ||
| Regina Monell Taras | Registered representative | CFP | May 2022 (4y) | |
| Aaron Jeffrey Wolk | Registered representative | May 2022 (4y) | ||
| Blake Anthony Brignac | Registered representative | CFP | May 2022 (4y) | |
| Jiameng Cai | Registered representative | May 2022 (4y) | ||
| Jordan Robbins Hampton | Registered representative | May 2022 (4y) | ||
| Mitchell Ryan Woods | Registered representative | CFP | May 2022 (4y) | |
| William Maddox Wilkinson | Registered representative | May 2022 (4y) | ||
| Parker Miles Logan | Registered representative | May 2022 (4y) | ||
| Taylor Nicole Keiderling | Registered representative | May 2022 (4y) | ||
| Steven Randall Head | Registered representative | May 2022 (4y) | ||
| Deborah L Ardoin | Registered representative | May 2022 (4y) | ||
| Jennifer Jean Sturm | Registered representative | May 2022 (4y) | ||
| Mackenzie Jade Wright | Registered representative | CFP | May 2022 (4y) | |
| Jonathan Paul Lentz | Registered representative | CFP | May 2022 (4y) | |
| Blaine Middlebrook | Registered representative | May 2022 (4y) | ||
| Joshua Mikolowsky | Registered representative | May 2022 (4y) | ||
| Steven Patrick Whelan | Registered representative | May 2022 (4y) | ||
| Rhonda Lynn Mcniel | Registered representative | May 2022 (4y) | ||
| Michelle Louise Gaiser | Registered representative | May 2022 (4y) | ||
| Joan Mcgrath | Registered representative | May 2022 (4y) | ||
| Maggie Mae Bihm | Registered representative | May 2022 (4y) | ||
| Robert Liddy Zolper | Registered representative | May 2022 (4y) | ||
| Vincent Frank Signorile | Registered representative | CFP | May 2022 (4y) | |
| Ambrose Dudley Harris | Registered representative | May 2022 (4y) | ||
| Michael Albert Kosup | Registered representative | May 2022 (4y) | ||
| Jean Ann Buckholz | Registered representative | May 2022 (4y) | ||
| Ronald Craig Betten | Registered representative | Jun 2022 (4y) | ||
| Andrew Michael Benedict Kritikos | Registered representative | CFP | Jun 2022 (4y) | |
| Gregory Phillip Malec | Registered representative | Jun 2022 (4y) | ||
| Bobby E Crouch | Registered representative | Jun 2022 (4y) | ||
| Benjamin Mills | Registered representative | Jun 2022 (4y) | ||
| James Francis Signorile | Registered representative | Jun 2022 (4y) | ||
| Meagan Mcbee Tourtellotte | Registered representative | Jun 2022 (4y) | ||
| Christie Lee Freas | Registered representative | Jun 2022 (4y) | ||
| Julie Morrison Campbell | Registered representative | Jun 2022 (4y) | ||
| Jeffrey Daniel Schoff | Registered representative | Jun 2022 (4y) | ||
| Kevin Jason Nashbar | Registered representative | Jun 2022 (4y) | ||
| Jessica Nicosia Ourso | Registered representative | Jun 2022 (4y) | ||
| Kathleen Mary Manickas | Registered representative | Jun 2022 (4y) | ||
| Stefano Rosellini | Registered representative | Jun 2022 (4y) | ||
| Kenneth Henry Smail | Registered representative | Jun 2022 (4y) | ||
| Milena Diaz | Registered representative | Jun 2022 (4y) | ||
| Simon Alexander Rawlinson | Registered representative | CFP | Jun 2022 (4y) | |
| Kim Camile Schell | Registered representative | Jun 2022 (4y) | ||
| Karen Lynn Givens | Registered representative | Jun 2022 (4y) | ||
| Stacy Ferguson Brown | Registered representative | Jun 2022 (4y) | ||
| Claudio Salazar | Registered representative | Jun 2022 (4y) | ||
| Carlos Andres Gutierrez | Registered representative | Jun 2022 (4y) | ||
| Miguel Angel Gonzalez | Registered representative | Jun 2022 (4y) | ||
| Thomas Roy Isaacs | Registered representative | Jun 2022 (4y) | ||
| David D Duvigneaud | Registered representative | Jun 2022 (4y) | ||
| Barbara Ducham | Registered representative | Jun 2022 (4y) | ||
| Jose Antonio Marrero | Registered representative | CFP Chartered Financial Consultant | Jun 2022 (4y) | |
| Leslie Onita Sousa | Registered representative | Jun 2022 (4y) | ||
| Travis W Thompson | Registered representative | Jun 2022 (4y) | ||
| Foster S Gaylor | Registered representative | Jun 2022 (4y) | ||
| Kalley J'nay Hawkins | Registered representative | Jun 2022 (4y) | ||
| Daniel Aaron Friedman | Registered representative | Jun 2022 (4y) | ||
| Joshua A Milrad | Registered representative | Jun 2022 (4y) | ||
| Tina Marie Grahl | Registered representative | Jun 2022 (4y) | ||
| James Gray Galloway | Registered representative | Jul 2022 (4y) | ||
| Jeffrey John Votruba | Registered representative | Jul 2022 (4y) | ||
| Marcus Brannon | Registered representative | Jul 2022 (4y) | ||
| Bonnie Perkins | Registered representative | Jul 2022 (4y) | ||
| Tyler Wade Oneil Mc Call | Registered representative | Jul 2022 (4y) | ||
| Conrad Thomas Hayes | Registered representative | Jul 2022 (4y) | ||
| Claire Elizabeth Cooney | Registered representative | Jul 2022 (4y) | ||
| Francesco Martello | Registered representative | Jul 2022 (4y) | ||
| Scott Matthew Miller | Registered representative | Jul 2022 (4y) | ||
| Mychal Barret Dickinson | Registered representative | Jul 2022 (4y) | ||
| Amy Dawn Polasek | Registered representative | Jul 2022 (4y) | ||
| Steven Michael Segrist | Registered representative | Jul 2022 (4y) | ||
| William Bradford Sullivan | Registered representative | Jul 2022 (4y) | ||
| Christopher M Mueller | Registered representative | Jul 2022 (4y) | ||
| Sharon Redmond | Registered representative | Jul 2022 (4y) | ||
| Trevor Ronderos | Registered representative | Jul 2022 (4y) | ||
| Justin Bowers | Registered representative | Jul 2022 (4y) | ||
| Jessica Louise Applegate | Registered representative | Jul 2022 (4y) | ||
| Connor Riley Olsen | Registered representative | Jul 2022 (4y) | ||
| William Henry Atha | Registered representative | Jul 2022 (4y) | ||
| Kimberly Dawn Pruitt | Registered representative | Aug 2022 (4y) | ||
| Paul David Bush | Registered representative | Aug 2022 (4y) | ||
| Aric Dean Vickrey | Registered representative | Aug 2022 (4y) | ||
| Eric Anders Johnson | Registered representative | Aug 2022 (4y) | ||
| Kaila Lanette Williams | Registered representative | Aug 2022 (4y) | ||
| Mark Edward Thannisch | Registered representative | Aug 2022 (4y) | ||
| William Wilson Thannisch | Registered representative | CFP | Aug 2022 (4y) | |
| Charles Earl Betts | Registered representative | Aug 2022 (4y) | ||
| Christina La Jaunie Sullivan | Registered representative | Aug 2022 (4y) | ||
| Matthew Conway Williams | Registered representative | Aug 2022 (4y) | ||
| Cortney Laine Baroni | Registered representative | Aug 2022 (4y) | ||
| Thomas Peyton Cockrell | Registered representative | Aug 2022 (4y) | ||
| John Milton Haas | Registered representative | Aug 2022 (4y) | ||
| Jamie Wayne Howells | Registered representative | Aug 2022 (4y) | ||
| Kevin Worthington Latta | Registered representative | Aug 2022 (4y) | ||
| Michael Anthony Conti | Registered representative | Aug 2022 (4y) | ||
| Nicholas Shaun Conner | Registered representative | Aug 2022 (4y) | ||
| Kathleen Mary Toolen | Registered representative | Aug 2022 (4y) | ||
| Robert Shelby Cregor | Registered representative | Aug 2022 (4y) | ||
| Kimberly S Ybarra | Registered representative | Aug 2022 (4y) | ||
| Nicholas Demoran | Registered representative | Aug 2022 (4y) | ||
| Tanner Bentley Bass | Registered representative | Aug 2022 (4y) | ||
| Mark Charles Silva | Registered representative | Aug 2022 (4y) | ||
| Kathlene L Crisp | Registered representative | Aug 2022 (4y) | ||
| Kalpana Kristine Beach | Registered representative | Aug 2022 (4y) | ||
| Makis Lal Beach | Registered representative | Aug 2022 (4y) | ||
| Nicole Jeffress Ventura | Registered representative | Aug 2022 (4y) | ||
| Sanjay Rajiv Beach | Registered representative | CFP | Aug 2022 (4y) | |
| Theresa Bursey | Registered representative | Aug 2022 (4y) | ||
| William Nicholas Rivel | Registered representative | Aug 2022 (4y) | ||
| Ruben Gonzalez | Registered representative | Aug 2022 (4y) | ||
| Brian J Dillman | Registered representative | Aug 2022 (4y) | ||
| John Anthony O'rourke | Registered representative | Aug 2022 (4y) | ||
| Adriana Estefania Soto | Registered representative | Aug 2022 (4y) | ||
| Kurt Andrew Schmiemann | Registered representative | Aug 2022 (4y) | ||
| Alphonse Steven Weber | Registered representative | Aug 2022 (4y) | ||
| Erin Lynn Weber | Registered representative | CFP | Aug 2022 (4y) | |
| Ronald Ray Hodge | Registered representative | Aug 2022 (4y) | ||
| Adam Ray Gay | Registered representative | Aug 2022 (4y) | ||
| Lawrence Edward Andrews | Registered representative | Aug 2022 (4y) | ||
| Brian Howard | Registered representative | CFP | Sep 2022 (4y) | |
| Kristin Renea Cranias | Registered representative | Sep 2022 (4y) | ||
| Gabriel Elias Beeler | Registered representative | CFP | Sep 2022 (4y) | |
| Megan Hope Martinez | Registered representative | Sep 2022 (4y) | ||
| Noah Thomas Hauswirth | Registered representative | CFP | Sep 2022 (4y) | |
| Andrew Cole Sullivan | Registered representative | Sep 2022 (4y) | ||
| Gregory Carl Molchen | Registered representative | Sep 2022 (4y) | ||
| Maria C Krpan | Registered representative | Sep 2022 (4y) | ||
| Caleb Michael Sayre | Registered representative | Sep 2022 (4y) | ||
| Kristy Jean Wade | Registered representative | Sep 2022 (4y) | ||
| Jorge Antonio Recio | Registered representative | Sep 2022 (4y) | ||
| Katelyn Fanelli | Registered representative | Sep 2022 (4y) | ||
| Samuel John Michalik | Registered representative | Sep 2022 (4y) | ||
| Andrew Christopher Stroud | Registered representative | Sep 2022 (4y) | ||
| Tina M Gunderson | Registered representative | Sep 2022 (4y) | ||
| Max Parker Mc Kee | Registered representative | Sep 2022 (4y) | ||
| Roger Veome | Registered representative | Sep 2022 (4y) | ||
| Abbie R Osterbur | Registered representative | Sep 2022 (4y) | ||
| Ann Archer Summerson | Registered representative | CFP | Sep 2022 (4y) | |
| Chase Hinderstein | Registered representative | Sep 2022 (4y) | ||
| Christopher Allan Aime | Registered representative | CFP | Sep 2022 (4y) | |
| David Gerrard Mount | Registered representative | Sep 2022 (4y) | ||
| Gregory Solomon Smith | Registered representative | CFP | Sep 2022 (4y) | |
| Luis Ausberto Guerrero | Registered representative | Sep 2022 (4y) | ||
| Matthew Branch Anderson | Registered representative | Sep 2022 (4y) | ||
| Nicholas M Sorden | Registered representative | Sep 2022 (4y) | ||
| Niralee D Patel | Registered representative | Sep 2022 (4y) | ||
| Simon Robert Hamilton | Registered representative | Sep 2022 (4y) | ||
| Danielle Kaye Shubin | Registered representative | Sep 2022 (4y) | ||
| Nathan Taylor | Registered representative | Sep 2022 (4y) | ||
| Thanh Whatley | Registered representative | Sep 2022 (4y) | ||
| Walker Thomas Fitzsimmon Brady | Registered representative | Sep 2022 (4y) | ||
| William Joshua Ihrig | Registered representative | Sep 2022 (4y) | ||
| Ashley Elizabeth Matthews | Registered representative | Sep 2022 (4y) | ||
| Sandra Minerva Vargas | Registered representative | Sep 2022 (4y) | ||
| Sara Renee Hobbs | Registered representative | Sep 2022 (4y) | ||
| Joshua Carl Sclafani | Registered representative | Sep 2022 (4y) | ||
| Mary Boyd Beck | Registered representative | Sep 2022 (4y) | ||
| Edward Paul Holton | Registered representative | Sep 2022 (4y) | ||
| Nicolae Iovu | Registered representative | Sep 2022 (4y) | ||
| Daniel Aaron Nazinitsky | Registered representative | Sep 2022 (4y) | ||
| Vika Liu Schuhart | Registered representative | Sep 2022 (4y) | ||
| Christopher John Puscian | Registered representative | Sep 2022 (4y) | ||
| Joseph Louis Marinaccio | Registered representative | CFP | Sep 2022 (4y) | |
| Gregory Jay Rustemeyer | Registered representative | Sep 2022 (4y) | ||
| Jeffrey D Gouhin | Registered representative | Sep 2022 (4y) | ||
| Jeffrey Mark Kragen | Registered representative | CFP | Sep 2022 (4y) | |
| Stephen Kragen | Registered representative | Sep 2022 (4y) | ||
| Brooke Meredith Harris | Registered representative | Oct 2022 (4y) | ||
| Sandra Patricia Acosta Kaasbell | Registered representative | Oct 2022 (4y) | ||
| Steven Bruce Sidell | Registered representative | Oct 2022 (4y) | ||
| Jaci Lynn Hoven | Registered representative | Oct 2022 (4y) | ||
| Catherina Elizabeth Migliaccio | Registered representative | Oct 2022 (4y) | ||
| Katherine Margaret Hagan | Registered representative | Oct 2022 (4y) | ||
| Graham Kolbe Rogney | Registered representative | Oct 2022 (4y) | ||
| John O Hammons | Registered representative | Oct 2022 (4y) | ||
| John Oneal Hammons | Registered representative | Oct 2022 (4y) | ||
| Jason Samuel Schluckebier | Registered representative | Oct 2022 (4y) | ||
| Stephen T Mcpherson | Registered representative | Oct 2022 (4y) | ||
| Dillon Matthew Burr | Registered representative | Oct 2022 (4y) | ||
| Dale E. Darr | Registered representative | CFP | Oct 2022 (4y) | |
| Lucas Underwood | Registered representative | Oct 2022 (4y) | ||
| William C Yuen | Registered representative | Oct 2022 (4y) | ||
| Javier Bernardo Himelstein | Registered representative | Oct 2022 (4y) | ||
| Safiya Rann Upchurch | Registered representative | Oct 2022 (4y) | ||
| Brette Alexandra Husar | Registered representative | Oct 2022 (4y) | ||
| Birch Robert Bayer | Registered representative | Oct 2022 (4y) | ||
| Mark Steven Croyle | Registered representative | Oct 2022 (4y) | ||
| Richard Earl Umbarger | Registered representative | Oct 2022 (4y) | ||
| Shane Tracy Kollenborn | Registered representative | Oct 2022 (4y) | ||
| William Franklin Cordray | Registered representative | Oct 2022 (4y) | ||
| Aaron Penney Albright | Registered representative | Oct 2022 (4y) | ||
| Jason Vogel | Registered representative | Oct 2022 (4y) | ||
| Mikayla Lynn Kelhart | Registered representative | Oct 2022 (4y) | ||
| Tyson Phillip Lersch | Registered representative | Nov 2022 (4y) | ||
| Alexander Boris | Registered representative | Nov 2022 (4y) | ||
| Kristel Jean Branish | Registered representative | Nov 2022 (4y) | ||
| Michele Wray Webb | Registered representative | Nov 2022 (4y) | ||
| Christian J Sabio | Registered representative | Nov 2022 (4y) | ||
| Steven Wallace Schmitt | Registered representative | CFP | Nov 2022 (4y) | |
| Terence Gilmore Belfor | Registered representative | Nov 2022 (4y) | ||
| Cassandra Elizabeth Biehl | Registered representative | Nov 2022 (4y) | ||
| David Addison Shepard | Registered representative | Nov 2022 (4y) | ||
| Gregory Charles Teschke | Registered representative | Nov 2022 (4y) | ||
| Tae Hullum | Registered representative | Nov 2022 (4y) | ||
| Gregory Keram Nargizian | Registered representative | Nov 2022 (4y) | ||
| Jaime L Cutler | Registered representative | Nov 2022 (4y) | ||
| Jonathan D Calvert | Registered representative | Nov 2022 (4y) | ||
| Arturo Alejandro Parraga | Registered representative | Nov 2022 (4y) | ||
| Brandon Robert Reitz | Registered representative | Nov 2022 (4y) | ||
| Jameson Lee Keevican | Registered representative | Nov 2022 (4y) | ||
| Lynn S Polley Hoffman | Registered representative | Nov 2022 (4y) | ||
| Allyson Lynn Snow | Registered representative | Nov 2022 (4y) | ||
| David L Allen | Registered representative | Nov 2022 (4y) | ||
| Valerie Vinbaytel | Registered representative | Nov 2022 (4y) | ||
| Justin Philip Peterman | Registered representative | Nov 2022 (4y) | ||
| Luis Guillermo Garcia | Registered representative | Nov 2022 (4y) | ||
| Nicole Anna Peck | Registered representative | Nov 2022 (4y) | ||
| Chandler Gregory Hackbarth | Registered representative | Nov 2022 (4y) | ||
| Deric A Milligan | Registered representative | CFP | Nov 2022 (4y) | |
| Amy W. Hubbard | Registered representative | Dec 2022 (4y) | ||
| Eric Isip Buan | Registered representative | Dec 2022 (4y) | ||
| Hayley Becca Glantz | Registered representative | Dec 2022 (4y) | ||
| Emily M Schmutz | Registered representative | Dec 2022 (4y) | ||
| Mitchell G Moellenhoff | Registered representative | Dec 2022 (4y) | ||
| James Kevin Pryor | Registered representative | Dec 2022 (4y) | ||
| Helen Paradise | Registered representative | CFP | Dec 2022 (4y) | |
| Daniel Betancourt | Registered representative | Dec 2022 (4y) | ||
| Isaiah Anthony Burrows | Registered representative | Dec 2022 (4y) | ||
| Matthew Butera | Registered representative | Dec 2022 (4y) | ||
| Kendrick Robert Patterson | Registered representative | Dec 2022 (4y) | ||
| Michele Ann Valentine Dobschensky | Registered representative | Dec 2022 (4y) | ||
| Meredith Suzanne Lyons | Registered representative | Dec 2022 (4y) | ||
| Christina Wright Campbell | Registered representative | Dec 2022 (4y) | ||
| Richard Charles Guardiola | Registered representative | Dec 2022 (4y) | ||
| Leslie Carleen Cocking | Registered representative | Dec 2022 (4y) | ||
| Richard James Kilroy | Registered representative | Dec 2022 (4y) | ||
| Alejandro Bachmann | Registered representative | Dec 2022 (4y) | ||
| Kayla Davis | Registered representative | Dec 2022 (4y) | ||
| Kayla M Mac William | Registered representative | Dec 2022 (4y) | ||
| Patrick Mc Fadden Gilroy | Registered representative | Dec 2022 (4y) | ||
| Philip Connor | Registered representative | Dec 2022 (4y) | ||
| Joseph Anthony Pyle | Registered representative | Jan 2023 (4y) | ||
| Nicholas Vito Mosman Bertelli | Registered representative | Jan 2023 (4y) | ||
| Rickey M Dean | Registered representative | Jan 2023 (4y) | ||
| Tyler C. Nunn | Registered representative | Jan 2023 (4y) | ||
| Manuel Hernandez | Registered representative | Jan 2023 (4y) | ||
| Jacob A King | Registered representative | CFP Chartered Financial Consultant | Jan 2023 (4y) | |
| Steven Beasley | Registered representative | CFP | Jan 2023 (4y) | |
| Adam Henry Vafides | Registered representative | Jan 2023 (4y) | ||
| David Norman Dunn | Registered representative | Jan 2023 (4y) | ||
| Nicholas Yves Terlonge | Registered representative | Jan 2023 (4y) | ||
| Benjamin Bruce Reynolds | Registered representative | Jan 2023 (4y) | ||
| Erin Abigail Sutton | Registered representative | Jan 2023 (4y) | ||
| Madison Pendleton Wootton | Registered representative | CFA | Jan 2023 (4y) | |
| Anna M Licata | Registered representative | Jan 2023 (4y) | ||
| Ryan P Jordan | Registered representative | Jan 2023 (4y) | ||
| Donald Joseph Cianto | Registered representative | Jan 2023 (4y) | ||
| Maximilian T Ford | Registered representative | Jan 2023 (4y) | ||
| Brooks Edward Tomblin | Registered representative | Jan 2023 (4y) | ||
| Darlene Marie Porter | Registered representative | Jan 2023 (4y) | ||
| Lacy Louise Baluta | Registered representative | Jan 2023 (4y) | ||
| Kimberly Hurley Ciccarello | Registered representative | Jan 2023 (4y) | ||
| Patrick Phillips Kling | Registered representative | Jan 2023 (4y) | ||
| Connor J Mc Court | Registered representative | Jan 2023 (4y) | ||
| Jonathan E Randolph | Registered representative | Jan 2023 (4y) | ||
| Michael Wayne Bradshaw | Registered representative | Jan 2023 (4y) | ||
| Michaela Macias | Registered representative | Jan 2023 (4y) | ||
| Philip Scott Bradshaw | Registered representative | Jan 2023 (4y) | ||
| Gregory James Branson | Registered representative | Jan 2023 (4y) | ||
| Alexander G Thompson | Registered representative | CFP | Jan 2023 (4y) | |
| Grant Matthew Petersen | Registered representative | Jan 2023 (4y) | ||
| Laura Marie Bullock | Registered representative | Jan 2023 (4y) | ||
| Michal Hubert Szittai | Registered representative | Jan 2023 (4y) | ||
| Renee Annette Degner | Registered representative | Jan 2023 (4y) | ||
| Jodi Elise Lewis | Registered representative | Feb 2023 (3y) | ||
| Jessica E. Barry | Registered representative | Feb 2023 (3y) | ||
| Brianna Rose Beski | Registered representative | Feb 2023 (3y) | ||
| David Anthony Gwidt | Registered representative | Feb 2023 (3y) | ||
| Paul Charles Gwidt | Registered representative | CFP | Feb 2023 (3y) | |
| George Ryan Connor | Registered representative | Feb 2023 (3y) | ||
| Michael William Hardin | Registered representative | Feb 2023 (3y) | ||
| Samuel Hulen | Registered representative | Feb 2023 (3y) | ||
| Richard D Telesco | Registered representative | Feb 2023 (3y) | ||
| Chase Andrew Fresina | Registered representative | Feb 2023 (3y) | ||
| Gary Mitchell Najarian | Registered representative | Feb 2023 (3y) | ||
| Matthew C Najarian | Registered representative | Feb 2023 (3y) | ||
| Patricia Diane Jones | Registered representative | Feb 2023 (3y) | ||
| Steven Michael Rozencwaig | Registered representative | Feb 2023 (3y) | ||
| Andrew Roman Tymchuk | Registered representative | Feb 2023 (3y) | ||
| Amber Latiolais Palumbo | Registered representative | Feb 2023 (3y) | ||
| Jeremy Voccia | Registered representative | Feb 2023 (3y) | ||
| Travis J Collum | Registered representative | Feb 2023 (3y) | ||
| Amy Marie Andrews | Registered representative | Feb 2023 (3y) | ||
| Richard Azan | Registered representative | Feb 2023 (3y) | ||
| Keith Wesley Blades | Registered representative | Feb 2023 (3y) | ||
| Rachel M Liebers | Registered representative | Feb 2023 (3y) | ||
| Christine Lynn Saitta | Registered representative | CFP | Feb 2023 (3y) | |
| Melinda Nicholson | Registered representative | Feb 2023 (3y) | ||
| Austin Samuel Wu | Registered representative | Feb 2023 (3y) | ||
| Grace Hom | Registered representative | Feb 2023 (3y) | ||
| John Costello | Registered representative | Feb 2023 (3y) | ||
| Andrew Ryan Judd | Registered representative | Mar 2023 (3y) | ||
| Stephanie Adele Friemoth | Registered representative | Mar 2023 (3y) | ||
| Jordan Leigh Seravalli | Registered representative | Mar 2023 (3y) | ||
| James Kinnison Sumner | Registered representative | Mar 2023 (3y) | ||
| Tramell Lavance Williams | Registered representative | Mar 2023 (3y) | ||
| William C Clausen | Registered representative | Mar 2023 (3y) | ||
| Cindy Lou Ellis | Registered representative | Mar 2023 (3y) | ||
| Karyn Lyn Mc Corry | Registered representative | Mar 2023 (3y) | ||
| Sladjana Pokrajac | Registered representative | Mar 2023 (3y) | ||
| William Casey Martin | Registered representative | Mar 2023 (3y) | ||
| George Winton Mays | Registered representative | CFP | Mar 2023 (3y) | |
| Bryan Anthony Cernicek | Registered representative | Mar 2023 (3y) | ||
| Christopher Michael Fahy | Registered representative | Mar 2023 (3y) | ||
| Pang Yuan Nicole Chang | Registered representative | Mar 2023 (3y) | ||
| Trevor Jon Howard | Registered representative | Mar 2023 (3y) | ||
| Chase Katherine Stewart | Registered representative | Mar 2023 (3y) | ||
| Harrison Schmitt | Registered representative | Mar 2023 (3y) | ||
| Robert D Williams | Registered representative | Mar 2023 (3y) | ||
| Andrew Paul Vanore | Registered representative | Mar 2023 (3y) | ||
| Gregory T. Sardzinski | Registered representative | Mar 2023 (3y) | ||
| Kelly Crowder Amato | Registered representative | Mar 2023 (3y) | ||
| Harvey Jay Mcinerney | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Scott Tiedge | Registered representative | Mar 2023 (3y) | ||
| Anthony Philip Menna | Registered representative | Mar 2023 (3y) | ||
| Michele L Herzberg | Registered representative | Mar 2023 (3y) | ||
| Thomas Patrick Mahoney | Registered representative | Mar 2023 (3y) | ||
| Rui Maria Forcada | Registered representative | Mar 2023 (3y) | ||
| Jack Marshall Hallier | Registered representative | Mar 2023 (3y) | ||
| Andrew Rutherford | Registered representative | Apr 2023 (3y) | ||
| Claudia Cristina Cummings | Registered representative | Apr 2023 (3y) | ||
| Austin Lee Storck | Registered representative | Apr 2023 (3y) | ||
| Emma K Lalley | Registered representative | Apr 2023 (3y) | ||
| Antonio C. Barbosa | Registered representative | Apr 2023 (3y) | ||
| Christopher William Hall | Registered representative | Apr 2023 (3y) | ||
| Anthony David Anderson | Registered representative | Apr 2023 (3y) | ||
| Janet Lee Keener | Registered representative | Apr 2023 (3y) | ||
| Meghan E Foley | Registered representative | Apr 2023 (3y) | ||
| Sean Anthony Garrett | Registered representative | Apr 2023 (3y) | ||
| Benjamin N Bayly | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Benjamin Tyler Arnold | Registered representative | Apr 2023 (3y) | ||
| Chris Patrick Barfield | Registered representative | Apr 2023 (3y) | ||
| Stephanie M Gildemeister | Registered representative | Apr 2023 (3y) | ||
| Stevan Douglas Paton | Registered representative | Apr 2023 (3y) | ||
| Sabrina M Panek | Registered representative | Apr 2023 (3y) | ||
| Gary Lee Soben | Registered representative | CFP Chartered Financial Consultant | Apr 2023 (3y) | |
| Laura S Gonzales | Registered representative | Apr 2023 (3y) | ||
| Salvatore Di Natale | Registered representative | Apr 2023 (3y) | ||
| Travis R Kirby | Registered representative | Apr 2023 (3y) | ||
| Lorraine Kelly Adams | Registered representative | Apr 2023 (3y) | ||
| Debra D Szymanski | Registered representative | Apr 2023 (3y) | ||
| Katherine Kay Louise Motzkus | Registered representative | Apr 2023 (3y) | ||
| Pamela Jean Mc Leod | Registered representative | Apr 2023 (3y) | ||
| James Cameron Reynolds | Registered representative | Apr 2023 (3y) | ||
| Joseph Earl Andrews | Registered representative | CFP | Apr 2023 (3y) | |
| Andrew H Lee | Registered representative | Apr 2023 (3y) | ||
| David Yi | Registered representative | Apr 2023 (3y) | ||
| Juan Pablo Militello | Registered representative | Apr 2023 (3y) | ||
| Tanner Helsel | Registered representative | CFP | Apr 2023 (3y) | |
| Brett Steven Frazier | Registered representative | May 2023 (3y) | ||
| Douglas Adam Katchen | Registered representative | May 2023 (3y) | ||
| Tyler Thomas Boyce | Registered representative | CFP | May 2023 (3y) | |
| Mitchell N Rosich | Registered representative | CFP | May 2023 (3y) | |
| Tiffany L Gulick | Registered representative | May 2023 (3y) | ||
| Rebekah L Faasau | Registered representative | May 2023 (3y) | ||
| Alexandra Mccormack | Registered representative | May 2023 (3y) | ||
| Cameron James Porczak | Registered representative | May 2023 (3y) | ||
| Alex N Goodwin | Registered representative | May 2023 (3y) | ||
| Kellee C Leandre | Registered representative | CFP | May 2023 (3y) | |
| Chad Kimble | Registered representative | CFP Chartered Financial Consultant | May 2023 (3y) | |
| Miles Spencer Feuer | Registered representative | May 2023 (3y) | ||
| Barry Bruce Bowen | Registered representative | May 2023 (3y) | ||
| Brett A Miller | Registered representative | CFP | May 2023 (3y) | |
| Charles Quinn Peebles | Registered representative | May 2023 (3y) | ||
| John Carl Pferdner | Registered representative | CFP | May 2023 (3y) | |
| Leianne Maree Erhart | Registered representative | May 2023 (3y) | ||
| Connor J Brannagan | Registered representative | May 2023 (3y) | ||
| James A. Stone | Registered representative | May 2023 (3y) | ||
| Katherine Van Allan | Registered representative | May 2023 (3y) | ||
| Paul Joseph Stanislau | Registered representative | May 2023 (3y) | ||
| Raeann Marie Sarsfield | Registered representative | May 2023 (3y) | ||
| Kenneth Paul Mccusker | Registered representative | May 2023 (3y) | ||
| Gregory George Wagner | Registered representative | CFP | May 2023 (3y) | |
| Bradley James Rankin | Registered representative | May 2023 (3y) | ||
| Mc Kenzie Alexis Shields | Registered representative | May 2023 (3y) | ||
| Laurel S Fierro | Registered representative | May 2023 (3y) | ||
| Nancy Pence Olzack | Registered representative | May 2023 (3y) | ||
| Rachael Renee Reid | Registered representative | May 2023 (3y) | ||
| Dylan Armand Page | Registered representative | May 2023 (3y) | ||
| Michael Paul Sofka | Registered representative | May 2023 (3y) | ||
| Richard A Sofka | Registered representative | May 2023 (3y) | ||
| Lance Avery Horton | Registered representative | May 2023 (3y) | ||
| Joshua Burton Brooks | Registered representative | May 2023 (3y) | ||
| Alexander Q De Oliveira | Registered representative | May 2023 (3y) | ||
| Amanda T Pokrefky | Registered representative | May 2023 (3y) | ||
| Pamela Michelle Ramirez | Registered representative | May 2023 (3y) | ||
| Rodrigo Sideris | Registered representative | May 2023 (3y) | ||
| Aaron David Schmiedel | Registered representative | Jun 2023 (3y) | ||
| Andrew Gartland | Registered representative | Jun 2023 (3y) | ||
| Cory Robert Jantaworn | Registered representative | Jun 2023 (3y) | ||
| Heidy E Seggio | Registered representative | Jun 2023 (3y) | ||
| Jack Isaac Daniel Cohen | Registered representative | Jun 2023 (3y) | ||
| Jean Paul Lacour | Registered representative | Jun 2023 (3y) | ||
| Matthew Roy Coady | Registered representative | Jun 2023 (3y) | ||
| Michelle Florence Lundahl | Registered representative | Jun 2023 (3y) | ||
| Eva Marina Ovejero | Registered representative | Jun 2023 (3y) | ||
| John Charles Golon | Registered representative | Jun 2023 (3y) | ||
| Kevin Joseph Gough | Registered representative | Jun 2023 (3y) | ||
| Ryan A Kistenfeger | Registered representative | Jun 2023 (3y) | ||
| Anna Kelly Van Santvoord | Registered representative | Jun 2023 (3y) | ||
| James Duncan Zahringer | Registered representative | CFP | Jun 2023 (3y) | |
| Karen R Lincks | Registered representative | Jun 2023 (3y) | ||
| Laura Gedge | Registered representative | Jun 2023 (3y) | ||
| Mary Kathleen Davis | Registered representative | Jun 2023 (3y) | ||
| Natalie Anne Rudis | Registered representative | Jun 2023 (3y) | ||
| Jeffrey Matthew Mc Adams | Registered representative | Jun 2023 (3y) | ||
| Andrew Juntilla | Registered representative | Jun 2023 (3y) | ||
| Kyle W Dalson | Registered representative | Jun 2023 (3y) | ||
| Matthew Joseph Kelly | Registered representative | Jun 2023 (3y) | ||
| Ryan Jacob Hoge | Registered representative | Jun 2023 (3y) | ||
| Alexander Richard Martinez | Registered representative | Jun 2023 (3y) | ||
