J.P. Morgan Securities Llc
- Regulatory AUM
- $430B
- Discretionary
- $358B
- Clients
- 1,246,646
- Avg AUM / client
- $345K
- Accounts
- 1,246,646
- Employees
- 8,703
AUM over time
Annual snapshots from Form ADV filings · as of Jul 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 877,306 | $142B | 33.0% |
| High net worth individuals | 356,866 | $251B | 58.4% |
| Pension and profit sharing plans | 2,559 | $2.8B | 0.66% |
| Charitable organizations | 928 | $6.3B | 1.46% |
| Insurance companies | 9 | $21.5M | 0.01% |
| Corporations and other businesses | 8,977 | $27.6B | 6.43% |
| Other | 1 | $337K | 0.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (13,791)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Collins, James Michael | Chief Financial Officer | Jun 2008 (18y) | Less than 5% | |
| Eric D. Tepper | Elected Manager | Jun 2013 (13y) | Less than 5% | |
| Dempsey, Patrick Paul | Treasurer | Aug 2013 (13y) | Less than 5% | |
| Jury, Claudia | Elected Manager | Feb 2020 (7y) | Less than 5% | |
| Klion, Roger | Chief Operating Officer | Oct 2020 (6y) | Less than 5% | |
| Simmons, John E | Elected Manager | Feb 2021 (6y) | Less than 5% | |
| Sieg, William Philip | Elected Manager | Aug 2021 (5y) | Less than 5% | |
| Bisesi, Brian J | Elected Manager | Feb 2022 (5y) | Less than 5% | |
| Bartolomei, Danielle | Chief Compliance Officer Broker Dealer | Sep 2023 (3y) | Less than 5% | |
| Choi, Michael | Chief Compliance Officer Registered Investment Adviser | Sep 2023 (3y) | Less than 5% | |
| Mccrum, Carrie | Elected Manager | Sep 2023 (3y) | Less than 5% | |
| Aidelson, David | Chief Legal Officer | Feb 2024 (3y) | Less than 5% | |
| Foley, Kevin J | Elected Manager | Feb 2024 (3y) | Less than 5% | |
| Vienick, Paul | Elected Manager | Feb 2024 (3y) | Less than 5% | |
| Alaoui Abdallaoui, Rachid | Ceo, Chair, Elected Manager | Nov 2024 (2y) | Less than 5% | |
| Louise De Martino Armour | Registered representative | Jan 1986 (41y) | ||
| Joshua Miller | Registered representative | Oct 1997 (29y) | ||
| Gary Raczkowski | Registered representative | Nov 1997 (29y) | ||
| Lars B Greiner | Registered representative | Nov 1997 (29y) | ||
| Mark Gordon | Registered representative | Oct 1998 (28y) | ||
| Arthur S Mishler | Registered representative | Oct 1998 (28y) | ||
| David J Koval | Registered representative | Nov 1998 (28y) | ||
| Kevin J Gildea | Registered representative | Nov 1998 (28y) | ||
| Scott J Kockos | Registered representative | Nov 1998 (28y) | ||
| William D Caprine | Registered representative | Jan 1999 (28y) | ||
| Phyllis Tabachnick | Registered representative | Jan 1999 (28y) | ||
| Gregory S Onken | Registered representative | Mar 1999 (27y) | ||
| Christopher S Boggs | Registered representative | Jul 1999 (27y) | ||
| Sherod Hanson | Registered representative | Oct 1999 (27y) | ||
| Tracey Gluck | Registered representative | Oct 1999 (27y) | ||
| William H Desser | Registered representative | Oct 1999 (27y) | ||
| Kelly A Epstein | Registered representative | May 2002 (24y) | ||
| Devin M Hill | Registered representative | Oct 2002 (24y) | ||
| David J Catalfimo | Registered representative | Oct 2002 (24y) | ||
| Richard S Hathaway | Registered representative | Oct 2002 (24y) | ||
| Patti Levin | Registered representative | Aug 2003 (23y) | ||
| Michael B Hershey | Registered representative | Aug 2003 (23y) | ||
| Jeffrey P Jalon | Registered representative | Sep 2003 (23y) | ||
| Betsy L Bliss | Registered representative | Sep 2003 (23y) | ||
| Christian A Ach | Registered representative | Sep 2003 (23y) | ||
| Thomas F Pescherine | Registered representative | Oct 2003 (23y) | ||
| Megan M Lau | Registered representative | Mar 2004 (22y) | ||
| Mark A Mayden | Registered representative | Apr 2004 (22y) | ||
| Ethan K Emma | Registered representative | May 2004 (22y) | ||
| Arthur Feld | Registered representative | Aug 2004 (22y) | ||
| Neil Ferranti | Registered representative | Nov 2004 (22y) | ||
| Gary T Worley | Registered representative | Feb 2005 (21y) | ||
| Michael Langen | Registered representative | Feb 2005 (21y) | ||
| Timothy J Driscoll | Registered representative | Feb 2005 (21y) | ||
| William R Coke | Registered representative | Mar 2005 (21y) | ||
| Tara L Bertelsman | Registered representative | Apr 2005 (21y) | ||
| Margaret A Ryan | Registered representative | Apr 2005 (21y) | ||
| Leslie K Johnson | Registered representative | Apr 2005 (21y) | ||
| Samuel H Srochi | Registered representative | Sep 2005 (21y) | ||
| Frederick S Polaniecki | Registered representative | Sep 2005 (21y) | ||
| Stephen O'reilly | Registered representative | CFA | Sep 2005 (21y) | |
| Adam Handaly | Registered representative | Oct 2005 (21y) | ||
| Hervey F Blalock | Registered representative | Oct 2005 (21y) | ||
| Bruce D Baumgarten | Registered representative | Nov 2005 (21y) | ||
| Mark G Baumgarten | Registered representative | Nov 2005 (21y) | ||
| Robert M Kaufman | Registered representative | Nov 2005 (21y) | ||
| Jeffrey B Mc Aleney | Registered representative | Dec 2005 (21y) | ||
| Hae Sun Pak | Registered representative | Feb 2006 (20y) | ||
| Allan H Joubert | Registered representative | Mar 2006 (20y) | ||
| Jeffrey C Oskin | Registered representative | CFP | Mar 2006 (20y) | |
| Joshua D Ricciarelli | Registered representative | Mar 2006 (20y) | ||
| Robert Lowe Littlehale | Registered representative | Mar 2006 (20y) | ||
| Jamie C Fagan | Registered representative | Mar 2006 (20y) | ||
| Adam J Koch | Registered representative | Apr 2006 (20y) | ||
| Brett T Alison | Registered representative | May 2006 (20y) | ||
| Barney J Cohen | Registered representative | Jun 2006 (20y) | ||
| Helen Molloy | Registered representative | Jul 2006 (20y) | ||
| Monica Umana Gomez | Registered representative | Jul 2006 (20y) | ||
| Neil Mehra | Registered representative | Aug 2006 (20y) | ||
| Gary R Fournier | Registered representative | Sep 2006 (20y) | ||
| Samuel S Kim | Registered representative | CFA | Oct 2006 (20y) | |
| Theresa A Tiger | Registered representative | Jan 2007 (20y) | ||
| George R Yezbak | Registered representative | Apr 2007 (19y) | ||
| Ronald I Munman | Registered representative | Jun 2007 (19y) | ||
| Joseph Bellavia | Registered representative | Jul 2007 (19y) | ||
| D. Peter Tipping | Registered representative | Jul 2007 (19y) | ||
| Gregory W Walker | Registered representative | Jul 2007 (19y) | ||
| Peter C Noonan | Registered representative | Nov 2007 (19y) | ||
| Liam L Kennedy | Registered representative | Jan 2008 (19y) | ||
| Valerie A Higgins | Registered representative | Jan 2008 (19y) | ||
| Peter Wellington Howe | Registered representative | Apr 2008 (18y) | ||
| Richard J Doyle | Registered representative | Jun 2008 (18y) | ||
| Norman J Lang | Registered representative | Jun 2008 (18y) | ||
| Victor T Jimenez | Registered representative | Sep 2008 (18y) | ||
| Chris J Fath | Registered representative | Oct 2008 (18y) | ||
| John P Rasulo | Registered representative | Oct 2008 (18y) | ||
| Kimberly Sue Burns | Registered representative | Oct 2008 (18y) | ||
| Kristin L Maki | Registered representative | Oct 2008 (18y) | ||
| Mary E Erdoes | Registered representative | Oct 2008 (18y) | ||
| Melissa U Sundberg | Registered representative | Oct 2008 (18y) | ||
| Robert J Trismen | Registered representative | Oct 2008 (18y) | ||
| Suellen Sahm | Registered representative | Oct 2008 (18y) | ||
| Therese A Quigley | Registered representative | Oct 2008 (18y) | ||
| Frederick Spaulding Decker | Registered representative | Nov 2008 (18y) | ||
| Daniel Resnick | Registered representative | Jan 2009 (18y) | ||
| Kasandra V Schindler | Registered representative | Jan 2009 (18y) | ||
| Arthur Roderick Carmody | Registered representative | Jan 2009 (18y) | ||
| Drew Damian Corradini | Registered representative | Jan 2009 (18y) | ||
| Paul L. Donlon | Registered representative | Feb 2009 (17y) | ||
| Bin K Nguyen | Registered representative | CFP | Feb 2009 (17y) | |
| Mark William Mc Connell | Registered representative | Feb 2009 (17y) | ||
| Brad Aaron Thompson | Registered representative | Feb 2009 (17y) | ||
| Pamela Denise Hecker | Registered representative | Mar 2009 (17y) | ||
| John Joseph Gallagher | Registered representative | Apr 2009 (17y) | ||
| Seth Craig Goldman | Registered representative | May 2009 (17y) | ||
| Katherine D Legardeur | Registered representative | Jun 2009 (17y) | ||
| James R. Campbell | Registered representative | Jul 2009 (17y) | ||