| Gage Preston Dahmann | Registered representative | Jun 2023 (3y) | ||
| Richard Charles Sauerman | Registered representative | Jun 2023 (3y) | ||
| Robynne Adame Henry | Registered representative | Jun 2023 (3y) | ||
| Parker A Sheffield | Registered representative | Jun 2023 (3y) | ||
| Scott Douglas Pugan | Registered representative | CFP | Jun 2023 (3y) | |
| Karen Elizabeth Relyea | Registered representative | Jun 2023 (3y) | ||
| David Nathan Long | Registered representative | Jun 2023 (3y) | ||
| Joshua W Rogers | Registered representative | CFP | Jun 2023 (3y) | |
| Justin Bryant Carter | Registered representative | Jun 2023 (3y) | ||
| Jeffrey Kenneth Miller | Registered representative | Jun 2023 (3y) | ||
| Angela M Williams | Registered representative | Jun 2023 (3y) | ||
| Christine Marie Dawly | Registered representative | Jun 2023 (3y) | ||
| Miro Mirza Pasic | Registered representative | Jun 2023 (3y) | ||
| Laura Lee Freedman | Registered representative | Jul 2023 (3y) | ||
| Patrick Botula | Registered representative | Jul 2023 (3y) | ||
| Luke T Bageris | Registered representative | Jul 2023 (3y) | ||
| Brian M Trautmann | Registered representative | Jul 2023 (3y) | ||
| Maxwell Peter Winger | Registered representative | Jul 2023 (3y) | ||
| Patrick William Denis | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Sean Michael Obrien | Registered representative | Jul 2023 (3y) | ||
| Elizabeth Schutte Gillis | Registered representative | Jul 2023 (3y) | ||
| Krystal A Buckley | Registered representative | Jul 2023 (3y) | ||
| Kimball Stanley (Iii) Bullard | Registered representative | Jul 2023 (3y) | ||
| Daniel Hawley | Registered representative | Jul 2023 (3y) | ||
| Hunter J Burnette | Registered representative | Jul 2023 (3y) | ||
| Kevin Michael Hott | Registered representative | CFP | Jul 2023 (3y) | |
| Wendy Kaye Penrod | Registered representative | Jul 2023 (3y) | ||
| Julie Grice | Registered representative | Jul 2023 (3y) | ||
| Kaleb Lovertich | Registered representative | Jul 2023 (3y) | ||
| Dierk Lane Cockrell | Registered representative | Jul 2023 (3y) | ||
| Kristine Kopsiaftis Lampert | Registered representative | Jul 2023 (3y) | ||
| Livia Grace Sullivan | Registered representative | Jul 2023 (3y) | ||
| Nickolaus Andrew Roeschley | Registered representative | Jul 2023 (3y) | ||
| Richard E Donegan | Registered representative | Jul 2023 (3y) | ||
| Andrew James Siegel | Registered representative | Jul 2023 (3y) | ||
| Braulio Castillo | Registered representative | Jul 2023 (3y) | ||
| Desiree Giordano Fuehrer | Registered representative | Jul 2023 (3y) | ||
| Philip Joseph La Freniere | Registered representative | Jul 2023 (3y) | ||
| Alexander James Ducharme | Registered representative | Jul 2023 (3y) | ||
| Eric Paul Hanson | Registered representative | Jul 2023 (3y) | ||
| Philip J. Crutchfield | Registered representative | Jul 2023 (3y) | ||
| Mary E Brammer | Registered representative | Jul 2023 (3y) | ||
| Melissa Mangual Gillespie | Registered representative | CFP | Jul 2023 (3y) | |
| Rebecca Bryant Dickerson | Registered representative | Jul 2023 (3y) | ||
| Burdette Park | Registered representative | Aug 2023 (3y) | ||
| Kathleen Payne Cannon | Registered representative | Aug 2023 (3y) | ||
| Nikolas Papageorge | Registered representative | Aug 2023 (3y) | ||
| Lawson Starr Arney | Registered representative | CFP | Aug 2023 (3y) | |
| Sarah C Hancock | Registered representative | Aug 2023 (3y) | ||
| Barbara Bergen Paneral | Registered representative | Aug 2023 (3y) | ||
| Stephen L Paneral | Registered representative | Aug 2023 (3y) | ||
| Julia Anne Butka | Registered representative | Aug 2023 (3y) | ||
| Robert Baxter Bishop | Registered representative | Aug 2023 (3y) | ||
| Sarah Bishop Edwards | Registered representative | CFP | Aug 2023 (3y) | |
| Cynthia Marie Davis | Registered representative | Aug 2023 (3y) | ||
| Hal Ingram Anderson | Registered representative | Aug 2023 (3y) | ||
| Luke Robert Misselu Polus | Registered representative | Aug 2023 (3y) | ||
| Pamela Susan Mitchell | Registered representative | CFP | Aug 2023 (3y) | |
| Yapheth Norris | Registered representative | Aug 2023 (3y) | ||
| Jake Nichols Stollmeyer | Registered representative | Aug 2023 (3y) | ||
| Matthew Beatty Howard | Registered representative | CFP | Aug 2023 (3y) | |
| Stephanie S Fuetterer | Registered representative | Aug 2023 (3y) | ||
| Nathan Collins | Registered representative | Aug 2023 (3y) | ||
| Sarah Becker Switzer | Registered representative | Aug 2023 (3y) | ||
| Lewis Russell Walterhouse | Registered representative | Aug 2023 (3y) | ||
| Michael Dicambio | Registered representative | CFP | Aug 2023 (3y) | |
| Nicola Jane Saner | Registered representative | Aug 2023 (3y) | ||
| Joshua L. Haggerty | Registered representative | CFA | Aug 2023 (3y) | |
| Judson D Whigham | Registered representative | Aug 2023 (3y) | ||
| Louis Coleman Dessaint | Registered representative | Aug 2023 (3y) | ||
| Ryan M Rescigno | Registered representative | Aug 2023 (3y) | ||
| Chad P Dusang | Registered representative | Aug 2023 (3y) | ||
| David Jacob Indest | Registered representative | Aug 2023 (3y) | ||
| John Williams Meyer | Registered representative | Aug 2023 (3y) | ||
| Kevin Rotolo | Registered representative | Aug 2023 (3y) | ||
| Paul August Alegi | Registered representative | Aug 2023 (3y) | ||
| Anthony Blake Carpenter | Registered representative | CFP | Aug 2023 (3y) | |
| Steven A Coyne | Registered representative | Aug 2023 (3y) | ||
| Jason Michael Scott | Registered representative | Aug 2023 (3y) | ||
| Ryan C Racine | Registered representative | Aug 2023 (3y) | ||
| Blaine Anthony Mcshall | Registered representative | Aug 2023 (3y) | ||
| Matthew Andrew Digan | Registered representative | Aug 2023 (3y) | ||
| Bryant Elliot Wright | Registered representative | Aug 2023 (3y) | ||
| Carolina Alexandra Fernandez | Registered representative | Aug 2023 (3y) | ||
| Dallas Nevin Keeney | Registered representative | Aug 2023 (3y) | ||
| Julie B Johnson | Registered representative | Aug 2023 (3y) | ||
| Daniel William Jennette | Registered representative | Aug 2023 (3y) | ||
| Thomas Otto Mahler | Registered representative | Aug 2023 (3y) | ||
| Grayson David Rogers | Registered representative | Aug 2023 (3y) | ||
| Nicholas Omicioli | Registered representative | Aug 2023 (3y) | ||
| Nicole Renee Bell | Registered representative | Aug 2023 (3y) | ||
| Charles Frank Tourangeau | Registered representative | Aug 2023 (3y) | ||
| Christopher Louis Giaimo | Registered representative | Aug 2023 (3y) | ||
| Claire E Bremner | Registered representative | Aug 2023 (3y) | ||
| Claudia Ochoa Espejo | Registered representative | Aug 2023 (3y) | ||
| Pamela Powell Cook | Registered representative | Aug 2023 (3y) | ||
| Stephen Paul Solverson | Registered representative | CFP Chartered Financial Consultant | Aug 2023 (3y) | |
| Helen Martha Taormina | Registered representative | Sep 2023 (3y) | ||
| Jeffrey Allen Sollars | Registered representative | Sep 2023 (3y) | ||
| Jose Miguel Viyella | Registered representative | Sep 2023 (3y) | ||
| Konstantin Kamentsev | Registered representative | Sep 2023 (3y) | ||
| Robin Madeline Delgado | Registered representative | Sep 2023 (3y) | ||
| Aaron Sanchez | Registered representative | Sep 2023 (3y) | ||
| Brianna Torres Tabilas | Registered representative | Sep 2023 (3y) | ||
| David Mesa Beaver | Registered representative | Sep 2023 (3y) | ||
| Lee Michael Cohen | Registered representative | Sep 2023 (3y) | ||
| William Benjamin Smith | Registered representative | Sep 2023 (3y) | ||
| Jordyn L Rosier | Registered representative | Sep 2023 (3y) | ||
| Michael Alexander Johnston | Registered representative | Sep 2023 (3y) | ||
| Michael R Teller | Registered representative | Sep 2023 (3y) | ||
| Mark Anthony Mays | Registered representative | Sep 2023 (3y) | ||
| Amanda Joy Feldkamp | Registered representative | Sep 2023 (3y) | ||
| Mary K. Steiner | Registered representative | Sep 2023 (3y) | ||
| Susan Elaine Paolo | Registered representative | Sep 2023 (3y) | ||
| Troy Lynn Rames | Registered representative | Sep 2023 (3y) | ||
| William Allen Bermont | Registered representative | Sep 2023 (3y) | ||
| Louise Proctor Rider | Registered representative | Sep 2023 (3y) | ||
| Matthew Aaron Lusardi | Registered representative | Sep 2023 (3y) | ||
| Matthew D Schlett | Registered representative | Sep 2023 (3y) | ||
| Megan Nichole Propst | Registered representative | Sep 2023 (3y) | ||
| Patrick Hentz Thompson | Registered representative | Sep 2023 (3y) | ||
| Kimberly M Loux | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Trevor Bennett | Registered representative | CFP | Sep 2023 (3y) | |
| Jennifer Leigh Sherman | Registered representative | Sep 2023 (3y) | ||
| Melinda Brown Warren | Registered representative | Sep 2023 (3y) | ||
| Clay Strongwater Levy | Registered representative | Sep 2023 (3y) | ||
| Philip Christopher Lee | Registered representative | Sep 2023 (3y) | ||
| Sanjaya Krishna Balu | Registered representative | Sep 2023 (3y) | ||
| Cole Samuels | Registered representative | Sep 2023 (3y) | ||
| Christina Michelle Hale | Registered representative | Sep 2023 (3y) | ||
| Colleen S Newell | Registered representative | Sep 2023 (3y) | ||
| Ellen Marie Lausterer | Registered representative | Sep 2023 (3y) | ||
| Michael P. Dunlap | Registered representative | Sep 2023 (3y) | ||
| Timothy Lance Nunno | Registered representative | Sep 2023 (3y) | ||
| Vijay Baxter | Registered representative | Sep 2023 (3y) | ||
| Jose Roberto Vides | Registered representative | Sep 2023 (3y) | ||
| Lance Anthony Nell | Registered representative | CFP | Sep 2023 (3y) | |
| Brian M Adams | Registered representative | Sep 2023 (3y) | ||
| Dick H Tupper | Registered representative | Sep 2023 (3y) | ||
| Kyle Robert French | Registered representative | Sep 2023 (3y) | ||
| Molly J Chelovich | Registered representative | CFP | Sep 2023 (3y) | |
| Tammi Lee Boyd | Registered representative | Sep 2023 (3y) | ||
| Gregg J. Timura | Registered representative | CFP | Sep 2023 (3y) | |
| Julia Kathleen Theis | Registered representative | Sep 2023 (3y) | ||
| Kieran Thomas Maloney | Registered representative | Sep 2023 (3y) | ||
| Minor Thomas Bond | Registered representative | Sep 2023 (3y) | ||
| Alexis Marie Guilbeau | Registered representative | Oct 2023 (3y) | ||
| Brian A Karahalios | Registered representative | Oct 2023 (3y) | ||
| Peta Perri Sklarz | Registered representative | Oct 2023 (3y) | ||
| John Joseph Borzi | Registered representative | Oct 2023 (3y) | ||
| Landon Reed Van Patten | Registered representative | Oct 2023 (3y) | ||
| Tawn Loretta Bullock | Registered representative | Oct 2023 (3y) | ||
| Spencer Alan Godin | Registered representative | Oct 2023 (3y) | ||
| Tryon M Mc Laney | Registered representative | Oct 2023 (3y) | ||
| Katelyn S Pearson | Registered representative | Oct 2023 (3y) | ||
| Minez Powell | Registered representative | Oct 2023 (3y) | ||
| Ashley Marie Shirley | Registered representative | Oct 2023 (3y) | ||
| Christopher John Jud | Registered representative | Oct 2023 (3y) | ||
| Piper Veronica Laak | Registered representative | Oct 2023 (3y) | ||
| Bradford Bennett Marcotte | Registered representative | Oct 2023 (3y) | ||
| Jeffrey Downard Olsen | Registered representative | Oct 2023 (3y) | ||
| Stefan R Mayerschoff | Registered representative | Oct 2023 (3y) | ||
| Zoe Migliozzi | Registered representative | Oct 2023 (3y) | ||
| Cydney Ann Edmondson | Registered representative | Oct 2023 (3y) | ||
| Jaron Richard Singletary | Registered representative | Oct 2023 (3y) | ||
| Toriano Faulkner | Registered representative | Oct 2023 (3y) | ||
| Alejandro Jose Matus | Registered representative | Oct 2023 (3y) | ||
| Christopher John Bruce | Registered representative | Oct 2023 (3y) | ||
| Camille Marie Malueg | Registered representative | Oct 2023 (3y) | ||
| Enrique Marcelo Gumucio | Registered representative | Oct 2023 (3y) | ||
| Scott D. Krueger | Registered representative | Oct 2023 (3y) | ||
| Janet Franco Gordon | Registered representative | Oct 2023 (3y) | ||
| Philip Aldon Mullins | Registered representative | Oct 2023 (3y) | ||
| Sumaiyya M Khan | Registered representative | CFA | Oct 2023 (3y) | |
| Barrett James Henry | Registered representative | CFP | Oct 2023 (3y) | |
| Jared Moore Williams | Registered representative | Nov 2023 (3y) | ||
| James John Fitzgibbon | Registered representative | CFP | Nov 2023 (3y) | |
| Andrew Martin Spearman | Registered representative | Nov 2023 (3y) | ||
| Alexander Paul Koushouris | Registered representative | Nov 2023 (3y) | ||
| Anna Liza De Pinto | Registered representative | Nov 2023 (3y) | ||
| Becky Jones | Registered representative | Nov 2023 (3y) | ||
| Carissa Marie Henderson | Registered representative | Nov 2023 (3y) | ||
| Christopher Keith Bryant | Registered representative | Nov 2023 (3y) | ||
| James R Smith | Registered representative | Nov 2023 (3y) | ||
| Keith Bernard Bryant | Registered representative | Nov 2023 (3y) | ||
| Ardon Currie | Registered representative | Nov 2023 (3y) | ||
| Christian Robert Suriel | Registered representative | Nov 2023 (3y) | ||
| Giselle Espinosa Fernandez | Registered representative | Nov 2023 (3y) | ||
| Timothy Robert Killgoar | Registered representative | Nov 2023 (3y) | ||
| Eugenio Hugo Gandini | Registered representative | Nov 2023 (3y) | ||
| Kathryn Aine King | Registered representative | Nov 2023 (3y) | ||
| Clifton Brent Smith | Registered representative | Nov 2023 (3y) | ||
| Carlos A Suaza | Registered representative | Nov 2023 (3y) | ||
| Heidi Lynn Strange | Registered representative | Nov 2023 (3y) | ||
| Logan Davis Sabol | Registered representative | Nov 2023 (3y) | ||
| Scott D. Burns | Registered representative | Nov 2023 (3y) | ||
| David Behar | Registered representative | Nov 2023 (3y) | ||
| David B Nickow | Registered representative | Nov 2023 (3y) | ||
| David Nagel | Registered representative | Nov 2023 (3y) | ||
| Alexandre Raoul Blagojevic | Registered representative | Nov 2023 (3y) | ||
| Kelly M Klein | Registered representative | CFP | Nov 2023 (3y) | |
| Lynne M Kistenmacher | Registered representative | Nov 2023 (3y) | ||
| Roman Sazonov | Registered representative | Nov 2023 (3y) | ||
| Sara Marie Jones | Registered representative | Nov 2023 (3y) | ||
| Travis John Francis Rosa | Registered representative | Nov 2023 (3y) | ||
| Grant Adam D Adesky | Registered representative | Nov 2023 (3y) | ||
| Nicholas Ryan Azzarita | Registered representative | Nov 2023 (3y) | ||
| Alicia Elizabeth Vanderschuere | Registered representative | Nov 2023 (3y) | ||
| Adam Scott Altwerger | Registered representative | Nov 2023 (3y) | ||
| Scott Norman Settle | Registered representative | Nov 2023 (3y) | ||
| Darrell M Colvin | Registered representative | Nov 2023 (3y) | ||
| Noah David Fishbein | Registered representative | CFP | Nov 2023 (3y) | |
| William R Caldwell | Registered representative | Nov 2023 (3y) | ||
| Grace Elaine Blankenship Bernhardt | Registered representative | Nov 2023 (3y) | ||
| Robert S Burnett | Registered representative | Nov 2023 (3y) | ||
| Camille Anne Hernandez | Registered representative | Nov 2023 (3y) | ||
| Christine Alexandra Hannon | Registered representative | Nov 2023 (3y) | ||
| Cindy Leigh Silipo | Registered representative | Nov 2023 (3y) | ||
| Jose Rafael El Khouri Faieta | Registered representative | Nov 2023 (3y) | ||
| Margaret Susanne Welsh | Registered representative | Nov 2023 (3y) | ||
| Slavyana Khegay | Registered representative | Nov 2023 (3y) | ||
| Alexandra Agniya Hill | Registered representative | Dec 2023 (3y) | ||
| Kseniia Filippova | Registered representative | Dec 2023 (3y) | ||
| Andrew George Sukhin | Registered representative | CFP | Dec 2023 (3y) | |
| Katherine Elizabeth Weaver | Registered representative | Dec 2023 (3y) | ||
| Rachel Golden | Registered representative | Dec 2023 (3y) | ||
| Tyler Alexander Mc Cullough | Registered representative | Dec 2023 (3y) | ||
| Taylor Elizabeth Krout | Registered representative | CFP | Dec 2023 (3y) | |
| Marshall S Miller | Registered representative | Dec 2023 (3y) | ||
| Amy L Galluzzo | Registered representative | Dec 2023 (3y) | ||
| Christina Marie Kubrich | Registered representative | Dec 2023 (3y) | ||
| Jake Earnhart | Registered representative | Dec 2023 (3y) | ||
| Tyler Wujczyk | Registered representative | Dec 2023 (3y) | ||
| Vladimir Levyi | Registered representative | Dec 2023 (3y) | ||
| Joseph M Liberty | Registered representative | Dec 2023 (3y) | ||
| Gary R Bechtold | Registered representative | Dec 2023 (3y) | ||
| Henry Lee Hunter | Registered representative | Dec 2023 (3y) | ||
| Antony Ivan Garcia | Registered representative | Dec 2023 (3y) | ||
| Andrew Dillon | Registered representative | Dec 2023 (3y) | ||
| Andrew N Kormilitsin | Registered representative | Dec 2023 (3y) | ||
| Jared J Sweetser | Registered representative | Dec 2023 (3y) | ||
| Hassan Kaouss | Registered representative | Jan 2024 (3y) | ||
| Molly Bell Johnson | Registered representative | Jan 2024 (3y) | ||
| Charles F Inman | Registered representative | Jan 2024 (3y) | ||
| Jimmy Ernesto Torres | Registered representative | Jan 2024 (3y) | ||
| Jason Van Skike | Registered representative | Jan 2024 (3y) | ||
| Michael Min | Registered representative | Jan 2024 (3y) | ||
| Gwendolyn Rene Ruppert | Registered representative | Jan 2024 (3y) | ||
| Jeff Ernest Heberling | Registered representative | Jan 2024 (3y) | ||
| Bradley Wayne Barker | Registered representative | Jan 2024 (3y) | ||
| Cheryl Denise Richardson | Registered representative | Jan 2024 (3y) | ||
| Sharon Ann Kaylor | Registered representative | Jan 2024 (3y) | ||
| Jennifer Jill Uy | Registered representative | Jan 2024 (3y) | ||
| Jennifer Lynn Hocking | Registered representative | Jan 2024 (3y) | ||
| Rushton K Allen | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Ryan Scott Mueller | Registered representative | Jan 2024 (3y) | ||
| Steven James Hocking | Registered representative | Jan 2024 (3y) | ||
| Julie F Billings | Registered representative | Jan 2024 (3y) | ||
| Nehal Sanghavi | Registered representative | Jan 2024 (3y) | ||
| Aaron Seth Vaughn | Registered representative | Jan 2024 (3y) | ||
| Jerry W. Tyler | Registered representative | Jan 2024 (3y) | ||
| Mc Kenzie M. Lewis | Registered representative | Jan 2024 (3y) | ||
| Vincent Randall Whatley | Registered representative | CFP | Jan 2024 (3y) | |
| Eric G Werner | Registered representative | Jan 2024 (3y) | ||
| Jessica M. Miller | Registered representative | Jan 2024 (3y) | ||
| Joshua D. Biering | Registered representative | Jan 2024 (3y) | ||
| Scott P Nelson | Registered representative | Jan 2024 (3y) | ||
| William Johnathan Henderson | Registered representative | CFP | Jan 2024 (3y) | |
| Thomas Maximilian Jewett | Registered representative | Jan 2024 (3y) | ||
| Laura Ellen Blanton | Registered representative | Jan 2024 (3y) | ||
| Mitchell Jonathan Nordstrom | Registered representative | Jan 2024 (3y) | ||
| Drew William Levy | Registered representative | Jan 2024 (3y) | ||
| Oliver Marshall Whybrow | Registered representative | Jan 2024 (3y) | ||
| Paul Inwhan Kim | Registered representative | Jan 2024 (3y) | ||
| Scott Andrew Fraser | Registered representative | Jan 2024 (3y) | ||
| Cynthia J. Renzi | Registered representative | Jan 2024 (3y) | ||
| John H Swartz | Registered representative | Jan 2024 (3y) | ||
| Scott Coughlin | Registered representative | Jan 2024 (3y) | ||
| Samuel Ross Lanning | Registered representative | Jan 2024 (3y) | ||
| Lynette Ancona | Registered representative | Jan 2024 (3y) | ||
| Viktoria Zitzmann | Registered representative | Jan 2024 (3y) | ||
| Christopher J Scagnelli | Registered representative | Jan 2024 (3y) | ||
| Bynum Mathewson Satterwhite | Registered representative | Jan 2024 (3y) | ||
| Cole Thomas Blades | Registered representative | Jan 2024 (3y) | ||
| Edmund Mc Near Warburton | Registered representative | Jan 2024 (3y) | ||
| Jacob Anthony Snover | Registered representative | Jan 2024 (3y) | ||
| Megan H. Pritchard | Registered representative | Jan 2024 (3y) | ||
| Ryan P Hickey | Registered representative | Jan 2024 (3y) | ||
| Daniel Albert Cronin | Registered representative | Jan 2024 (3y) | ||
| Jesica Andrews | Registered representative | Jan 2024 (3y) | ||
| Matthew David Sitarski | Registered representative | Jan 2024 (3y) | ||
| Craig Hamilton Barker | Registered representative | CFP | Feb 2024 (3y) | |
| Jennifer Lea Pals | Registered representative | Feb 2024 (3y) | ||
| Amy Lynn Mckay | Registered representative | Feb 2024 (2y) | ||
| Levi Michel Bess | Registered representative | Feb 2024 (2y) | ||
| Michel Lee Bess | Registered representative | Feb 2024 (2y) | ||
| John H Appleton | Registered representative | Feb 2024 (2y) | ||
| Jennifer T Key | Registered representative | Feb 2024 (2y) | ||
| Lauren Ellis Moon | Registered representative | Feb 2024 (2y) | ||
| Kevin Desquitado | Registered representative | Feb 2024 (2y) | ||
| Caitlin E Kornblum | Registered representative | Feb 2024 (2y) | ||
| Le T Brielmaier | Registered representative | Feb 2024 (2y) | ||
| Christine A Cilley | Registered representative | Feb 2024 (2y) | ||
| Elizabeth A Green | Registered representative | CFP | Feb 2024 (2y) | |
| Inessa Ilina | Registered representative | Feb 2024 (2y) | ||
| Zachary Parks Schoen | Registered representative | Feb 2024 (2y) | ||
| Domenic A Paolo | Registered representative | Feb 2024 (2y) | ||
| Kalyn Ashley Walker | Registered representative | Feb 2024 (2y) | ||
| Jenny G Davis | Registered representative | Feb 2024 (2y) | ||
| Sean C Durkin | Registered representative | Feb 2024 (2y) | ||
| Alan Anderson Santana | Registered representative | Feb 2024 (2y) | ||
| Matias Rodlauer | Registered representative | Feb 2024 (2y) | ||
| Patrick Ryan Wilson | Registered representative | Feb 2024 (2y) | ||
| Tyler Nelson | Registered representative | Feb 2024 (2y) | ||
| Brandon Gerard Moe | Registered representative | Feb 2024 (2y) | ||
| David R Jones | Registered representative | Feb 2024 (2y) | ||
| Nathan C Cook | Registered representative | Feb 2024 (2y) | ||
| Carsyn S. Norman | Registered representative | Feb 2024 (2y) | ||
| William Joseph Heath | Registered representative | Feb 2024 (2y) | ||
| Damon M Lux | Registered representative | Mar 2024 (2y) | ||
| Martin Chris Gruner | Registered representative | Mar 2024 (2y) | ||
| Nasera Fruhbeis Kaouss | Registered representative | Mar 2024 (2y) | ||
| Sean Gregory Allen | Registered representative | Mar 2024 (2y) | ||
| Jonathan A Sherry | Registered representative | Mar 2024 (2y) | ||
| Samantha Nicole Butler | Registered representative | Mar 2024 (2y) | ||
| Paul Joseph Civella | Registered representative | Mar 2024 (2y) | ||
| Anna Perkins | Registered representative | Mar 2024 (2y) | ||
| Daniel D. Shin | Registered representative | Mar 2024 (2y) | ||
| Frank Jerome Grossman | Registered representative | Mar 2024 (2y) | ||
| Tamara Joy Jakl | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Marie Cahill | Registered representative | Mar 2024 (2y) | ||
| Kacie R Solomon | Registered representative | Mar 2024 (2y) | ||
| Robert Belton Jones | Registered representative | Mar 2024 (2y) | ||
| Taimur Ali Baig | Registered representative | Mar 2024 (2y) | ||
| Christian Taylor Deykes | Registered representative | Mar 2024 (2y) | ||
| Keith Andrew Green | Registered representative | CFP | Mar 2024 (2y) | |
| Kennie A. Taylor | Registered representative | Mar 2024 (2y) | ||
| Allyson Brianne Ruth Berg | Registered representative | Mar 2024 (2y) | ||
| Jonathan Orion Coon | Registered representative | Mar 2024 (2y) | ||
| Joseph Patrick Ortega | Registered representative | Mar 2024 (2y) | ||
| Michael Arlen Morrison | Registered representative | CFP | Mar 2024 (2y) | |
| Sean Raymond Wetherbee | Registered representative | Mar 2024 (2y) | ||
| Austin August Pahnke | Registered representative | CFP | Mar 2024 (2y) | |
| Edward James Churchill | Registered representative | Mar 2024 (2y) | ||
| Glenn August Pahnke | Registered representative | Mar 2024 (2y) | ||
| Gretchen L Forler | Registered representative | Mar 2024 (2y) | ||
| Mark S Ackel | Registered representative | Mar 2024 (2y) | ||
| Patricia Tracy Jenkins | Registered representative | Mar 2024 (2y) | ||
| Ryan Mount | Registered representative | Mar 2024 (2y) | ||
| Tracy Elizabeth Eckman | Registered representative | Mar 2024 (2y) | ||
| William Wheeler Mckinley | Registered representative | Mar 2024 (2y) | ||
| Anthony James Losh | Registered representative | CFP | Apr 2024 (2y) | |
| Ashley Elisabeth Gajda | Registered representative | Apr 2024 (2y) | ||
| Joseph Murphy Landing | Registered representative | Apr 2024 (2y) | ||
| Kamo Jurn | Registered representative | Apr 2024 (2y) | ||
| Samuel D Hughes | Registered representative | Apr 2024 (2y) | ||
| Justin Thomas Williams | Registered representative | CFP | Apr 2024 (2y) | |
| Jennifer Elizabeth Van Horn | Registered representative | Apr 2024 (2y) | ||
| Justin Y Maynard | Registered representative | Apr 2024 (2y) | ||
| Yolanda Ima Rodriguez | Registered representative | Apr 2024 (2y) | ||
| Henry Adam Andrews | Registered representative | CFP | Apr 2024 (2y) | |
| Kayvon Malaekeh | Registered representative | Apr 2024 (2y) | ||
| Gabriele E Hoops | Registered representative | Apr 2024 (2y) | ||
| Andrew Loring Gregory | Registered representative | Apr 2024 (2y) | ||
| Camille A Marchesani | Registered representative | Apr 2024 (2y) | ||
| David C Jensen | Registered representative | Apr 2024 (2y) | ||
| Gianmarco Barone | Registered representative | Apr 2024 (2y) | ||
| Joshua T Mocilan | Registered representative | Apr 2024 (2y) | ||
| Nathan R Anglin | Registered representative | Apr 2024 (2y) | ||
| Arica Savannah | Registered representative | CFP | Apr 2024 (2y) | |
| Brianna Christine Perry | Registered representative | Apr 2024 (2y) | ||
| Homer O. Ramirez | Registered representative | CFP | Apr 2024 (2y) | |
| Matthew D Mc Kamey | Registered representative | Apr 2024 (2y) | ||
| Justin Robert Fornataro | Registered representative | Apr 2024 (2y) | ||
| Peter W Goldsich | Registered representative | Apr 2024 (2y) | ||
| William W Ho | Registered representative | CFP Chartered Financial Consultant | Apr 2024 (2y) | |
| Andrea Hutchinson Langlois | Registered representative | Apr 2024 (2y) | ||
| Joseph A Cerreta | Registered representative | Apr 2024 (2y) | ||
| Vincent Nicholas Zaccardi | Registered representative | Apr 2024 (2y) | ||
| Claudio Costa Martins Simoes | Registered representative | Apr 2024 (2y) | ||
| Juliana D Paioletti | Registered representative | Apr 2024 (2y) | ||
| Juliana Ueno | Registered representative | Apr 2024 (2y) | ||
| Rodrigo Novo De Oliveira | Registered representative | Apr 2024 (2y) | ||
| Lorraine Ann Lalicata | Registered representative | Apr 2024 (2y) | ||
| Michael Patrick Dempsey | Registered representative | CFP | Apr 2024 (2y) | |
| Gerard Paul Mattaliano | Registered representative | Apr 2024 (2y) | ||
| Nicholas V Zaccardi | Registered representative | Apr 2024 (2y) | ||
| Howard Emerson Kern | Registered representative | Apr 2024 (2y) | ||
| Mark Libby Puryear | Registered representative | CFP | Apr 2024 (2y) | |
| Angela Lynn Kerrick Nusky | Registered representative | Apr 2024 (2y) | ||
| Jason Anthony Macaluso | Registered representative | Apr 2024 (2y) | ||
| William Desmond Stafford | Registered representative | Apr 2024 (2y) | ||
| Andrew Patrick Boone | Registered representative | Apr 2024 (2y) | ||
| Benjamin Smolen | Registered representative | Apr 2024 (2y) | ||
| Chadwick Jackson Myers | Registered representative | Apr 2024 (2y) | ||
| Laura Anne Sullivan | Registered representative | Apr 2024 (2y) | ||
| Marc Christopher Dougherty | Registered representative | Apr 2024 (2y) | ||
| Samantha Marie Bichsel | Registered representative | Apr 2024 (2y) | ||
| William Ross Guthrie | Registered representative | Apr 2024 (2y) | ||
| Kevin John Lynch | Registered representative | May 2024 (2y) | ||
| Logan Barrett Saufley | Registered representative | May 2024 (2y) | ||
| Nicholas R Meginnis | Registered representative | May 2024 (2y) | ||
| Diego Alexander Reyes Cano | Registered representative | May 2024 (2y) | ||
| Stacy Mc Van | Registered representative | May 2024 (2y) | ||
| Lawrence Ned Gorab | Registered representative | May 2024 (2y) | ||
| Anna Cerqueira | Registered representative | May 2024 (2y) | ||
| Anthony Ray Semak | Registered representative | CFA | May 2024 (2y) | |
| Gregory James Duncan Peters | Registered representative | May 2024 (2y) | ||
| Grant E Berman | Registered representative | May 2024 (2y) | ||
| Lorenzo David Ascoli | Registered representative | May 2024 (2y) | ||
| Gary Anthony Hernandez | Registered representative | May 2024 (2y) | ||
| Kevin Jones | Registered representative | May 2024 (2y) | ||
| James M. Zapotocky | Registered representative | May 2024 (2y) | ||
| Jamie Lynn Lane | Registered representative | May 2024 (2y) | ||
| Jessica Davis | Registered representative | May 2024 (2y) | ||
| Jessica Lynn Henry | Registered representative | May 2024 (2y) | ||
| Joshua Andrew Yocam | Registered representative | May 2024 (2y) | ||
| Kelly Ann Kipnis | Registered representative | CFP | May 2024 (2y) | |
| Michael Ortega | Registered representative | May 2024 (2y) | ||
| Nicholas Joseph Yoshihiro Takahashi | Registered representative | May 2024 (2y) | ||
| Ryan David Brisiel | Registered representative | May 2024 (2y) | ||
| Sean Alexander Tsaconas | Registered representative | May 2024 (2y) | ||
| Stephen J Ellingsen | Registered representative | May 2024 (2y) | ||
| Justin Pucci | Registered representative | May 2024 (2y) | ||