| Michael Kearney | Registered representative | Nov 2009 (17y) | ||
| Murali Balasubramanian | Registered representative | Dec 2009 (17y) | ||
| Gregory S. Leischner | Registered representative | Jan 2010 (17y) | ||
| Jeffrey L Brockmeyer | Registered representative | Feb 2010 (16y) | ||
| John Brian Kelly | Registered representative | Feb 2010 (16y) | ||
| John Brian Kelly | Registered representative | CFP | Feb 2010 (16y) | |
| Robert Winston Kelly | Registered representative | Feb 2010 (16y) | ||
| Ryan Nicolai Winger | Registered representative | Jul 2010 (16y) | ||
| Aleksandra Kulmaticki | Registered representative | Jul 2010 (16y) | ||
| Melvin Don Fisher | Registered representative | Aug 2010 (16y) | ||
| Eric Campbell Sutherland | Registered representative | Aug 2010 (16y) | ||
| Jason Todd Taylor | Registered representative | Aug 2010 (16y) | ||
| Jessica Rose Riedmann | Registered representative | Nov 2010 (16y) | ||
| Anthony Paul Bardaro | Registered representative | Jan 2011 (16y) | ||
| Bruce Lyle | Registered representative | Jan 2011 (16y) | ||
| Philip Joseph Starewich | Registered representative | Feb 2011 (15y) | ||
| Robert Jeffrey Shoup | Registered representative | Mar 2011 (15y) | ||
| Richard B Goodwyn | Registered representative | Apr 2011 (15y) | ||
| Michael Glen Podkulski | Registered representative | CFP | Apr 2011 (15y) | |
| Brian G Jenkins | Registered representative | Apr 2011 (15y) | ||
| Teresa Ann Sember | Registered representative | Apr 2011 (15y) | ||
| Robert Holland | Registered representative | May 2011 (15y) | ||
| Brian W. Brocious | Registered representative | Jun 2011 (15y) | ||
| Elaine M Robison | Registered representative | Jun 2011 (15y) | ||
| Joyce Pentz Gilfillan | Registered representative | Aug 2011 (15y) | ||
| Daniel Gregory Johnson | Registered representative | Aug 2011 (15y) | ||
| Barry Jon Fish | Registered representative | Sep 2011 (15y) | ||
| David Xin Li | Registered representative | Sep 2011 (15y) | ||
| Shun Qiang Li | Registered representative | Sep 2011 (15y) | ||
| Darren Jones | Registered representative | Oct 2011 (15y) | ||
| Kent Paikan Huang | Registered representative | Nov 2011 (15y) | ||
| Philip Pluta | Registered representative | Nov 2011 (15y) | ||
| Jay M. Rottner | Registered representative | Jan 2012 (15y) | ||
| Kara G Boudreau | Registered representative | Feb 2012 (14y) | ||
| Angela Dellecese Spirtos | Registered representative | Mar 2012 (14y) | ||
| Shawn Fitzgerald O'neill | Registered representative | Mar 2012 (14y) | ||
| John Mc Phee | Registered representative | Apr 2012 (14y) | ||
| Mika Cogdill | Registered representative | May 2012 (14y) | ||
| Elizabeth Hogan | Registered representative | Jun 2012 (14y) | ||
| Mark Samuel Arbogast | Registered representative | Jun 2012 (14y) | ||
| Karla M Taylor | Registered representative | Jul 2012 (14y) | ||
| George Dean Epstein | Registered representative | Jul 2012 (14y) | ||
| Manuel Da Silva Fonseca | Registered representative | CFP | Jul 2012 (14y) | |
| Edwin Voeller | Registered representative | Aug 2012 (14y) | ||
| John Nicholas Witry | Registered representative | Aug 2012 (14y) | ||
| Madelyn Robin Miller | Registered representative | Sep 2012 (14y) | ||
| Gerald Matthew Deignan | Registered representative | Sep 2012 (14y) | ||
| Aaron Daniel Fuerst | Registered representative | Oct 2012 (14y) | ||
| Adam C Faust | Registered representative | Oct 2012 (14y) | ||
| Adam Linn Park | Registered representative | CFP | Oct 2012 (14y) | |
| Adam Shane Bogan | Registered representative | Oct 2012 (14y) | ||
| Adrian Gaytan | Registered representative | Oct 2012 (14y) | ||
| Ahmad Ali Achmar | Registered representative | Oct 2012 (14y) | ||
| Alan Cooper | Registered representative | Oct 2012 (14y) | ||
| Albert Charles Singleterry | Registered representative | Oct 2012 (14y) | ||
| Alejandro Zamora | Registered representative | Oct 2012 (14y) | ||
| Aleksander Guriyelov | Registered representative | Oct 2012 (14y) | ||
| Aleksandr Vovk | Registered representative | CFP | Oct 2012 (14y) | |
| Alex Relu Musat | Registered representative | Oct 2012 (14y) | ||
| Alexandra Serman | Registered representative | Oct 2012 (14y) | ||
| Alfonso Carreno | Registered representative | Oct 2012 (14y) | ||
| Alison Jane Bowes | Registered representative | Oct 2012 (14y) | ||
| Allen Kee Chan | Registered representative | Oct 2012 (14y) | ||
| Amanda J Hilton | Registered representative | Oct 2012 (14y) | ||
| Amanda K Cummings | Registered representative | Oct 2012 (14y) | ||
| Ami Desai Ibarra | Registered representative | Oct 2012 (14y) | ||
| Aminadab Lugo | Registered representative | Oct 2012 (14y) | ||
| Amrou Atasi | Registered representative | Oct 2012 (14y) | ||
| Andrew A Miarka | Registered representative | Oct 2012 (14y) | ||
| Andrew Willis Norton | Registered representative | Oct 2012 (14y) | ||
| Anette Susan Forde | Registered representative | Oct 2012 (14y) | ||
| Anita Ramachandran Testa | Registered representative | CFP | Oct 2012 (14y) | |
| Anjanette Acuff Nickoloff | Registered representative | Oct 2012 (14y) | ||
| Anna Hovakimyan | Registered representative | Oct 2012 (14y) | ||
| Anthony Arthur Gazzillo | Registered representative | Oct 2012 (14y) | ||
| Anthony Chiarelli | Registered representative | Oct 2012 (14y) | ||
| Anthony Rojo | Registered representative | Oct 2012 (14y) | ||
| Anthony Todd Duke | Registered representative | Oct 2012 (14y) | ||
| Arash Ahmadi Tehrani | Registered representative | Oct 2012 (14y) | ||
| Arturo Andrews | Registered representative | Oct 2012 (14y) | ||
| Aruna Sriram | Registered representative | Oct 2012 (14y) | ||
| Audra L Morse | Registered representative | Oct 2012 (14y) | ||
| Aaron D Hyde | Registered representative | Oct 2012 (14y) | ||
| Aaron J Brandes | Registered representative | Oct 2012 (14y) | ||
| Aaron R. Lewis | Registered representative | Oct 2012 (14y) | ||
| Abraham David Goldstein | Registered representative | Oct 2012 (14y) | ||
| Abram K Gorsuch | Registered representative | Oct 2012 (14y) | ||
| Adam Alanis | Registered representative | Oct 2012 (14y) | ||
| Adam Farber | Registered representative | CFP | Oct 2012 (14y) | |
| Adam L Davidson | Registered representative | CFP | Oct 2012 (14y) | |
| Adam Parente | Registered representative | Oct 2012 (14y) | ||
| Adrian Fredrick Schulz | Registered representative | Oct 2012 (14y) | ||
| Albert V Mendoza | Registered representative | Oct 2012 (14y) | ||
| Alex Gomez | Registered representative | Oct 2012 (14y) | ||
| Alexander N Constantine | Registered representative | Oct 2012 (14y) | ||
| Alexandra Z Bartonik | Registered representative | Oct 2012 (14y) | ||
| Ali Azeez | Registered representative | Oct 2012 (14y) | ||
| Amanda S Loebrich | Registered representative | Oct 2012 (14y) | ||
| Amanda Yin Ching Kimoto | Registered representative | Oct 2012 (14y) | ||
| Amber Shear | Registered representative | CFP | Oct 2012 (14y) | |
| Amy E Lopez | Registered representative | CFP | Oct 2012 (14y) | |
| Amy M Hunter | Registered representative | Oct 2012 (14y) | ||
| Andrei A Neuhaus | Registered representative | Oct 2012 (14y) | ||
| Andrew B. Cochran | Registered representative | Oct 2012 (14y) | ||
| Andrew Bishara | Registered representative | Oct 2012 (14y) | ||
| Andrew J O Brien | Registered representative | Oct 2012 (14y) | ||
| Andrew Rivera | Registered representative | Oct 2012 (14y) | ||
| Andrew W Stevenson | Registered representative | Oct 2012 (14y) | ||
| Andrew W Van Awken | Registered representative | Oct 2012 (14y) | ||
| Angela Liu | Registered representative | Oct 2012 (14y) | ||
| Angela M. Kinch | Registered representative | Oct 2012 (14y) | ||
| Angelica Ramirez | Registered representative | Oct 2012 (14y) | ||
| Anis Dridi | Registered representative | Oct 2012 (14y) | ||
| Annika Svenson | Registered representative | Oct 2012 (14y) | ||
| Anthony Albert Rendon | Registered representative | Oct 2012 (14y) | ||
| Anthony Caravetta | Registered representative | CFP | Oct 2012 (14y) | |
| Anthony Mc Gee | Registered representative | Oct 2012 (14y) | ||
| Anthony Robert Anzalone | Registered representative | Oct 2012 (14y) | ||
| Arnold Fimbres | Registered representative | Oct 2012 (14y) | ||
| Artemio Garza | Registered representative | Oct 2012 (14y) | ||
| Arturo Centeno | Registered representative | Oct 2012 (14y) | ||
| Attila Balla | Registered representative | Oct 2012 (14y) | ||
| Augusto Pasquale La Torre | Registered representative | Oct 2012 (14y) | ||
| Baruch Azulay | Registered representative | Oct 2012 (14y) | ||