| Kaleb Darren Goodman | Registered representative | May 2024 (2y) | ||
| Luka Vasiljevic | Registered representative | May 2024 (2y) | ||
| Mark Benjack Hamilton | Registered representative | May 2024 (2y) | ||
| Ryan Angelo D'souza | Registered representative | May 2024 (2y) | ||
| Susan L Stepka | Registered representative | May 2024 (2y) | ||
| Davidson Sidden | Registered representative | May 2024 (2y) | ||
| Philip H Haigis | Registered representative | May 2024 (2y) | ||
| Andrew Christian Robert Widing | Registered representative | May 2024 (2y) | ||
| Ghalib Abdulla Kanji | Registered representative | May 2024 (2y) | ||
| Brian Charles Kilczewski | Registered representative | May 2024 (2y) | ||
| Chadd Jason Eaton | Registered representative | May 2024 (2y) | ||
| Emmanuel John Lelekis | Registered representative | CFP | May 2024 (2y) | |
| William Einar Hudson | Registered representative | May 2024 (2y) | ||
| Maria Elena Bollo | Registered representative | May 2024 (2y) | ||
| Maria Soledad Mancheno Norin | Registered representative | May 2024 (2y) | ||
| Terri K Criswell | Registered representative | May 2024 (2y) | ||
| Akbar Meherali | Registered representative | May 2024 (2y) | ||
| Brett M Goldstein | Registered representative | CFP | May 2024 (2y) | |
| Anthony Santiago Meza | Registered representative | May 2024 (2y) | ||
| Brett Hickman | Registered representative | May 2024 (2y) | ||
| Jiangyun Zou Dale | Registered representative | May 2024 (2y) | ||
| Margaret Mary Lavecchia Baldwin | Registered representative | May 2024 (2y) | ||
| Michelle Gay Brown | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Peter Mark Henziak | Registered representative | May 2024 (2y) | ||
| Taryn P Moll | Registered representative | May 2024 (2y) | ||
| Elliot Bloch | Registered representative | May 2024 (2y) | ||
| Matthew Calhoun | Registered representative | May 2024 (2y) | ||
| Anders J. Hudson | Registered representative | May 2024 (2y) | ||
| Yon Hung Kim | Registered representative | May 2024 (2y) | ||
| Philipp Garcia Muller | Registered representative | May 2024 (2y) | ||
| Shannon P Leavey | Registered representative | May 2024 (2y) | ||
| William John Focia | Registered representative | May 2024 (2y) | ||
| Christopher M Leddy | Registered representative | May 2024 (2y) | ||
| Marissa Lynn Murray | Registered representative | May 2024 (2y) | ||
| Rose Gatto Bryant | Registered representative | May 2024 (2y) | ||
| David Cash | Registered representative | May 2024 (2y) | ||
| Joseph T Guinther | Registered representative | May 2024 (2y) | ||
| Kerry Lynn Withrow | Registered representative | May 2024 (2y) | ||
| Nicholas Oppenheimer | Registered representative | May 2024 (2y) | ||
| Brett Rude | Registered representative | Jun 2024 (2y) | ||
| Danielle Layne Deeken Rich | Registered representative | Jun 2024 (2y) | ||
| Joanna D. Knieberg | Registered representative | Jun 2024 (2y) | ||
| Joseph Francis Flannery | Registered representative | Jun 2024 (2y) | ||
| Richard Charles Hinesley | Registered representative | CFP | Jun 2024 (2y) | |
| Bruno J Bulovas | Registered representative | Jun 2024 (2y) | ||
| Eitan Sisso | Registered representative | Jun 2024 (2y) | ||
| Jared Wurtzel | Registered representative | CFP | Jun 2024 (2y) | |
| Michael Paul Pickard | Registered representative | Jun 2024 (2y) | ||
| Charity C Uldrikis | Registered representative | Jun 2024 (2y) | ||
| Thomas M Brock | Registered representative | Jun 2024 (2y) | ||
| Isaiah M Scott | Registered representative | Jun 2024 (2y) | ||
| Atish Shrestha | Registered representative | Jun 2024 (2y) | ||
| Mary R. Greener | Registered representative | Jun 2024 (2y) | ||
| Matthew P. Hill | Registered representative | Jun 2024 (2y) | ||
| Mina Sedrak | Registered representative | Jun 2024 (2y) | ||
| Bryan Nicholas Burkhart | Registered representative | Jun 2024 (2y) | ||
| Daniel R. Schmidt | Registered representative | Jun 2024 (2y) | ||
| Gretchen Kate Burkhart | Registered representative | Jun 2024 (2y) | ||
| Jacob Alan Schmidt | Registered representative | Jun 2024 (2y) | ||
| Matthew Jacob Schmidt | Registered representative | CFP | Jun 2024 (2y) | |
| Vyacheslav Kuzmin | Registered representative | CFP | Jun 2024 (2y) | |
| Walter Wright Edler | Registered representative | Jun 2024 (2y) | ||
| Austin Trapp | Registered representative | Jun 2024 (2y) | ||
| Andrew Skinner | Registered representative | Jun 2024 (2y) | ||
| Bryce Adams | Registered representative | Jun 2024 (2y) | ||
| Katherine B. Janda | Registered representative | CFA | Jun 2024 (2y) | |
| Sharon Ann Brown | Registered representative | Jun 2024 (2y) | ||
| Lucas W. Settineri | Registered representative | CFP | Jun 2024 (2y) | |
| Harvey Michel Schneider | Registered representative | Jun 2024 (2y) | ||
| David Joseph Watson | Registered representative | Jun 2024 (2y) | ||
| Rebecca A Dempsey | Registered representative | Jun 2024 (2y) | ||
| Max S Pawliger | Registered representative | Jun 2024 (2y) | ||
| Nina N Diaz | Registered representative | Jun 2024 (2y) | ||
| Gary Hal Perl | Registered representative | CFP | Jun 2024 (2y) | |
| Maria R Tottle | Registered representative | Jul 2024 (2y) | ||
| Rick Karl Skousen | Registered representative | Jul 2024 (2y) | ||
| Benjamin A Ross | Registered representative | Jul 2024 (2y) | ||
| David Franklin Stewart | Registered representative | Jul 2024 (2y) | ||
| Miguel Pablo Velazquez | Registered representative | Jul 2024 (2y) | ||
| Sotirios Vangelatos | Registered representative | Jul 2024 (2y) | ||
| Steven Matthew Prebish | Registered representative | Jul 2024 (2y) | ||
| Amanda Fey Scheele | Registered representative | Jul 2024 (2y) | ||
| Meggan E Taylor | Registered representative | Jul 2024 (2y) | ||
| Robert Thomas Matheson | Registered representative | Jul 2024 (2y) | ||
| Christopher Joseph Noble | Registered representative | Jul 2024 (2y) | ||
| Mary Golden Dunlap | Registered representative | Jul 2024 (2y) | ||
| Mary Angela Lauritano | Registered representative | Jul 2024 (2y) | ||
| Andrew Kenneth Mc Ilvaine | Registered representative | Jul 2024 (2y) | ||
| Daphne Tamara Conner | Registered representative | Jul 2024 (2y) | ||
| Rodney Hugh Clugston | Registered representative | Jul 2024 (2y) | ||
| Benjamin John Miller | Registered representative | CFP | Jul 2024 (2y) | |
| Michael Patrick Fitzgerald | Registered representative | CFP | Jul 2024 (2y) | |
| Andrew Author Comans | Registered representative | Jul 2024 (2y) | ||
| Charles Ernest Gualano | Registered representative | Jul 2024 (2y) | ||
| Christine A Zalonka | Registered representative | Jul 2024 (2y) | ||
| Brandon Terry Peebles | Registered representative | Jul 2024 (2y) | ||
| Jacob Kent Waddoups | Registered representative | CFP | Jul 2024 (2y) | |
| Kelly Lee Jelenchick | Registered representative | Jul 2024 (2y) | ||
| Larry F Stucki | Registered representative | Jul 2024 (2y) | ||
| Shauna L Misseldine | Registered representative | Jul 2024 (2y) | ||
| Eugene Ray Charles | Registered representative | Jul 2024 (2y) | ||
| Robert Jesse Johnston | Registered representative | Jul 2024 (2y) | ||
| Stephanie Ann Johnson | Registered representative | Jul 2024 (2y) | ||
| Carla Rea Greenough | Registered representative | Jul 2024 (2y) | ||
| Jessie H Gallivan | Registered representative | Jul 2024 (2y) | ||
| Matthew Stephen Bennett | Registered representative | Jul 2024 (2y) | ||
| Seth Paluck | Registered representative | Jul 2024 (2y) | ||
| Kaitlyn J. Frid | Registered representative | CFP | Jul 2024 (2y) | |
| Roger Alan Curtis | Registered representative | Jul 2024 (2y) | ||
| Eugene Paul Crookshanks | Registered representative | Jul 2024 (2y) | ||
| Peter J. Mullen | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Robyn Lista | Registered representative | Jul 2024 (2y) | ||
| Terrence Michael Medley | Registered representative | Jul 2024 (2y) | ||
| Nicholas Wesley Linton | Registered representative | CFP CFA | Jul 2024 (2y) | |
| Hank P Sizemore | Registered representative | Jul 2024 (2y) | ||
| John N Schindler | Registered representative | Jul 2024 (2y) | ||
| Carey Marie Joseph | Registered representative | Aug 2024 (2y) | ||
| Glenn David Lotenberg | Registered representative | Aug 2024 (2y) | ||
| Joseph Pierce | Registered representative | Aug 2024 (2y) | ||
| Ebony Kathleen Dozier | Registered representative | Aug 2024 (2y) | ||
| Jay Bennett Smith | Registered representative | Aug 2024 (2y) | ||
| Kristin N Stanley | Registered representative | Aug 2024 (2y) | ||
| Melinda M Johnston | Registered representative | Aug 2024 (2y) | ||
| Nicholas Ryan Olivarri | Registered representative | Aug 2024 (2y) | ||
| Charles Herbert Mulfinger | Registered representative | Aug 2024 (2y) | ||
| Cole Aether Snipes | Registered representative | Aug 2024 (2y) | ||
| Ximena Holguin | Registered representative | Aug 2024 (2y) | ||
| Matthew Benjamin Karpay | Registered representative | Aug 2024 (2y) | ||
| Scott Raymond Burnett | Registered representative | Aug 2024 (2y) | ||
| Terra Dawn Lee | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Harrison Rudulph Ellis Carter | Registered representative | Aug 2024 (2y) | ||
| Lance M Mullin | Registered representative | Aug 2024 (2y) | ||
| Riley Juenger | Registered representative | Aug 2024 (2y) | ||
| Adam S Locke | Registered representative | Aug 2024 (2y) | ||
| Brandon Wayne Fraley | Registered representative | Aug 2024 (2y) | ||
| Marina Ellis | Registered representative | Aug 2024 (2y) | ||
| Peter Kelson | Registered representative | Aug 2024 (2y) | ||
| William David Maguire | Registered representative | Aug 2024 (2y) | ||
| Wyatt Amdor | Registered representative | Aug 2024 (2y) | ||
| Magda Carolina Castro | Registered representative | Aug 2024 (2y) | ||
| Alicia Birch | Registered representative | Aug 2024 (2y) | ||
| Christopher John Scott | Registered representative | Aug 2024 (2y) | ||
| Jaclyn M Greiner | Registered representative | Aug 2024 (2y) | ||
| Jeffrey Parkman Baker | Registered representative | Aug 2024 (2y) | ||
| Kathryn Williams Satterthwaite | Registered representative | Aug 2024 (2y) | ||
| Kevin Klein | Registered representative | CFP | Aug 2024 (2y) | |
| Kimberly Ann Bivens | Registered representative | Aug 2024 (2y) | ||
| Michael Allen Gates | Registered representative | Aug 2024 (2y) | ||
| Natalia Angela Morales | Registered representative | Aug 2024 (2y) | ||
| Salvatore Gandolfo | Registered representative | Aug 2024 (2y) | ||
| Stephanie S Kim | Registered representative | Aug 2024 (2y) | ||
| Mark Allen Ramaekers | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Keith S. Greenberg | Registered representative | CFP | Aug 2024 (2y) | |
| Michael Wayne Early | Registered representative | Aug 2024 (2y) | ||
| Phillip Watkins | Registered representative | Aug 2024 (2y) | ||
| Katelyn M Philleo | Registered representative | Aug 2024 (2y) | ||
| Andrew Herran | Registered representative | Aug 2024 (2y) | ||
| Easton Z Gillette | Registered representative | Aug 2024 (2y) | ||
| Lynda Grace Schultz | Registered representative | Aug 2024 (2y) | ||
| Dean Sadek | Registered representative | Aug 2024 (2y) | ||
| John W Racciatti Parker | Registered representative | CFP | Aug 2024 (2y) | |
| Clara Halapio | Registered representative | Aug 2024 (2y) | ||
| Dale William Grubb | Registered representative | Aug 2024 (2y) | ||
| Christopher Chad Gibson | Registered representative | CFP | Aug 2024 (2y) | |
| Corbin Storm Hoffner | Registered representative | Aug 2024 (2y) | ||
| Juan Sebastian Leon | Registered representative | Aug 2024 (2y) | ||
| Jordan C Dudley | Registered representative | Aug 2024 (2y) | ||
| Matthew Dale Grubb | Registered representative | Aug 2024 (2y) | ||
| Ormand Lee O'neal | Registered representative | Sep 2024 (2y) | ||
| Linda Everitt Migliazzo | Registered representative | CFP | Sep 2024 (2y) | |
| Nicholas A Berman | Registered representative | Sep 2024 (2y) | ||
| Tyler Wieczorek | Registered representative | Sep 2024 (2y) | ||
| Ann Marie Prizzi | Registered representative | Sep 2024 (2y) | ||
| Connor S Wagner | Registered representative | Sep 2024 (2y) | ||
| Kayla A Soukup | Registered representative | Sep 2024 (2y) | ||
| Zachary Mann | Registered representative | Sep 2024 (2y) | ||
| Tim Leighton Bates Mc Laughlin | Registered representative | Sep 2024 (2y) | ||
| Danna Wolfson Schmidt | Registered representative | Sep 2024 (2y) | ||
| Amelia Peach Luttrell | Registered representative | Sep 2024 (2y) | ||
| Evelyn C Alberding | Registered representative | Sep 2024 (2y) | ||
| Katia Kandah | Registered representative | Sep 2024 (2y) | ||
| Nevin Sari | Registered representative | Sep 2024 (2y) | ||
| Aaron Louisell | Registered representative | CFP | Sep 2024 (2y) | |
| Erin Shalia Maria Mouratoff | Registered representative | Sep 2024 (2y) | ||
| Thomas John Grobbel | Registered representative | Sep 2024 (2y) | ||
| Connor J Henrichs | Registered representative | Sep 2024 (2y) | ||
| Robert Brian Gillenwater | Registered representative | Sep 2024 (2y) | ||
| Mackenzie C. Gassie | Registered representative | Sep 2024 (2y) | ||
| Paul O Jessie | Registered representative | Sep 2024 (2y) | ||
| Sarah A Gainey | Registered representative | Sep 2024 (2y) | ||
| Thomas John Grobbel | Registered representative | Sep 2024 (2y) | ||
| Bradley Aaron Jessen | Registered representative | Sep 2024 (2y) | ||
| Christopher G. Brown | Registered representative | Sep 2024 (2y) | ||
| Justin Michael Pearlman | Registered representative | CFP | Sep 2024 (2y) | |
| Richard N Paris | Registered representative | Sep 2024 (2y) | ||
| Charles Curtis | Registered representative | Sep 2024 (2y) | ||
| Daniel Steven Camarigg | Registered representative | Sep 2024 (2y) | ||
| Tiani R Hausen | Registered representative | Sep 2024 (2y) | ||
| Whitney B Woodford | Registered representative | Sep 2024 (2y) | ||
| Carol L Heil | Registered representative | Sep 2024 (2y) | ||
| George A Pettey | Registered representative | Sep 2024 (2y) | ||
| Kimberly A. Baldwin | Registered representative | Sep 2024 (2y) | ||
| Michael A Kelly | Registered representative | Sep 2024 (2y) | ||
| Tina Marie Trihub | Registered representative | Sep 2024 (2y) | ||
| Tracy Lynn Mceuen | Registered representative | Sep 2024 (2y) | ||
| William Andrew Veitch | Registered representative | Sep 2024 (2y) | ||
| Alexander B White | Registered representative | Oct 2024 (2y) | ||
| Richard Garrett | Registered representative | Oct 2024 (2y) | ||
| Judy S Chong Ng | Registered representative | CFP | Oct 2024 (2y) | |
| Joy Faith Jennings | Registered representative | Oct 2024 (2y) | ||
| Justin French | Registered representative | Oct 2024 (2y) | ||
| Melody M. Price | Registered representative | Oct 2024 (2y) | ||
| Michael Thomas Champ | Registered representative | Oct 2024 (2y) | ||
| Ellys De Socorro Frias | Registered representative | Oct 2024 (2y) | ||
| Jose Alberto Hernandez Cevada | Registered representative | Oct 2024 (2y) | ||
| Sydney Owens Harrod | Registered representative | Oct 2024 (2y) | ||
| Peter G Hernandez | Registered representative | Oct 2024 (2y) | ||
| John R Dever | Registered representative | Oct 2024 (2y) | ||
| Paul David Schwing | Registered representative | Oct 2024 (2y) | ||
| Emily Claire Pearson | Registered representative | Oct 2024 (2y) | ||
| Kyle T Snyder | Registered representative | Oct 2024 (2y) | ||
| Pei Elizabeth Ivins | Registered representative | Oct 2024 (2y) | ||
| Michelle Lee Lawson | Registered representative | Oct 2024 (2y) | ||
| Valerie Jean Zwosta | Registered representative | Oct 2024 (2y) | ||
| Steven Joseph Pantuso | Registered representative | CFP | Oct 2024 (2y) | |
| Michael C Flader | Registered representative | Oct 2024 (2y) | ||
| Rhonda L Lisbon Kendall | Registered representative | Oct 2024 (2y) | ||
| Shepard Tuttle Stevens | Registered representative | Oct 2024 (2y) | ||
| Brian K Flader | Registered representative | Oct 2024 (2y) | ||
| Darryn Christopher Young | Registered representative | CFP | Oct 2024 (2y) | |
| Jennifer Anne Baker | Registered representative | Oct 2024 (2y) | ||
| Katelyn Spence | Registered representative | Oct 2024 (2y) | ||
| Angelo Ciardella | Registered representative | Oct 2024 (2y) | ||
| David Kevin Sager | Registered representative | Oct 2024 (2y) | ||
| John C Campeau | Registered representative | Oct 2024 (2y) | ||
| Jennifer Marie Madden | Registered representative | Oct 2024 (2y) | ||
| Casey James Rease | Registered representative | Oct 2024 (2y) | ||
| Mary Elizabeth Sullivan | Registered representative | Oct 2024 (2y) | ||
| Jamie Frayman | Registered representative | Oct 2024 (2y) | ||
| Dennis Rao | Registered representative | Oct 2024 (2y) | ||
| Timothy Jerome Martin | Registered representative | Oct 2024 (2y) | ||
| Alexandra M Hatfield | Registered representative | Oct 2024 (2y) | ||
| Mark Stephen Trimble | Registered representative | Oct 2024 (2y) | ||
| Ashley M Avery | Registered representative | Oct 2024 (2y) | ||
| Lydia K Balistreri | Registered representative | Oct 2024 (2y) | ||
| Shelby Leigh Budzeak | Registered representative | Oct 2024 (2y) | ||
| Christie Lynn Watson | Registered representative | Oct 2024 (2y) | ||
| Christine Nicole Rutherford | Registered representative | Oct 2024 (2y) | ||
| Edward Eric Sommers | Registered representative | Oct 2024 (2y) | ||
| James Richard Harkins | Registered representative | Oct 2024 (2y) | ||
| Marcus William Jones | Registered representative | CFP | Oct 2024 (2y) | |
| Pedro Triana | Registered representative | Oct 2024 (2y) | ||
| Teresa J Proano | Registered representative | Oct 2024 (2y) | ||
| Daniel C Shutt | Registered representative | Oct 2024 (2y) | ||
| Lauren Danielle Guidotti | Registered representative | Oct 2024 (2y) | ||
| Pablo De Jesus Rodriguez | Registered representative | Oct 2024 (2y) | ||
| Sydney Ann Conner | Registered representative | Oct 2024 (2y) | ||
| Sydney E Williamson | Registered representative | Oct 2024 (2y) | ||
| Daniel Herraiz | Registered representative | Nov 2024 (2y) | ||
| Jessica A Bloebaum | Registered representative | Nov 2024 (2y) | ||
| Cooper A. Bennett | Registered representative | Nov 2024 (2y) | ||
| Elizabeth L. George | Registered representative | Nov 2024 (2y) | ||
| Robert Paine Wilson | Registered representative | Nov 2024 (2y) | ||
| James H Kelly Iii | Registered representative | Nov 2024 (2y) | ||
| Adam S Ours | Registered representative | Nov 2024 (2y) | ||
| Aleksandra Delic Milanovic | Registered representative | Nov 2024 (2y) | ||
| Daniel Feliz | Registered representative | Nov 2024 (2y) | ||
| Daniela Fricke | Registered representative | CFP | Nov 2024 (2y) | |
| Daniel M Kelly | Registered representative | CFP | Nov 2024 (2y) | |
| Jeffrey Paul Danzinger | Registered representative | Nov 2024 (2y) | ||
| John Ambrose Koch | Registered representative | Nov 2024 (2y) | ||
| Kelly Ann Erickson | Registered representative | CFP | Nov 2024 (2y) | |
| Padma Jambunath | Registered representative | Nov 2024 (2y) | ||
| Abbey Strubhar | Registered representative | Nov 2024 (2y) | ||
| Charlie Joseph Host | Registered representative | Nov 2024 (2y) | ||
| Luis Alberto Coppel | Registered representative | Nov 2024 (2y) | ||
| Sean E Flood | Registered representative | Nov 2024 (2y) | ||
| Juan Felipe Vega | Registered representative | Nov 2024 (2y) | ||
| Kelsie Ann Pomeroy | Registered representative | Nov 2024 (2y) | ||
| George Norman Buxton | Registered representative | Nov 2024 (2y) | ||
| Jessica N Belville | Registered representative | Nov 2024 (2y) | ||
| Russell G Cappelen Jr. | Registered representative | Nov 2024 (2y) | ||
| John Pardue | Registered representative | Nov 2024 (2y) | ||
| Diane P. Nelson | Registered representative | Nov 2024 (2y) | ||
| Sarah Madsen | Registered representative | Nov 2024 (2y) | ||
| Julie L Taylor | Registered representative | Nov 2024 (2y) | ||
| Kevin M Wunker | Registered representative | Nov 2024 (2y) | ||
| Nicholas Evan Mckelvey | Registered representative | Nov 2024 (2y) | ||
| Reem Rawashdeh | Registered representative | Nov 2024 (2y) | ||
| Adam R Scrimenti | Registered representative | Nov 2024 (2y) | ||
| Andrew Mackay | Registered representative | Nov 2024 (2y) | ||
| John Demarest | Registered representative | Nov 2024 (2y) | ||
| Timothy Smith | Registered representative | Nov 2024 (2y) | ||
| Brian Daryl Henson | Registered representative | CFP | Dec 2024 (2y) | |
| Jenna Nicole Davis | Registered representative | Dec 2024 (2y) | ||
| Frank William Epinger | Registered representative | Dec 2024 (2y) | ||
| Peter Louis Courtemanche | Registered representative | Dec 2024 (2y) | ||
| Wayne Andrew Thomas | Registered representative | Dec 2024 (2y) | ||
| Heidi Ann Collins | Registered representative | Dec 2024 (2y) | ||
| Mary Kane | Registered representative | Dec 2024 (2y) | ||
| Steven Coleman Victor | Registered representative | Dec 2024 (2y) | ||
| Lisa W. Fouraker | Registered representative | CFP | Dec 2024 (2y) | |
| Robert Anthony Alft | Registered representative | Dec 2024 (2y) | ||
| Bruce D Baja | Registered representative | Dec 2024 (2y) | ||
| Edward James Collins | Registered representative | Dec 2024 (2y) | ||
| Andrew Patrick Spurlock | Registered representative | Dec 2024 (2y) | ||
| Bailey Rae Leroux | Registered representative | Dec 2024 (2y) | ||
| Homer Houston Garrison | Registered representative | Dec 2024 (2y) | ||
| Jacob K. Brown | Registered representative | Dec 2024 (2y) | ||
| Trevor S Prince | Registered representative | Dec 2024 (2y) | ||
| Grace A Prado | Registered representative | Dec 2024 (2y) | ||
| Mallory Miles Schierman | Registered representative | Dec 2024 (2y) | ||
| Breshell Ellyne Moore | Registered representative | Dec 2024 (2y) | ||
| Gregory William Kolb | Registered representative | Dec 2024 (2y) | ||
| Anthony Fiumara | Registered representative | Dec 2024 (2y) | ||
| Garek Schultz | Registered representative | Dec 2024 (2y) | ||
| Jennifer K Cox | Registered representative | Dec 2024 (2y) | ||
| Zachary James Rymniak | Registered representative | Dec 2024 (2y) | ||
| Elizabeth Hartman | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| Jesse Lynn Bernhardt | Registered representative | Jan 2025 (2y) | ||
| Kacey Michelle Bell | Registered representative | Jan 2025 (2y) | ||
| Mark A Hernandez | Registered representative | Jan 2025 (2y) | ||
| Martin Nicolas Velastegui | Registered representative | Jan 2025 (2y) | ||
| Scott Franklin Groves Stout | Registered representative | Jan 2025 (2y) | ||
| Katherine C Wallace | Registered representative | Jan 2025 (2y) | ||
| Judson Mark Mohan | Registered representative | Jan 2025 (2y) | ||
| Laura C Blaya | Registered representative | Jan 2025 (2y) | ||
| Steven Richard Porter | Registered representative | CFP | Jan 2025 (2y) | |
| Robert E Mc Adams | Registered representative | Jan 2025 (2y) | ||
| Davis Brister | Registered representative | Jan 2025 (2y) | ||
| Dylan A Garcia | Registered representative | Jan 2025 (2y) | ||
| Seth Diamond | Registered representative | CFP | Jan 2025 (2y) | |
| Barbara Buzan Beck | Registered representative | Jan 2025 (2y) | ||
| Christian De Angulo Veliz | Registered representative | Jan 2025 (2y) | ||
| Harold E Heidersdorf | Registered representative | Jan 2025 (2y) | ||
| Joseph Lawrence Pellegrini | Registered representative | Jan 2025 (2y) | ||
| Kevin Paul Walker | Registered representative | CFP | Jan 2025 (2y) | |
| Margaret Johnson Arndt | Registered representative | Jan 2025 (2y) | ||
| Michelle M Giovanelli | Registered representative | Jan 2025 (2y) | ||
| Peter Mitchell Jurasz | Registered representative | Jan 2025 (2y) | ||
| Rebecca Hall | Registered representative | Jan 2025 (2y) | ||
| Ryian Keir Jurasz | Registered representative | Jan 2025 (2y) | ||
| Valcarrie Bingel | Registered representative | Jan 2025 (2y) | ||
| Kendall M Vander Meulen | Registered representative | Jan 2025 (2y) | ||
| Kevin Brent Roberts | Registered representative | Jan 2025 (2y) | ||
| Natalie Jayne Volpitta | Registered representative | CFP | Jan 2025 (2y) | |
| Elijah Gordon | Registered representative | Jan 2025 (2y) | ||
| Sarah Elizabeth Knox | Registered representative | Jan 2025 (2y) | ||
| Devin Haun | Registered representative | Jan 2025 (2y) | ||
| Patrick Ingram | Registered representative | Jan 2025 (2y) | ||
| Mark Fabek | Registered representative | Jan 2025 (2y) | ||
| Jacqueline T Kulle | Registered representative | Jan 2025 (2y) | ||
| Edmund Breen Clapham | Registered representative | CFA | Jan 2025 (2y) | |
| Charles Joseph Ciaramitaro | Registered representative | Jan 2025 (2y) | ||
| Erin Ann Cresko | Registered representative | Jan 2025 (2y) | ||
| Karrie Simm | Registered representative | Jan 2025 (2y) | ||
| Benjamin Erney | Registered representative | Feb 2025 (1y) | ||
| Matthew Robert Nagel | Registered representative | Feb 2025 (1y) | ||
| Matthew Ricker | Registered representative | Feb 2025 (1y) | ||
| Kathryn B Hinson | Registered representative | Feb 2025 (1y) | ||
| Daniel Zamora | Registered representative | Feb 2025 (1y) | ||
| Julian C Johnson | Registered representative | Feb 2025 (1y) | ||
| Maria L Kleinschmidt | Registered representative | Feb 2025 (1y) | ||
| Danielle R Walls | Registered representative | Feb 2025 (1y) | ||
| Gregory John Carlson | Registered representative | Feb 2025 (1y) | ||
| Keith Arthur Parrish | Registered representative | Feb 2025 (1y) | ||
| Brian Alan Palmeter | Registered representative | Feb 2025 (1y) | ||
| Donald O Wratchford | Registered representative | Feb 2025 (1y) | ||
| Brooke C Davis | Registered representative | Feb 2025 (1y) | ||
| Brian Ernest Soczka | Registered representative | Feb 2025 (1y) | ||
| Andrew J Gutierrez | Registered representative | Feb 2025 (1y) | ||
| Andree Willis | Registered representative | Feb 2025 (1y) | ||
| Andrew David Burns | Registered representative | Feb 2025 (1y) | ||
| Jefferey H. Biederman | Registered representative | Feb 2025 (1y) | ||
| Kelsey D Patterson | Registered representative | Feb 2025 (1y) | ||
| Matthew Edward Hopkins | Registered representative | Feb 2025 (1y) | ||
| Thomas Anthony Kreuzer | Registered representative | Feb 2025 (1y) | ||
| Alan Marc Soltman | Registered representative | Feb 2025 (1y) | ||
| Adam Emanuel Bracy | Registered representative | Feb 2025 (1y) | ||
| Alena I Gifford | Registered representative | Feb 2025 (1y) | ||
| Alexander Petrowski | Registered representative | Feb 2025 (1y) | ||
| Cory Steven Elmore | Registered representative | Feb 2025 (1y) | ||
| Mark A Cibulas | Registered representative | CFP | Feb 2025 (1y) | |
| Nicholas Thomas Carroll | Registered representative | CFA | Feb 2025 (1y) | |
| Abbie M Gristy | Registered representative | Feb 2025 (1y) | ||
| Clayton W Ollendieck | Registered representative | Feb 2025 (1y) | ||
| Ryan Gripper | Registered representative | Feb 2025 (1y) | ||
| Randy James Landry | Registered representative | Mar 2025 (1y) | ||
| Jacquelyn Rene Metcalfe | Registered representative | Mar 2025 (1y) | ||
| Matthew N Harris | Registered representative | Mar 2025 (1y) | ||
| Richard J Baldwin | Registered representative | Mar 2025 (1y) | ||
| Ryan Neely | Registered representative | Mar 2025 (1y) | ||
| Victoria Olivia Decker | Registered representative | Mar 2025 (1y) | ||
| Daniel J Martin | Registered representative | Mar 2025 (1y) | ||
| Jeremiah Fitzgibbons | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Mitchell J Hundman | Registered representative | Mar 2025 (1y) | ||
| Paul M Hess | Registered representative | Mar 2025 (1y) | ||
| Geoffrey Steven Dettlinger | Registered representative | CFP | Mar 2025 (1y) | |
| Matthew James Foreman | Registered representative | Mar 2025 (1y) | ||
| Michael James Foreman | Registered representative | Mar 2025 (1y) | ||
| Terri Lynn Detre | Registered representative | Mar 2025 (1y) | ||
| Michael J Struckman | Registered representative | Mar 2025 (1y) | ||
| Alexander Jonathan Voils | Registered representative | Mar 2025 (1y) | ||
| Joseph Max Carter | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Sara C Southwick | Registered representative | Mar 2025 (1y) | ||
| Sze Sze Fertitta | Registered representative | Mar 2025 (1y) | ||
| Thomas Edward Brown | Registered representative | Mar 2025 (1y) | ||
| Aaron Nathaniel Volz | Registered representative | Mar 2025 (1y) | ||
| Joseph R Le Blanc | Registered representative | CFP | Mar 2025 (1y) | |
| Charles Ray Brown | Registered representative | CFP | Mar 2025 (1y) | |
| Ryan C. Willenborg | Registered representative | Mar 2025 (1y) | ||
| Stefanie Daley | Registered representative | Mar 2025 (1y) | ||
| Steven P Brown | Registered representative | Mar 2025 (1y) | ||
| Christine Roushdy Morgan | Registered representative | Mar 2025 (1y) | ||
| Sharaff Ulann Rathur | Registered representative | Mar 2025 (1y) | ||
| Teresa R Rodriguez | Registered representative | Mar 2025 (1y) | ||
| Benjamin R Conroy | Registered representative | Mar 2025 (1y) | ||
| Daniela Smith | Registered representative | Mar 2025 (1y) | ||
| Marcus Johannes Van Der Meulen | Registered representative | Mar 2025 (1y) | ||
| Bryce A Ramer | Registered representative | Mar 2025 (1y) | ||
| Sunil Seth | Registered representative | Mar 2025 (1y) | ||
| Samuel Mathews | Registered representative | Mar 2025 (1y) | ||
| Daniel Joshua Goldman | Registered representative | CFA | Mar 2025 (1y) | |
| Lynn Michelle Rogers | Registered representative | Mar 2025 (1y) | ||
| Robert William Brann | Registered representative | Mar 2025 (1y) | ||
| Mark A Sederquist | Registered representative | Mar 2025 (1y) | ||
| Jillian M Gallozi | Registered representative | Mar 2025 (1y) | ||
| Vana Koutsomitis | Registered representative | Mar 2025 (1y) | ||
| Chandler M. Huffman | Registered representative | Mar 2025 (1y) | ||
| Charles P Saylor | Registered representative | Mar 2025 (1y) | ||