| Bassam Edlebi | Registered representative | Oct 2012 (14y) | ||
| Benjamin Charles Baldwin | Registered representative | Oct 2012 (14y) | ||
| Benjamin Thomas Labadie | Registered representative | Oct 2012 (14y) | ||
| Bianca M Adamo Leece | Registered representative | Oct 2012 (14y) | ||
| Borgia K Yapi | Registered representative | Oct 2012 (14y) | ||
| Boris Mihailevsky | Registered representative | CFP | Oct 2012 (14y) | |
| Bradley Clement Hargrave | Registered representative | Oct 2012 (14y) | ||
| Bradley Park Matthews | Registered representative | Oct 2012 (14y) | ||
| Brandon D Tatarevich | Registered representative | Oct 2012 (14y) | ||
| Brandon P Perry | Registered representative | CFP | Oct 2012 (14y) | |
| Brendaliz Valenzuela | Registered representative | Oct 2012 (14y) | ||
| Brent Warren Salamone | Registered representative | Oct 2012 (14y) | ||
| Brett Jason Von Hoffmann | Registered representative | Oct 2012 (14y) | ||
| Brian E Yorty | Registered representative | CFP | Oct 2012 (14y) | |
| Brian Hafley | Registered representative | Oct 2012 (14y) | ||
| Brian K Gregg | Registered representative | Oct 2012 (14y) | ||
| Brian L Lopez | Registered representative | Oct 2012 (14y) | ||
| Brian Layne Harrison | Registered representative | Oct 2012 (14y) | ||
| Brian Mui | Registered representative | Oct 2012 (14y) | ||
| Brian P Daulton | Registered representative | Oct 2012 (14y) | ||
| Brian Scott Brown | Registered representative | Oct 2012 (14y) | ||
| Brian Spilkevitz | Registered representative | Oct 2012 (14y) | ||
| Brian Thompson | Registered representative | Oct 2012 (14y) | ||
| Bryan Joseph Broussard | Registered representative | Oct 2012 (14y) | ||
| Bryan S Matheney | Registered representative | Oct 2012 (14y) | ||
| Bryant Betts | Registered representative | Oct 2012 (14y) | ||
| Barbara R Bebinger | Registered representative | Oct 2012 (14y) | ||
| Benjamin C Ashkinos | Registered representative | Oct 2012 (14y) | ||
| Benjamin C Asper | Registered representative | Oct 2012 (14y) | ||
| Benjamin J Rosenthal | Registered representative | Oct 2012 (14y) | ||
| Benjamin W. Goldhammer | Registered representative | Oct 2012 (14y) | ||
| Benny Ron Hinson | Registered representative | CFP | Oct 2012 (14y) | |
| Beth B Roach | Registered representative | Oct 2012 (14y) | ||
| Beth M Julian | Registered representative | CFP | Oct 2012 (14y) | |
| Bilal Alsaleh | Registered representative | CFP | Oct 2012 (14y) | |
| Binh T Nguyen | Registered representative | CFP | Oct 2012 (14y) | |
| Bob S. Colville | Registered representative | CFP | Oct 2012 (14y) | |
| Bradley E Wheeler | Registered representative | Oct 2012 (14y) | ||
| Bradley S Cooperman | Registered representative | Oct 2012 (14y) | ||
| Brady S. Schrock | Registered representative | Oct 2012 (14y) | ||
| Brandi L Restle | Registered representative | Oct 2012 (14y) | ||
| Brandie J Fish | Registered representative | Oct 2012 (14y) | ||
| Brandon Lee Thomas | Registered representative | Oct 2012 (14y) | ||
| Brant P Yeager | Registered representative | Oct 2012 (14y) | ||
| Brendan M. White | Registered representative | CFP | Oct 2012 (14y) | |
| Brenton J Coop | Registered representative | CFP | Oct 2012 (14y) | |
| Brett Thomas | Registered representative | Oct 2012 (14y) | ||
| Brian Baldwin | Registered representative | Oct 2012 (14y) | ||
| Brian Cohen | Registered representative | Oct 2012 (14y) | ||
| Brian D Vaught | Registered representative | Oct 2012 (14y) | ||
| Brian D'ziurman | Registered representative | Oct 2012 (14y) | ||
| Brian Edward Owens | Registered representative | CFP | Oct 2012 (14y) | |
| Brian H Drexel | Registered representative | Oct 2012 (14y) | ||
| Brian J Chao | Registered representative | Oct 2012 (14y) | ||
| Brian J Gaffney | Registered representative | Oct 2012 (14y) | ||
| Brian J Terner | Registered representative | Oct 2012 (14y) | ||
| Brian Kobi | Registered representative | Oct 2012 (14y) | ||
| Brian L Compton | Registered representative | CFP | Oct 2012 (14y) | |
| Brian L. Fadley | Registered representative | Oct 2012 (14y) | ||
| Brian Lamb | Registered representative | Oct 2012 (14y) | ||
| Brian N Chelliah | Registered representative | Oct 2012 (14y) | ||
| Brian Paone | Registered representative | Oct 2012 (14y) | ||
| Brian R Estocapio | Registered representative | Oct 2012 (14y) | ||
| Brian R. Collins | Registered representative | Oct 2012 (14y) | ||
| Brian W. Krebs | Registered representative | Oct 2012 (14y) | ||
| Brock Mitzel | Registered representative | CFP | Oct 2012 (14y) | |
| Bruno A Pellegrini | Registered representative | Oct 2012 (14y) | ||
| Cameron Douglas Malcolm | Registered representative | Oct 2012 (14y) | ||
| Carlos Alberto Gonzalez | Registered representative | Oct 2012 (14y) | ||
| Carlos I Gomez | Registered representative | Oct 2012 (14y) | ||
| Carrie Lynne French | Registered representative | Oct 2012 (14y) | ||
| Cassandra Marisol Richardson | Registered representative | CFP | Oct 2012 (14y) | |
| Catherine Ann Turk | Registered representative | Oct 2012 (14y) | ||
| Catherine Veronica Evans | Registered representative | CFP | Oct 2012 (14y) | |
| Cesar Tovias | Registered representative | Oct 2012 (14y) | ||
| Chad Michael Markham | Registered representative | Oct 2012 (14y) | ||
| Chandra R Salinas | Registered representative | Oct 2012 (14y) | ||
| Charles Robert Gibson | Registered representative | Oct 2012 (14y) | ||
| Cherie Lynne Turnwald | Registered representative | Oct 2012 (14y) | ||
| Chitra Arora | Registered representative | Oct 2012 (14y) | ||
| Christian A Rojas | Registered representative | Oct 2012 (14y) | ||
| Christian Charles Olsen | Registered representative | Oct 2012 (14y) | ||
| Christina Marie Auriemma Totaro | Registered representative | Oct 2012 (14y) | ||
| Christine Kehl | Registered representative | Oct 2012 (14y) | ||
| Christine M Weidig | Registered representative | Oct 2012 (14y) | ||
| Christopher Anthony Bruno | Registered representative | CFP | Oct 2012 (14y) | |
| Christopher Blair Debrow | Registered representative | Oct 2012 (14y) | ||
| Christopher Charles Wells | Registered representative | Oct 2012 (14y) | ||
| Christopher David Lavoie | Registered representative | Oct 2012 (14y) | ||
| Christopher Eric Asplin | Registered representative | Oct 2012 (14y) | ||
| Christopher Jay Valentine | Registered representative | Oct 2012 (14y) | ||
| Christopher Lee Browning | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Christopher Michael Greever | Registered representative | Oct 2012 (14y) | ||
| Christopher Piazza | Registered representative | Oct 2012 (14y) | ||
| Christopher Shaun Chapman | Registered representative | CFP | Oct 2012 (14y) | |
| Clint Adam Bauschatz | Registered representative | Oct 2012 (14y) | ||
| Craig Allen Davis | Registered representative | CFP | Oct 2012 (14y) | |
| Cruz Christian Lopez | Registered representative | Oct 2012 (14y) | ||
| Curtis Luke Ramsay | Registered representative | Oct 2012 (14y) | ||
| Cyron Wayne Hamer | Registered representative | Oct 2012 (14y) | ||
| Camilo Vilchez | Registered representative | CFP | Oct 2012 (14y) | |
| Carl R Garrison | Registered representative | Oct 2012 (14y) | ||
| Carlos Aguiar | Registered representative | CFP | Oct 2012 (14y) | |
| Carlos Andres Guerra | Registered representative | CFP | Oct 2012 (14y) | |
| Carlos E. Henriquez | Registered representative | Oct 2012 (14y) | ||
| Carlos E. Rojas | Registered representative | Oct 2012 (14y) | ||
| Carmen Paulo | Registered representative | CFP | Oct 2012 (14y) | |
| Carmine Libertini | Registered representative | CFP | Oct 2012 (14y) | |
| Cary Atlas | Registered representative | Oct 2012 (14y) | ||
| Chad Hawkins | Registered representative | Oct 2012 (14y) | ||
| Charity Jane Schulz | Registered representative | Oct 2012 (14y) | ||
| Charleen A. Guck | Registered representative | Oct 2012 (14y) | ||
| Charles A. Bryce | Registered representative | Oct 2012 (14y) | ||
| Charles B Roloson | Registered representative | Oct 2012 (14y) | ||
| Charles Edwin Trybula | Registered representative | Oct 2012 (14y) | ||
| Charles L Wilkerson | Registered representative | Oct 2012 (14y) | ||
| Charles R Shapiro | Registered representative | Oct 2012 (14y) | ||
| Charles W Hawkins | Registered representative | Oct 2012 (14y) | ||
| Charlotte Bouche | Registered representative | CFP | Oct 2012 (14y) | |
| Cheick Omar Ouedraogo | Registered representative | CFP | Oct 2012 (14y) | |
| Chesley R Kasow | Registered representative | Oct 2012 (14y) | ||
| Chris Brian Bouyear | Registered representative | Oct 2012 (14y) | ||
| Chris Michael Raimo | Registered representative | Oct 2012 (14y) | ||
| Chris R Del Bene | Registered representative | Oct 2012 (14y) | ||
| Christian O Reyes | Registered representative | Oct 2012 (14y) | ||
| Christina Shellenbarger | Registered representative | Oct 2012 (14y) | ||
| Christopher Cameron | Registered representative | Oct 2012 (14y) | ||
| Christopher Egan | Registered representative | Oct 2012 (14y) | ||
| Christopher Faris | Registered representative | Oct 2012 (14y) | ||
| Christopher Figuccio | Registered representative | Oct 2012 (14y) | ||
| Christopher J Brown | Registered representative | Oct 2012 (14y) | ||
| Christopher J Keel | Registered representative | Oct 2012 (14y) | ||
| Christopher J. Troiani | Registered representative | Oct 2012 (14y) | ||
| Christopher John Del Campo | Registered representative | Oct 2012 (14y) | ||
| Christopher Jon Langjahr | Registered representative | Oct 2012 (14y) | ||
| Christopher Kherkher | Registered representative | Oct 2012 (14y) | ||
| Christopher Kostecki | Registered representative | CFP | Oct 2012 (14y) | |
| Christopher M Skibinski | Registered representative | Oct 2012 (14y) | ||
| Christopher Medaris | Registered representative | Oct 2012 (14y) | ||
| Christopher Michael Howell | Registered representative | CFP | Oct 2012 (14y) | |
| Christopher Michael Mc Gill | Registered representative | Oct 2012 (14y) | ||
| Christopher P Kelly | Registered representative | Oct 2012 (14y) | ||
| Christopher Schmidt | Registered representative | Oct 2012 (14y) | ||
| Christopher Scibilia | Registered representative | Oct 2012 (14y) | ||
| Christopher Vanvynck | Registered representative | Oct 2012 (14y) | ||
| Christopher W Childress | Registered representative | Oct 2012 (14y) | ||
| Christy Bracken Pizani | Registered representative | Oct 2012 (14y) | ||
| Claire E Holmes | Registered representative | Oct 2012 (14y) | ||
| Clarice M Bourgeois | Registered representative | Oct 2012 (14y) | ||
| Clint Swinney | Registered representative | CFP | Oct 2012 (14y) | |
| Colin Dasanjh | Registered representative | Oct 2012 (14y) | ||
| Conor Seyda | Registered representative | Oct 2012 (14y) | ||
| Corinna L. Bongiovanni | Registered representative | Oct 2012 (14y) | ||
| Courtney Vysocky | Registered representative | Oct 2012 (14y) | ||
| Craig A Foster | Registered representative | Oct 2012 (14y) | ||
| Craig A Harris | Registered representative | Oct 2012 (14y) | ||
| Craig A. Pruett | Registered representative | Oct 2012 (14y) | ||
| Craig Barthelemy Lucas | Registered representative | Oct 2012 (14y) | ||
| Craig J Ferraro | Registered representative | Oct 2012 (14y) | ||
| Craig Joseph Bauman | Registered representative | Oct 2012 (14y) | ||
| Craig M Treitler | Registered representative | CFP | Oct 2012 (14y) | |
| Curt A Domingue | Registered representative | Oct 2012 (14y) | ||
| Curtis Ryan Lucas | Registered representative | Oct 2012 (14y) | ||
| Cynthia A Hernandez | Registered representative | Oct 2012 (14y) | ||
| Cynthia K Moyer | Registered representative | Oct 2012 (14y) | ||
| Cynthia Tran | Registered representative | Oct 2012 (14y) | ||
| Dana O'brien Brown | Registered representative | Oct 2012 (14y) | ||
| Daniel J Rapacz | Registered representative | Oct 2012 (14y) | ||
| Daniel Joseph Florence | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Daniel Reza Afzalirad | Registered representative | Oct 2012 (14y) | ||
| Daniel Steven Lajcaj | Registered representative | Oct 2012 (14y) | ||
| Darren Anthony Chia | Registered representative | CFP | Oct 2012 (14y) | |
| David Alan Van Der Klok | Registered representative | Oct 2012 (14y) | ||
| David Allen Council | Registered representative | Oct 2012 (14y) | ||
| David Anthony Klics | Registered representative | Oct 2012 (14y) | ||
| David Edward Patch | Registered representative | Oct 2012 (14y) | ||
| David Jude Duplantis | Registered representative | CFP | Oct 2012 (14y) | |
| David Lee Tidd | Registered representative | Oct 2012 (14y) | ||
| David Lin | Registered representative | Oct 2012 (14y) | ||
| David M Andersen | Registered representative | Oct 2012 (14y) | ||
| David Michael Korte | Registered representative | Oct 2012 (14y) | ||
| David Samuel Rochon | Registered representative | Oct 2012 (14y) | ||
| Denise Dragonetti | Registered representative | Oct 2012 (14y) | ||
| Denise Lynn Monjarro | Registered representative | Oct 2012 (14y) | ||
| Dennis Brandon Kitchen | Registered representative | Oct 2012 (14y) | ||
| Dennis C Buenaventura | Registered representative | Oct 2012 (14y) | ||
| Dennis Kalinin | Registered representative | CFP | Oct 2012 (14y) | |
| Dennis Omar Castro | Registered representative | Oct 2012 (14y) | ||
| Dennis Walter Casey | Registered representative | Oct 2012 (14y) | ||
| Derek M Brase | Registered representative | Oct 2012 (14y) | ||
| Diana Menaker | Registered representative | Oct 2012 (14y) | ||
| Diane Lizzio | Registered representative | Oct 2012 (14y) | ||
| Dianne M Pitts | Registered representative | Oct 2012 (14y) | ||
| Diyana Dimova Nikolov | Registered representative | Oct 2012 (14y) | ||
| Dmytro Rybalko | Registered representative | Oct 2012 (14y) | ||
| Domenick R Costantini | Registered representative | Oct 2012 (14y) | ||
| Dominic Robert Casey | Registered representative | Oct 2012 (14y) | ||
| Dominique Callan | Registered representative | Oct 2012 (14y) | ||
| Donna A Cox | Registered representative | Oct 2012 (14y) | ||
| Donna Ann Glavan | Registered representative | Oct 2012 (14y) | ||
| Donna Lynn | Registered representative | Oct 2012 (14y) | ||
| Donna Mary Crawford | Registered representative | Oct 2012 (14y) | ||
| Dustin James Groves | Registered representative | Oct 2012 (14y) | ||
| Dwayne A Winter | Registered representative | Oct 2012 (14y) | ||
| Dallas G Polk | Registered representative | Oct 2012 (14y) | ||
| Damar V Wellington | Registered representative | Oct 2012 (14y) | ||
| Damien Lucadamo | Registered representative | Oct 2012 (14y) | ||
| Damon B Abshire | Registered representative | Oct 2012 (14y) | ||
| Dane E Brown | Registered representative | Oct 2012 (14y) | ||
| Daniel Benati | Registered representative | Oct 2012 (14y) | ||
| Daniel J. Bernier | Registered representative | Oct 2012 (14y) | ||
| Daniel Joseph Salsberg | Registered representative | Oct 2012 (14y) | ||
| Daniel K Roh | Registered representative | CFP | Oct 2012 (14y) | |
| Daniel L Tai | Registered representative | Chartered Financial Consultant | Oct 2012 (14y) | |
| Daniel Patrick Bulgozdy | Registered representative | Oct 2012 (14y) | ||
| Daniel R. Andreuzzi | Registered representative | Oct 2012 (14y) | ||
| Daniel S Burns | Registered representative | Oct 2012 (14y) | ||
| Daniel Tang | Registered representative | Oct 2012 (14y) | ||
| Daniel Tauberg | Registered representative | Oct 2012 (14y) | ||
| Daniel Thalblum | Registered representative | Oct 2012 (14y) | ||
| Daniel V. Alvarez | Registered representative | Oct 2012 (14y) | ||
| Daniel Y Kim | Registered representative | Oct 2012 (14y) | ||
| Danielle M De Marco | Registered representative | Oct 2012 (14y) | ||
| Darren J. Bernard | Registered representative | CFP | Oct 2012 (14y) | |
| Darryl A Lobo | Registered representative | Oct 2012 (14y) | ||
| Dave A Christensen | Registered representative | Oct 2012 (14y) | ||
| Dave W Pruett | Registered representative | Oct 2012 (14y) | ||
| David A. Ziff | Registered representative | Oct 2012 (14y) | ||
| David C Stelly | Registered representative | Oct 2012 (14y) | ||
| David J Edwards | Registered representative | CFP | Oct 2012 (14y) | |
| David J Liss | Registered representative | Oct 2012 (14y) | ||
| David J. St. Louis | Registered representative | Oct 2012 (14y) | ||
| David K Lee | Registered representative | Oct 2012 (14y) | ||
| David L Butler | Registered representative | Oct 2012 (14y) | ||
| David Ransom | Registered representative | Oct 2012 (14y) | ||
| David S Hummel | Registered representative | Oct 2012 (14y) | ||
| David S Mc Kinley | Registered representative | Oct 2012 (14y) | ||
| David Speiser | Registered representative | Oct 2012 (14y) | ||
| David T La | Registered representative | Oct 2012 (14y) | ||
| David Tuttle | Registered representative | CFP | Oct 2012 (14y) | |
| David Wayne Abernathy | Registered representative | Oct 2012 (14y) | ||
| Dawn L Chico | Registered representative | Oct 2012 (14y) | ||