| Marcus Afzali | Registered representative | Mar 2025 (1y) | ||
| Samantha Kay | Registered representative | Mar 2025 (1y) | ||
| David Scott Himebaugh | Registered representative | Mar 2025 (1y) | ||
| Lamont Nicholas Corprew | Registered representative | Apr 2025 (1y) | ||
| Erica Louise Kohlwaies | Registered representative | Apr 2025 (1y) | ||
| Eseohe Samson Ibhagui | Registered representative | Apr 2025 (1y) | ||
| Rikki Ashley Smoak Fletcher | Registered representative | Apr 2025 (1y) | ||
| Scott Michael Gajeski | Registered representative | CFP | Apr 2025 (1y) | |
| Adam Trent Nibert | Registered representative | CFP | Apr 2025 (1y) | |
| Blanca Taua Salazar | Registered representative | Apr 2025 (1y) | ||
| Joseph Gammerman | Registered representative | Apr 2025 (1y) | ||
| Zachary Zugan | Registered representative | Apr 2025 (1y) | ||
| Chase James Rodriguez | Registered representative | Apr 2025 (1y) | ||
| Cole Alexander Hedge | Registered representative | CFP | Apr 2025 (1y) | |
| Justin Paul Mills | Registered representative | Apr 2025 (1y) | ||
| Abel Chavez Lopez | Registered representative | Apr 2025 (1y) | ||
| Amy L Verzaal | Registered representative | Apr 2025 (1y) | ||
| Ayelet E Arnall | Registered representative | Apr 2025 (1y) | ||
| Jacob Auger | Registered representative | Apr 2025 (1y) | ||
| Scott Munroe Louder | Registered representative | Apr 2025 (1y) | ||
| Evan Kwiatkowski | Registered representative | Apr 2025 (1y) | ||
| Steven Barton Gilbert | Registered representative | Apr 2025 (1y) | ||
| Joseph S. Prizzi | Registered representative | Apr 2025 (1y) | ||
| Luke H Fairchild | Registered representative | Apr 2025 (1y) | ||
| Zackary M Zambo | Registered representative | Apr 2025 (1y) | ||
| Bradford A Kerr | Registered representative | Apr 2025 (1y) | ||
| Christopher A. Antipa | Registered representative | Apr 2025 (1y) | ||
| David Neugebauer Cancienne | Registered representative | Apr 2025 (1y) | ||
| Edward Samuel Fierro | Registered representative | Apr 2025 (1y) | ||
| Elizabeth A. Tomblin | Registered representative | Apr 2025 (1y) | ||
| Gene L Novak | Registered representative | Apr 2025 (1y) | ||
| Gavin Anderson Mc Lay | Registered representative | Apr 2025 (1y) | ||
| Kerry Lee Kungel | Registered representative | Apr 2025 (1y) | ||
| Olivia Lauren Fragola | Registered representative | Apr 2025 (1y) | ||
| William Travis Tresca | Registered representative | Apr 2025 (1y) | ||
| Douglas Allen Drabik | Registered representative | Apr 2025 (1y) | ||
| Jose Gabriel Lopez | Registered representative | Apr 2025 (1y) | ||
| Misael R Lugo | Registered representative | Apr 2025 (1y) | ||
| John Wilson Hutchinson | Registered representative | CFP | Apr 2025 (1y) | |
| Christian T Saylor | Registered representative | Apr 2025 (1y) | ||
| William S Larmore | Registered representative | Apr 2025 (1y) | ||
| Nicholas Pitts | Registered representative | Apr 2025 (1y) | ||
| Warren Amroy Scott | Registered representative | Apr 2025 (1y) | ||
| Christian James Nieman | Registered representative | CFP | Apr 2025 (1y) | |
| Evan Busby | Registered representative | Apr 2025 (1y) | ||
| John C Napolitano | Registered representative | Apr 2025 (1y) | ||
| Jeanette C Clinton | Registered representative | Apr 2025 (1y) | ||
| Ryan Leizman | Registered representative | Apr 2025 (1y) | ||
| Ryne E Petersen | Registered representative | Apr 2025 (1y) | ||
| Craig Paul Taliento | Registered representative | Apr 2025 (1y) | ||
| Daniel R Adams | Registered representative | CFP | Apr 2025 (1y) | |
| Daniel Richard Adams | Registered representative | Apr 2025 (1y) | ||
| Ian M Mc Cann | Registered representative | Apr 2025 (1y) | ||
| Corbin Michael Gustafson | Registered representative | May 2025 (1y) | ||
| Hannah Rose Patrignani | Registered representative | May 2025 (1y) | ||
| Maryanne Delores Morrissey | Registered representative | CFP | May 2025 (1y) | |
| Robert Francis Farrell | Registered representative | CFP | May 2025 (1y) | |
| Ronald Sanchez Lopez | Registered representative | May 2025 (1y) | ||
| Seth Christopher Adams | Registered representative | May 2025 (1y) | ||
| Kimberly Boyd Tucker | Registered representative | May 2025 (1y) | ||
| Brandon Mattison Hilger | Registered representative | May 2025 (1y) | ||
| Katherine Alice Egan | Registered representative | May 2025 (1y) | ||
| Zachary D Hiler | Registered representative | May 2025 (1y) | ||
| Chase Mehaffey | Registered representative | May 2025 (1y) | ||
| Kyle Lane Nixon | Registered representative | May 2025 (1y) | ||
| Nicole Delmas | Registered representative | May 2025 (1y) | ||
| Andrew K Buechler | Registered representative | May 2025 (1y) | ||
| Avery Elizabeth Butterworth | Registered representative | May 2025 (1y) | ||
| Calvin Gross | Registered representative | CFP | May 2025 (1y) | |
| Gregory Charles Box | Registered representative | May 2025 (1y) | ||
| James Stephen Yurak | Registered representative | May 2025 (1y) | ||
| James Garrett Janka | Registered representative | May 2025 (1y) | ||
| Mark R Buchanan | Registered representative | May 2025 (1y) | ||
| Matthew Leamon | Registered representative | May 2025 (1y) | ||
| Paul Andrew Corbeil | Registered representative | May 2025 (1y) | ||
| Richard Craig Ray | Registered representative | May 2025 (1y) | ||
| Steven Winford | Registered representative | May 2025 (1y) | ||
| John Joseph Morad | Registered representative | May 2025 (1y) | ||
| Jonathan Samuel Israel | Registered representative | May 2025 (1y) | ||
| Jakob Rainer Balcom | Registered representative | May 2025 (1y) | ||
| Kennedee Arden Bennett | Registered representative | May 2025 (1y) | ||
| Mirza Culov | Registered representative | May 2025 (1y) | ||
| Patrick Dolan Oleary | Registered representative | May 2025 (1y) | ||
| Damian J Flanigan | Registered representative | May 2025 (1y) | ||
| Kelly P Allen | Registered representative | May 2025 (1y) | ||
| Kevin Thompson | Registered representative | May 2025 (1y) | ||
| Jerald Ira Seebol | Registered representative | CFP | May 2025 (1y) | |
| Andrea Seebol Smithers | Registered representative | May 2025 (1y) | ||
| Paul Minor | Registered representative | May 2025 (1y) | ||
| Stephanie Seebol Lesso | Registered representative | May 2025 (1y) | ||
| Arthur William Bartholomew | Registered representative | CFP | May 2025 (1y) | |
| Brian A. Augustine Garcia | Registered representative | May 2025 (1y) | ||
| Jeffrey P King | Registered representative | May 2025 (1y) | ||
| Sanae Anne Garcia | Registered representative | May 2025 (1y) | ||
| Damien Didier Gerald Caillault | Registered representative | CFP | May 2025 (1y) | |
| Julia E Wittmann | Registered representative | May 2025 (1y) | ||
| Justin Michael Lippincott | Registered representative | May 2025 (1y) | ||
| Jeremy David Miller | Registered representative | May 2025 (1y) | ||
| Katrina Marie Consiglio | Registered representative | May 2025 (1y) | ||
| Kristen Jane Mahan | Registered representative | CFP | May 2025 (1y) | |
| Robert Calhoun Curtis | Registered representative | May 2025 (1y) | ||
| Raymond L Reilly | Registered representative | May 2025 (1y) | ||
| Jaryd Edward Hartzell | Registered representative | May 2025 (1y) | ||
| Harrison P Watkins | Registered representative | May 2025 (1y) | ||
| Lauren D Greene | Registered representative | May 2025 (1y) | ||
| Daniel G Medley | Registered representative | May 2025 (1y) | ||
| Zachary Brown | Registered representative | May 2025 (1y) | ||
| Deviki N Arora | Registered representative | May 2025 (1y) | ||
| Daniel Gray Mceachern | Registered representative | Jun 2025 (1y) | ||
| Matthew Lowell Broch | Registered representative | Jun 2025 (1y) | ||
| Michelle Darlene Roher | Registered representative | Jun 2025 (1y) | ||
| Michael S Plette | Registered representative | Jun 2025 (1y) | ||
| Shane Michael Edmondson | Registered representative | Jun 2025 (1y) | ||
| Thomas Matthew Ray | Registered representative | Jun 2025 (1y) | ||
| Adrien A Roa | Registered representative | Jun 2025 (1y) | ||
| Jeffries Clottey | Registered representative | Jun 2025 (1y) | ||
| Madeline Prater | Registered representative | Jun 2025 (1y) | ||
| Morgan Paige Sardzinski | Registered representative | Jun 2025 (1y) | ||
| Timothy A Jurado | Registered representative | Jun 2025 (1y) | ||
| Andrea D Milano | Registered representative | Jun 2025 (1y) | ||
| Shawn L Bernhard | Registered representative | CFP | Jun 2025 (1y) | |
| Steven John Labelle | Registered representative | Jun 2025 (1y) | ||
| Sean Michael Morr | Registered representative | Jun 2025 (1y) | ||
| Silas Wieczorek | Registered representative | Jun 2025 (1y) | ||
| John F Gorman | Registered representative | Jun 2025 (1y) | ||
| Taniese D Powell | Registered representative | Jun 2025 (1y) | ||
| Luke Goldstock | Registered representative | Jun 2025 (1y) | ||
| Melissa Hamilton | Registered representative | Jun 2025 (1y) | ||
| Michael Jacob Hannosh | Registered representative | Jun 2025 (1y) | ||
| Aaron Rogers | Registered representative | Jun 2025 (1y) | ||
| Jason Stuart Hoffman | Registered representative | Jun 2025 (1y) | ||
| Savannah Castor King | Registered representative | Jun 2025 (1y) | ||
| William Todd West | Registered representative | Jun 2025 (1y) | ||
| Joshua Andru Boulware | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Nicholas Joseph Gagliardo | Registered representative | Jun 2025 (1y) | ||
| Stephanie Barringer Morris | Registered representative | Jun 2025 (1y) | ||
| Guilherme Lopes Gauzzi | Registered representative | Jun 2025 (1y) | ||
| Mark Gregory Spirk | Registered representative | CFP | Jun 2025 (1y) | |
| Brian J Forneris | Registered representative | Jun 2025 (1y) | ||
| Stevy Skillman | Registered representative | Jun 2025 (1y) | ||
| Ana Von Heimburg | Registered representative | Jun 2025 (1y) | ||
| Alan Leung | Registered representative | Jun 2025 (1y) | ||
| Cameron Harris | Registered representative | Jun 2025 (1y) | ||
| Jesse Balsimo | Registered representative | Jun 2025 (1y) | ||
| Manuel Alejandro Benitez | Registered representative | Jun 2025 (1y) | ||
| Michael Covey Davis | Registered representative | Jun 2025 (1y) | ||
| Steven Joseph Fortune | Registered representative | CFP | Jun 2025 (1y) | |
| Reagan Nicole Fricke | Registered representative | Jun 2025 (1y) | ||
| William S Siddall | Registered representative | Jun 2025 (1y) | ||
| Camryn Hope Mateo Carney | Registered representative | Jun 2025 (1y) | ||
| Jerry A Therrel | Registered representative | Jun 2025 (1y) | ||
| Leslie Ann Fisher | Registered representative | Jun 2025 (1y) | ||
| Vickie Lynn White | Registered representative | Jun 2025 (1y) | ||
| Dennis L Mahler | Registered representative | CFP | Jun 2025 (1y) | |
| Claudia Ortega | Registered representative | Jun 2025 (1y) | ||
| John Francis Moran | Registered representative | Jun 2025 (1y) | ||
| John Christopher Panos | Registered representative | Jun 2025 (1y) | ||
| Madison Elizabeth Sherman | Registered representative | Jun 2025 (1y) | ||
| Sydney E Szwyd | Registered representative | Jun 2025 (1y) | ||
| Jeffry Justin La Beff | Registered representative | Jun 2025 (1y) | ||
| Corban Lethcoe | Registered representative | Jul 2025 (1y) | ||
| Edward Steven English | Registered representative | CFP | Jul 2025 (1y) | |
| Leidy Barrios Dreispiel | Registered representative | Jul 2025 (1y) | ||
| Robert Elliot Chanin | Registered representative | Jul 2025 (1y) | ||
| Harrison G Fried | Registered representative | Jul 2025 (1y) | ||
| Lori A Marino | Registered representative | Jul 2025 (1y) | ||
| Rafael Augusto Urena | Registered representative | CFP | Jul 2025 (1y) | |
| Blane Heisler | Registered representative | CFP | Jul 2025 (1y) | |
| Mary Jo La Beff | Registered representative | Jul 2025 (1y) | ||
| Cole Bohner | Registered representative | Jul 2025 (1y) | ||
| Ohan Chorekchyan | Registered representative | Jul 2025 (1y) | ||
| James Wennlund | Registered representative | Jul 2025 (1y) | ||
| John Joseph Caracappa | Registered representative | Jul 2025 (1y) | ||
| Jason M Petrie | Registered representative | Jul 2025 (1y) | ||
| Morgan Paugh | Registered representative | Jul 2025 (1y) | ||
| Paul Anthony Milnes | Registered representative | Jul 2025 (1y) | ||
| Scott Paul Skowronski | Registered representative | Jul 2025 (1y) | ||
| Maritza Hernandez | Registered representative | Jul 2025 (1y) | ||
| Steven Patrick Willick | Registered representative | Jul 2025 (1y) | ||
| Straton Facer | Registered representative | Jul 2025 (1y) | ||
| William Patrick Breen | Registered representative | Jul 2025 (1y) | ||
| Laura Lee White | Registered representative | Jul 2025 (1y) | ||
| Miguel Garcia | Registered representative | Jul 2025 (1y) | ||
| Nathan Joseph Davis | Registered representative | Jul 2025 (1y) | ||
| Brittany R Ables | Registered representative | Jul 2025 (1y) | ||
| Andre P Le Blanc | Registered representative | Jul 2025 (1y) | ||
| Brendan Sawyer | Registered representative | Jul 2025 (1y) | ||
| Elizabeth Ann Hurst | Registered representative | Jul 2025 (1y) | ||
| Martin Jay Sloane | Registered representative | Jul 2025 (1y) | ||
| Deborah L Vincent | Registered representative | Jul 2025 (1y) | ||
| Thomas Sigler Sloane | Registered representative | Jul 2025 (1y) | ||
| Lisa Sheedy Oviatt | Registered representative | Jul 2025 (1y) | ||
| Richard Michael Bintliff | Registered representative | Jul 2025 (1y) | ||
| Sean Oakes | Registered representative | Jul 2025 (1y) | ||
| Danielle Francois Albright | Registered representative | Jul 2025 (1y) | ||
| Kennon B Horrocks | Registered representative | Jul 2025 (1y) | ||
| Deric Justin Wild | Registered representative | Aug 2025 (1y) | ||
| Kyle Knecht | Registered representative | Aug 2025 (1y) | ||
| Patrick Michael Carney | Registered representative | CFP | Aug 2025 (1y) | |
| Timothy S Duffy | Registered representative | Aug 2025 (1y) | ||
| Joseph A Cobb | Registered representative | Aug 2025 (1y) | ||
| Jonathan Dilfer | Registered representative | Aug 2025 (1y) | ||
| Roberto Antonio Annoni Fuertes | Registered representative | Aug 2025 (1y) | ||
| Thomas P Todd | Registered representative | Aug 2025 (1y) | ||
| Alexis Marie Zampell | Registered representative | Aug 2025 (1y) | ||
| Elizabeth L Akin | Registered representative | Aug 2025 (1y) | ||
| Logan Robert Rindock | Registered representative | Aug 2025 (1y) | ||
| Tanner Monroe Mann | Registered representative | Aug 2025 (1y) | ||
| Ted Bortei Doku | Registered representative | Aug 2025 (1y) | ||
| Cooper J. Dolan | Registered representative | Aug 2025 (1y) | ||
| Ana C Smalley | Registered representative | Aug 2025 (1y) | ||
| Louis James Carpenetti | Registered representative | CFP CFA | Aug 2025 (1y) | |
| Bethany P. Hermelin | Registered representative | Aug 2025 (1y) | ||
| Crystal A Imperiali | Registered representative | Aug 2025 (1y) | ||
| Nicholas Michael Alexander | Registered representative | Aug 2025 (1y) | ||
| Deidre Hutting | Registered representative | Aug 2025 (1y) | ||
| John M Mittiga | Registered representative | Aug 2025 (1y) | ||
| Priscilla A Gunter | Registered representative | Aug 2025 (1y) | ||
| Scott Thomas Petkas | Registered representative | Aug 2025 (1y) | ||
| Andrew Rathbun Wilson | Registered representative | Aug 2025 (1y) | ||
| Annalisa Rada Mcgee | Registered representative | Aug 2025 (1y) | ||
| Brian Joshua Berry | Registered representative | CFP | Aug 2025 (1y) | |
| Benjamin W Blackmun | Registered representative | Aug 2025 (1y) | ||
| Joshua E Fouraker | Registered representative | Aug 2025 (1y) | ||
| Meghan Nichols | Registered representative | Aug 2025 (1y) | ||
| Robert Lynn Mitchell | Registered representative | Aug 2025 (1y) | ||
| Ryan Thomas Waller | Registered representative | Aug 2025 (1y) | ||
| James R Bradford | Registered representative | Aug 2025 (1y) | ||
| Jason C Little | Registered representative | Aug 2025 (1y) | ||
| Matthew Jeffrey Connell | Registered representative | CFP | Aug 2025 (1y) | |
| Sebastian Lavarreda | Registered representative | Aug 2025 (1y) | ||
| William J Parsons | Registered representative | Aug 2025 (1y) | ||
| Amy A Gonzalez Thompson | Registered representative | Aug 2025 (1y) | ||
| Owen Fred Gartrell | Registered representative | Aug 2025 (1y) | ||
| Nancy P Schultz | Registered representative | Aug 2025 (1y) | ||
| Alec James Bogen | Registered representative | Aug 2025 (1y) | ||
| Andrew Dulin | Registered representative | Aug 2025 (1y) | ||
| Carson M. Cook | Registered representative | Aug 2025 (1y) | ||
| Ronald Takao Sera | Registered representative | Aug 2025 (1y) | ||
| Kimberly A Douglas | Registered representative | Aug 2025 (1y) | ||
| Walker B Burks | Registered representative | Aug 2025 (1y) | ||
| Eric J Sisco | Registered representative | Aug 2025 (1y) | ||
| Edward M Dlabik | Registered representative | Aug 2025 (1y) | ||
| Michael David Barth | Registered representative | Aug 2025 (1y) | ||
| Bernadette Dawn Carman | Registered representative | Aug 2025 (1y) | ||
| Craig Thomas Kramer | Registered representative | Aug 2025 (1y) | ||
| Daniel Lee Ferguson | Registered representative | Aug 2025 (1y) | ||
| Kathleen L Bryant | Registered representative | Aug 2025 (1y) | ||
| Nina Marie Sanchez | Registered representative | Aug 2025 (1y) | ||
| Rahul Gupta | Registered representative | Aug 2025 (1y) | ||
| Sean Michael Sweeney | Registered representative | Aug 2025 (1y) | ||
| Alyssa Fusco | Registered representative | Sep 2025 (1y) | ||
| Ethan L Tierno Lauer | Registered representative | Sep 2025 (1y) | ||
| Paul Atala | Registered representative | Sep 2025 (1y) | ||
| Edward Charles Dippold | Registered representative | Sep 2025 (1y) | ||
| Brendan Cannon | Registered representative | Sep 2025 (1y) | ||
| Keely Jacobs Keelan | Registered representative | Sep 2025 (1y) | ||
| Matthew James Browne | Registered representative | Sep 2025 (1y) | ||
| Robert Alexander | Registered representative | Sep 2025 (1y) | ||
| Sean Moran | Registered representative | Sep 2025 (1y) | ||
| Jake A Szymanski | Registered representative | Sep 2025 (1y) | ||
| Monica Lea Sherman | Registered representative | Personal Financial Specialist | Sep 2025 (1y) | |
| Patrick Franke | Registered representative | Sep 2025 (1y) | ||
| Payne Curley | Registered representative | Sep 2025 (1y) | ||
| Kristin Lee Zehnder | Registered representative | Sep 2025 (1y) | ||
| Corey Robert Marty | Registered representative | CFA | Sep 2025 (1y) | |
| Kenneth Adam Russell | Registered representative | Sep 2025 (1y) | ||
| Kimberly Sue Young | Registered representative | Sep 2025 (1y) | ||
| Sofia I Villasmil | Registered representative | Sep 2025 (1y) | ||
| Terence E Benjamin | Registered representative | Sep 2025 (1y) | ||
| William Major Sosebee | Registered representative | Sep 2025 (1y) | ||
| Dennis M Tadeo | Registered representative | Sep 2025 (1y) | ||
| Hannah Metcalf | Registered representative | Sep 2025 (1y) | ||
| Kaylee A Elsom | Registered representative | Sep 2025 (1y) | ||
| Kirsten Margrethe Sahagun | Registered representative | Sep 2025 (1y) | ||
| Richard Paul Bondi | Registered representative | Sep 2025 (1y) | ||
| Scott D Carr | Registered representative | CFP | Sep 2025 (1y) | |
| Scott W. Veitch | Registered representative | Sep 2025 (1y) | ||
| Alexis Jill Howard | Registered representative | CFP | Sep 2025 (1y) | |
| Casey Janette Miner | Registered representative | Sep 2025 (1y) | ||
| Daniel Edward Timberlake | Registered representative | CFP | Sep 2025 (1y) | |
| Erin L Kosoy | Registered representative | Sep 2025 (1y) | ||
| Christopher Henson | Registered representative | Sep 2025 (1y) | ||
| Clark Somma | Registered representative | Sep 2025 (1y) | ||
| Noah B Perry | Registered representative | Sep 2025 (1y) | ||
| Ryan Douglas Lee | Registered representative | Sep 2025 (1y) | ||
| Abigail Huisinga | Registered representative | Sep 2025 (1y) | ||
| Dana K Dodak | Registered representative | Sep 2025 (1y) | ||
| Bruce Kennedy | Registered representative | Sep 2025 (1y) | ||
| Diven Desai | Registered representative | Sep 2025 (1y) | ||
| James Morgan Edwards | Registered representative | CFP | Sep 2025 (1y) | |
| Robert Atwood | Registered representative | Sep 2025 (1y) | ||
| Tracy A Kramer | Registered representative | CFP | Sep 2025 (1y) | |
| Antonio Witherspoon | Registered representative | Sep 2025 (1y) | ||
| Erin Rodberg | Registered representative | Sep 2025 (1y) | ||
| Harold Todd Jandreski | Registered representative | CFP | Sep 2025 (1y) | |
| John Aidan Mc Dowell | Registered representative | Sep 2025 (1y) | ||
| Elizabeth Campbell Parker | Registered representative | Sep 2025 (1y) | ||
| Haim Hen Sander | Registered representative | Sep 2025 (1y) | ||
| Steven M Warren | Registered representative | Sep 2025 (1y) | ||
| Vincent Wesley Mcphail | Registered representative | Sep 2025 (1y) | ||
| Edward Francis Prendergast | Registered representative | Sep 2025 (1y) | ||
| Brett Adam Goldstein | Registered representative | Sep 2025 (1y) | ||
| Minseok Kwon | Registered representative | Sep 2025 (1y) | ||
| Ryan E Guillen | Registered representative | Sep 2025 (1y) | ||
| Aaron Medina Vega | Registered representative | Sep 2025 (1y) | ||
| Donna Elaine Stock | Registered representative | Sep 2025 (1y) | ||
| Garrett Reed Coates | Registered representative | Sep 2025 (1y) | ||
| Hugo Andres Porro | Registered representative | Sep 2025 (1y) | ||
| James Thomas Kartsonas | Registered representative | Sep 2025 (1y) | ||
| Kathleen Marie Whitsel | Registered representative | Sep 2025 (1y) | ||
| Manuel Alejandro Porro | Registered representative | Sep 2025 (1y) | ||
| Marcus C Siler | Registered representative | Sep 2025 (1y) | ||
| Paxson Dk Russell | Registered representative | Sep 2025 (1y) | ||
| Bradey Anntoinette Jameson | Registered representative | Oct 2025 (1y) | ||
| Steven Thomas Wolters | Registered representative | Oct 2025 (1y) | ||
| Brandon Michael Pruss | Registered representative | Oct 2025 (1y) | ||
| Harrison Lee Fisher | Registered representative | Oct 2025 (1y) | ||
| John Curtis Fisher | Registered representative | Oct 2025 (1y) | ||
| John Frederick Fisher | Registered representative | Oct 2025 (1y) | ||
| Sebastian Frederick Merekas Russell | Registered representative | Oct 2025 (1y) | ||
| Brandon James Mc Queen | Registered representative | Oct 2025 (1y) | ||
| Conor Hughes Burkart | Registered representative | Oct 2025 (1y) | ||
| Juan J Jimenez | Registered representative | Oct 2025 (1y) | ||
| Daniel Diego | Registered representative | Oct 2025 (1y) | ||
| Emma R Smith | Registered representative | Oct 2025 (1y) | ||
| Austin Jonathan Wengrovitz | Registered representative | Oct 2025 (1y) | ||
| Shane G Miller | Registered representative | Oct 2025 (1y) | ||
| Tyler A Sullivan | Registered representative | Oct 2025 (1y) | ||
| David Massey | Registered representative | Oct 2025 (1y) | ||
| Taylor Nicholas Hammond | Registered representative | Oct 2025 (1y) | ||
| Cooper Brock Hayes | Registered representative | Oct 2025 (1y) | ||
| Hilary E Harding | Registered representative | Oct 2025 (1y) | ||
| Jason Philip Weier | Registered representative | Oct 2025 (1y) | ||
| Owenne Outlaw Mc Neece | Registered representative | Oct 2025 (1y) | ||
| Rebecca J Borne | Registered representative | Oct 2025 (1y) | ||
| William Dalton Beck | Registered representative | Oct 2025 (1y) | ||
| David M. Channer | Registered representative | Oct 2025 (1y) | ||
| Jasmine A Pascua | Registered representative | Oct 2025 (1y) | ||
| Zhiyang Ling | Registered representative | Oct 2025 (1y) | ||
| Jack Davis Wells | Registered representative | Oct 2025 (1y) | ||
| Jean Nicole Wilson | Registered representative | Oct 2025 (1y) | ||
| Roxanne M Rubenstein | Registered representative | Oct 2025 (1y) | ||
| Joy Sutton Clary | Registered representative | Oct 2025 (1y) | ||
| Caitlin N Babcock | Registered representative | Oct 2025 (1y) | ||
| Matthew Thomas Verdico | Registered representative | Oct 2025 (1y) | ||
| Tommy L Smith | Registered representative | Oct 2025 (1y) | ||
| Tyler Gregory Mattingly | Registered representative | Oct 2025 (1y) | ||
| Andrew Gouhin | Registered representative | Oct 2025 (1y) | ||
| Benjamin H Bowles | Registered representative | Oct 2025 (1y) | ||
| Chase G Prester | Registered representative | Oct 2025 (1y) | ||
| Jozsi Sullivan Popper | Registered representative | Oct 2025 (1y) | ||
| Ryan C Rump | Registered representative | Oct 2025 (1y) | ||
| Theresa S Schnetz | Registered representative | Oct 2025 (1y) | ||
| Jason T Pettner | Registered representative | Oct 2025 (1y) | ||
| Brian Post | Registered representative | Oct 2025 (1y) | ||
| Briana Slater | Registered representative | Oct 2025 (1y) | ||
| Robert Joseph Duffy | Registered representative | Oct 2025 (1y) | ||
| Alexander Stanescu | Registered representative | Oct 2025 (1y) | ||
| Donna Marie Chepenik | Registered representative | Oct 2025 (1y) | ||
| Michael Anthony Thomason | Registered representative | Oct 2025 (1y) | ||
| Michael Scott Peschke | Registered representative | Oct 2025 (1y) | ||
| Charles Gregory Maxey | Registered representative | Oct 2025 (1y) | ||
| Michael B Ludwig | Registered representative | Oct 2025 (1y) | ||
| Lyle Christopher Back | Registered representative | CFP | Oct 2025 (1y) | |
| Dana Howard Bottenhagen | Registered representative | Oct 2025 (1y) | ||
| Eva A Hahn | Registered representative | Oct 2025 (1y) | ||
| Evan John Runkel | Registered representative | Oct 2025 (1y) | ||
| Jamie E Forgy | Registered representative | Oct 2025 (1y) | ||
| Luis Oscar Gonzalez | Registered representative | Oct 2025 (1y) | ||
| Rachel M Schenk | Registered representative | Oct 2025 (1y) | ||
| Brandin E Bryant | Registered representative | Oct 2025 (1y) | ||
| Christopher D Seibert | Registered representative | Oct 2025 (1y) | ||
| Cody Evers | Registered representative | Oct 2025 (1y) | ||
| Lee Marie Demastus | Registered representative | Oct 2025 (1y) | ||
| Melissa Caban | Registered representative | Oct 2025 (1y) | ||
| Ronald Klemm | Registered representative | CFP | Oct 2025 (1y) | |
| Douglas Alexander Fodor | Registered representative | Oct 2025 (1y) | ||
| Logan John Pick | Registered representative | Oct 2025 (1y) | ||
| Michael J Ruisch | Registered representative | Oct 2025 (1y) | ||
| Janet Mary Bone | Registered representative | CFP | Nov 2025 (1y) | |
| Keith Wilson Crosby | Registered representative | Nov 2025 (1y) | ||
| Peggy Anne Rakers | Registered representative | Nov 2025 (1y) | ||
| Yandri Arces Obregon | Registered representative | Nov 2025 (1y) | ||
| Joseph B Switay | Registered representative | Nov 2025 (1y) | ||
| Nicolas James Engelbert | Registered representative | Nov 2025 (1y) | ||
| Jensen Coe Quinn | Registered representative | CFP | Nov 2025 (1y) | |
| Jacob L Bennett | Registered representative | Nov 2025 (1y) | ||
| Sean Patrick Lonergan | Registered representative | Nov 2025 (1y) | ||
| Patrick Anthony Cappelli | Registered representative | Nov 2025 (1y) | ||
| Kensley Mikale Yarbrough | Registered representative | Nov 2025 (1y) | ||
| Gary Todd Cooper | Registered representative | Nov 2025 (1y) | ||
| Robert Leslie Mcvey | Registered representative | Nov 2025 (1y) | ||
| Chrystine Mills | Registered representative | Nov 2025 (1y) | ||
| Gavin M. Christensen | Registered representative | Nov 2025 (1y) | ||
| George Earl Harper | Registered representative | Nov 2025 (1y) | ||
| Kayelani Rae Mcvey Galvan | Registered representative | Nov 2025 (1y) | ||
| Amy Marie Gavlenski | Registered representative | CFP | Nov 2025 (1y) | |
| Hayley M Morgan | Registered representative | Nov 2025 (1y) | ||
| Joann G Price | Registered representative | Nov 2025 (1y) | ||
| John Peter Shmyr | Registered representative | Nov 2025 (1y) | ||
| Ronald Mathew Shmyr | Registered representative | Nov 2025 (1y) | ||
| Gregory Wozniak | Registered representative | Nov 2025 (1y) | ||
| Diane Kathryn Bollom Overbey | Registered representative | Nov 2025 (1y) | ||
| Jennifer J Monty | Registered representative | Nov 2025 (1y) | ||
| Laura M Horn | Registered representative | Nov 2025 (1y) | ||
| Barrett White | Registered representative | Nov 2025 (1y) | ||
| Zachary R Munjas | Registered representative | Nov 2025 (1y) | ||
| Gena C Eads | Registered representative | Nov 2025 (1y) | ||
| Jacob Pasche | Registered representative | Nov 2025 (1y) | ||
| Keith Thomas Embree | Registered representative | CFP | Nov 2025 (1y) | |
| Marianna Tabares | Registered representative | Nov 2025 (1y) | ||
| Trevor C Mudrak | Registered representative | Nov 2025 (1y) | ||
| Christopher E Knight | Registered representative | Nov 2025 (1y) | ||
| Melissa A Wahlen | Registered representative | Nov 2025 (1y) | ||
| Christopher D Cuppini | Registered representative | Nov 2025 (1y) | ||
| Kelly Beier | Registered representative | Nov 2025 (1y) | ||
| Michael Calvo | Registered representative | CFP | Nov 2025 (1y) | |
| Michael A. Brzozowski | Registered representative | Nov 2025 (1y) | ||
| Nathaniel H Williams | Registered representative | Nov 2025 (1y) | ||
| Ryan J Phillips | Registered representative | Nov 2025 (1y) | ||
| Jerry Forster | Registered representative | Nov 2025 (1y) | ||
| Olivia Simmons | Registered representative | Nov 2025 (1y) | ||
| Stephen Richard San Roman | Registered representative | Nov 2025 (1y) | ||
| Deidra M Catus | Registered representative | Nov 2025 (1y) | ||
| Kerri Donovan | Registered representative | Nov 2025 (1y) | ||
| Tonya Lee Bobbitt | Registered representative | Nov 2025 (1y) | ||
| Ava Marielle Elkins | Registered representative | Dec 2025 (1y) | ||
| Matthew R Rouhani | Registered representative | Dec 2025 (1y) | ||
| Thomas W Phillips | Registered representative | Dec 2025 (1y) | ||
| Kristin Lee Popovic | Registered representative | Dec 2025 (1y) | ||