| Dean A Evans | Registered representative | Oct 2012 (14y) | ||
| Deana K Gwinn | Registered representative | Oct 2012 (14y) | ||
| Denise Brady | Registered representative | Oct 2012 (14y) | ||
| Dennis E. Koch | Registered representative | Oct 2012 (14y) | ||
| Devin B. Mullane | Registered representative | Oct 2012 (14y) | ||
| Diego F Jimenez | Registered representative | Oct 2012 (14y) | ||
| Dominic A. Mandarino | Registered representative | Oct 2012 (14y) | ||
| Donald W Pendleton | Registered representative | Oct 2012 (14y) | ||
| Douglas M Bray | Registered representative | Oct 2012 (14y) | ||
| Douglas Nisen | Registered representative | Oct 2012 (14y) | ||
| Douglas W. Graybeal | Registered representative | CFP | Oct 2012 (14y) | |
| Dylan Jordan | Registered representative | Chartered Financial Consultant | Oct 2012 (14y) | |
| Edgar Alexis Jovel | Registered representative | Oct 2012 (14y) | ||
| Edgar Arango | Registered representative | Oct 2012 (14y) | ||
| Edward Mitchel Goldner | Registered representative | Oct 2012 (14y) | ||
| Ekta Roongta | Registered representative | CFP CFA | Oct 2012 (14y) | |
| Elaine X Lin | Registered representative | Oct 2012 (14y) | ||
| Eli Buchman | Registered representative | Oct 2012 (14y) | ||
| Elizabeth Antosz | Registered representative | Oct 2012 (14y) | ||
| Elliot J Berens | Registered representative | Oct 2012 (14y) | ||
| Elvio Catania | Registered representative | Oct 2012 (14y) | ||
| Emad Hasan | Registered representative | Oct 2012 (14y) | ||
| Emiliano D Padilla | Registered representative | Oct 2012 (14y) | ||
| Emilio Mariano | Registered representative | Oct 2012 (14y) | ||
| Emily Lennox Richardson | Registered representative | CFP | Oct 2012 (14y) | |
| Enrique Forero | Registered representative | CFP | Oct 2012 (14y) | |
| Eric Alexander Hammond | Registered representative | Oct 2012 (14y) | ||
| Eric Alma | Registered representative | Oct 2012 (14y) | ||
| Eric D Hines | Registered representative | Oct 2012 (14y) | ||
| Eric D Richardson | Registered representative | Oct 2012 (14y) | ||
| Erica Germain Thomas | Registered representative | Oct 2012 (14y) | ||
| Erik Robert Anderson | Registered representative | Oct 2012 (14y) | ||
| Erin Kruis Sardich | Registered representative | Oct 2012 (14y) | ||
| Ed H Karam | Registered representative | Oct 2012 (14y) | ||
| Edgar Frank Paul | Registered representative | Oct 2012 (14y) | ||
| Edmund Moloney | Registered representative | Oct 2012 (14y) | ||
| Edward A Caveney | Registered representative | Oct 2012 (14y) | ||
| Edward T Collins | Registered representative | Oct 2012 (14y) | ||
| Edward Zbytniewski | Registered representative | Oct 2012 (14y) | ||
| Edwin Espinosa | Registered representative | Oct 2012 (14y) | ||
| Elena P Martinez | Registered representative | Oct 2012 (14y) | ||
| Elias Kontos | Registered representative | CFP | Oct 2012 (14y) | |
| Eliot Meshulam | Registered representative | Oct 2012 (14y) | ||
| Elisavet Gravani | Registered representative | Oct 2012 (14y) | ||
| Elise E Leszczynski | Registered representative | Oct 2012 (14y) | ||
| Eliyahu Aronov | Registered representative | Oct 2012 (14y) | ||
| Elizabeth A Brown | Registered representative | Oct 2012 (14y) | ||
| Elizabeth Hoerl | Registered representative | Oct 2012 (14y) | ||
| Elizabeth Mary Mariconda | Registered representative | Oct 2012 (14y) | ||
| Emil J Anderson | Registered representative | Oct 2012 (14y) | ||
| Emmanuel M June | Registered representative | Oct 2012 (14y) | ||
| Emmanuel Raux | Registered representative | Oct 2012 (14y) | ||
| Eric Alan Molitor | Registered representative | Oct 2012 (14y) | ||
| Eric C Cutler | Registered representative | Oct 2012 (14y) | ||
| Eric D Summers | Registered representative | Oct 2012 (14y) | ||
| Eric E Eugene | Registered representative | CFP | Oct 2012 (14y) | |
| Eric J Stramiello | Registered representative | Oct 2012 (14y) | ||
| Eric T Atkins | Registered representative | Oct 2012 (14y) | ||
| Erik C. Barnett | Registered representative | Oct 2012 (14y) | ||
| Erik J Fearnow | Registered representative | Oct 2012 (14y) | ||
| Erin E Burke | Registered representative | Oct 2012 (14y) | ||
| Ervin Decker | Registered representative | Oct 2012 (14y) | ||
| Essam Elia | Registered representative | Oct 2012 (14y) | ||
| Eugene G Mosca | Registered representative | Oct 2012 (14y) | ||
| Evan G. Stamos | Registered representative | Oct 2012 (14y) | ||
| Evan Scheier | Registered representative | Oct 2012 (14y) | ||
| Evan Thomas Ankenbruck | Registered representative | Oct 2012 (14y) | ||
| Fabiola Morales | Registered representative | Oct 2012 (14y) | ||
| Fabrizio Blyth Glick | Registered representative | Oct 2012 (14y) | ||
| Felix Lezcano | Registered representative | CFP | Oct 2012 (14y) | |
| Ferraro Edouard | Registered representative | Oct 2012 (14y) | ||
| Francesca Ann Moore Colver | Registered representative | Oct 2012 (14y) | ||
| Francesko Kristovich | Registered representative | Oct 2012 (14y) | ||
| Frank David Metzke | Registered representative | CFP | Oct 2012 (14y) | |
| Frank Saldana | Registered representative | Oct 2012 (14y) | ||
| Franklin Matthew Anselmi | Registered representative | Oct 2012 (14y) | ||
| Farrah J Stephan | Registered representative | Oct 2012 (14y) | ||
| Felipe Puente | Registered representative | Oct 2012 (14y) | ||
| Flavius Sindile | Registered representative | CFP | Oct 2012 (14y) | |
| Francisco J Lopez | Registered representative | Oct 2012 (14y) | ||
| Frank R Tenteromano | Registered representative | Oct 2012 (14y) | ||
| Franz A Warren | Registered representative | Oct 2012 (14y) | ||
| Fredy Jose De Jesus | Registered representative | Oct 2012 (14y) | ||
| G Kristopher Jones | Registered representative | Oct 2012 (14y) | ||
| Gabrielle Brown | Registered representative | Oct 2012 (14y) | ||
| Gaetano Sabatino | Registered representative | Oct 2012 (14y) | ||
| Gandy Pierre Louis | Registered representative | Oct 2012 (14y) | ||
| Garth Andrew Wallace | Registered representative | CFP | Oct 2012 (14y) | |
| Garth Blaine Wilson | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Genaro Padilla | Registered representative | Oct 2012 (14y) | ||
| George Brakatselos | Registered representative | Oct 2012 (14y) | ||
| George Filipov | Registered representative | Oct 2012 (14y) | ||
| Gerald David Dolinsky | Registered representative | CFP | Oct 2012 (14y) | |
| Gino Weaver | Registered representative | Oct 2012 (14y) | ||
| Gordon Li Heng Chen | Registered representative | CFP | Oct 2012 (14y) | |
| Gregory Milan Wasick | Registered representative | Oct 2012 (14y) | ||
| Gregory Pomerantsev | Registered representative | Oct 2012 (14y) | ||
| Guillermo Salas | Registered representative | Oct 2012 (14y) | ||
| Gabor I Fogarasi | Registered representative | Oct 2012 (14y) | ||
| Gairy C Pelle | Registered representative | Oct 2012 (14y) | ||
| Garrett Esperum | Registered representative | Oct 2012 (14y) | ||
| Gary Avidon | Registered representative | Oct 2012 (14y) | ||
| Gary G Ottomanelli | Registered representative | Oct 2012 (14y) | ||
| Gary Lester Jones | Registered representative | Oct 2012 (14y) | ||
| Gary V. Lovallo | Registered representative | Oct 2012 (14y) | ||
| Gemma F Sanchez | Registered representative | Oct 2012 (14y) | ||
| Geoffrey Charles Strohn | Registered representative | Oct 2012 (14y) | ||
| George Aokuso | Registered representative | Oct 2012 (14y) | ||
| George Aslanidis | Registered representative | Oct 2012 (14y) | ||
| George J Curtin | Registered representative | Oct 2012 (14y) | ||
| Geovany R Cruz | Registered representative | Oct 2012 (14y) | ||
| Gerald A Semko | Registered representative | Oct 2012 (14y) | ||
| Gerald Jake Resop | Registered representative | Oct 2012 (14y) | ||
| Gerard Gatto | Registered representative | Oct 2012 (14y) | ||
| Gerardo Jr. Juarez | Registered representative | Oct 2012 (14y) | ||
| Giovani L. Reynoso | Registered representative | Oct 2012 (14y) | ||
| Glen G Mikolajczak | Registered representative | Oct 2012 (14y) | ||
| Glenn Lu | Registered representative | CFP | Oct 2012 (14y) | |
| Gregg A Kleinbaum | Registered representative | Oct 2012 (14y) | ||
| Gregory Dostal | Registered representative | Oct 2012 (14y) | ||
| Gregory G Bonanno | Registered representative | Oct 2012 (14y) | ||
| Gregory J. Gish | Registered representative | Oct 2012 (14y) | ||
| Gregory Jedding | Registered representative | Oct 2012 (14y) | ||
| Gregory S Thompson | Registered representative | Oct 2012 (14y) | ||
| Gretchen Noelle Summe | Registered representative | Oct 2012 (14y) | ||
| Gursharanjit Dhanjal | Registered representative | Oct 2012 (14y) | ||
| Gustavo Fernandez | Registered representative | Oct 2012 (14y) | ||
| Hazel Zekeriyef | Registered representative | Oct 2012 (14y) | ||
| Heath Johnson | Registered representative | Chartered Financial Consultant | Oct 2012 (14y) | |
| Hedayatullah Eddie Nabiel | Registered representative | Oct 2012 (14y) | ||
| Heekang Choung | Registered representative | Oct 2012 (14y) | ||
| Heidi Marie Jacobs Mcdonald | Registered representative | Oct 2012 (14y) | ||
| Heidi Marie Johnson | Registered representative | Oct 2012 (14y) | ||
| Houston Russell Sanders | Registered representative | Oct 2012 (14y) | ||
| Howard Lee Herring | Registered representative | Oct 2012 (14y) | ||
| Humberto Lopez | Registered representative | Oct 2012 (14y) | ||
| Hunter Cole Youngblood | Registered representative | Oct 2012 (14y) | ||
| Hank K Shieh | Registered representative | Oct 2012 (14y) | ||
| Hannah M Byron | Registered representative | Oct 2012 (14y) | ||
| Hans Herr | Registered representative | Oct 2012 (14y) | ||
| Harpal S Sandhu | Registered representative | Oct 2012 (14y) | ||
| Heath Van Wyk | Registered representative | Oct 2012 (14y) | ||
| Heather Szczepanski | Registered representative | Oct 2012 (14y) | ||
| Herbert Bender | Registered representative | Oct 2012 (14y) | ||
| Hernan Alirio Prince | Registered representative | Oct 2012 (14y) | ||
| Hiral Ravindra Shah | Registered representative | CFP | Oct 2012 (14y) | |
| Hoang Nguyen | Registered representative | Oct 2012 (14y) | ||
| Hoang Tran | Registered representative | Oct 2012 (14y) | ||
| Hsiao Chi Chen Wu | Registered representative | Oct 2012 (14y) | ||
| Hung Au | Registered representative | Oct 2012 (14y) | ||
| Hussein S. Juma | Registered representative | Oct 2012 (14y) | ||
| Isaac Bitton | Registered representative | Oct 2012 (14y) | ||
| Ivan E Garcia | Registered representative | Oct 2012 (14y) | ||
| Igor Yurovskiy | Registered representative | Oct 2012 (14y) | ||
| Ihab Elibiary | Registered representative | CFP | Oct 2012 (14y) | |
| Imad Afiouni | Registered representative | Oct 2012 (14y) | ||
| Irene Morciglio | Registered representative | Oct 2012 (14y) | ||
| J Thomas Anthony Ybarbo | Registered representative | CFP | Oct 2012 (14y) | |
| Jaime Steffen Lutz | Registered representative | Oct 2012 (14y) | ||
| Jakub Urban | Registered representative | Oct 2012 (14y) | ||
| James Francis Hayes | Registered representative | Oct 2012 (14y) | ||
| James Frederick Girardeau | Registered representative | CFP | Oct 2012 (14y) | |
| James Joseph Ryan | Registered representative | Oct 2012 (14y) | ||
| James Kevin Dempsey | Registered representative | Oct 2012 (14y) | ||
| James Kim | Registered representative | Oct 2012 (14y) | ||
| James Patrick Steck | Registered representative | Oct 2012 (14y) | ||
| James Raymond Tilley | Registered representative | Oct 2012 (14y) | ||
| James Scott Meche | Registered representative | Oct 2012 (14y) | ||
| Jamie Rae Jarmon | Registered representative | Oct 2012 (14y) | ||
| Janet Avedisian | Registered representative | Oct 2012 (14y) | ||
| Janey Ali Rizvi | Registered representative | CFP | Oct 2012 (14y) | |
| Janice E Lorenzetti | Registered representative | Oct 2012 (14y) | ||
| Jarrod Donald Lacombe | Registered representative | Oct 2012 (14y) | ||
| Jason A Daugherty | Registered representative | Oct 2012 (14y) | ||
| Jason Christopher Piedmonte | Registered representative | Oct 2012 (14y) | ||
| Jason Ho Kwon | Registered representative | Oct 2012 (14y) | ||
| Jason M Evangelou | Registered representative | Oct 2012 (14y) | ||
| Jason Mark Touchstone | Registered representative | Oct 2012 (14y) | ||
| Jason Paul Sidell | Registered representative | Oct 2012 (14y) | ||
| Jason Samuel Nunnally | Registered representative | Oct 2012 (14y) | ||
| Jay A Culbertson | Registered representative | Oct 2012 (14y) | ||
| Jay M Pangelinan | Registered representative | Oct 2012 (14y) | ||
| Jean Paul Matiuk | Registered representative | Oct 2012 (14y) | ||
| Jeanette M Emrick | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Adam Granger | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Jean Baptiste | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Michael Myers | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Stephen Smaka | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Willis Durkee | Registered representative | Oct 2012 (14y) | ||
| Jennifer Patricia Ayers | Registered representative | Oct 2012 (14y) | ||
| Jennifer Sell Funk | Registered representative | Oct 2012 (14y) | ||
| Jeremy David Ebert | Registered representative | Oct 2012 (14y) | ||
| Jeremy Jacob Guajardo | Registered representative | Oct 2012 (14y) | ||
| Jeremy James Witkowski | Registered representative | Oct 2012 (14y) | ||
| Jesse Bucio | Registered representative | Oct 2012 (14y) | ||
| Jessica Lailor Levan | Registered representative | CFP | Oct 2012 (14y) | |
| Jesusita Rodriguez | Registered representative | Oct 2012 (14y) | ||
| Jimmy Quach | Registered representative | Oct 2012 (14y) | ||
| Jin Joo | Registered representative | Oct 2012 (14y) | ||
| Joannie Hoa Thanh Ngo | Registered representative | Oct 2012 (14y) | ||
| Johanna L Kelleman | Registered representative | Oct 2012 (14y) | ||
| John Andrew Petersen | Registered representative | CFP | Oct 2012 (14y) | |
| John C Lewis | Registered representative | Oct 2012 (14y) | ||
| John Clay Pullen | Registered representative | Oct 2012 (14y) | ||
| John Clinton Chamales | Registered representative | Oct 2012 (14y) | ||
| John Elisafidis | Registered representative | Oct 2012 (14y) | ||
| John Eric Maquar | Registered representative | Oct 2012 (14y) | ||
| John Garrett Boyle | Registered representative | CFP | Oct 2012 (14y) | |
| John M Peri | Registered representative | Oct 2012 (14y) | ||
| John Michael Cafone | Registered representative | Oct 2012 (14y) | ||
| Johnatan David Kokos | Registered representative | Oct 2012 (14y) | ||
| Jon T Tien | Registered representative | Oct 2012 (14y) | ||
| Jonathan C Vance | Registered representative | CFP | Oct 2012 (14y) | |
| Jonathan Calderon | Registered representative | Oct 2012 (14y) | ||
| Jorge Alberto Serrano | Registered representative | Oct 2012 (14y) | ||
| Jorge F De Giorgio | Registered representative | Oct 2012 (14y) | ||
| Joseph Ausanio | Registered representative | Oct 2012 (14y) | ||
| Joseph Matthew Tenbusch | Registered representative | CFP | Oct 2012 (14y) | |
| Joseph Michael Colaiacovo | Registered representative | Oct 2012 (14y) | ||
| Joshua Erseen Kuo | Registered representative | Oct 2012 (14y) | ||
| Josue Laborde | Registered representative | Oct 2012 (14y) | ||
| Juan Carlos De Choudens | Registered representative | Oct 2012 (14y) | ||
| Julia R Phillips | Registered representative | CFP | Oct 2012 (14y) | |
| Julie Izzo Wander | Registered representative | Oct 2012 (14y) | ||
| Julio E Barros | Registered representative | Oct 2012 (14y) | ||
| Justin L Brashears | Registered representative | Oct 2012 (14y) | ||
| Jack Roland Von Maur | Registered representative | Oct 2012 (14y) | ||
| Jacob P Sessions | Registered representative | CFP | Oct 2012 (14y) | |
| Jacques W Simpson | Registered representative | CFP | Oct 2012 (14y) | |
| Jae E Lee | Registered representative | Oct 2012 (14y) | ||
| James D. Rosen | Registered representative | Oct 2012 (14y) | ||
| James E Kolb | Registered representative | Oct 2012 (14y) | ||
| James J Ng | Registered representative | CFP | Oct 2012 (14y) | |
| James J. Gakos | Registered representative | Oct 2012 (14y) | ||
| James K O'connor | Registered representative | Oct 2012 (14y) | ||
| Jane Au Yeung | Registered representative | Oct 2012 (14y) | ||
| Janine Altamura | Registered representative | Oct 2012 (14y) | ||
| Jared Andrew Crow | Registered representative | Oct 2012 (14y) | ||
| Jason A Ellwein | Registered representative | Oct 2012 (14y) | ||
| Jason A Fare | Registered representative | Oct 2012 (14y) | ||
| Jason A Perlman | Registered representative | Oct 2012 (14y) | ||
| Jason A. Klocke | Registered representative | Oct 2012 (14y) | ||
| Jason Appe | Registered representative | CFP | Oct 2012 (14y) | |
| Jason Collins | Registered representative | CFP | Oct 2012 (14y) | |
| Jason E Allen | Registered representative | Oct 2012 (14y) | ||
| Jason Flanagan | Registered representative | Oct 2012 (14y) | ||
| Jason French | Registered representative | Oct 2012 (14y) | ||