| Brian Mark Wenstrup | Registered representative | Dec 2025 (1y) | ||
| Eric Wojciechowski | Registered representative | Dec 2025 (1y) | ||
| Hunter C Timmons | Registered representative | Dec 2025 (1y) | ||
| Maxwell Henry Miller | Registered representative | Dec 2025 (1y) | ||
| Mitchell Scott Hutula | Registered representative | Dec 2025 (1y) | ||
| Hector A Sanchez | Registered representative | Dec 2025 (1y) | ||
| Zachary Kirka | Registered representative | Dec 2025 (1y) | ||
| Daniel A Raez | Registered representative | Dec 2025 (1y) | ||
| David Elmaleh | Registered representative | Dec 2025 (1y) | ||
| Asher B Moorhouse | Registered representative | Dec 2025 (1y) | ||
| Joseph Ronald Lesner | Registered representative | Dec 2025 (1y) | ||
| Kevin J Mallon | Registered representative | Dec 2025 (1y) | ||
| Kurtis J Wagner | Registered representative | Dec 2025 (1y) | ||
| Macie R Mowell | Registered representative | Dec 2025 (1y) | ||
| Michael Joseph Schodrof | Registered representative | Dec 2025 (1y) | ||
| Samantha La Shawn Phillips | Registered representative | Dec 2025 (1y) | ||
| John Landis | Registered representative | Dec 2025 (1y) | ||
| Dennis F Weldon | Registered representative | Dec 2025 (1y) | ||
| Kathleen M Berne | Registered representative | CFP | Dec 2025 (1y) | |
| Tyler Joseph Nitti | Registered representative | Dec 2025 (1y) | ||
| Brynlie S Johnston | Registered representative | Dec 2025 (1y) | ||
| Kimberly Kristen Vaughan | Registered representative | Dec 2025 (1y) | ||
| Thomas Joseph Simcik | Registered representative | Jan 2026 (1y) | ||
| Eric M Caselton | Registered representative | Jan 2026 (1y) | ||
| Louis D Marx | Registered representative | Jan 2026 (1y) | ||
| Michelle Jacqueline Snyder | Registered representative | Jan 2026 (1y) | ||
| Madison Leigh Boisvert | Registered representative | Jan 2026 (1y) | ||
| Nathan Gerrell Chapman | Registered representative | Jan 2026 (1y) | ||
| James Paul Mcnally | Registered representative | Jan 2026 (1y) | ||
| Frank Rogers Vaden | Registered representative | Jan 2026 (1y) | ||
| John Chadwick Waterworth | Registered representative | Jan 2026 (1y) | ||
| William Grayson Poats | Registered representative | CFP | Jan 2026 (1y) | |
| Benjamin W Bristol | Registered representative | Jan 2026 (1y) | ||
| Denise Meraz | Registered representative | Jan 2026 (1y) | ||
| Shannon Nicole Boyd | Registered representative | Jan 2026 (1y) | ||
| Christian Alaric Dulay | Registered representative | Jan 2026 (1y) | ||
| Guilbert Le Page Brandon | Registered representative | Jan 2026 (1y) | ||
| Jose Jonathan Cuevas | Registered representative | Jan 2026 (1y) | ||
| Matthew Wayne Schmidt | Registered representative | Jan 2026 (1y) | ||
| Emanuel A Varela | Registered representative | Jan 2026 (1y) | ||
| Garrett John Suydam | Registered representative | Jan 2026 (1y) | ||
| Kyle G Lamb | Registered representative | CFP | Jan 2026 (1y) | |
| Pamela Jeanne Prescott | Registered representative | Jan 2026 (1y) | ||
| Aaron Parchem | Registered representative | CFP Chartered Financial Consultant | Jan 2026 (1y) | |
| Blake M Saulsbury | Registered representative | Jan 2026 (1y) | ||
| Garrett A Thrift | Registered representative | Jan 2026 (1y) | ||
| Jared Thomas Lamb | Registered representative | CFP | Jan 2026 (1y) | |
| James Kumpf | Registered representative | Jan 2026 (1y) | ||
| Kimberly Ann Baird | Registered representative | Jan 2026 (1y) | ||
| Lisa Marie Bailey | Registered representative | Jan 2026 (1y) | ||
| Leslie Lister | Registered representative | Jan 2026 (1y) | ||
| Mark Wilkins | Registered representative | Jan 2026 (1y) | ||
| Mark Beck | Registered representative | Jan 2026 (1y) | ||
| Nicholas Ryan Weidner | Registered representative | Jan 2026 (1y) | ||
| Paul J Scott | Registered representative | Jan 2026 (1y) | ||
| Paul Zajciw | Registered representative | Jan 2026 (1y) | ||
| Taylor Bailey Morgenstern | Registered representative | Jan 2026 (1y) | ||
| Wade Oursler | Registered representative | CFP | Jan 2026 (1y) | |
| Oscar L Garner | Registered representative | Jan 2026 (1y) | ||
| Zachary Cohodes | Registered representative | Jan 2026 (1y) | ||
| Amy S Mccormick | Registered representative | Jan 2026 (1y) | ||
| Sean Bryant | Registered representative | Jan 2026 (1y) | ||
| Elisa Granof Schwartz | Registered representative | Jan 2026 (1y) | ||
| Matthew Reall | Registered representative | Jan 2026 (1y) | ||
| Tiffany Michelle Hollis | Registered representative | Jan 2026 (1y) | ||
| David D Donaldson | Registered representative | CFP | Jan 2026 (1y) | |
| George Banks | Registered representative | Jan 2026 (1y) | ||
| Tyler Bottenhagen | Registered representative | Jan 2026 (1y) | ||
| Mandi Lynn Shellenbarger | Registered representative | Jan 2026 (1y) | ||
| William Schultz | Registered representative | CFP | Jan 2026 (1y) | |
| Tamara Rae Richison | Registered representative | Jan 2026 (1y) | ||
| Kyle S Cady | Registered representative | Jan 2026 (1y) | ||
| Scott Arthur Gundersen | Registered representative | Jan 2026 (1y) | ||
| Angela E Collins | Registered representative | Jan 2026 (1y) | ||
| Alexander Joseph Gallego | Registered representative | Feb 2026 (0y) | ||
| Winston Bryce Jefferson | Registered representative | Feb 2026 (0y) | ||
| Claudia J Kim | Registered representative | Feb 2026 (0y) | ||
| Jaclyn Aleen Klotz | Registered representative | Feb 2026 (0y) | ||
| Eric M Campbell | Registered representative | Feb 2026 (0y) | ||
| Chad Kimble | Registered representative | Feb 2026 (0y) | ||
| Christie L Flynn | Registered representative | Feb 2026 (0y) | ||
| Marco Alonso Rodriguez | Registered representative | Feb 2026 (0y) | ||
| Steven B Stewart | Registered representative | Feb 2026 (0y) | ||
| William E Cappelmann | Registered representative | Feb 2026 (0y) | ||
| John A Kulhavi | Registered representative | Feb 2026 (0y) | ||
| Michelle Marie Allen | Registered representative | Feb 2026 (0y) | ||
| Brandi K. Tanksley | Registered representative | Feb 2026 (0y) | ||
| Brent Douglas Tiemeyer | Registered representative | Feb 2026 (0y) | ||
| Jeremy T Hutson | Registered representative | Feb 2026 (0y) | ||
| Karlynn Kari Schramm | Registered representative | Feb 2026 (0y) | ||
| Melinda A Woolsey | Registered representative | Feb 2026 (0y) | ||
| Paul J Monaco | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Samanthia Sarvis Smith | Registered representative | CFP | Feb 2026 (0y) | |
| Thomas Kenneth Sutter | Registered representative | Feb 2026 (0y) | ||
| George Andrew Fellios | Registered representative | Feb 2026 (0y) | ||
| Mauro Puello | Registered representative | Feb 2026 (0y) | ||
| William S Hunt | Registered representative | Feb 2026 (0y) | ||
| Amad Owidi | Registered representative | Feb 2026 (0y) | ||
| Colby Joseph Wright | Registered representative | Feb 2026 (0y) | ||
| Stefan Lawrence Miranda | Registered representative | Feb 2026 (0y) | ||
| Nicholas Baudean | Registered representative | Feb 2026 (0y) | ||
| Abner Cordova | Registered representative | Feb 2026 (0y) | ||
| Anthony Potestad | Registered representative | Feb 2026 (0y) | ||
| Bri Anna M Harris | Registered representative | Feb 2026 (0y) | ||
| Daniel J Burrell | Registered representative | Feb 2026 (0y) | ||
| Jill Taylor Phillips | Registered representative | Feb 2026 (0y) | ||
| Samuel F Abrams | Registered representative | Feb 2026 (0y) | ||
| Tanner Locey | Registered representative | Feb 2026 (0y) | ||
| Charles Berger | Registered representative | Feb 2026 (0y) | ||
| Daniel Joseph Berger | Registered representative | Feb 2026 (0y) | ||
| Karie L Howard | Registered representative | Feb 2026 (0y) | ||
| Mitchell Lee Christopher | Registered representative | Feb 2026 (0y) | ||
| Robert Andrew Mitchell | Registered representative | Feb 2026 (0y) | ||
| Seth B Lawless | Registered representative | Feb 2026 (0y) | ||
| Charters Jason Osborne | Registered representative | Feb 2026 (0y) | ||
| Matthew C Smith | Registered representative | Feb 2026 (0y) | ||
| Kenneth John Borg | Registered representative | Mar 2026 (0y) | ||
| Lee A Myers | Registered representative | Mar 2026 (0y) | ||
| Nathan G Schwanke | Registered representative | Mar 2026 (0y) | ||
| Edward Schafer | Registered representative | Mar 2026 (0y) | ||
| Michael C Cermak | Registered representative | Mar 2026 (0y) | ||
| Michael Henry Ferrara | Registered representative | Mar 2026 (0y) | ||
| Bryan Matthew Delpino | Registered representative | Mar 2026 (0y) | ||
| Matthew D Packard | Registered representative | Mar 2026 (0y) | ||
| Yang Liang | Registered representative | Mar 2026 (0y) | ||
| Benjamin Arney | Registered representative | Mar 2026 (0y) | ||
| Kellen P Hoke | Registered representative | Mar 2026 (0y) | ||
| Wen Smit | Registered representative | Mar 2026 (0y) | ||
| Edward Philip Scherer | Registered representative | Mar 2026 (0y) | ||
| Jordan Hyde Domin | Registered representative | Mar 2026 (0y) | ||
| Robert Riehle | Registered representative | Mar 2026 (0y) | ||
| Tyler Duane Thompson | Registered representative | Mar 2026 (0y) | ||
| Kathryn Kelly | Registered representative | Mar 2026 (0y) | ||
| Mei Jing Edgerton | Registered representative | Mar 2026 (0y) | ||
| Wendy F Johnson | Registered representative | Mar 2026 (0y) | ||
| Nicholas Patrick Brassill | Registered representative | Mar 2026 (0y) | ||
| Cason R Dougall | Registered representative | Mar 2026 (0y) | ||
| Barbour Thornton Farinholt | Registered representative | Mar 2026 (0y) | ||
| Kristin Savidge | Registered representative | CFP | Mar 2026 (0y) | |
| Michael P Filosa | Registered representative | Mar 2026 (0y) | ||
| Luke De Venney | Registered representative | Mar 2026 (0y) | ||
| Gavin M Haines | Registered representative | Mar 2026 (0y) | ||
| Jennifer Henderson Sutton | Registered representative | Mar 2026 (0y) | ||
| Joseph E Williams | Registered representative | Mar 2026 (0y) | ||
| Margaret Shirey Edmunds | Registered representative | CFP | Mar 2026 (0y) | |
| Melissa Katherine Profitt | Registered representative | Mar 2026 (0y) | ||
| Michael J Masturzo | Registered representative | Mar 2026 (0y) | ||
| David Berj Donabedian | Registered representative | Mar 2026 (0y) | ||
| Tasi T Long | Registered representative | Mar 2026 (0y) | ||
| William H Cronin | Registered representative | Mar 2026 (0y) | ||
| Kyle P Wofford | Registered representative | Mar 2026 (0y) | ||
| Gabriel Mbulo | Registered representative | CFP Chartered Financial Consultant | Mar 2026 (0y) | |
| Samantha Lutz | Registered representative | Mar 2026 (0y) | ||
| James W Gibson | Registered representative | Mar 2026 (0y) | ||
| Michael Rodriguez | Registered representative | Mar 2026 (0y) | ||
| Hannah C Matheson | Registered representative | Mar 2026 (0y) | ||
| Matthew Charles Weber | Registered representative | Mar 2026 (0y) | ||
| Robert B Barnes | Registered representative | Mar 2026 (0y) | ||
| William Lindvall | Registered representative | Mar 2026 (0y) | ||
| Kevin Gundrum | Registered representative | Apr 2026 (0y) | ||
| Richard B Grover | Registered representative | Apr 2026 (0y) | ||
| Thomas Traynham | Registered representative | Apr 2026 (0y) | ||
| Candice L Mueller | Registered representative | Apr 2026 (0y) | ||
| Kyle Turner | Registered representative | Apr 2026 (0y) | ||
| John David Secord | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Matthew Thomas Cahill | Registered representative | CFA | Apr 2026 (0y) | |
| Michael Xavier Hohertz | Registered representative | Apr 2026 (0y) | ||
| Douglas Mack Justice | Registered representative | Apr 2026 (0y) | ||
| Daniel A Rodriguez | Registered representative | CFP | Apr 2026 (0y) | |
| Tiffany Rt Blacksten | Registered representative | Apr 2026 (0y) | ||
| Heidi Hughes Buck | Registered representative | Apr 2026 (0y) | ||
| Thomas Walling Conway | Registered representative | Apr 2026 (0y) | ||
| Tyler Maddox | Registered representative | Apr 2026 (0y) | ||
| Jose F Zuleta | Registered representative | Apr 2026 (0y) | ||
| Ken Hall Barnett | Registered representative | Apr 2026 (0y) | ||
| Salvatore Anthony D'alessandro | Registered representative | Apr 2026 (0y) | ||
| Reed Walker Chumley | Registered representative | Apr 2026 (0y) | ||
| Brandon William Plemmons | Registered representative | CFP | Apr 2026 (0y) | |
| Cameron Scott Moser | Registered representative | Apr 2026 (0y) | ||
| Edward Joseph Folisi | Registered representative | Apr 2026 (0y) | ||
| Jazmin Gabriela Carpenter | Registered representative | Apr 2026 (0y) | ||
| John Jacob Graf | Registered representative | Apr 2026 (0y) | ||
| Jessica Anne Quinn | Registered representative | Apr 2026 (0y) | ||
| Nicholos D Hinz | Registered representative | Apr 2026 (0y) | ||
| Thomas Jeffrey Barber | Registered representative | Apr 2026 (0y) | ||
| Bruce Taylor Burns | Registered representative | Apr 2026 (0y) | ||
| Christopher Curtis Gabriel | Registered representative | Apr 2026 (0y) | ||
| Daniel Toubiana | Registered representative | Apr 2026 (0y) | ||
| Gary Lynn Noordam | Registered representative | Apr 2026 (0y) | ||
| Julia Laginess | Registered representative | Apr 2026 (0y) | ||
| Kaimah Tina Bass | Registered representative | Apr 2026 (0y) | ||
| Kelly Curran Johnson | Registered representative | Apr 2026 (0y) | ||
| Stephen Van Besien | Registered representative | Apr 2026 (0y) | ||
| Zechariah Miller | Registered representative | Apr 2026 (0y) | ||
| Liam Settle | Registered representative | Apr 2026 (0y) | ||
| Nelson M Govia | Registered representative | Apr 2026 (0y) | ||
| Phillip Shubinsky | Registered representative | Apr 2026 (0y) | ||
| Silvia D Arrue Carcamo | Registered representative | Apr 2026 (0y) | ||
| Jason Jerome Hull | Registered representative | CFP Chartered Financial Consultant | Apr 2026 (0y) | |
| Jessica L Penza | Registered representative | CFP | Apr 2026 (0y) | |
| Tyler Donaldson Cremer | Registered representative | Apr 2026 (0y) | ||
| Jonah Marcus Beauduy | Registered representative | Apr 2026 (0y) | ||
| Carmen A Solano | Registered representative | Apr 2026 (0y) | ||
| Damion Grant | Registered representative | Apr 2026 (0y) | ||
| Kevin Sorensen | Registered representative | Apr 2026 (0y) | ||
| Ryan M Stiphany | Registered representative | Apr 2026 (0y) | ||
| Thomas Arthur Munroe | Registered representative | Apr 2026 (0y) | ||
| Thomas Robert Munroe | Registered representative | Apr 2026 (0y) | ||
| Paul Joseph Greyson | Registered representative | Apr 2026 (0y) | ||
| Alan Brum | Registered representative | Apr 2026 (0y) | ||
| Anne Alderman Mullen | Registered representative | Apr 2026 (0y) | ||
| Brendan M Erka | Registered representative | Apr 2026 (0y) | ||
| Charles Grant Watson | Registered representative | Apr 2026 (0y) | ||
| Curtis Drew Arney | Registered representative | CFP | Apr 2026 (0y) | |
| Tina Darnell Betz | Registered representative | Apr 2026 (0y) | ||
| Tina Marie Cilurso | Registered representative | Apr 2026 (0y) | ||
| Jennifer Page Pittman | Registered representative | Apr 2026 (0y) | ||
| Eileen Marie Keegan | Registered representative | Apr 2026 (0y) | ||
| Robin Reed | Registered representative | Apr 2026 (0y) | ||
| Seanna Michelle Fields | Registered representative | Apr 2026 (0y) | ||
| Timothy Ray Reed | Registered representative | Apr 2026 (0y) | ||
| Carlos S Perez | Registered representative | May 2026 (0y) | ||
| Michael Zalkind | Registered representative | May 2026 (0y) | ||
| Sammy Hassan Amine | Registered representative | CFP | May 2026 (0y) | |
| Morris Craig Moser | Registered representative | CFP | May 2026 (0y) | |
| Patricia Carruthers Horner | Registered representative | May 2026 (0y) | ||
| Scott Lynn Gillespie | Registered representative | CFP | May 2026 (0y) | |
| Edward Mandel | Registered representative | May 2026 (0y) | ||
| Michael Lee Rose | Registered representative | May 2026 (0y) | ||
| Susan Bencosme | Registered representative | May 2026 (0y) | ||
| Joshua Aisenbaum | Registered representative | May 2026 (0y) | ||
| Sanath Balaji | Registered representative | May 2026 (0y) | ||
| Braden Blackwelder | Registered representative | May 2026 (0y) | ||
| Benjamin Allen Marshall | Registered representative | May 2026 (0y) | ||
| Daniel Maurino | Registered representative | May 2026 (0y) | ||
| Heidy Frank | Registered representative | May 2026 (0y) | ||
| Anthony Edward Rodriguez | Registered representative | May 2026 (0y) | ||
| Fred Giordan Grischott | Registered representative | CFA | May 2026 (0y) | |
| John Christopher Vizcarra | Registered representative | May 2026 (0y) | ||
| Mackenzie Kondos Muyco | Registered representative | May 2026 (0y) | ||
| Sylvia Garcia | Registered representative | May 2026 (0y) | ||
| Evan Robert Bloomberg | Registered representative | CFA | May 2026 (0y) | |
| Elise Borghi | Registered representative | May 2026 (0y) | ||
| Gracen L Mouton | Registered representative | May 2026 (0y) | ||
| Kristopher Hargraves | Registered representative | May 2026 (0y) | ||
| Reagan Nicole Gifford | Registered representative | May 2026 (0y) | ||
| Christopher Paul Garcia | Registered representative | May 2026 (0y) | ||
| Harold John Lesage | Registered representative | May 2026 (0y) | ||
| Jeanette Marie Mattiza | Registered representative | May 2026 (0y) | ||
| Katarina Milosevic | Registered representative | May 2026 (0y) | ||
| Madison Tough Maggard | Registered representative | May 2026 (0y) | ||
| Kevin Barry Burnett | Registered representative | May 2026 (0y) | ||
| Michael T Bennett | Registered representative | May 2026 (0y) | ||
| Janae R Towery | Registered representative | May 2026 (0y) | ||
| Michael Takvorian | Registered representative | May 2026 (0y) | ||
| Julie Jeret Sabransky | Registered representative | May 2026 (0y) | ||
| Abby Anne Stancik | Registered representative | CFP | May 2026 (0y) | |
| Gregory William Leisey | Registered representative | May 2026 (0y) | ||
| Madison Brianne Decker | Registered representative | May 2026 (0y) | ||
| Christy Leone Morrison | Registered representative | May 2026 (0y) | ||
| Nick De Sola | Registered representative | May 2026 (0y) | ||
| John Angelo Morabito | Registered representative | May 2026 (0y) | ||
| Jane Greer | Registered representative | May 2026 (0y) | ||
| Anna Maria Jaracz | Registered representative | May 2026 (0y) | ||
| Adam E. Pearsall | Registered representative | CFP | Jun 2026 (0y) | |
| Armando R Elias | Registered representative | Jun 2026 (0y) | ||
| Baltasar Ruiz | Registered representative | Jun 2026 (0y) | ||
| Keith A Uhler | Registered representative | Jun 2026 (0y) | ||
| Jackson Tucker | Registered representative | Jun 2026 (0y) | ||
| Karen Marie Haid | Registered representative | Jun 2026 (0y) | ||
| Esteban Caro Hurtado | Registered representative | Jun 2026 (0y) | ||
| Jacob E Vanio | Registered representative | Jun 2026 (0y) | ||
| Kenneth G Montal | Registered representative | Jun 2026 (0y) | ||
| Maredith Elizabeth Houk | Registered representative | Jun 2026 (0y) | ||
| Peter Quigley Morris | Registered representative | CFP | Jun 2026 (0y) | |
| Kristen D. Kosola Govantes | Registered representative | Jun 2026 (0y) | ||
| T. Michael Hayse | Registered representative | Jun 2026 (0y) | ||
| Trevor Pennington | Registered representative | Jun 2026 (0y) | ||
| Kevin Lyons | Registered representative | Jun 2026 (0y) | ||
| Kristi Anna Celeste Abdoo | Registered representative | Jun 2026 (0y) | ||
| Brenda A Spychalski | Registered representative | Jun 2026 (0y) | ||
| Jacob Harry Rose | Registered representative | Jun 2026 (0y) | ||
| Melissa Battiste | Registered representative | Jun 2026 (0y) | ||
| Ryan L Yarbrough | Registered representative | Jun 2026 (0y) | ||
| Charles M Bonatakis | Registered representative | Jun 2026 (0y) | ||
| Edward Lee Winokur | Registered representative | Jun 2026 (0y) | ||
| Jared Weber | Registered representative | Jun 2026 (0y) | ||
| John William Bowman | Registered representative | Jun 2026 (0y) | ||
| Callahan M Burke | Registered representative | Jun 2026 (0y) | ||
| Jessica B Pine | Registered representative | Jun 2026 (0y) | ||
| Andrew Plez Burns | Registered representative | Jun 2026 (0y) | ||
| Enrique Rodriguez | Registered representative | Jun 2026 (0y) | ||
| Brian Jesse Koble | Registered representative | CFA | Jun 2026 (0y) | |
| Cassidy Joy Carlson | Registered representative | CFP | Jun 2026 (0y) | |
| Kenneth Allen Breaden | Registered representative | CFP | Jun 2026 (0y) | |
| Kurt Edwin Carlson | Registered representative | CFP CFA | Jun 2026 (0y) | |
| Lyndsey D Fern | Registered representative | Jun 2026 (0y) | ||
| Michelle Lynn Herman | Registered representative | Jun 2026 (0y) | ||
| Thomas M Massey | Registered representative | Jun 2026 (0y) | ||
| Carole Burns | Registered representative | Jun 2026 (0y) | ||
| Andrew M Kittell | Registered representative | Jun 2026 (0y) | ||
| Colton Hendrix | Registered representative | Jun 2026 (0y) | ||
| Stephen D Martin | Registered representative | Jun 2026 (0y) | ||
| Chad Christopher Zintel | Registered representative | Jun 2026 (0y) | ||
| Facundo E Ruiz Riesgo | Registered representative | Jun 2026 (0y) | ||
| Jeffrey T Barrick | Registered representative | Jun 2026 (0y) | ||
| Joe David Gentry | Registered representative | Jun 2026 (0y) | ||
| Margaret J Salvatore | Registered representative | Jun 2026 (0y) | ||
| Dina Assion | Registered representative | Jun 2026 (0y) | ||
| Gabriel T Mc Farland | Registered representative | Jun 2026 (0y) | ||
| Adam Michael Mc Dermont | Registered representative | Jun 2026 (0y) | ||
| Devon B Quirk | Registered representative | Jun 2026 (0y) | ||
| Michael Garrett | Registered representative | Jun 2026 (0y) | ||
| Rishab Kamat | Registered representative | Jun 2026 (0y) | ||
| Susanne Vaishvila | Registered representative | Jun 2026 (0y) | ||
| Sheavae Tashmar Baugh Gilbert | Registered representative | Jun 2026 (0y) | ||
| Michael E Rogala | Registered representative | Jul 2026 (0y) | ||
| Mia Ziring | Registered representative | Jul 2026 (0y) | ||
| Diego E Lutz | Registered representative | Jul 2026 (0y) | ||
| Steven James Landrum | Registered representative | Jul 2026 (0y) | ||
| Jason Fiderer | Registered representative | Jul 2026 (0y) | ||
| Elizabeth A Kramer | Registered representative | Jul 2026 (0y) | ||
| Gordon Lee Crenshaw | Registered representative | Jul 2026 (0y) | ||
| Rey Louie Carandang | Registered representative | Jul 2026 (0y) | ||
| Cory James Matsumoto | Registered representative | Jul 2026 (0y) | ||
| Genae Antoinette Affrunti | Registered representative | Jul 2026 (0y) | ||
| Ronda Jean Noel | Registered representative | Jul 2026 (0y) | ||
| William J Miner | Registered representative | Jul 2026 (0y) | ||
| Xavier Oliver Steiner | Registered representative | Jul 2026 (0y) | ||
| Donna Marie Kelly | Registered representative | Jul 2026 (0y) | ||
| Elizabeth Ann Wagnon | Registered representative | Jul 2026 (0y) | ||
| Eric Gates | Registered representative | Jul 2026 (0y) | ||
| Jackson Fogarty | Registered representative | Jul 2026 (0y) | ||
| Julia Marie Bica | Registered representative | Jul 2026 (0y) | ||
| Roxana Montane Marrero | Registered representative | Jul 2026 (0y) | ||
| William Gavin Parker | Registered representative | Jul 2026 (0y) | ||
| Logan T Mulloy | Registered representative | CFP | Jul 2026 (0y) | |
| Marie E Theard | Registered representative | Jul 2026 (0y) | ||
| Nicholas A Hernandez | Registered representative | Jul 2026 (0y) | ||
| Christopher Ryan Haffey | Registered representative | CFP | Jul 2026 (0y) | |
| Jack Boyland | Registered representative | CFP | Jul 2026 (0y) | |
| Jennifer Small | Registered representative | Jul 2026 (0y) | ||
| Lance Sterling Longwater | Registered representative | Jul 2026 (0y) | ||
| Traci Beth Havens | Registered representative | Jul 2026 (0y) | ||
| Charles Hall | Registered representative | Jul 2026 (0y) | ||
| Rebecca Y Lin | Registered representative | CFP | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Raymond James Financial, Inc. | Holding Company | Feb 1972 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Tax Airfreight, Inc. 401 K Profit Sharing Plan | Tax Airfreight, Inc. | 286 | $12.2M | 10/01/2024 |
| Pathward, National Association 401(k) Plan | Pathward, National Association | 1,153 | $174M | 10/01/2024 |
| River Country Co Op 401(k) Plan | River Country Co Op | 242 | $22.7M | 09/01/2024 |
| Lynden Christian School 403(b) Plan | Lynden Christian School | 291 | $5.5M | 09/01/2024 |
| Grand Rapids Symphony Society Retirement Plan | Grand Rapids Symphony Society | 96 | $12.6M | 09/01/2024 |
| The Mallory Group 401(k) Savings Plan | The Mallory Group Incorporated | 384 | $29.3M | 08/01/2024 |
| Producers Cooperative Association Profit Sharing 401(k) Plan | Producers Cooperative Association | 109 | $7.5M | 08/01/2024 |
| Producers Rice Mill, Inc. Pension Plan | Producers Rice Mill, Inc. | 250 | $121M | 08/01/2024 |
| Hawaii Iron Workers' Annuity Plan | Board Of Trustees Of Hawaii Iron Workers' Annuity Trust Fund | 648 | $59.7M | 08/01/2024 |
| Westside Neighborhood School 403(b) Dc Plan | Westside Neighborhood School | 164 | $18.6M | 07/01/2024 |
| Shalom House, Inc. Retirement Savings Plan | Shalom House, Inc. | 209 | $4.9M | 07/01/2024 |
| Crookham Company Profit Sharing Plan | Crookham Company | 127 | $29.0M | 07/01/2024 |
| Hurley Practice Management Services Employee Deferred Compensation Plan | Hurley Practice | 255 | $3.7M | 07/01/2024 |
| Broward Children's Center, Inc. Retirement Plan | Broward Children's Center, Inc. | 0 | $3.5M | 07/01/2024 |
| Chattanooga Shooting Supplies, Inc. 401(k) Profit Sharing Plan | Chattanooga Shooting Supplies, Inc. | 175 | $35.7M | 07/01/2024 |
| The Carey Counseling Center, Inc. Tax Deferred Annuity Plan | Carey Counseling Center, Inc. | 135 | $9.5M | 07/01/2024 |
| The Hurley Clinic 403(b) Retirement Plan | The Hurley Clinic | 140 | $36.0M | 07/01/2024 |
| Open Door Health Services, Inc. 401(k) Plan & Trust | Open Door Health Services, Inc. | 205 | $9.3M | 07/01/2024 |
| Quincy University Dc Retirement Plan | Quincy University Corporation | 325 | $23.8M | 06/01/2024 |
| Operating Engineers Local No. 147 Annuity Fund | Board Of Trustees Operating Engineers Local No. 147 Annuity | 1,335 | $64.7M | 05/01/2024 |
| Uricchio, Howe & Krell, P. A. Profit Sharing Plan | Uricchio, Howe & Krell, P.A. | 21 | — | 04/01/2024 |
| Staffmark Group, Llc 401(k) Plan | Staffmark Group, Llc | 1,933 | $144M | 04/01/2024 |
| Hawaii Iron Workers' Pension Plan | Board Of Trustees Of Hawaii Iron Workers Pension Trust Fund | 649 | $176M | 04/01/2024 |
| Masons Pension Plan | Board Of Trustees Of Masons Pension Trust Fund | 1,248 | $284M | 03/01/2024 |
| Hawaii Masons And Plasterers Annuity Plan | Board Of Trustees Of The Hawaii Masons & Plasterers Annuity Trust Fund | 1,088 | $127M | 03/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Foundations & charities (2)
| Organization | Type | Assets | As of |
|---|---|---|---|
| St Petersburg College Foundation Inc | Public charity | $95.3M | 03/31/2024 |
| Raymond James Charitable Endowment Fund | Public charity | $1.9B | 03/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/26/2026 | 10.8 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
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, AND FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WSPS, REASONABLY DESIGNED TO SUPERVISE REPRESENTATIVES' SHARE-CLASS RECOMMENDATIONS TO CUSTOMERS OF 529 SAVINGS PLANS. THE FINDINGS STATED THAT THE MATTER INVOLVES THE FIRM'S RESPECTIVE FAILURE TO SUPERVISE ITS ACTIVITIES TO ACHIEVE COMPLIANCE WITH ITS SUITABILITY OBLIGATIONS IN CONNECTION WITH ITS REPRESENTATIVES' 529 PLAN SHARE-CLASS RECOMMENDATIONS. UNTIL 2016, THE FIRM'S TRAINING MATERIALS SIMILARLY DID NOT PROVIDE ANY GUIDANCE TO REPRESENTATIVES REGARDING 529 PLAN SHARE CLASSES. ALTHOUGH THE FIRM MAINTAINED AN AUTOMATED SURVEILLANCE SYSTEM DESIGNED TO GENERATE EXCEPTION REPORTS TO IDENTIFY POTENTIALLY UNSUITABLE 529 PLAN SHARE-CLASS RECOMMENDATIONS, IT DID NOT HAVE ANY SYSTEM OR PROCEDURES TO TEST THIS SYSTEM AND IT FAILED TO DETECT A BREAKDOWN IN THE SYSTEM. AS A RESULT, THE FIRM FAILED TO CONDUCT A SUPERVISORY REVIEW OF APPROXIMATELY 1.6 MILLION 529 PLAN PURCHASES. IN ADDITION, EVEN WHEN THE SYSTEM GENERATED REPORTS AS INTENDED, THE FIRM DID NOT CONSISTENTLY USE THE REPORTS AND TOOK NO ACTION WHEN A POTENTIALLY UNSUITABLE TRANSACTION WAS FLAGGED. THE FINDINGS ALSO STATED THAT THE FIRM HAS AGREED TO PAY RESTITUTION RELATING TO THE SALE OF CLASS C SHARES TO CERTAIN 529 PLAN CUSTOMERS IN THE ESTIMATED AMOUNT OF $4,203,182. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO PAY RESTITUTION IN THE ESTIMATED TOTAL AMOUNT OF $4,203,182, PLUS INTEREST, TO ELIGIBLE CUSTOMERS THAT INCURRED EXCESS FEES DUE TO THEIR INVESTMENTS IN CLASS C SHARES. IN RESOLVING THIS MATTER WITHOUT A MONETARY FINE, FINRA RECOGNIZES THE FIRM'S EXTRAORDINARY COOPERATION Summary: IN RESOLVING THIS MATTER WITHOUT A MONETARY FINE, FINRA RECOGNIZES THE FIRM'S EXTRAORDINARY COOPERATION. THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA IN ITS INVESTIGATION, INCLUDING PROVIDING FINRA WITH DETAILED INFORMATION ABOUT THE CHALLENGES ASSOCIATED WITH COLLECTING AND ASSESSING DATA CONCERNING 529 PLANS. IN ADDITION, THE FIRM ENGAGED AN OUTSIDE CONSULTING FIRM TO CONDUCT A COMPLEX ANALYSIS TO IDENTIFY POTENTIALLY DISADVANTAGED CUSTOMERS ON AN EXPEDITED BASIS. THE FIRM THEN ESTABLISHED A PLAN TO PROVIDE BROAD REMEDIATION TO CUSTOMERS HARMED DURING THE RELEVANT PERIOD.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, IN CONNECTION WITH REVIEW NOS. 2013036894301 AND 20140400254, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE SECURITIZED PRODUCTS TO TRACE WITHIN THE TIME REQUIRED BY FINRA RULE 6730(A). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND FINDINGS, THEREFORE, THE FIRM WAS CENSURED AND FINED $10,000. FINE PAID IN FULL 12/09/2014.