| Jason L. Gernstetter | Registered representative | Oct 2012 (14y) | ||
| Jason Lewis | Registered representative | Oct 2012 (14y) | ||
| Jason N Anthony | Registered representative | Oct 2012 (14y) | ||
| Jason Olivo | Registered representative | Oct 2012 (14y) | ||
| Jason S. Handwerger | Registered representative | Oct 2012 (14y) | ||
| Jason T Douglass | Registered representative | Oct 2012 (14y) | ||
| Jason T. Collins | Registered representative | Oct 2012 (14y) | ||
| Jason W Rumpke | Registered representative | Oct 2012 (14y) | ||
| Jean M Groleau | Registered representative | Oct 2012 (14y) | ||
| Jean Paul J Couturier | Registered representative | Oct 2012 (14y) | ||
| Jean Philistin | Registered representative | Oct 2012 (14y) | ||
| Jeanna Lee Cook Garcia | Registered representative | Oct 2012 (14y) | ||
| Jeanne Berger | Registered representative | Oct 2012 (14y) | ||
| Jeff Bergmann | Registered representative | CFP | Oct 2012 (14y) | |
| Jeff M Loventhal | Registered representative | Oct 2012 (14y) | ||
| Jeff Probst | Registered representative | Oct 2012 (14y) | ||
| Jeff Slattery | Registered representative | Oct 2012 (14y) | ||
| Jeff Wallace Mende | Registered representative | Oct 2012 (14y) | ||
| Jeffery A. Sawyer | Registered representative | Oct 2012 (14y) | ||
| Jeffery D Keefer | Registered representative | Oct 2012 (14y) | ||
| Jeffery S Brin | Registered representative | Oct 2012 (14y) | ||
| Jeffrey L Robinson | Registered representative | Oct 2012 (14y) | ||
| Jeffrey M Ingraham | Registered representative | Oct 2012 (14y) | ||
| Jeffrey M Seigies | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Neil Just | Registered representative | Oct 2012 (14y) | ||
| Jeffrey Tumminello | Registered representative | Oct 2012 (14y) | ||
| Jennifer Richards | Registered representative | CFP | Oct 2012 (14y) | |
| Jenny Ju | Registered representative | Oct 2012 (14y) | ||
| Jeremiah P Brudno | Registered representative | CFP | Oct 2012 (14y) | |
| Jeremy R Cooke | Registered representative | CFP | Oct 2012 (14y) | |
| Jerome B Wilson | Registered representative | Oct 2012 (14y) | ||
| Jerrad Forman | Registered representative | Oct 2012 (14y) | ||
| Jerrod Lee Pace | Registered representative | Oct 2012 (14y) | ||
| Jesse Ku | Registered representative | Oct 2012 (14y) | ||
| Jill M. Tiell | Registered representative | Oct 2012 (14y) | ||
| Jim A Walker | Registered representative | Oct 2012 (14y) | ||
| Jimmy P Laforteza | Registered representative | Oct 2012 (14y) | ||
| Jimmy Yang | Registered representative | Oct 2012 (14y) | ||
| Joanna Nicole Logothetis | Registered representative | Oct 2012 (14y) | ||
| Joel Grachan | Registered representative | CFP | Oct 2012 (14y) | |
| John A Estrella | Registered representative | Oct 2012 (14y) | ||
| John G Schumacher | Registered representative | Oct 2012 (14y) | ||
| John H Bach | Registered representative | Oct 2012 (14y) | ||
| John H Song | Registered representative | Oct 2012 (14y) | ||
| John J Brady | Registered representative | Oct 2012 (14y) | ||
| John J. Crayne | Registered representative | Oct 2012 (14y) | ||
| John James Horton | Registered representative | CFP | Oct 2012 (14y) | |
| John K. Chau | Registered representative | CFP | Oct 2012 (14y) | |
| John M Hernandez | Registered representative | Oct 2012 (14y) | ||
| John M Perrette | Registered representative | Oct 2012 (14y) | ||
| John M Polovick | Registered representative | Oct 2012 (14y) | ||
| John M. Zeumer | Registered representative | Oct 2012 (14y) | ||
| John O Adeniji | Registered representative | CFP | Oct 2012 (14y) | |
| John P Kozole | Registered representative | Oct 2012 (14y) | ||
| John Patrick Landry | Registered representative | CFP | Oct 2012 (14y) | |
| John R. Policastro | Registered representative | Oct 2012 (14y) | ||
| John Sawyer | Registered representative | Oct 2012 (14y) | ||
| John T Caulfield | Registered representative | Oct 2012 (14y) | ||
| John T Mansfield | Registered representative | Oct 2012 (14y) | ||
| John Theo | Registered representative | Oct 2012 (14y) | ||
| John Zarrelli | Registered representative | Oct 2012 (14y) | ||
| Johnathan S Frankel | Registered representative | Oct 2012 (14y) | ||
| Jonas M Peterson | Registered representative | Oct 2012 (14y) | ||
| Jonathan E Mc Clain | Registered representative | Oct 2012 (14y) | ||
| Jonathan Hassan Saffiedine | Registered representative | Oct 2012 (14y) | ||
| Jonathan P Simpson | Registered representative | Oct 2012 (14y) | ||
| Jorge D Torres | Registered representative | Oct 2012 (14y) | ||
| Jorge Egal | Registered representative | Oct 2012 (14y) | ||
| Jose Lino Huerfano | Registered representative | Oct 2012 (14y) | ||
| Jose R Barajas | Registered representative | CFP | Oct 2012 (14y) | |
| Joseph A Kieffer | Registered representative | Oct 2012 (14y) | ||
| Joseph Abraham Garcia | Registered representative | Oct 2012 (14y) | ||
| Joseph Al Lambert | Registered representative | Oct 2012 (14y) | ||
| Joseph C. Sing Po | Registered representative | Oct 2012 (14y) | ||
| Joseph D Cable | Registered representative | Oct 2012 (14y) | ||
| Joseph Di Fusco | Registered representative | Oct 2012 (14y) | ||
| Joseph J. Lopresti | Registered representative | Oct 2012 (14y) | ||
| Joseph Lazzara | Registered representative | Oct 2012 (14y) | ||
| Joseph Liddell | Registered representative | Oct 2012 (14y) | ||
| Joseph M. Jelinek | Registered representative | Oct 2012 (14y) | ||
| Joseph P Meade | Registered representative | Oct 2012 (14y) | ||
| Joseph Phillips | Registered representative | CFP | Oct 2012 (14y) | |
| Joseph R Mignano | Registered representative | Oct 2012 (14y) | ||
| Joseph R Ramirez | Registered representative | Oct 2012 (14y) | ||
| Joseph Raymond | Registered representative | Oct 2012 (14y) | ||
| Joseph S. Cullen | Registered representative | Oct 2012 (14y) | ||
| Joseph W Johnston | Registered representative | Oct 2012 (14y) | ||
| Joseph W. Tenpenny | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Josh Michael Breaux | Registered representative | Oct 2012 (14y) | ||
| Joshua C Waitz | Registered representative | Oct 2012 (14y) | ||
| Joshua Joseph Medina | Registered representative | Oct 2012 (14y) | ||
| Joshua T Resch | Registered representative | Oct 2012 (14y) | ||
| Julie Malamud | Registered representative | Oct 2012 (14y) | ||
| Julio Valdez | Registered representative | Oct 2012 (14y) | ||
| Justin L Wasserman | Registered representative | Oct 2012 (14y) | ||
| Justin Steven Burge | Registered representative | Oct 2012 (14y) | ||
| Kayla Sue Williams | Registered representative | Oct 2012 (14y) | ||
| Kenneth Hwan Chung | Registered representative | Oct 2012 (14y) | ||
| Kenneth L Scott | Registered representative | CFP | Oct 2012 (14y) | |
| Kimberly Kay Ambrogio | Registered representative | Oct 2012 (14y) | ||
| Kimberly Ruvolo | Registered representative | Oct 2012 (14y) | ||
| Kit S Dang | Registered representative | Oct 2012 (14y) | ||
| Kris Hanifi | Registered representative | Oct 2012 (14y) | ||
| Kristin Field Hartwell | Registered representative | Oct 2012 (14y) | ||
| Kristina Beres | Registered representative | Oct 2012 (14y) | ||
| Kristopher Cerciello | Registered representative | Oct 2012 (14y) | ||
| Kyle Arthur Leadbetter | Registered representative | Oct 2012 (14y) | ||
| Kyle Volker | Registered representative | Oct 2012 (14y) | ||
| Kanan Mehren | Registered representative | Oct 2012 (14y) | ||
| Karen E. Overcash | Registered representative | CFP | Oct 2012 (14y) | |
| Karen M Calcagno | Registered representative | Oct 2012 (14y) | ||
| Kathleen Fisher | Registered representative | Oct 2012 (14y) | ||
| Kathy A Grubar | Registered representative | Oct 2012 (14y) | ||
| Keith Mendell | Registered representative | Oct 2012 (14y) | ||
| Kellie N Palm | Registered representative | Oct 2012 (14y) | ||
| Kelly D Parker | Registered representative | Oct 2012 (14y) | ||
| Kelly M Pierce | Registered representative | Oct 2012 (14y) | ||
| Kelly Simms | Registered representative | Oct 2012 (14y) | ||
| Kenneth A. Serrio | Registered representative | Oct 2012 (14y) | ||
| Kenneth C Gates | Registered representative | Oct 2012 (14y) | ||
| Kenneth Douglas Elliott | Registered representative | CFP | Oct 2012 (14y) | |
| Kent Albert Chesney | Registered representative | Oct 2012 (14y) | ||
| Kent H. Chung | Registered representative | Oct 2012 (14y) | ||
| Kevin A Reugger | Registered representative | Oct 2012 (14y) | ||
| Kevin D Lewis | Registered representative | Oct 2012 (14y) | ||