Allegations: SEC RULES 203(B)(3), 204T(A)(1), 204T(A)(3), 204(T)(B) OF REGULATION SHO - RAYMOND JAMES & ASSOCIATES, INC. HAD FAIL-TO-DELIVER POSITIONS AT A REGISTERED CLEARING AGENCY IN AN EQUITY SECURITY THAT RESULTED FROM A LONG SALE, AND DID NOT CLOSE THE FAIL-TO-DELIVER POSITIONS BY PURCHASING SECURITIES OF LIKE KIND AND QUANTITY WITHIN THE TIME FRAME PRESCRIBED BY SEC RULE T(A)(1). THE FIRM HAD A FAIL-TO-DELIVER POSITION AT A REGISTERED CLEARING AGANCY IN AN EQUITY SECURITY THAT WAS ATTRIBUTABLE TO MARKET MAKING ACTIVITIES, AND DID NOT CLOSE THE FAIL-TO-DELIVER POSITION BY PURCHASING SECURITIES OF LIKE KIND AND QUANTITY WITHIN THE TIME FRAME PRESCRIBED BY SEC RULE T(A)(3). IN TWO INSTANCES INVOLVING ONE EQUITY SECURITY, THE FIRM ACCEPTED A SHORT SALE ORDER FROM ANOTHER PERSON OR EFFECTED A SHORT SALE FOR ITS OWN ACCOUNT, WITHOUT FIRST BORROWING THE SECURITY, OR ENTERING INTO A BONA FIDE ARRANGEMENT TO BORROW THE SECURITY AND HAD A FAIL-TO-DELIVER POSITION AT A REGISTERED CLEARING AGENCY IN SUCH SECURITY THAT HAD NOT BEEN CLOSED OUT IN ACCORDANCE WITH THE REQUIREMENTS OF PARAGRAPHS (A) AND (B) OF SEC RULE 204T, THE FIRM HAD A FAIL-TO-DELIVER POSITION AT A REGISTERED CLEARING AGENCY IN A THRESHOLD SECURITY FOR 13 CONSECUTIVE SETTLEMENT DAYS, AND FAILED TO IMMEDIATELY THEREAFTER CLOSE OUT THE FAIL-TO-DELIVER POSITION BY PURCHASING SECURITIES OF LIKE AND QUANTITY. THE FIRM CONTINUED TO HAVE A FAIL-TO-DELIVER POSITION IN THE SECURITY FOR 19 SETTLEMENT DAYS WHILE IT WAS A THRESHOLD SECURITY, WHICH IT FAILED TO CLOSE OUT WHEN REQUIRED. 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 $45,000. Summary: SEC RULES 203(B)(3), 204T(A)(1), 204T(A)(3), 204(T)(B) OF REGULATION SHO - RAYMOND JAMES & ASSOCIATES, INC. HAD FAIL-TO-DELIVER POSITIONS AT A REGISTERED CLEARING AGENCY IN AN EQUITY SECURITY THAT RESULTED FROM A LONG SALE, AND DID NOT CLOSE THE FAIL-TO-DELIVER POSITIONS BY PURCHASING SECURITIES OF LIKE KIND AND QUANTITY WITHIN THE TIME FRAME PRESCRIBED BY SEC RULE T(A)(1). THE FIRM HAD A FAIL-TO-DELIVER POSITION AT A REGISTERED CLEARING AGANCY IN AN EQUITY SECURITY THAT WAS ATTRIBUTABLE TO MARKET MAKING ACTIVITIES, AND DID NOT CLOSE THE FAIL-TO-DELIVER POSITION BY PURCHASING SECURITIES OF LIKE KIND AND QUANTITY WITHIN THE TIME FRAME PRESCRIBED BY SEC RULE T(A)(3). IN TWO INSTANCES INVOLVING ONE EQUITY SECURITY, THE FIRM ACCEPTED A SHORT SALE ORDER FROM ANOTHER PERSON OR EFFECTED A SHORT SALE FOR ITS OWN ACCOUNT, WITHOUT FIRST BORROWING THE SECURITY, OR ENTERING INTO A BONA FIDE ARRANGEMENT TO BORROW THE SECURITY AND HAD A FAIL-TO-DELIVER POSITION AT A REGISTERED CLEARING AGENCY IN SUCH SECURITY THAT HAD NOT BEEN CLOSED OUT IN ACCORDANCE WITH THE REQUIREMENTS OF PARAGRAPHS (A) AND (B) OF SEC RULE 204T, THE FIRM HAD A FAIL-TO-DELIVER POSITION AT A REGISTERED CLEARING AGENCY IN A THRESHOLD SECURITY FOR 13 CONSECUTIVE SETTLEMENT DAYS, AND FAILED TO IMMEDIATELY THEREAFTER CLOSE OUT THE FAIL-TO-DELIVER POSITION BY PURCHASING SECURITIES OF LIKE AND QUANTITY. THE FIRM CONTINUED TO HAVE A FAIL-TO-DELIVER POSITION IN THE SECURITY FOR 19 SETTLEMENT DAYS WHILE IT WAS A THRESHOLD SECURITY, WHICH IT FAILED TO CLOSE OUT WHEN REQUIRED. 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 $45,000.
Allegations: MSRB RULES G-17, G-27, G-30(A) - IN 37 TRANSACTIONS, RAYMOND JAMES & ASSOCIATES, INC. PURCHASED MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM CUSTOMERS AND/OR SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TO CUSTOMERS AT AN AGGREGATE PRICE (INCLUDING ANY MARKDOWN OR MARKUP) THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BEST JUDGMENT OF THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER AS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THE TRANSACTIONS AND OF ANY SECURITIES EXCHANGED OR TRADED IN CONNECTION WITH THE TRANSACTIONS, THE EXPENSE INVOLVED IN EFFECTING THE TRANSACTIONS, THE FACT THAT THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER IS ENTITLED TO A PROFIT, AND THE TOTAL DOLLAR AMOUNT OF THE TRANSACTIONS. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND MSRB RULES CONCERNING MUNICIPAL SECURITIES FAIR PRICING REQUIREMENTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $75,000 FOR MSRB RULE VIOLATIONS, REQUIRED TO PAY $25,603.28, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS AND TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING MUNICIPAL SECURITIES FAIR PRICING REQUIREMENTS WITHIN 60 BUSINESS DAYS OF ACCEPTANCE OF THIS AWC BY THE NAC. A REGISTERED FIRM PRINCIPAL SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION, OR OF REASONABLE AND DOCUMENTED EFFORTS TO EFFECT RESTITUTION, TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. ANY UNDISTRIBUTED RESTITUTION AND INTEREST SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED. Summary: MSRB RULES G-17, G-27, G-30(A) - IN 37 TRANSACTIONS, RAYMOND JAMES & ASSOCIATES, INC. PURCHASED MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT FROM CUSTOMERS AND/OR SOLD MUNICIPAL SECURITIES FOR ITS OWN ACCOUNT TO CUSTOMERS AT AN AGGREGATE PRICE (INCLUDING ANY MARKDOWN OR MARKUP) THAT WAS NOT FAIR AND REASONABLE, TAKING INTO CONSIDERATION ALL RELEVANT FACTORS, INCLUDING THE BEST JUDGMENT OF THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER AS TO THE FAIR MARKET VALUE OF THE SECURITIES AT THE TIME OF THE TRANSACTIONS AND OF ANY SECURITIES EXCHANGED OR TRADED IN CONNECTION WITH THE TRANSACTIONS, THE EXPENSE INVOLVED IN EFFECTING THE TRANSACTIONS, THE FACT THAT THE BROKER, DEALER OR MUNICIPAL SECURITIES DEALER IS ENTITLED TO A PROFIT, AND THE TOTAL DOLLAR AMOUNT OF THE TRANSACTIONS. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND MSRB RULES CONCERNING MUNICIPAL SECURITIES FAIR PRICING REQUIREMENTS. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $75,000 FOR MSRB RULE VIOLATIONS, REQUIRED TO PAY $25,603.28, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS AND TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING MUNICIPAL SECURITIES FAIR PRICING REQUIREMENTS WITHIN 60 BUSINESS DAYS OF ACCEPTANCE OF THIS AWC BY THE NAC. A REGISTERED FIRM PRINCIPAL SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION, OR OF REASONABLE AND DOCUMENTED EFFORTS TO EFFECT RESTITUTION, TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC. ANY UNDISTRIBUTED RESTITUTION AND INTEREST SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED.
Allegations: FINRA RULE 2010, NASD RULES 2110, 2320, 2440, 3010, INTERPRETATIVE MATERIAL 2440-1, 2440-2 - IN 7 TRANSACTIONS, RAYMOND JAMES & ASSOCIATES, INC. SOLD (BOUGHT) CORPORATE BONDS TO (FROM) CUSTOMERS AND FAILED TO SELL (BUY) SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS WITH RESPECT TO EACH BOND AT THE TIME OF THE TRANSACTION, THE EXPENSE INVOLVED AND THAT THE FIRM WAS ENTITLED TO A PROFIT. IN CONNECTION THEREWITH, THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND FINRA RULES CONCERNING COMPLIANCE WITH NASD RULE 2440 AND INTERPRETATIVE MATERIAL 2440. IN 6 TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE SECURITIES FOR OR WITH A CUSTOMER, THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMERS WERE AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $27,500 AND REQUIRED TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING COMPLIANCE WITH NASD RULE 2440 AND INTERPRETATIVE MATERIAL 2440 WITHIN 60 BUSINESS DAYS OF ACCEPTANCE OF THIS AWC BY THE NAC. Summary: FINRA RULE 2010, NASD RULES 2110, 2320, 2440, 3010, INTERPRETATIVE MATERIAL 2440-1, 2440-2 - IN 7 TRANSACTIONS, RAYMOND JAMES & ASSOCIATES, INC. SOLD (BOUGHT) CORPORATE BONDS TO (FROM) CUSTOMERS AND FAILED TO SELL (BUY) SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS WITH RESPECT TO EACH BOND AT THE TIME OF THE TRANSACTION, THE EXPENSE INVOLVED AND THAT THE FIRM WAS ENTITLED TO A PROFIT. IN CONNECTION THEREWITH, THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND FINRA RULES CONCERNING COMPLIANCE WITH NASD RULE 2440 AND INTERPRETATIVE MATERIAL 2440. IN 6 TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE SECURITIES FOR OR WITH A CUSTOMER, THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMERS WERE AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, FINED $27,500 AND REQUIRED TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING COMPLIANCE WITH NASD RULE 2440 AND INTERPRETATIVE MATERIAL 2440 WITHIN 60 BUSINESS DAYS OF ACCEPTANCE OF THIS AWC BY THE NAC.
Allegations: FINRA ALLEGED SEC RULE 10B-10 CLIENT CONFIRM VIOLATIONS BECAUSE IT ALLEGED THAT THE FIRM STATED INCORRECT EXECUTION CAPACITIES CONCERNING ORDERS; INCORRECTLY DISCLOSED IT WAS A REGISTERED MARKET MAKER IN CONNECTION WITH TRANSACTIONS; FAILED TO DISCLOSE THAT IT WAS A REGISTERED MARKET MAKER WITH RESPECT TO TRANSACTIONS; AND FAILED TO DISCLOSE THAT THE TRANSACTIONS WERE EXECUTED AT AN AVERAGE PRICE. FINRA ALLEGED FINRA RULE 2265 VIOLATIONS BECAUSE IT ALLEGED THAT THE FIRM ACCEPTED ORDERS FROM CUSTOMERS THAT WERE EXECUTED IN THE PRE-MARKET SESSION OR POST-MARKET SESSION WITHOUT DISCLOSING TO SUCH CUSTOMERS THAT EXTENDED HOURS TRADING INVOLVES MATERIAL TRADING RISKS, INCLUDING THE POSSIBILITY OF LOWER LIQUIDITY, HIGH VOLATILITY, CHANGING PRICES, UNLINKED MARKETS, AN EXAGGERATED EFFECT FROM NEWS ANNOUNCEMENTS, WIDER SPREADS, AND ANY OTHER RELEVANT RISKS. FINRA ALLEGED FINRA RULE 2010 AND NASD RULE 3010 VIOLATIONS BECAUSE IT ALLEGED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO CERTAIN APPLICABLE SECURITIES LAWS AND REGULATIONS, AND/OR THE RULES OF FINRA. SPECIFICALLY, FINRA STATED THE FIRM VIOLTED FINRA RULE 2010 AND NASD RULE 3010 BECAUSE IT ALLEGED THAT THE FIRM'S WSPS FAILED TO MEET THE MINIMUM REQUIREMENTS FOR ADEQUATE WSPS SET FORTH IN FINRA RULE 2010 AND NASD RULE 3010 IN THE FOLLOWING SUBJECT AREAS: REGISTRATION AND QUALIFICATION; TRADE REPORTING; SALES TRANSACTIONS; FIRM QUOTE COMPLIANCE; REVIEW OF CLEARLY ERRONEOUS TRANSACTIONS UNDER FINRA RULES; AND THE ORDER AUDIT TRAIL SYSTEM. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED, FINED $15,000 AND UNDERTAKES TO REVISE THE FIRM'S WSPS IN THE AREAS DESCRIBED ABOVE. WITHIN 30 BUSINESS DAYS AFTER ACCEPTANCE OF THE AWC, A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT TO FINRA A SIGNED, DATED LETTER, OR AN EMAIL FROM A WORK-RELATED ACCOUNT OF THE REGISTERED PRINCIPAL PROVIDING THE FOLLOWING INFORMATION: A REFERENCE TO THIS MATTER; A REPRESENTATION THAT THE FIRM HAS REVISED ITS WSPS TO ADDRESS THE DEFICIENCIES; AND THE DATE THE REVISED PROCEDURES WERE IMPLEMENTED. Summary: ON 09/27/2013, FINRA ALLEGED SEC RULE 10B-10 CLIENT CONFIRM VIOLATIONS BECAUSE IT ALLEGED THAT THE FIRM STATED INCORRECT EXECUTION CAPACITIES CONCERNING ORDERS; INCORRECTLY DISCLOSED IT WAS A REGISTERED MARKET MAKER IN CONNECTION WITH TRANSACTIONS; FAILED TO DISCLOSE THAT IT WAS A REGISTERED MARKET MAKER WITH RESPECT TO TRANSACTIONS; AND FAILED TO DISCLOSE THAT THE TRANSACTIONS WERE EXECUTED AT AN AVERAGE PRICE. FINRA ALLEGED FINRA RULE 2265 VIOLATIONS BECAUSE IT ALLEGED THAT THE FIRM ACCEPTED ORDERS FROM CUSTOMERS THAT WERE EXECUTED IN THE PRE-MARKET SESSION OR POST-MARKET SESSION WITHOUT DISCLOSING TO SUCH CUSTOMERS THAT EXTENDED HOURS TRADING INVOLVES MATERIAL TRADING RISKS, INCLUDING THE POSSIBILITY OF LOWER LIQUIDITY, HIGH VOLATILITY, CHANGING PRICES, UNLINKED MARKETS, AN EXAGGERATED EFFECT FROM NEWS ANNOUNCEMENTS, WIDER SPREADS, AND ANY OTHER RELEVANT RISKS. FINRA ALLEGED FINRA RULE 2010 AND NASD RULE 3010 VIOLATIONS BECAUSE IT ALLEGED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO CERTAIN APPLICABLE SECURITIES LAWS AND REGULATIONS, AND/OR THE RULES OF FINRA. SPECIFICALLY, FINRA STATED THE FIRM VIOLTED FINRA RULE 2010 AND NASD RULE 3010 BECAUSE IT ALLEGED THAT THE FIRM'S WSPS FAILED TO MEET THE MINIMUM REQUIREMENTS FOR ADEQUATE WSPS SET FORTH IN FINRA RULE 2010 AND NASD RULE 3010 IN THE FOLLOWING SUBJECT AREAS: REGISTRATION AND QUALIFICATION; TRADE REPORTING; SALES TRANSACTIONS; FIRM QUOTE COMPLIANCE; REVIEW OF CLEARLY ERRONEOUS TRANSACTIONS UNDER FINRA RULES; AND THE ORDER AUDIT TRAIL SYSTEM. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED, FINED $15,000 AND UNDERTAKES TO REVISE THE FIRM'S WSPS IN THE AREAS DESCRIBED ABOVE. WITHIN 30 BUSINESS DAYS AFTER ACCEPTANCE OF THE AWC, A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT TO FINRA A SIGNED, DATED LETTER, OR AN EMAIL FROM A WORK-RELATED ACCOUNT OF THE REGISTERED PRINCIPAL PROVIDING THE FOLLOWING INFORMATION: A REFERENCE TO THIS MATTER; A REPRESENTATION THAT THE FIRM HAS REVISED ITS WSPS TO ADDRESS THE DEFICIENCIES; AND THE DATE THE REVISED PROCEDURES WERE IMPLEMENTED.
Allegations: FINRA ALLEGED SEC RULES 10B-10, 17A-3, NASD RULE 3110 - IT ALLEGED THAT RAYMOND JAMES & ASSOCIATES, INC. (1) INCORRECTLY DISCLOSED ITS CAPACITY AS AGENT ON 22 OCCASIONS FOR ONE ORDER WHEN IT ACTED IN A RISKLESS PRINCIPAL CAPACITY INSTEAD, (2) INCORRECTLY DISCLOSED ITS CAPACITY AS AGENT ON SIX OCCASIONS FOR THREE ORDERS WHEN IT ACTED AS A DUAL AGENT INSTEAD, (3) INCORRECTLY DISCLOSED ITS CAPACITY AS ACTING ONLY AS PRINCIPAL ON TEN OCCASIONS FOR ONE ORDER WHEN IT ACTED INSTEAD IN MULTIPLE CAPACITIES AS DUAL AGENT, RISKLESS PRINCIPAL AND PRINCIPAL,(4) INCORRECTLY DISCLOSED ITS CAPACITY AS ACTING ONLY AS PRINCIPAL ON THREE OCCASIONS FOR ONE ORDER WHEN IT ACTED INSTEAD IN MULTIPLE CAPACITIES AS BOTH AGENT AND RISKLESS PRINCIPAL, (5) INCORRECTLY DISCLOSED ITS CAPACITY AS ACTING ONLY AS AGENT ON ONE OCCASION FOR ONE ORDER WHEN IT ACTED IN MULTIPLE CAPACITIES AS DUAL AGENT, RISKLESS PRINCIPAL AND PRINCIPAL, AND (6) INCORRECTLY DISCLOSED ITS COMPENSATION AS A "COMMISSION" WHEN IT ACTED IN A RISKLESS PRINCIPAL CAPACITY ON 22 OCCASIONS FOR ONE ORDER. IT ALLEGED THAT THE FIRM INCORRECTLY MARKED SHORT SALES AS LONG SALES ON NUMEROUS OCCASIONS ON ITS PROPRIETARY TRADE LEDGER, AND INCORRECTLY MARKED LONG SALES AS SHORT SALES ON NUMEROUS OCCASIONS ON ITS PROPRIETARY TRADE LEDGER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $12,500. Summary: ON 11/25/2013, FINRA ALLEGED SEC RULES 10B-10, 17A-3, NASD RULE 3110 - IT ALLEGED THAT RAYMOND JAMES & ASSOCIATES, INC. (1) INCORRECTLY DISCLOSED ITS CAPACITY AS AGENT ON 22 OCCASIONS FOR ONE ORDER WHEN IT ACTED IN A RISKLESS PRINCIPAL CAPACITY INSTEAD, (2) INCORRECTLY DISCLOSED ITS CAPACITY AS AGENT ON SIX OCCASIONS FOR THREE ORDERS WHEN IT ACTED AS A DUAL AGENT INSTEAD, (3) INCORRECTLY DISCLOSED ITS CAPACITY AS ACTING ONLY AS PRINCIPAL ON TEN OCCASIONS FOR ONE ORDER WHEN IT ACTED INSTEAD IN MULTIPLE CAPACITIES AS DUAL AGENT, RISKLESS PRINCIPAL AND PRINCIPAL,(4) INCORRECTLY DISCLOSED ITS CAPACITY AS ACTING ONLY AS PRINCIPAL ON THREE OCCASIONS FOR ONE ORDER WHEN IT ACTED INSTEAD IN MULTIPLE CAPACITIES AS BOTH AGENT AND RISKLESS PRINCIPAL, (5) INCORRECTLY DISCLOSED ITS CAPACITY AS ACTING ONLY AS AGENT ON ONE OCCASION FOR ONE ORDER WHEN IT ACTED IN MULTIPLE CAPACITIES AS DUAL AGENT, RISKLESS PRINCIPAL AND PRINCIPAL, AND (6) INCORRECTLY DISCLOSED ITS COMPENSATION AS A "COMMISSION" WHEN IT ACTED IN A RISKLESS PRINCIPAL CAPACITY ON 22 OCCASIONS FOR ONE ORDER. IT ALLEGED THAT THE FIRM INCORRECTLY MARKED SHORT SALES AS LONG SALES ON NUMEROUS OCCASIONS ON ITS PROPRIETARY TRADE LEDGER, AND INCORRECTLY MARKED LONG SALES AS SHORT SALES ON NUMEROUS OCCASIONS ON ITS PROPRIETARY TRADE LEDGER. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $12,500.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO EXECUTE CUSTOMER LIMIT ORDERS IN OVER-THE-COUNTER (OTC) SECURITIES AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER. THE FINDINGS STATED THAT THE FIRM FAILED TO CONTEMPORANEOUSLY EXECUTE CUSTOMER LIMIT ORDERS IN OTC SECURITIES AFTER IT TRADED EACH SUBJECT SECURITY FOR ITS OWN MARKET-MAKING ACCOUNT, AND IN SOME OF THOSE INSTANCES, FAILED TO EXECUTE THE ORDER AT A PRICE THAT WOULD HAVE SATISFIED EACH CUSTOMER'S LIMIT ORDER. IN TRANSACTIONS FOR OR WITH A CUSTOMER, THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. THE FIRM FAILED TO PUBLISH IMMEDIATELY A BID OR OFFER THAT REFLECTED THE PRICE AND THE FULL SIZE OF CUSTOMER LIMIT ORDERS FOR OTC EQUITY SECURITIES HELD BY THE FIRM THAT WERE AT A PRICE THAT WOULD HAVE IMPROVED THE BID OR OFFER OF THE FIRM IN SUCH SECURITIES. Status: Final Sanction Detail: SEE ABOVE Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $22,500.00
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE FINDINGS STATED THAT THE CUSTOMERS WERE INSTEAD SOLD CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS. THE FIRM 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 IS CENSURED, ORDERED TO PAY RESTITUTION IN THE TOTAL AMOUNT OF $4,489,553.70 TO CUSTOMERS, AND WITH RESPECT TO ANY CUSTOMER THAT PURCHASED CLASS B OR C SHARES AND STILL HOLDS SUCH SHARES IN AN ACCOUNT AT THE FIRM, THE FIRM UNDERTAKES TO OFFER SUCH CUSTOMER THE OPTION OF CONVERTING SUCH CLASS B OR C SHARES TO CLASS A SHARES AT NO EXPENSE TO THE CUSTOMER.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT OVER REPORTED TRANSACTIONS IN OVER-THE-COUNTER (OTC) EQUITY SECURITIES TO THE OVER THE COUNTER REPORTING FACILITY (OTCRF) THAT WERE EXECUTED IN CANADA AND ALSO REPORTED TO THE REGULATOR OF SECURITIES MARKETS FOR THAT COUNTRY. THE FINDINGS STATED THAT THE UNDERLYING SECURITIES WERE DUALLY LISTED IN THE UNITED STATES AND IN CANADA. THE FINDINGS ALSO STATED 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, CONCERNING TRADE REPORTING OF TRANSACTIONS INVOLVING SECURITIES THAT ARE DUALLY LISTED IN THE UNITED STATES AND ANOTHER COUNTRY. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $12,500, AND UNDERTAKES TO REVISE ITS WSPS. THE FINE WAS PAID ON 7/28/16, AND WSPS WERE REVISED ON 4/6/2015.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO PUBLISH IMMEDIATELY A BID OR OFFER THAT REFLECTED THE FULL SIZE OF CUSTOMER LIMIT ORDERS FOR OVER-THE-COUNTER (OTC) EQUITY SECURITIES HELD BY THE FIRM THAT WERE AT A PRICE THAT WOULD HAVE IMPROVED THE BID OR OFFER OF THE FIRM IN SUCH SECURITIES. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO CERTAIN APPLICABLE SECURITIES LAWS AND REGULATIONS, AND/OR THE RULES OF FINRA. THE FIRM'S WRITTEN SUPERVISORY PROCEDURE (WSPS) FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR ADEQUATE PROCEDURES REGARDING FINRA RULE 6460. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $30,000 AND UNDERTAKES TO REVISE ITS WSPS WITH RESPECT TO THE AREAS DESCRIBED IN THE AWC, AND WITHIN 30 BUSINESS DAYS OF THE AWC, A REGISTERED PRINCIPAL OF THE FIRM SHALL SUBMIT TO FINRA A SIGNED, DATED LETTER, OR AN E-MAIL PROVIDING THE FOLLOWING INFORMATION: A REFERENCE TO THIS MATTER; A REPRESENTATION THAT THE FIRM HAS REVISED ITS WSPS, TO ADDRESS THE DEFICIENCIES DESCRIBED IN THE AWC; AND, THE DATE THE REVISED PROCEDURES WERE IMPLEMENTED. PAYMENT WAS SENT ON 9/28/16.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO NYSE ARCA AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION IN VIOLATION OF RULE 17A-3(A)(6)(I) OF THE EXCHANGE ACT, AND NYSE ARCA RULE 6.68. THE FIRM ALSO VIOLATED NYSE ARCA RULE 11.18 BY FAILING TO ESTABLISH AND MAINTAIN WSPS AND A SYSTEM OF SUPERVISION THAT WERE REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH THE APPLICABLE FEDERAL SECURITIES LAWS AND NYSE ARCA RULES THAT REQUIRE THE ACCURATE DOCUMENTATION OF ORDER RECEIPT AND TRANSMISSION TIMES. ADDITIONALLY, THE FIRM ALSO VIOLATED NYSE ARCA RULE 11.18 BY FAILING TO ESTABLISH AND MAINTAIN A REASONABLE SYSTEM OF SUPERVISION BY FAILING TO REVIEW THE ELECTRONIC COMMUNICATIONS OF FOUR FIRM EMPLOYEES WHO WERE RESPONSIBLE FOR TAKING RETAIL ORDERS RECEIVED FROM THE FIRM'S FINANCIAL ADVISERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $95,000, OF WHICH $31,666.66 SHALL BE PAID TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO NYSE AMERICAN AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION IN VIOLATION OF RULE 17A-3(A)(6)(I) OF THE EXCHANGE ACT AND NYSE AMERICAN RULE 956NY. THE FIRM ALSO VIOLATED NYSE AMERICAN RULE 320 BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE WSPS AND A SYSTEM OF SUPERVISION THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE APPLICABLE FEDERAL SECURITIES LAWS AND NYSE AMERICAN RULES THAT REQUIRE THE ACCURATE DOCUMENTATION OF ORDER RECEIPT AND TRANSMISSION TIMES. ADDITIONALLY, THE FIRM ALSO VIOLATED NYSE AMERICAN RULE 320 BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE A REASONABLE SYSTEM OF SUPERVISION BY FAILING TO REVIEW THE ELECTRONIC COMMUNICATIONS OF FOUR FIRM EMPLOYEES WHO WERE RESPONSIBLE FOR TAKING RETAIL ORDERS RECEIVED FROM THE FIRM'S FINANCIAL ADVISERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $95,000, OF WHICH $31,666.67 SHALL BE PAID TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, AS A REMARKETING AGENT FOR VARIABLE RATE DEMAND OBLIGATIONS, SUBMITTED INFORMATION REGARDING THE RESULT OF INTEREST RATE RESETS TO THE MSRB'S SHORT-TERM OBLIGATION RATE TRANSPARENCY (SHORT) SYSTEM, BUT IN CERTAIN INSTANCES, MOST OF WHICH RELATED TO ITS ACQUISITION OF THE BOOK OF ANOTHER BROKER DEALER, FAILED TO INCLUDE THE MINIMUM DENOMINATION OR MAXIMUM INTEREST RATE. THE FINDINGS STATED THAT SPECIFICALLY, THE FIRM FAILED TO REPORT THE MINIMUM DENOMINATION IN 2,925 SUBMISSIONS (APPROXIMATELY 6.36% ERROR RATE), AND FAILED TO REPORT THE MAXIMUM INTEREST RATE IN 3,133 SUBMISSIONS (APPROXIMATELY 6.81% ERROR RATE). THE REPORTING FAILURES OCCURRED BECAUSE THE FIRM'S REPORTING SYSTEM, WHICH TRANSMITS DATA TO SHORT FOR THE MSRB'S EMMA SYSTEM, DID NOT REQUIRE THE ENTRY OF THE MINIMUM DENOMINATION AND MAXIMUM INTEREST RATE FIELDS. FIRM TRADERS MISTAKENLY LEFT THE MINIMUM DENOMINATION AND MAXIMUM INTEREST RATE FIELDS BLANK. THE FINDINGS ALSO STATED THAT THE FIRM DID NOT MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WSPS, THAT WAS REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH MSRB REPORTING REQUIREMENTS. THE FIRM'S SUPERVISORY SYSTEM FAILED TO INCLUDE A REVIEW DESIGNED TO DETERMINE WHETHER IT HAD SUBMITTED ALL REQUIRED INFORMATION TO THE SHORT SYSTEM, AND WHETHER THAT SUBMITTED INFORMATION, INCLUDING THE MINIMUM DENOMINATION AND MAXIMUM INTEREST RATE, WAS ACCURATE. EVEN AFTER THE FIRM UPDATED ITS SUPERVISORY SYSTEM TO INCLUDE A REVIEW TO VERIFY THAT THE MINIMUM DENOMINATION AND MAXIMUM INTEREST RATES HAD BEEN REPORTED TO SHORT, THE FIRM'S WSPS DID NOT INCLUDE REFERENCE TO THIS REVIEW. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $47,500. FINE PAID IN FULL ON 10/27/2020.
Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT POSITIONS TO THE LARGE OPTIONS POSITION REPORT (LOPR) IN APPROXIMATELY 627,430 INSTANCES, AND INACCURATELY REPORTED POSITIONS TO THE LOPR IN APPROXIMATELY 565,223 INSTANCES. THE FINDINGS STATED THAT THE FIRM'S LOPR REPORTING VIOLATIONS PRIMARILY RESULTED FROM ITS ENTRY OF AN INCORRECT EFFECTIVE DATE WHEN SUBMITTING CERTAIN OPTIONS POSITIONS TO THE LOPR AND ITS FAILURE TO PROPERLY AGGREGATE CERTAIN OF ITS REPORTABLE OPTIONS POSITIONS AS ACTING IN-CONCERT. AS A RESULT OF ENTERING AN INCORRECT EFFECTIVE DATE, THE FIRM FAILED TO REPORT POSITIONS IN APPROXIMATELY 8,264 INSTANCES, UNDER-REPORTED POSITIONS IN APPROXIMATELY 37,700 INSTANCES, OVER-REPORTED POSITIONS IN APPROXIMATELY 16,343 INSTANCES, REPORTED POSITIONS IN APPROXIMATELY 3,478 INSTANCES WITH AN INACCURATE QUANTITY, AND REPORTED POSITIONS IN APPROXIMATELY 174,642 INSTANCES WITH AN INACCURATE COVERED QUANTITY. AS A RESULT OF FAILING TO PROPERLY AGGREGATE ACCOUNTS AS ACTING IN-CONCERT, THE FIRM FAILED TO REPORT POSITIONS IN APPROXIMATELY 619,076 INSTANCES, UNDER-REPORTED POSITIONS IN APPROXIMATELY 223,523 INSTANCES, OVER-REPORTED POSITIONS IN APPROXIMATELY 105,215 INSTANCES, AND REPORTED POSITIONS IN APPROXIMATELY 4,322 INSTANCES WITH AN INACCURATE QUANTITY. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO HAVE A REASONABLE SUPERVISORY SYSTEM WITH RESPECT TO THE REPORTING OF OPTIONS POSITIONS, INCLUDING A REVIEW FOR ACCURACY OF LOPR SUBMISSIONS WITH RESPECT TO EFFECTIVE DATES AND ACCOUNTS ACTING IN CONCERT. ADDITIONALLY, UNTIL NOVEMBER 2015, THE FIRM ALSO LACKED ANY WRITTEN SUPERVISORY PROCEDURES (WSPS) WITH RESPECT TO THE PROPER REPORTING OF OPTIONS POSITIONS, INCLUDING SYSTEMS OF FOLLOW-UP AND REVIEW, AND THEREAFTER, FAILED TO HAVE ADEQUATE WSPS UNTIL JANUARY 2017. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED A TOTAL OF $400,000, OF WHICH $200,000 SHALL BE PAID TO NYSE ARCA, INC. AND THE REMAINING AMOUNT PAID TO NYSE AMERICAN LLC, AND UNDERTAKES TO SUBMIT A WRITTEN REPORT CONFIRMING IT HAS COMPLETED REMEDIATION OF ALL THE LOPR ISSUES IDENTIFIED WITHIN 120 DAYS OF THE DATE OF THE DECISION. Summary: IN DETERMINING TO RESOLVE THIS MATTER IN THE MANNER SET FORTH HEREIN, AND IN DETERMINING THE APPROPRIATE MONETARY SANCTION, NYSE ARCA CONSIDERED THE FOLLOWING: (I) THE FIRM'S PROVISION OF EXTRAORDINARY COOPERATION WITH THIS INVESTIGATION BY RETAINING OUTSIDE COUNSEL AND AN OUTSIDE AUDITING FIRM TO CONDUCT AN EXTENSIVE REVIEW OF THE FIRM'S OPTIONS REPORTING SYSTEMS, PRACTICES, AND PROCEDURES, AND TO REPORT THESE FINDINGS TO FINRA; AND (II) THE EFFORTS AND ENHANCEMENTS MADE TO THE FIRM'S LOPR REPORTING SYSTEMS, AND SUPERVISORY PRACTICES AND PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT POSITIONS TO THE LARGE OPTIONS POSITIONS REPORT (LOPR)SYSTEM IN APPROXIMATELY 627,430 INSTANCES, AND INACCURATELY REPORTED POSITIONS TO THE LOPR IN APPROXIMATELY 565,223 INSTANCES. THE FINDINGS STATED THAT THE FIRM'S LOPR REPORTING VIOLATIONS PRIMARILY RESULTED FROM: ITS ENTRY OF AN INCORRECT EFFECTIVE DATE WHEN SUBMITTING CERTAIN POSITIONS TO THE LOPR; AND ITS FAILURE TO PROPERLY AGGREGATE CERTAIN OF ITS REPORTABLE OPTIONS POSITIONS AS ACTING IN-CONCERT. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO HAVE A REASONABLE SUPERVISORY SYSTEM WITH RESPECT TO THE REPORTING OF OPTIONS POSITIONS, INCLUDING A REVIEW FOR ACCURACY OF LOPR SUBMISSIONS WITH RESPECT TO EFFECTIVE DATES AND ACCOUNTS ACTING IN-CONCERT. ADDITIONALLY, UNTIL NOVEMBER 2015, THE FIRM ALSO LACKED ANY WRITTEN SUPERVISORY PROCEDURES (WSPS) WITH RESPECT TO THE PROPER REPORTING OF OPTIONS POSITIONS, INCLUDING SYSTEMS OF FOLLOW-UP AND REVIEW, AND THEREAFTER, FAILED TO HAVE ADEQUATE WSPS UNTIL JANUARY 2017. REASONABLE WSPS SHOULD, AT A MINIMUM, SPECIFY: (I) THE IDENTIFICATION OF THE INDIVIDUAL(S) RESPONSIBLE FOR SUPERVISION; (II) THE SUPERVISORY STEPS AND REVIEWS TO BE TAKEN BY THE APPROPRIATE SUPERVISOR; (III) THE FREQUENCY OF SUCH REVIEWS; AND (IV) HOW SUCH REVIEWS SHALL BE DOCUMENTED. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED A TOTAL OF $400,000, OF WHICH $200,000 SHALL BE PAID TO THE EXCHANGE. THE FIRM WAS REQUIRED TO SUBMIT A WRITTEN REPORT WHICH CONFIRMS THAT IT HAS COMPLETED REMEDIATION OF ALL THE LOPR ISSUES IDENTIFIED IN THE AWC WITHIN 120 DAYS OF THE DATE OF NOTICE OF ACCEPTANCE OF THIS AWC. THE BALANCE OF THE FIRM'S FINE WILL BE PAID TO NYSE ARCA, INC., PURSUANT TO A SEPARATE SETTLEMENT AGREEMENT. THIS AWC BECAME FINAL ON JUNE 9, 2018. Summary: IN DETERMINING TO RESOLVE THIS MATTER IN THE MANNER SET FORTH HEREIN, AND IN DETERMINING THE APPROPRIATE MONETARY SANCTION, THE EXCHANGE CONSIDERED THE FOLLOWING: (I) THE FIRM'S PROVISION OF EXTRAORDINARY COOPERATION WITH THIS INVESTIGATION BY RETAINING OUTSIDE COUNSEL AND AN OUTSIDE AUDITING FIRM TO CONDUCT AN EXTENSIVE REVIEW OF THE FIRM'S OPTIONS REPORTING SYSTEMS,PRACTICES, AND PROCEDURES, AND TO REPORT THESE FINDINGS TO FINRA; AND (II) THE EFFORTS AND ENHANCEMENTS MADE TO THE FIRM'S LOPR REPORTING SYSTEMS, AND SUPERVISORY PRACTICES AND PROCEDURES. CASE # 20140409820 (INCL. MERGED CASE NO. 20150455242)
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO HAWAII AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN HAWAII CUSTOMERS IN AN AMOUNT OF NO LESS THAN $50,418.64. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF HAR SECTION 16-39-470(B)(9) AND HRS SECTION 485A-412(D)(9).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO CALIFORNIA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN CALIFORNIA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $465,000.FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,250,000. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF CSL SECTION 25218 AND CODE OF REGULATIONS, TITLE 10, SECTION 260.218.4
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO INDIANA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN INDIANA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $238,117.87. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF I.C.§23-19-4-12(D)(9) AND 710 I.A.C.§4-7-6.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO KENTUCKY AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN KENTUCKY CUSTOMERS IN AN AMOUNT OF NO LESS THAN $212,150.59. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF KRS 292.337(2)(K) AND 808 KAR 10:030, SECTIONS 3 AND 4(1).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO MISSISSIPPI AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN MISSISSIPPI CUSTOMERS IN AN AMOUNT OF NO LESS THAN $117,297.55. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF MS SECURITIES ACT, SECTION 75-71-412(D)(9).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO MICHIGAN AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN MICHIGAN CUSTOMERS IN AN AMOUNT OF NO LESS THAN $539,950.22. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF MCL 451.2412(4)(I).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO NORTH DAKOTA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN NORTH DAKOTA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $34,926.00. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF N.D.C.C. SECTION 10-04-11(1).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO ARKANSAS AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN ARKANSAS CUSTOMERS IN AN AMOUNT OF NO LESS THAN $129,802.26. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION ARKANSAS CODE SECTION 23-42-301(F) AND 23-42-308(A)(2)(J) AND RULE 301.01(C).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO UTAH AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN UTAH CUSTOMERS IN AN AMOUNT OF NO LESS THAN $56,000.23. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF UTAH UNIFORM SECURITIES ACT, SECTION 61-1-6(2)(A)(II)(J).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO WISCONSIN AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN WISCONSIN CUSTOMERS IN AN AMOUNT OF NO LESS THAN $109,009.92. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION WI ADMIN CODE DFI-SEC. 4.05(2).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO COLORADO AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN COLORADO CUSTOMERS IN AN AMOUNT OF NO LESS THAN $234,566.40. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF § 11-51-410(1)(I), C.R.S.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO SOUTH CAROLINA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN SOUTH CAROLINA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $178,212.19. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF SOUTH CAROLINA CODE ANN. SECTION 35-1-412(D)(9).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO OHIO AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN OHIO CUSTOMERS IN AN AMOUNT OF NO LESS THAN $346,111.83. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF OHIO REVISED CODE 1707.19(A)(1)(I).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO FLORIDA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN FLORIDA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $1,096,109.24. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF RULE 69W-600.013(1)(H)1.(2021).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO NEVADA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN NEVADA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $45,996.79. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF NRS 90.420(1)(1).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO GEORGIA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN GEORGIA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $343,914.40. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF O.C.G.A. SECTION 10-5-41(D)(9) OF THE GEORGIA UNIFORM SECURITIES ACT OF 2008.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO ALASKA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN ALASKA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $25,223.09. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION AS 45.55.060(B) AND 45.56.440(D)(9).
Allegations: THE OFFICE OF THE INDIANA SECRETARY OF STATE, SECURITIES DIVISION ("DIVISION"), FILES THIS PETITION FOR ORDER TO SHOW CAUSE TO COMMENCE AN ADJUNDICATIVE PROCEEDING AGAINST RAYMOND JAMES & ASSOCIATES, INC. FOR VIOLATING THE INDIANA SECURITIES ACT, IND. CODE 23-2-1 ("ACT") (REPEALED EFFECTIVE JULY 1, 2008) AND THE INDIANA UNIFORM SECURITIES ACT, IND. CODE 23-19 ("IUSA") AND THE RULES AND REGULATIONS PROMULGATED THEREUNDER, VIOLATIONS OCCURRING PRIOR TO JULY 1, 2008 ARE CHARGED UNDER THE ACT AND VIOLATIONS OCCURRING AFTER JULY 1, 2008 ARE CHARGED UNDER THE IUSA. THIS IS AN ENFORCEMENT ACTION ARISING FROM A VIOLATION OF STATE SECURITIES LAWS BY THE RESPONDENTS. THE SANCTIONS SOUGHT ON THE FIRM ARE: SUSPENSION, CEASE AND DESIST, RESTITUTION, CIVIL AND ADMINISTRATIVE PENALTY(IES) FINES, AND MONETARY PENALTY(IES) OTHER THAN FINES. Status: Final Sanction Detail: PAID ON 7/31/15 A MONETARY FINE $200,000; $175,000 INVESTIGATION COST; $100,000 FOR CONTINUING INVESTOR EDUCATION. NO AMOUNT WAS WAIVED. Summary: THE OFFICE OF THE INDIANA SECRETARY OF STATE, SECURITIES DIVISION ("DIVISION"), FILED THIS PETITION FOR ORDER TO SHOW CAUSE TO COMMENCE AN ADJUNDICATIVE PROCEEDING AGAINST RAYMOND JAMES & ASSOCIATES, INC. FOR VIOLATING THE INDIANA SECURITIES ACT, IND. CODE 23-2-1 ("ACT") (REPEALED EFFECTIVE JULY 1, 2008) AND THE INDIANA UNIFORM SECURITIES ACT, IND. CODE 23-19 ("IUSA") AND THE RULES AND REGULATIONS PROMULGATED THEREUNDER, VIOLATIONS OCCURRING PRIOR TO JULY 1, 2008 ARE CHARGED UNDER THE ACT AND VIOLATIONS OCCURRING AFTER JULY 1, 2008 ARE CHARGED UNDER THE IUSA. THIS IS AN ENFORCEMENT ACTION ARISING FROM A VIOLATION OF STATE SECURITIES LAWS BY THE RESPONDENTS. ON 7/31/15 THE FIRM PAID A MONETARY FINE OF $200,000; $175,000 INVESTIGATION COST; $100,000 FOR CONTINUING INVESTOR EDUCATION. NO AMOUNT WAS WAIVED.
Allegations: VIOLATION OF 9 VERMONT SECURITIES ACT (VSA) 5412(D)(9) Status: Final Sanction Detail: RJA SHALL CEASE AND DESIST FROM VIOLATING SECTION 5412(D)(9) OF THE VERMONT UNIFORM SECURITIES ACT (VUSA) AND WILL COMPLY WITH ALL APPLICABLE PROVISIONS OF THE VUSA. WITHIN TEN (10) BUSINESS DAYS OF THE DATE OF THIS ORDER, RJA SHALL PAY TO THE DEPARTMENT OF FINANCIAL REGULATION (DFR) THE SUM OF $1,450,0000, OF WHICH $1,250,000 REPRESENTS AN ADMINISTRATIVE PENALTY AND $200,000 SHALL REIMBURSE THE OFR FOR ITS COSTS. THE COMMISSIONER DIRECTS THAT WITHIN TEN (10) BUSINESS DAYS OF THE DATE OF THIS ORDER RJA PAY $4,500,000 TO THE RECEIVER APPOINTED IN THE MATTER ENTITLED SEC V. QUIROS, NO.1:16-CV-21301-DPG (S.D. FLA.) FOR THE SOLE PURPOSE OF REIMBURSING CLAIMS BY THE EB-5 INVESTORS. THE SUM OF $2,750,000 REPRESENTS THE TOTAL REVENUES EARNED BY RJA AND THE REGISTERED REPRESENTATIVE IN CONNECTION WITH THE QUIROS-CONTROLLED ACCOUNTS, AND THE BALANCE REPRESENTS RESTITUTION. THE FINES WERE PAID ON JULY 7, 2016.
Allegations: N/A Status: Final Sanction Detail: $1,000,000.00 ADMINISTRATIVE FINE PAID 10/8/2018 Summary: ON OCTOBER 8, 2018, THE OFFICE OF FINANCIAL REGULATION ENTERED A FINAL ORDER ADOPTING THE STIPULATION AND CONSENT AGREEMENT IN THE MATTER OF RAYMOND JAMES & ASSOCIATES, INC. RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE FINDINGS BUT CONSENTED TO THE ENTRY OF FINDINGS BY THE OFFICE. THE OFFICE FOUND THAT RAYMOND JAMES & ASSOCIATES, INC. FAILED TO: MAINTAIN ACCURATE BOOKS AND RECORDS; ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE THE ACTIVITIES OF REGISTERED REPRESENTATIVES AND PRINCIPALS THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH SECURITIES LAWS AND REGULATIONS; ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH SECURITIES LAWS AND REGULATIONS; HAVE AND CONDUCT INTERNAL INSPECTIONS THAT ARE REASONABLY DESIGNED TO DETECT AND PREVENT VIOLATIONS OF SECURITIES LAWS AND REGULATIONS; AND OBSERVE HIGH STANDARDS OF COMMERCIAL HONOR AND JUST AND EQUITABLE PRINCIPLES OF TRADE. IN ADDITION, RAYMOND JAMES & ASSOCIATES, INC. MADE DISCRETIONARY TRANSACTIONS IN CUSTOMERS' ACCOUNTS WITHOUT WRITTEN AUTHORIZATION. PURSUANT TO THE FINAL ORDER, RAYMOND JAMES & ASSOCIATES, INC. AGREED TO CEASE AND DESIST FROM ALL PRESENT AND FUTURE VIOLATIONS OF CHAPTER 517, F. S. AND THE ADMINISTRATIVE RULES THEREUNDER; TO PAY AN ADMINISTRATIVE FINE IN THE AMOUNT OF $1,000,000.00; AND TO FULLY COOPERATE IN ANY ADDITIONAL INVESTIGATIONS OR ADMINISTRATIVE ACTIONS RELATED TO THE EMPLOYEES OF THE RAYMOND JAMES & ASSOCIATES, INC. BRANCH LOCATED IN SUN CITY CENTER, FL THAT ARE RELATED TO THIS PROCEEDING TO TESTIFY AND ASSIST IN ANY FURTHER INVESTIGATION OR ADMINISTRATIVE PROCEEDING UPON THE REASONABLE REQUEST OF THE OFFICE, WITHOUT A SUBPOENA, AND AT RAYMOND JAMES'S EXPENSE OR THE EMPLOYEE'S EXPENSE.
Allegations: THE ADMINISTRATOR INTENDS TO CENSURE AND FINE RAYMOND JAMES & ASSOCIATES, INC. UNDER SECTION 412(3) OF THE SECURITIES ACT, MCL 451.2412(3), BECAUSE IT HAS FAILED TO SUPERVISE ITS AGENTS, WHICH SUPPORTS THE IMPOSITION OF A CENSURE AND A FINE UNDER THE ABOVE-CITED PROVISIONS OF THE MICHIGAN UNIFORM SECURITIES ACT (2002), 2008 PA 551, MCL 451.2101 ET SEQ. Status: Final Sanction Detail: $50,000 CIVIL FINE Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE ENTRY OF AN ORDER TO RESOLVE THE ALLEGATIONS AND A MONETARY FINE IN THE AMOUNT OF $50,000. THE FIRM ALSO AGREED TO COMPLY WITH THE MICHIGAN UNIFORM SECURITIES ACT IN CONNECTION WITH ALL FUTURE CONDUCT AND ACTIVITIES, INCLUDING BUT NOT LIMITED TO ENSURING THAT IT REASONABLY SUPERVISES ITS AGENTS.
Allegations: STATE OF HAWAII ALLEGED THAT RAYMOND JAMES ENGAGED IN DISHONEST OR UNETHICAL PRACTICES IN THE SALE OF SECURITIES IN VIOLATION OF HRS 485-15(7). FURTHER, THE SECURITIES DIVISION ALLEGED THAT RAYMOND JAMES FAILED TO REASONABLY SUPERVISE THEIR AGENTS IN VIOLATION OF HRS 485-15(10). RAYMOND JAMES OFFERED AND SOLD TO SOME OF ITS CUSTOMERS AUCTION RATE SECURITIES ("ARS") WHILE NOT ACCURATELY CHARACTERIZING OR WHILE FAILING TO ADEQUATELY DISCLOSE THE TRUE NATURE AND RISKS ASSOCIATED WITH THESE INVESTMENTS. ALTHOUGH RAYMOND JAMES' ARS TRADE CONFIRMATIONS DISCLOSED THE RISK THAT ARS AUCTIONS COULD FAIL AND THAT RAYMOND JAMES WAS NOT OBLIGED TO ENSURE THEIR SUCCESS, AT THE POINT-OF-SALE, SOME OF RAYMOND JAMES' FINANCIAL ADVISERS INACCURATELY DESCRIBED ARS AS ALTERNATIVES TO MONEY MARKET FUNDS AND OTHER CASH-LIKE INVESTMENTS, WITHOUT ADEQUATELY DISCLOSING THE AUCTION PROCESS OR THE RISK OF ILLIQUIDITY IF THESE AUCTIONS FAILED. ON FEBRUARY 13, 2008, A SIGNIFICANT NUMBER OF ARS AUCTIONS FAILED, RESULTING IN AN OVERALL MARKET COLLAPSE THAT LEFT THOUSANDS OF INVESTORS, INCLUDING SOME OF RAYMOND JAMES' CUSTOMERS, HOLDING ARS THAT THEY HAVE, IN SOME INSTANCES, NOT BEEN ABLE TO LIQUIDATE. Status: Final Sanction Detail: ON 9/16/2014, RAYMOND JAMES PAID A FINE IN THE AMOUNT OF $3,972.17 TO THE TREASURER OF STATE OF HAWAII. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RAYMOND JAMES FINALIZED A SETTLEMENT AGREEMENT WITH THE STATE OF HAWAII ON 9/16/2014, IN WHICH IT CONSENTED: (I) TO PURCHASE ELIGIBLE ARS HELD BY ELIGIBLE CUSTOMERS. (II) TO USE ITS BEST EFFORTS TO PROVIDE INSTITUTIONAL MONEY MANAGERS OPPORTUNITIES TO LIQUIDATE THEIR ELIGIBLE ARS. (III) TO USE ITS BEST EFFORTS TO IDENTIFY AND LOCATE CUSTOMERS WHO PURCHASED ELIGIBLE ARS AT RAYMOND JAMES BUT WHO TRANSFERRED SUCH ELIGIBLE ARS AWAY FROM RAYMOND JAMES PRIOR TO JANUARY 1, 2006. (IV) TO IDENTIFY, AND REPAY EXCESS EXPENSES AND REASONABLE INTEREST THEREON, INCURRED BY ELIGIBLE CUSTOMERS WHO TOOK OUT LOANS FROM RAYMOND JAMES AFTER FEBRUARY 13, 2008 SECURED BY ELIGIBLE ARS THAT WERE NOT SUCCESSFULLY AUCTIONING AT THE TIME THE LOAN WAS TAKEN AND WHO PAID INTEREST ASSOCIATED WITH THE ARS-BASED PORTION OF THOSE LOANS IN EXCESS OF THE TOTAL INTEREST AND DIVIDENDS RECEIVED ON THE ELIGIBLE ARS DURING THE DURATION OF THE LOAN. (V) TO USE ITS BEST EFFORTS TO IDENTIFY ANY CUSTOMER WHO PURCHASED ELIGIBLE ARS ON OR BEFORE FEBRUARY 13, 2008; AND (2) SUBSEQUENTLY SOLD THOSE ELIGIBLE ARS BELOW PAR BETWEEN FEBRUARY 13, 2008 AND THE DATE OF THE ORDER, AND TO REPAY ANY SUCH CUSTOMER THE DIFFERENCE BETWEEN PAR AND THE PRICE AT WHICH SUCH CUSTOMER SOLD OR REDEEMED THE ELIGIBLE ARS, PLUS REASONABLE INTEREST.
Allegations: THIS MATTER ARISES FROM RAYMOND JAMES & ASSOCIATES, INC.'S ("RJA") FAILURE TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES RELATING TO TRADING COMMISSIONS CHARGED TO CLIENTS PARTICIPATING IN THE RAYMOND JAMES CONSULTING SERVICES ("RJCS") SEPARATELY MANAGED ACCOUNT PROGRAM. UNDER THE RJCS PROGRAM, CLIENTS SELECT AN AVAILABLE INVESTMENT MANAGER TO DEVELOP A MODEL PORTFOLIO IN THE CLIENT'S SEPARATELY MANAGED ACCOUNT. RJA CHARGES THE RJCS PROGRAM CLIENTS A NEGOTIABLE "WRAP FEE." IN ADDITION TO THE WRAP FEE, RJA CLIENTS ALSO WERE ASSESSED COMMISSIONS ON CERTAIN EQUITY TRANSACTIONS EXECUTED BY BROKER-DEALERS UNAFFILIATED WITH RJA. ALTHOUGH RJA'S FORM ADV PART 2A BROCHURES DISCLOSE THAT AN INVESTMENT MANAGER MAY DIRECT ITS TRADING TO FIRMS UNAFFILIATED WITH RJA AND THAT ANY COMMISSIONS ASSESSED BY THESE OTHER FIRMS WILL BE IN ADDITION TO THE WRAP FEE CHARGED BY RJA, RJA DID NOT OBTAIN INFORMATION REGARDING THE AMOUNT OF COMMISSIONS CHARGED FOR THESE TRANSACTIONS OR WHETHER THAT AMOUNT WAS MATERIAL. INSTEAD, RJA RECEIVED INFORMATION REGARDING THESE SECURITIES TRANSACTIONS ON A NET BASIS WITH ANY EQUITY COMMISSION COST INCLUDED IN THE PRICE OF THE SECURITY. RJCS PROGRAM CLIENTS ALSO WERE UNAWARE OF THE ACTUAL COMMISSIONS INCURRED FOR TRADING AWAY BECAUSE THEIR ACCOUNT STATEMENTS DISCLOSED ONLY NET PRICES CHARGED PER EQUITY TRADE AND THEY DID NOT RECEIVE INFORMATION ABOUT COMMISSIONS FROM ANY OTHER SOURCE. AS A RESULT, RJA FAILED TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO ALLOW IT TO DETERMINE WHETHER THE RJCS PROGRAM OR PARTICULAR INVESTMENT MANAGERS WERE SUITABLE FOR ITS PROSPECTIVE AND EXISTING RJCS CLIENTS, SUCH AS COLLECTING, TRACKING AND DISCLOSING INFORMATION REGARDING COMMISSIONS ASSOCIATED WITH TRADING AWAY. IN ADDITION, THE FIRM HAD NO POLICIES AND PROCEDURES TO COMMUNICATE TO RJCS PROGRAM CLIENTS THE INVESTMENT MANAGERS' TRADING AWAY PRACTICES AND ASSOCIATED COSTS, AND THEREFORE THOSE CLIENTS DID NOT NECESSARILY HAVE ADEQUATE INFORMATION: (I) TO NEGOTIATE MEANINGFULLY THE WRAP FEE WITH RJA; (II) TO ASSESS THE TOTAL COSTS OF THE RJCS PROGRAM; AND (III) TO DETERMINE WHICH RJCS PROGRAM INVESTMENT MANAGERS TO SELECT. AS A RESULT OF THE CONDUCT DESCRIBED ABOVE, THE FIRM VIOLATED SECTION 206(4) OF THE ADVISERS ACT, AND RULE 206(4)-7 THEREUNDER. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $600,000 AND ORDERED TO COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER. THE FINE WAS PAID ON 10/12/16. Summary: IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, THE FIRM HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. SOLELY FOR THE PURPOSE OF THESE PROCEEDINGS AND ANY OTHER PROCEEDINGS BROUGHT BY OR ON BEHALF OF THE COMMISSION, OR TO WHICH THE COMMISSION IS A PARTY, AND WITHOUT ADMITTING OR DENYING THE FINDINGS HEREIN, EXCEPT AS TO THE COMMISSION'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THESE PROCEEDINGS, WHICH ARE ADMITTED, THE FIRM CONSENTS TO THE ENTRY OF THIS ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING A CEASE-AND-DESIST ORDER. AS A RESULT OF THE CONDUCT DESCRIBED ABOVE, THE FIRM VIOLATED SECTION 206(4) OF THE ADVISERS ACT, AND RULE 206(4)-7 THEREUNDER. IN VIEW OF THE FOREGOING, THE COMMISSION DEEMS IT APPROPRIATE TO IMPOSE THE SANCTIONS AGREED TO IN THE FIRM'S OFFER. ACCORDINGLY, IT IS HEREBY ORDERED THAT PURSUANT TO SECTION 203(K) OF THE ADVISERS ACT, THE FIRM SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, SHALL WITHIN TEN DAYS OF THE ENTRY OF THIS ORDER, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $600,000, AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED THAT RAYMOND JAMES & ASSOCIATES, INC. ("RJA") AND RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. ("RJFSA") VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT"), AND RULE 206(4)-7 THEREUNDER, BY FAILING TO CONDUCT PROMISED SUITABILITY REVIEWS FOR CERTAIN ADVISORY ACCOUNTS, FAILING TO ADOPT POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS CONCERNING THE SUITABILITY OF FEE-BASED ADVISORY ACCOUNTS, AND OVERVALUING CERTAIN ASSETS THAT RESULTED IN CHARGING EXCESS ADVISORY FEES. THE SEC ALSO ALLEGED THAT RJA AND RAYMOND JAMES FINANCIAL SERVICES, INC. ("RJFS") VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") BY FAILING TO HAVE A REASONABLE BASIS FOR RECOMMENDING CERTAIN UNIT INVESTMENT TRUST TRANSACTIONS TO BROKERAGE CUSTOMERS, AND FAILING TO DISCLOSE THE CONFLICT OF INTEREST ASSOCIATED WITH EARNING GREATER COMPENSATION WHEN RECOMMENDING CERTAIN SECURITIES WITHOUT PROVIDING APPLICABLE SALES-LOAD DISCOUNTS TO BROKERAGE CUSTOMERS. Status: Final Sanction Detail: "IN THE ORDER, RJA, RJFS, AND RJFSA WERE CENSURED, REQUIRED TO PAY A CIVIL MONETARY PENALTY OF $3,000,000, WHICH WAS PAID ON 09/25/2019, AND REQUIRED TO PAY DISGORGEMENT OF $11,098,349.01. DISGORGEMENT PAID TO OPEN ACCOUNTS ON 9/9 AND CLOSED ACCOUNTS ON 9/16 Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, RJA, RJFS, AND RJFSA CONSENTED TO THE ENTRY BY THE SEC OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTION 8A OF THE SECURITIES ACT, SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934, AND SECTIONS 203(E) AND 203(K) OF THE ADVISERS ACT, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ("ORDER") (RELEASE NO. 86985, SEPT. 17, 2019). PURSUANT TO THE ORDER RJA AND RJFS MUST CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT; RJA AND RJFSA MUST CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 PROMULGATED THEREUNDER. ALSO PURSUANT TO THE ORDER, RJA, RJFS, AND RJFSA WERE CENSURED AND MUST PAY DISGORGEMENT, PREJUDMENT INTEREST AND A CIVIL MONEY PENALTY TOTALING $15,171,113.81. IN DETERMINING TO ACCEPT RAYMOND JAMES' OFFER OF A SETTLEMENT, THE SEC TOOK INTO CONSIDERATION CERTAIN REMEDIAL EFFORTS PROMPTLY TAKEN BY, AND THE COOPERATION OF, RAYMOND JAMES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT CAUSED CERTAIN NEWLY-RECRUITED REGISTERED REPRESENTATIVES FROM OTHER BROKERAGE FIRMS TO DISCLOSE CUSTOMER NONPUBLIC PERSONAL INFORMATION TO IT IN VIOLATION OF REGULATION S-P UNDER THE SECURITIES EXCHANGE ACT OF 1934. THE FINDINGS STATED THAT THE FIRM USED THE NONPUBLIC PERSONAL INFORMATION PROVIDED TO PRE-POPULATE NEW ACCOUNT FORMS WITH CERTAIN CUSTOMER INFORMATION. THE FIRM, HOWEVER, FAILED TO MAKE ANY DETERMINATION AS TO WHETHER THE RECRUITS, OR THE CURRENT BROKER-DEALERS WITH WHICH THE RECRUITS WERE ASSOCIATED, HAD OBTAINED THE CUSTOMERS' CONSENT TO PROVIDE THE FIRM WITH THE CUSTOMERS' NONPUBLIC PERSONAL INFORMATION OR PROVIDED CUSTOMERS WITH NOTICE OF, AND AN OPPORTUNITY TO OPT-OUT OF, THE DISCLOSURE. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN REASONABLE SUPERVISORY SYSTEMS, INCLUDING WSPS AND TRAINING, TO ENSURE COMPLIANCE WITH REGULATION S-P UNDER THE SECURITIES EXCHANGE ACT OF 1934. THE FIRM FAILED TO PREVENT THE IMPROPER SOLICITATION OF NONPUBLIC PERSONAL INFORMATION FROM RECRUITS, FAILED TO ADEQUATELY TRAIN AND EDUCATE ITS STAFF ON WHAT CONSTITUTED NONPUBLIC PERSONAL INFORMATION AND THE APPROPRIATE CIRCUMSTANCES IN WHICH SUCH INFORMATION COULD BE SHARED, AND WITH RESPECT TO REGISTERED REPRESENTATIVES WHO WERE TRANSITIONING FROM THE FIRM TO ANOTHER BROKER-DEALER. IT WAS UNABLE TO DEMONSTRATE THAT ITS WSPS WERE SYSTEMATICALLY FOLLOWED AND ENFORCED. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $500,000.00, AND REQUIRED TO REVIEW AND REVISE, AS NECESSARY, ITS POLICIES, PROCEDURES, AND INTERNAL CONTROLS. WITHIN 45 BUSINESS DAYS OF THE ISSUANCE OF THE NOTICE OF ACCEPTANCE OF THIS AWC, THE CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER AT THE FIRM SHALL CERTIFY IN WRITING TO FINRA THAT, WITH RESPECT TO THE AREAS DESCRIBED IN THE AWC, (1) THE FIRM HAS ENGAGED IN THE REVIEW DESCRIBED ABOVE; AND (II) AS OF THE DATE OF THIS CERTIFICATION, THE FIRM HAS ESTABLISHED AND IMPLEMENTED POLICIES, PROCEDURES AND INTERNAL CONTROLS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH REGULATION S-P UNDER THE SECURITIES EXCHANGE ACT OF 1934.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, AND ITS AMLCO, FAILED TO ESTABLISH AND IMPLEMENT POLICIES AND PROCEDURES TO REASONABLY DETECT AND CAUSE THE REPORTING OF SUSPICIOUS TRANSACTIONS. THE FINDINGS STATED THAT AS THE FIRM'S AMLCO, THE REPRESENTATIVE WAS RESPONSIBLE FOR ENSURING THAT THE FIRM'S AML PROGRAM WAS ADEQUATELY TAILORED TO THE FIRM'S BUSINESS AND FOR APPROPRIATELY MONITORING, DETECTING AND REPORTING SUSPICIOUS ACTIVITY. DESPITE THE SEPARATE AML DEPARTMENTS AND PROGRAMS, THE FIRM AS A CLEARING FIRM, ITS AMLCO, AND THE FIRM FOR WHICH THE FIRM SERVED AS CLEARING FIRM CREATED A SYSTEM UNDER WHICH THIS FIRM HEAVILY RELIED UPON ITS CLEARING FIRM TO PROVIDE CERTAIN SYSTEMS AND TOOLS AS PART OF THE FIRM'S AML PROGRAM. THE FIRM FAILED TO COMMIT ADEQUATE RESOURCES TO THE FIRM'S AML PROGRAMS. THE FIRM'S STAFFING OF ITS AML DEPARTMENTS WAS INADEQUATE IN LIGHT OF THE EXTENSIVE RESPONSIBILITIES ASSIGNED TO THE FEW INDIVIDUALS, INCLUDING THE LABOR-INTENSIVE MANUAL REVIEWS, PARTICULARLY IN LIGHT OF THE FIRM'S GROWTH. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND IMPLEMENT AML PROCEDURES AND SYSTEMS REASONABLY EXPECTED TO DETECT SUSPICIOUS ACTIVITY. THE FIRM FAILED TO ESTABLISH REASONABLE WRITTEN PROCEDURES FOR CERTAIN ASPECTS OF THE FIRM'S AML PROGRAMS. THE FIRM FAILED TO ESTABLISH REASONABLE AML SYSTEMS TAILORED TO ITS BUSINESS. THE AML PROCEDURES THAT WERE IN PLACE REQUIRED THE FIRM TO REVIEW ACCOUNTS FOR POTENTIAL SUSPICIOUS ACTIVITY. THE FIRM, HOWEVER, FAILED TO DEVELOP AND IMPLEMENT SURVEILLANCE REPORTS TAILORED TO DETECT CERTAIN TYPES OF POTENTIALLY SUSPICIOUS TRANSACTIONS. FOR EXAMPLE, THE FIRM HAD NO WRITTEN PROCEDURES REQUIRING REVIEW OF, OR SURVEILLANCE REPORTS MONITORING FOR, THE FOLLOWING HIGH-RISK ACTIVITIES: TRANSFERS OF FUNDS TO UNRELATED ACCOUNTS WITHOUT ANY APPARENT BUSINESS PURPOSE; JOURNALING SECURITIES AND CASH BETWEEN UNRELATED ACCOUNTS FOR NO APPARENT BUSINESS PURPOSE, PARTICULARLY INTERNAL TRANSFERS OF CASH FROM CUSTOMER ACCOUNTS TO EMPLOYEE OR EMPLOYEE-RELATED ACCOUNTS; AND MOVEMENT OF FUNDS, BY WIRE TRANSFER OR OTHERWISE, FROM MULTIPLE ACCOUNTS TO THE SAME THIRD PARTY ACCOUNT. THE FIRM'S SURVEILLANCE REPORTS FAILED TO REASONABLY MONITOR FOR SUSPICIOUS ACTIVITY. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO REASONABLY INVESTIGATE RED FLAGS. AS A RESULT OF THE FIRM'S AML PROCEDURES, THE FIRM HAD GAPS IN ITS SURVEILLANCE OF ACTIVITY FOR AML RED FLAGS. EVEN WHEN THE EXCEPTION REPORTS OR OTHER SURVEILLANCE IDENTIFIED RED FLAGS, THE FIRM FAILED TO REASONABLY INVESTIGATE MANY INSTANCES IN ORDER TO DETERMINE WHETHER A SAR SHOULD BE FILED. ALSO, ALTHOUGH THE FIRM AML ANALYSTS IDENTIFIED SOME RED FLAGS AND OPENED INVESTIGATIONS, THE INVESTIGATIONS WERE DEFICIENT. FINRA FOUND THAT THE FIRM FAILED TO REASONABLY ENFORCE ITS DUE DILIGENCE PROCEDURES FOR CERTAIN CORRESPONDENT ACCOUNTS OF CERTAIN FOREIGN FINANCIAL INSTITUTIONS (FFIS). MOREOVER, THE FIRM ALSO HAD NO RELIABLE PERIODIC REVIEW PROCESS IN PLACE TO ENSURE THAT THE ACTIVITY IN THE FFIS' ACCOUNTS WAS CONSISTENT WITH REPRESENTATIONS MADE BY FFIS AT THE TIME OF ACCOUNT OPENING. THIS FAILURE RESULTED IN THE FIRM PERFORMING NO PERIODIC RISK REVIEWS OF A PORTUGUESE FFI ACCOUNT, EVEN THOUGH THE FFI WAS ASSIGNED A HIGH-RISK RATING BY THE FIRM. FINRA ALSO FOUND THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH SECTION 5 OF THE SECURITIES ACT THROUGH INCOMPLETE RISK REVIEWS, DUE DILIGENCE FAILURES, AND FAILURES TO IMPLEMENT EXISTING PROCEDURES RELEVANT TO LOW PRICED SECURITIES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $8,000,000 AND REQUIRED TO CONDUCT A COMPREHENSIVE REVIEW OF THE ADEQUACY OF ITS AML AND SUPERVISORY POLICIES, SYSTEMS, PROCEDURES, AND TRAINING. AT THE CONCLUSION OF THE REVIEW, WHICH SHALL BE NO MORE THAN 180 DAYS AFTER THE DATE OF THE NOTICE OF ACCEPTANCE OF THIS AWC, THE FIRM SHALL CERTIFY THAT ITS PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA RULE 3310. THE CERTIFICATION SHALL BE PROVIDED IN A WRITTEN LETTER TO FINRA. THE LETTER SHALL BE ACCOMPANIED BY A WRITTEN REPORT, AT A MINIMUM, STATING (I) THE ADEQUACY OF THE FIRM'S POLICIES, SYSTEMS, PROCEDURES AND TRAINING RELATING TO AML AND SUPERVISION; (II) A DESCRIPTION OF THE REVIEW PERFORMED AND THE CONCLUSIONS REACHED; AND (III) RECOMMENDATIONS FOR MODIFICATIONS AND ADDITIONS TO THE FIRM'S POLICIES, SYSTEMS, PROCEDURES AND TRAINING. THE $8,000,000 FINE WAS PAID ON 5/26/16.
Allegations: DURING THE REVIEW PERIOD (2/20/14 - 3/26/14)RAYMOND JAMES EXECUTED 4 QUALIFIED CONTINGENT CROSS TRANSACTIONS WITH SOLICITED SIZE OF LESS THAN 1000 CONTRACTS. Status: Final Sanction Detail: THE FIRM WAS FINED $5000 (PAID ON 6/2/15) - NO AMOUNT WAS WAIVED. Summary: DURING THE REVIEW PERIOD (2/20/14 - 3/26/14)RAYMOND JAMES EXECUTED 4 QUALIFIED CONTINGENT CROSS TRANSACTIONS WITH SOLICITED SIZE OF LESS THAN 1000 CONTRACTS. THERE WAS A MONETARY FINE OF $5,000 (PAID ON 6/2/15) - NO AMOUNT WAS WAIVED.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT ACCEPTED AND HELD CUSTOMER ORDERS TRADED FOR ITS OWN ACCOUNT AT PRICES THAT WOULD HAVE SATISFIED THE CUSTOMER ORDERS, AND FAILED TO EXECUTE OR IMMEDIATELY EXECUTE THE CUSTOMER ORDERS IN OVER-THE COUNTER (OTC) SECURITIES UP TO THE SIZE AND AT THE SAME PRICE AT WHICH IT TRADED FOR ITS OWN ACCOUNT OR AT A BETTER PRICE. THE FINDINGS STATED THAT IN SEVERAL INSTANCES THE FIRM FAILED TO MAKE EVERY EFFORT TO CROSS A MARKETABLE CUSTOMER ORDER WITH ANOTHER ORDER RECEIVED BY THE FIRM ON THE OPPOSITE SIDE OF THE MARKET. FURTHER, ON MULTIPLE OCCASIONS INVOLVING EITHER A TRADING AHEAD AND/OR CROSSING FAILURE, THE FIRM FAILED TO EXECUTE A MARKETABLE CUSTOMER ORDER FULLY AND PROMPTLY. Status: Final Sanction Detail: THE FIRM WAS FINED $5000.00, AND ORDERED TO PAY $601.83, PLUS INTEREST IN RESTITUTION TO CUSTOMERS. THE FINE WAS PAID ON 10/4/16.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT LACKED A REASONABLE SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES (WSPS), BY NOT, AMONG OTHER THINGS, INCLUDING ONGOING REVIEWS OF DAILY TRADE BLOTTERS OF ITS CONVERTIBLE BONDS DESK FOR SPECIFIC TRADING PATTERNS. THE FINDINGS STATED THAT THE FIRM'S CONVERTIBLE BONDS DESK, IN 99 INSTANCES, SOLD BONDS TO ANOTHER BROKER-DEALER IN A PRINCIPAL CAPACITY AND CONCURRENTLY (WITHIN A FEW MINUTES OR LESS) EITHER PURCHASED THE SAME AMOUNT OF BONDS FROM THE BROKER-DEALER IN AN AGENCY CAPACITY FOR A FIRM ADVISORY CLIENT OR CLIENTS, OR PURCHASED THE SAME AMOUNT OF BONDS FROM THE BROKER-DEALER IN A PRINCIPAL CAPACITY FOR AN ADVISORY CLIENT OR ADVISORY CLIENTS OF THE FIRM'S AFFILIATE. SINCE THE FIRM'S CONVERTIBLE BONDS WERE OFFERED ON A CONDITIONAL BASIS, ITS CONVERTIBLE BONDS DESK NEEDED TO MANUALLY ACCEPT ANY ATTEMPT BY A THIRD PARTY TO LIFT ITS OFFER OFF THE ALTERNATIVE TRADING SYSTEM USED. ACCORDINGLY, THE CONVERTIBLE BONDS DESK KNEW THAT THERE WAS AN ATTEMPT TO LIFT THE FIRM'S INVENTORY FOR THE EXACT SAME QUANTITY OF THE SAME CONVERTIBLE BOND THAT THE FIRM WAS CONCURRENTLY LOOKING TO BUY SUCH BONDS FOR AN ADVISORY CLIENT. WHILE THE FIRM'S WSPS PERTAINING TO MANAGED ACCOUNTS GENERALLY PROHIBITED PRINCIPAL TRADES WITH ADVISORY CLIENTS (ABSENT AN EXCEPTION) AND ESTABLISHED TRADING SYSTEM FUNCTIONALITY LIMITATIONS TO PRECLUDE PRINCIPAL FILLS DIRECTLY FOR ADVISORY CLIENTS, THE FIRM'S SUPERVISORY OVERSIGHT OVER ITS CONVERTIBLE BONDS TRADING DID NOT INCLUDE, AMONG OTHER THINGS, ONGOING REVIEWS OF DAILY TRADE BLOTTERS THAT MIGHT DETECT POTENTIALLY VIOLATIVE CONDUCT SUCH AS THE SPECIFIC TRADING PATTERN AT ISSUE. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $180,000 AND UNDERTAKES TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES AND ADDRESS TRAINING OF ASSOCIATED PERSONS. THE FINE WAS PAID ON MARCH 24, 2017.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT HAD IMPROPERLY USED THE INTERNATIONAL SECURITIES EXCHANGE'S (ISE) SOLICITED ORDER MECHANISM (SOM) AND FAILED TO ADEQUATELY SUPERVISE IN CONNECTION WITH ITS USE. THE FINDINGS STATED THAT SPECIFICALLY, THE FIRM IMPROPERLY USED THE SOM TO CROSS ORDERS THAT DID NOT INVOLVE SOLICITED CONTRA ORDERS ON 23 OCCASIONS DURING THE REVIEW PERIOD. THE FIRM FAILED TO HAVE ANY SUPERVISORY SYSTEMS AND CONTROLS IN PLACE, INCLUDING WRITTEN SUPERVISORY PROCEDURES AND SEPARATE SYSTEMS OF FOLLOW-UP AND REVIEW, WHICH WERE DESIGNED TO ENSURE COMPLIANCE WITH ISE RULES RELATED TO THE PROPER USE OF THE SOM. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $20,000.00. Summary: ASSOCIATED MATTER INCLUDES ISE FILE NOS. 2015-265, 2016-036, AND 2016-247.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IN VIOLATION OF SEC RULE 15C3-5 AND NYSE RULE 3110(B)(1), THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE FINANCIAL AND REGULATORY RISKS OF ITS BUSINESS ACTIVITY. THE FINDINGS STATED THAT THIS MATTER CONCERNS THE ESTABLISHMENT AND IMPLEMENTATION OF CREDIT LIMITS FOR THE ORDERS OF INSTITUTIONAL COUNTERPARTIES THAT WERE EFFECTED ON AN AGENCY BASIS (THE "CUSTOMER ORDERS"). THE FIRM DID NOT PROVIDE THESE CUSTOMERS DIRECT MARKET ACCESS, AND FIRM TRADERS MANUALLY ENTERED THE CUSTOMER ORDERS INTO THE NYSE SUPERDOT. THE FIRM DID NOT ALLOW CUSTOMERS TO ENTER ORDERS INTO NYSE SUPERDOT. THE FIRM FAILED TO SATISFY THE MARKET ACCESS RULE CREDIT THRESHOLD REQUIREMENTS WITH RESPECT TO THE CUSTOMER ORDERS BY ADOPTING AN UNREASONABLE METHODOLOGY FOR DETERMINING CUSTOMER CREDIT THRESHOLDS AND FAILING TO REASONABLY IMPLEMENT ITS CUSTOMER CREDIT THRESHOLDS. THE FIRM'S IMPLEMENTATION OF ITS PRE-TRADE CREDIT THRESHOLDS WAS ALSO UNREASONABLE. THE FIRM FAILED TO UNDERTAKE THE ANALYSIS NECESSARY FOR IT TO DETERMINE AN APPROPRIATE RISK RATING AND CORRESPONDING CREDIT LIMIT FOR CERTAIN FIRM CUSTOMERS. THE FIRM FAILED TO IMPLEMENT AN AUTOMATED PRE-TRADE BLOCK FOR CUSTOMERS NOTWITHSTANDING THAT THE FIRM HAD ASSIGNED SUCH CUSTOMERS A RISK RATING AND CREDIT LIMIT. THE FIRM ALSO FAILED ON CERTAIN INSTANCES TO CORRECTLY ENTER AUTOMATED PRE-TRADE CREDIT THRESHOLDS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO SATISFY BROKER-DEALERS REQUIREMENTS BY FAILING TO IMPLEMENT CERTAIN HARD LIMIT ERRONEOUS ORDER CONTROLS BASED ON THE INDIVIDUAL TRADING CHARACTERISTICS OF THE RELEVANT SECURITY, SHARE QUANTITY, OR A REASONABLE NOTIONAL QUANTITY, AND FAILING TO REASONABLY SUPERVISE THE OVERRIDING OF SOFT LIMIT ERRONEOUS ORDER CONTROLS. THE FIRM USED CERTAIN SOFT LIMITS. HOWEVER, THE FIRM FAILED TO TRAIN OR SUPERVISE ITS TRADERS WITH RESPECT TO THE OVERRIDING OF SUCH LIMITS, AND FAILED TO MAINTAIN ANY RECORDS OF WHEN FIRM TRADERS BYPASSED SUCH SOFT BLOCKS. THUS, THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO REGULARLY REVIEW THE EFFECTIVENESS OF ITS RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES. THE FIRM CONSIDERED ONLY WHETHER ITS CONTROLS WERE FUNCTIONING, NOT WHETHER THEY WERE APPROPRIATE OR EFFECTIVE GIVEN THE FIRM'S BUSINESS. IN ADDITION, THE FIRM'S MARKET ACCESS RULE REVIEWS FAILED TO INCLUDE AN ANALYSIS OF CUSTOMER CREDIT LIMITS OR AUTOMATED PRE-TRADE BLOCKS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $400,000.00 PAID NOVEMBER 30, 2018. Summary: THE ACTION WAS SETTLED PURSUANT TO AN ACCEPTANCE, WAIVER AND CONSENT WITH THE NYSE FINALIZED ON NOVEMBER 16, 2018. PURSUANT TO THE AWC, THE FIRM CONSENTED TO THE IMPOSITION OF A CENSURE AND FINE IN THE AMOUNT OF $400,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO PHLX AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION IN VIOLATION OF RULE 17A-3(A)(6)(I) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED (THE "EXCHANGE ACT"), AND PHLX RULE 760. THE FIRM ALSO VIOLATED PHLX RULE 748(H) BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE WSPS AND A SYSTEM OF SUPERVISION THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH, AND TO DETECT AND PREVENT VIOLATIONS OF, THE APPLICABLE FEDERAL SECURITIES LAWS AND PHLX RULES THAT REQUIRE THE ACCURATE DOCUMENTATION OF ORDER RECEIPT AND TRANSMISSION TIMES. ADDITIONALLY, THE FIRM ALSO VIOLATED PHLX RULE 748(H) BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE A REASONABLE SYSTEM OF SUPERVISION BY FAILING TO REVIEW THE ELECTRONIC COMMUNICATIONS OF FOUR FIRM EMPLOYEES WHO WERE RESPONSIBLE FOR TAKING RETAIL ORDERS RECEIVED FROM THE FIRM'S FINANCIAL ADVISERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $95,000, OF WHICH $24,166.67, SHALL BE PAID TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED ISE RULE 401 BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE WSPS AND A SYSTEM OF SUPERVISION THAT WERE REASONABLY DESIGNED TO ASSURE COMPLIANCE WITH THE APPLICABLE FEDERAL SECURITIES LAWS AND ISE RULES THAT REQUIRE THE ACCURATE DOCUMENTATION OF ORDER RECEIPT AND TRANSMISSION TIMES. ADDITIONALLY, THE FIRM VIOLATED ISE RULE 401 BY FAILING TO ESTABLISH, MAINTAIN AND ENFORCE A REASONABLE SYSTEM OF SUPERVISION BY FAILING TO REVIEW THE ELECTRONIC COMMUNICATIONS OF CERTAIN EMPLOYEES WHO WERE RESPONSIBLE FOR TAKING RETAIL ORDERS RECEIVED FROM THE FIRM'S FINANCIAL ADVISERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $95,000, OF WHICH $7,500 SHALL BE PAID TO THE EXCHANGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT AND AN AFFILIATED COMPANY FAILED TO HAVE A QUALIFIED AND REGISTERED PRINCIPAL AUTHORIZE CHANGES TO THE ACCOUNT NAME OR DESIGNATION ON MORE THAN 7,500 EQUITY ORDERS. THE MATTER ORIGINATED WHEN THE FIRM REPORTED ON A FINRA RULE 4530 FILING THAT IT FAILED TO UNDERTAKE THE PRINCIPAL REVIEW REQUIRED BY FINRA RULE 4515. THE FIRMS HAVE SINCE DESIGNATED REGISTERED PRINCIPALS ON THE TRADE DESKS TO REVIEW AND AUTHORIZE CHANGES TO ACCOUNT NAME AND DESIGNATION ON ORDERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $300,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT SENT CUSTOMERS INACCURATE TRADE CONFIRMATIONS. THE FINDINGS STATED THAT THE FIRM SENT ITS CUSTOMERS AT LEAST 1,850,000 CONFIRMATIONS THAT INACCURATELY DISCLOSED THE FIRM'S EXECUTION CAPACITY OR WHETHER THE TRADE WAS EXECUTED AT AN AVERAGE PRICE, OR INACCURATELY DISCLOSED OR OMITTED ITS STATUS AS A MARKET MAKER IN THE SECURITY. FIRST, WHEN THE FIRM ACTED IN MORE THAN ONE CAPACITY IN EXECUTING ORDERS, IT DID NOT PROVIDE EACH SPECIFIC CAPACITY IN WHICH THE FIRM ACTED ON THE CUSTOMER CONFIRMATIONS. INSTEAD, THE FIRM DISCLOSED THAT IT ACTED IN A MIXED CAPACITY AND THAT THE BREAKDOWN OF EXECUTION CAPACITY IS AVAILABLE UPON REQUEST. THE FIRM'S SYSTEM PREVENTED THE FIRM FROM POPULATING THE SPECIFIC CAPACITIES IN WHICH THE FIRM ACTED IF THE FIRM ACTED IN MORE THAN ONE CAPACITY ON A TRANSACTION. THIS ISSUE AFFECTED APPROXIMATELY 750,000 CONFIRMATIONS. SECOND, DUE TO A PROGRAMING ERROR, THE FIRM SENT CUSTOMERS TRADE CONFIRMATIONS THAT INCORRECTLY DISCLOSED TRANSACTIONS AS AVERAGE PRICE EXECUTIONS WHEN THE FIRM FILLED THE ORDER IN A SINGLE EXECUTION. A REVIEW OF TWO OF THE FIRM'S SIX ORDER MANAGEMENT SYSTEMS REVEALED THAT THE FIRM INCORRECTLY IDENTIFIED SINGLE EXECUTIONS AS AVERAGE PRICE EXECUTIONS ON APPROXIMATELY 1,050,000 CONFIRMATIONS ISSUED TO CUSTOMERS. THIRD, THE FIRM FAILED TO DISCLOSE OR INACCURATELY DISCLOSED THAT IT WAS A MARKET MAKER ON APPROXIMATELY 52,350 CONFIRMATIONS SENT TO CUSTOMERS. THIS ISSUE STEMMED FROM A PROGRAMING ERROR THAT IMPACTED THE INPUT THAT IDENTIFIED THE ACCURATE MARKET MAKER STATUS ON TRADE CONFIRMATIONS. THE FIRM HAS SINCE UPDATED ITS SYSTEMS TO SPECIFY EACH CAPACITY IN WHICH THE FIRM ACTED AND PROPERLY IDENTIFY WHETHER TRANSACTIONS WERE AVERAGE PRICE EXECUTIONS, AS WELL AS CORRECTED THE PROGRAMMING ERROR. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $300,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRMS CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THEY HAVE FAILED TO REASONABLY SUPERVISE THE FIRMS' REPORTING, AND TIMELY REPORTING, OF CUSTOMER COMPLAINTS VIA FINRA RULE 4530 FILINGS AND AMENDMENTS TO REGISTERED REPRESENTATIVES' FORMS U4 AND US. THE FINDINGS ALSO STATED THAT THE FIRMS FALLED TO REASONABLY SUPERVISE AT LEAST 4.7 MILLION MUTUAL FUND PURCHASES MADE DIRECTLY WITH MUTUAL FUND COMPANIES ON BEHALF OF FIRM CUSTOMERS. THE FIRMS INADVERTENTLY EMPLOYED A DATA FILTER THAT BLOCKED OVER A MILLION PURCHASES THAT WERE MADE PURSUANT TO PERIODIC INVESTMENT PLANS FROM BEING INGESTED INTO ITS AUTOMATED SURVEILLANCE SYSTEM. UPON DISCOVERING THE DATA FILTER, THE FIRMS DEACTIVATED IT. IN ADDITION, THE FIRMS FAILED TO REVIEW THROUGH ITS AUTOMATED SURVEILLANCE SYSTEM OVER A MILLION DIRECT BUSINESS TRANSACTIONS THAT REGISTERED REPRESENTATIVES FAILED TO TIMELY MATCH TO A FIRM ACCOUNT. THE FIRMS CONDUCTED A COMPREHENSIVE RETROSPECTIVE REVIEW OF DIRECT BUSINESS TRANSACTIONS THAT THEY FAILED TO SUPERVISE AND DETERMINED THAT CUSTOMERS INCURRED APPROXIMATELY $111,724 IN EXCESSIVE SALES CHARGES AND COMMISSIONS IN CONNECTION WITH THESE TRANSACTIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $525,000, ORDERED TO PAY $26,169.04, PLUS INTEREST, IN RESTITUTION TO ELIGIBLE CUSTOMERS, AND CERTIFY THAT THEY HAVE REMEDIATED THE ISSUES IDENTIFIED IN THE AWC.
Allegations: THE FINDINGS INCLUDE A VIOLATION OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3(A)(6)(I) THEREUNDER, NYSE AMERICAN RULE 324, AND NYSE AMERICAN RULE 956NY FOR FAILURE BY THE FIRM TO MAINTAIN ACCURATE AND COMPLETE RECORDS FOR OVER 5000 OPTIONS ORDERS MANUALLY HANDLED BY THE FIRM AND ROUTED TO NYSE FOR EXECUTION. SPECIFICALLY, NYSE FOUND THAT THE FIRM'S TRADE MEMORANDA: (1) CONTAINED INACCURATE ORDER RECEIPT TIME, (2) FAILED TO INDICATE WHETHER AN ORDER IS A MARKET ORDER, AND (3) FAILED TO RECORD MODIFICATIONS TO PRICE AND QUANTITY. THE STAFF ALSO FOUND THERE TO BE VIOLATIONS OF NYSE AMERICAN RULE 320(E) FOR FAILURE TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS BOOKS AND RECORDS OBLIGATIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $200,000.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO ILLINOIS AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN ILLINOIS CUSTOMERS IN AN AMOUNT OF NO LESS THAN $381,578.34. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF ILLINOIS SECURITIES ACT SECTION 8.E(1)(E)(IV).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO MONTANA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN MONTANA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $37,027.99. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF MONTANA CODE ANN. § 30-10-201(13)(K).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO WEST VIRGINIA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN WEST VIRGINIA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $41,361.14. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF WEST VIRGINIA CODE SECTION 32-2-204(A)(J).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO OKLAHOMA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN OKLAHOMA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $77,951.99. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF OKLAHOMA SECTION 1-411(D)(9).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO SOUTH DAKOTA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN SOUTH DAKOTA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $29,136.11. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF SDCL 47-31B-412(D)(9).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO PUERTO RICO AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN PUERTO RICO CUSTOMERS IN AN AMOUNT OF NO LESS THAN $2,388.73. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF PRUSA ARTICLE 204(A)(2)(J) AND REGULATION 6078, ARTICLE 28, SECTION 28.2.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO NEW JERSEY AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN NEW JERSEY CUSTOMERS IN AN AMOUNT OF NO LESS THAN $241,814.73. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF N.J.S.A. 49:3-58(A)(2)(XI).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO DISTRICT OF COLUMBIA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN D.C. CUSTOMERS IN AN AMOUNT OF NO LESS THAN $16,292.51. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF D.C. OFFICIAL CODE SEC.31-5602.07(A)(12).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO VERMONT AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN VERMONT CUSTOMERS IN AN AMOUNT OF NO LESS THAN $28,198.46. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF V.S.R. SEC. 2-2(B)(2).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO NEW HAMPSHIRE AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATINEW HAMPSHIRE CUSTOMERS IN AN AMOUNT OF NO LESS THAN $39,303.73. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF RSA 421-B:4-412(D)(9).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO DELAWARE AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN DELAWARE CUSTOMERS IN AN AMOUNT OF NO LESS THAN $26,611.99. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF DELAWARE SECURITIES ACT 73-304(A)(10).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO TEXAS AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN TEXAS CUSTOMERS IN AN AMOUNT OF NO LESS THAN $726,447.46. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF TEXAS BOARD RULE SECTION 115.10.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO MINNESOTA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN MINNESOTA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $117,577.70. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF MINN. STAT. § 80A.67(D)(9).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO CONNECTICUT AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN CONNECTICUT CUSTOMERS IN AN AMOUNT OF NO LESS THAN $129,145.74. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF SECTION 36B-31-6F(B)OF CT REGULATIONS.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO WASHINGTON AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN WASHINGTON CUSTOMERS IN AN AMOUNT OF NO LESS THAN $112,506.29. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF RCW 21.20.110(1)(J).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO MAINE AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN MAINE CUSTOMERS IN AN AMOUNT OF NO LESS THAN $58,042.65. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF MAINE UNIFORM SECURITIES ACT AND MAINE OFFICE OF SECURITIES RULES.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO NEBRASKA AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN NEBRASKA CUSTOMERS IN AN AMOUNT OF NO LESS THAN $68,675.63. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF NEB. REV. STAT. § 8-1103(9)(A)(XI) (REISSUE 2022).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO OREGON AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN OREGON CUSTOMERS IN AN AMOUNT OF NO LESS THAN $109,349.94. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF ORS 59.205(13), AND OAR 441-205-0210(1).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO RHODE ISLAND AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN RHODE ISLAND CUSTOMERS IN AN AMOUNT OF NO LESS THAN $12,954.52. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF RI GEN. LAWS SECTION 7-11-212(B)(11).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO TENNESSEE AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN TENNESSEE CUSTOMERS IN AN AMOUNT OF NO LESS THAN $336,118.70. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF TENN. CODE ANN. SECTION 48-1-112(A)(2)(J).
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO NEW MEXICO AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN NEW MEXICO CUSTOMERS IN AN AMOUNT OF NO LESS THAN $53,951.01. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF NMSA 1978, §58-13C-412(C)(9).
Allegations: THE STATE ALLEGED THAT RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO MISSOURI AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN MISSOURI CUSTOMERS IN AN AMOUNT OF NO LESS THAN $138,887.37. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF 15 CSR 30-51.171(2)(A-C).
Allegations: THE STATE ALLEGED RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $75,000 TO KANSAS AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN KANSAS CUSTOMERS IN AN AMOUNT OF NO LESS THAN $47,189.70. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,383,167.46. Summary: THE FIRM NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF K.A.R. 81-3-7(A)(4) AND K.S.A 17-12A412(D)(9).
Allegations: N/A Status: Final Sanction Detail: 03/09/2017 - $10,000 ADMINISTRATIVE FINE PAID IN FULL. Summary: ON MARCH 9, 2017, THE OFFICE OF FINANCIAL REGULATION ENTERED A FINAL ORDER AGAINST RAYMOND JAMES & ASSOCIATES, INC., ADOPTING THE STIPULATION AND CONSENT AGREEMENT IN THE MATTER OF RAYMOND JAMES & ASSOCIATES, INC. RAYMOND JAMES & ASSOCIATES, INC., ACCEPTS AND CONSENTS, WITHOUT ADMITTING OR DENYING THE FINDINGS BY THE OFFICE. THE FINDINGS BY THE OFFICE OF FINANCIAL REGULATION INCLUDE A FAILURE TO EXAMINE A NON-REGISTERED RESIDENCE LOCATION ("NRL"), CREATE AND MAINTAIN WSPS FOR SUCH NRL, AND MAINTAIN WRITTEN REPORTS OF ITS INSPECTION AND REVIEW OF ITS NRLS.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED THAT RAYMOND JAMES & ASSOCIATES, INC. ("RJA") VIOLATED SECTION 15(B)(4)(E) OF THE EXCHANGE ACT BY FAILING TO SUPERVISE REGISTERED REPRESENTATIVE FRED STOW IN THAT RJA FAILED TO DEVELOP POLICIES AND PROCEDURES REASONABLY DESIGNED TO DETECT AND PREVENT STOW'S VIOLATIONS OF SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5 THEREUNDER. Status: Final Sanction Detail: THE FIRM IS CENSURED AND SHALL PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000 TO THE SECURITIES AND EXCHANGE COMMISSION FOR TRANSFER TO THE GENERAL FUND OF THE UNITED STATES TREASURY. FINE PAID IN FULL ON 10/4/2022.
Allegations: FAILURE TO SUPERVISE 2 SOUTH CAROLINA AGENTS. Status: Final Sanction Detail: FINE PAID IN FULL ON 10/14/2022.
Allegations: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. CHARGED UNREASONABLE COMMISSIONS ON LOW-PRINCIPAL EQUITY TRANSACTIONS AND DID NOT REASONABLY SURVEIL THESE TRANSACTIONS TO ENSURE THAT RESPONDENTS CHARGED CUSTOMERS A REASONABLE COMMISSION AND FEE. Status: Final Sanction Detail: RAYMOND JAMES & ASSOCIATES, INC. AND RAYMOND JAMES FINANCIAL SERVICES, INC. WERE ORDERED TO PAY AN ADMINISTRATIVE FINE OF $100,000 TO MASSACHUSETTS AND, IN TOTAL, $4,200,000 TO PARTICIPATING STATES. IN ADDITION TO THE ADMINISTRATIVE FINE, RESTITUTION PAYMENTS TO CERTAIN MASSACHUSETTS CUSTOMERS IN AN AMOUNT OF NO LESS THAN $185,000. FURTHER, TOTAL RESTITUTION TO PARTICIPATING STATES IN AN AMOUNT OF NO LESS THAN $8,250,000. Summary: RAYMOND JAMES & ASSOCIATES, INC. NEITHER ADMITTED NOR DENIED THE STATEMENT OF FACTS AND VIOLATION OF G.L. C. 110A, SEC. 204(A)(2)(J).
Allegations: FROM 12/1/2018 TO 6/23/2020 (RELEVANT PERIOD), RESPONDENT ALLEGEDLY FAILED TO SUPERVISE AT LEAST ONE OF ITS FORMER BROKER-DEALER AGENTS WHO ENGAGED IN DISCRETIONARY TRADING IN AT LEAST FIVE NON-DISCRETIONARY CUSTOMER ACCOUNTS WITHOUT OBTAINING PRIOR CUSTOMER AUTHORIZATION. RESPONDENT IGNORED RED FLAGS AND FAILED TO REASONABLY TAKE CORRECTIVE ACTION AGAINST AGENT. RESPONDENT'S WRITTEN SUPERVISORY PROCEDURES IN EFFECT DURING THE RELEVANT PERIOD DID NOT ADEQUATELY COMMUNICATE TO SUPERVISORY STAFF STEPS TO BE TAKEN WHEN POTENTIAL REGULATORY ISSUES WERE IDENTIFIED. Status: Final Sanction Detail: RESPONDENT SHALL PAY $150,000 TO THE MISSOURI SECRETARY OF STATE'S INVESTOR EDUCATION AND PROTECTION FUND. PAYMENT WAS PAID IN FULL ON 8/2/2023, UPON EXECUTION OF THE ORDER. Summary: RESPONDENT SHALL PAY $150,000 TO THE MISSOURI SECRETARY OF STATE'S INVESTOR EDUCATION AND PROTECTION FUND. RESPONDENT, ITS AGENTS AND EMPLOYEES, AND ALL OTHER PERSONS PARTICIPATING IN THE ABOVE-DESCRIBED ALLEGED VIOLATIONS WITH KNOWLEDGE OF THIS ORDER, MUST CEASE AND DESIST FROM ENGAGING IN VIOLATIONS OF 15 CSR 30-51.171 AND CONDUCT AND ACTIVITIES SUBJECT TO DISCIPLINE UNDER SECTIONS 409.4-412(C) AND 409.4-412(D)(9).
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLED ADMINISTRATIVE ORDER IN CONNECTION WITH ITS OFF-CHANNEL COMMUNICATIONS INITIATIVE, FINDING THAT RAYMOND JAMES & ASSOCIATES, INC. ("RAYMOND JAMES") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO RAYMOND JAMES'S BROKER-DEALER BUSINESS, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER, AS WELL AS COMMUNICATIONS RELATED TO, AMONG OTHER THINGS, RECOMMENDATIONS MADE OR PROPOSED TO BE MADE AND ADVICE GIVEN OR PROPOSED TO BE GIVEN WITH RESPECT TO RAYMOND JAMES'S INVESTMENT ADVISORY BUSINESS, IN WILLFUL VIOLATION OF SECTION 204 OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 204-2(A)(7) THEREUNDER; AND (2) REASONABLY SUPERVISE ITS PERSONNEL WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS EMPLOYEES' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER; AND WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT, AND 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: RAYMOND JAMES & ASSOCIATES, INC. ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED ITS CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $50,000,000, WHICH WAS PAID IN FULL AND TIMELY ON AUGUST 26, 2024, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO THE RETENTION OF ELECTRONIC COMMUNICATIONS, INCLUDING RETENTION OF AN INDEPENDENT COMPLIANCE CONSULTANT.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION (THE "COMMISSION") ISSUED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, SECURITIES ACT RELEASE NO. 9838 DATED JUNE 18, 2015 ("ORDER") CAPTIONED "IN THE MATTER OF RAYMOND JAMES & ASSOCIATES, INC., RESPONDENT" IN RESPONSE TO AN OFFER OF SETTLEMENT ("OFFER") SUBMITTED BY RAYMOND JAMES & ASSOCIATES, INC. ("RESPONDENT"). RESPONDENT SUBMITTED THE OFFER PURSUANT TO THE TERMS SET FORTH IN THE DIVISION OF ENFORCEMENT'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATIVE INITIATIVE ("MCDC"). RESPONDENT NEITHER ADMITTED NOR DENIED THE FINDINGS CONTAINED IN THE ORDER (OTHER THAN THE FINDINGS PERTAINING TO THE COMMISSION'S JURISDICTION, WHICH WERE ADMITTED). INCLUDED IN THE ORDER WERE FINDINGS WITH RESPECT TO THE REQUIREMENT OF COMMISSION RULE 15C2-12 THAT ISSUERS OR OBLIGATED PERSONS DISCLOSE IN OFFICIAL STATEMENTS THEIR MATERIAL NONCOMPLIANCE IN THE PRECEDING FIVE YEAR PERIOD WITH THEIR CONTINUING DISCLOSURE OBLIGATIONS, THAT RESPONDENT "CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS IN CONNECTION WITH THOSE OFFERINGS." Status: Final Sanction Detail: AS A RESULT THE COMMISSION FOUND THAT RESPONDENT VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. THE COMMISSION ALSO FOUND THAT "[I]N DETERMINING TO ACCEPT RESPONDENT'S OFFER, THE COMMISSION CONSIDERED THE COOPERATION OF RESPONDENT IN SELF-REPORTING THE VIOLATIONS." RESPONDENT WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000, AND COMPLY WITH THE CERTAIN UNDERTAKINGS, INCLUDING RETENTION OF AN INDEPENDENT CONSULTANT TO CONDUCT A REVIEW OF RESPONDENT'S POLICIES AND PROCEDURES AS THEY RELATE TO MUNICIPAL SECURITIES UNDERWRITING DUE DILIGENCE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Raymond James $458B (91% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 26, 2026.
View current Form ADV (SEC/IAPD) ↗