| Kevin E. Smith | Registered representative | Oct 2012 (14y) | ||
| Kevin Lenci | Registered representative | CFP | Oct 2012 (14y) | |
| Kevin M. Donnelly | Registered representative | CFP | Oct 2012 (14y) | |
| Kevin M. Kemp | Registered representative | Oct 2012 (14y) | ||
| Kevin T Guinan | Registered representative | Oct 2012 (14y) | ||
| Khanh H Nguyen | Registered representative | Oct 2012 (14y) | ||
| Kim T Hickey | Registered representative | Oct 2012 (14y) | ||
| Kirk J Crawford | Registered representative | Oct 2012 (14y) | ||
| Kishor R Lakshminarayan | Registered representative | Oct 2012 (14y) | ||
| Klaus Alfons Poser | Registered representative | Oct 2012 (14y) | ||
| Kristen L Curtis | Registered representative | Oct 2012 (14y) | ||
| Kristopher Nguyen | Registered representative | Oct 2012 (14y) | ||
| Kyle Roehrig | Registered representative | Oct 2012 (14y) | ||
| Lance Eric Devries | Registered representative | Oct 2012 (14y) | ||
| Larry Robinson | Registered representative | Oct 2012 (14y) | ||
| Laura Courtney Powell | Registered representative | Oct 2012 (14y) | ||
| Leonor Zamora | Registered representative | Oct 2012 (14y) | ||
| Leslie J Adams | Registered representative | Oct 2012 (14y) | ||
| Lien Lay | Registered representative | CFP | Oct 2012 (14y) | |
| Linda S Takach | Registered representative | Oct 2012 (14y) | ||
| Lindsay Anne Mcgary | Registered representative | CFP | Oct 2012 (14y) | |
| Lisa Alvarado | Registered representative | Oct 2012 (14y) | ||
| Lisa Renee Madill | Registered representative | Oct 2012 (14y) | ||
| Lowell Eileen Albert | Registered representative | Oct 2012 (14y) | ||
| Luc Droal | Registered representative | Oct 2012 (14y) | ||
| Luc Bernard Murat | Registered representative | Oct 2012 (14y) | ||
| Ludinila Pangan | Registered representative | Oct 2012 (14y) | ||
| Luis Ramond Rodriguez | Registered representative | Oct 2012 (14y) | ||
| Luke Loaknauth Bhudeo | Registered representative | Oct 2012 (14y) | ||
| Lahnna Morgan Morton | Registered representative | Oct 2012 (14y) | ||
| Lana L Berardi | Registered representative | Oct 2012 (14y) | ||
| Laura A Bochenek | Registered representative | Oct 2012 (14y) | ||
| Leo Drew Gies | Registered representative | Oct 2012 (14y) | ||
| Leon T Worthy | Registered representative | Oct 2012 (14y) | ||
| Leonardo Alava | Registered representative | Oct 2012 (14y) | ||
| Leslee J Barboza | Registered representative | Oct 2012 (14y) | ||
| Lesley A Gambone | Registered representative | Oct 2012 (14y) | ||
| Leslie Jean Jackson Bridges | Registered representative | Oct 2012 (14y) | ||
| Leslie L Little | Registered representative | Oct 2012 (14y) | ||
| Levon Manuel Hasserjian | Registered representative | Oct 2012 (14y) | ||
| Linc J Le Blanc | Registered representative | Oct 2012 (14y) | ||
| Lisa J Kielmeyer | Registered representative | Oct 2012 (14y) | ||
| Lisa M Forsythe | Registered representative | Oct 2012 (14y) | ||
| Lisa Marie Block | Registered representative | Oct 2012 (14y) | ||
| Lisa Nguyen Booe | Registered representative | Oct 2012 (14y) | ||
| Loisen Harris Jacobs | Registered representative | Oct 2012 (14y) | ||
| Lona M Crawford | Registered representative | Oct 2012 (14y) | ||
| Louis Ferriello | Registered representative | Oct 2012 (14y) | ||
| Louis T Dong | Registered representative | Oct 2012 (14y) | ||
| Lucia R Fondano | Registered representative | Oct 2012 (14y) | ||
| Lucinda E Bradley | Registered representative | Oct 2012 (14y) | ||
| Luis Ernesto Gonzalez | Registered representative | Oct 2012 (14y) | ||
| Lyn E Brandt | Registered representative | Oct 2012 (14y) | ||
| Lyn L Patterson | Registered representative | Oct 2012 (14y) | ||
| Madelen Betbadal | Registered representative | Oct 2012 (14y) | ||
| Magdalena Sekscinski | Registered representative | Oct 2012 (14y) | ||
| Man Tat Tai | Registered representative | Oct 2012 (14y) | ||
| Manjul Chugh | Registered representative | Oct 2012 (14y) | ||
| Manuel De Leon | Registered representative | Oct 2012 (14y) | ||
| Manuel Fernandez | Registered representative | Oct 2012 (14y) | ||
| Marco Semilia | Registered representative | Oct 2012 (14y) | ||
| Marcos R Morales | Registered representative | CFP | Oct 2012 (14y) | |
| Marcus Inmuk Hwong | Registered representative | Oct 2012 (14y) | ||
| Marcus Maldonado | Registered representative | Oct 2012 (14y) | ||
| Margarita Menakerman | Registered representative | Oct 2012 (14y) | ||
| Mark Alan Wilder | Registered representative | Oct 2012 (14y) | ||
| Mark David Mascharka | Registered representative | Oct 2012 (14y) | ||
| Mark Edward Mccormick | Registered representative | Oct 2012 (14y) | ||
| Mark M Minkler | Registered representative | Oct 2012 (14y) | ||
| Mark Szulc | Registered representative | Oct 2012 (14y) | ||
| Mark Yunayev | Registered representative | Oct 2012 (14y) | ||
| Martin Jankowski | Registered representative | Oct 2012 (14y) | ||
| Mary Catherine Radke | Registered representative | Oct 2012 (14y) | ||
| Matan Michael Frenkel | Registered representative | Oct 2012 (14y) | ||
| Matthew Charles Schulter | Registered representative | Oct 2012 (14y) | ||
| Matthew Dennis Fleming | Registered representative | Oct 2012 (14y) | ||
| Matthew James Delisle | Registered representative | Oct 2012 (14y) | ||
| Matthew James Richter | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Matthew John Bettes | Registered representative | CFP | Oct 2012 (14y) | |
| Matthew John Stewart | Registered representative | Oct 2012 (14y) | ||
| Matthew K Glaser | Registered representative | Oct 2012 (14y) | ||
| Matthew Schlien | Registered representative | Oct 2012 (14y) | ||
| Maureen E Bartlett | Registered representative | Oct 2012 (14y) | ||
| Maydenise Santiago | Registered representative | Oct 2012 (14y) | ||
| Melanie M Dehler | Registered representative | Oct 2012 (14y) | ||
| Melissa Hansen Sullivan | Registered representative | Oct 2012 (14y) | ||
| Mena Wahid Eskander | Registered representative | Oct 2012 (14y) | ||
| Michael A Tenore | Registered representative | Oct 2012 (14y) | ||
| Michael Anthony Widmaier | Registered representative | Oct 2012 (14y) | ||
| Michael Ayerov | Registered representative | Oct 2012 (14y) | ||
| Michael Beza | Registered representative | Oct 2012 (14y) | ||
| Michael Christopher Champion | Registered representative | Oct 2012 (14y) | ||
| Michael David Perrone | Registered representative | Oct 2012 (14y) | ||
| Michael Diaco | Registered representative | Oct 2012 (14y) | ||
| Michael Greenberg | Registered representative | Oct 2012 (14y) | ||
| Michael Halfon | Registered representative | Oct 2012 (14y) | ||
| Michael J Jappell | Registered representative | Oct 2012 (14y) | ||
| Michael John Look | Registered representative | Oct 2012 (14y) | ||
| Michael Jon Jenny | Registered representative | Oct 2012 (14y) | ||
| Michael Lawrence Anthony | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Michael Lopes Cardozo | Registered representative | Oct 2012 (14y) | ||
| Michael Misak | Registered representative | Oct 2012 (14y) | ||
| Michael R Gutwein | Registered representative | CFP | Oct 2012 (14y) | |
| Michael Scott Ridley | Registered representative | Oct 2012 (14y) | ||
| Michael Vincent Campo | Registered representative | Oct 2012 (14y) | ||
| Michael W Rutherford | Registered representative | Oct 2012 (14y) | ||
| Michal Wloch | Registered representative | Oct 2012 (14y) | ||
| Michelle Engalla | Registered representative | Oct 2012 (14y) | ||
| Miguel Angel Alcala | Registered representative | Oct 2012 (14y) | ||
| Mikhail Khochinsky | Registered representative | Oct 2012 (14y) | ||
| Miroslav T Pouev | Registered representative | Oct 2012 (14y) | ||
| Mitchell R Mcallister | Registered representative | Oct 2012 (14y) | ||
| Mohit Kumar | Registered representative | Oct 2012 (14y) | ||
| Morris Murciano | Registered representative | Oct 2012 (14y) | ||
| Mote Zawalunow | Registered representative | Oct 2012 (14y) | ||
| Mustafa Yaqubie | Registered representative | Oct 2012 (14y) | ||
| Malik J. Farr | Registered representative | CFP | Oct 2012 (14y) | |
| Malik Quran Brown | Registered representative | Oct 2012 (14y) | ||
| Manuel Canales | Registered representative | CFP | Oct 2012 (14y) | |
| Marc D Micali | Registered representative | Oct 2012 (14y) | ||
| Marcus Freel | Registered representative | Oct 2012 (14y) | ||
| Maria M Smith | Registered representative | CFP | Oct 2012 (14y) | |
| Mark A Knight | Registered representative | Oct 2012 (14y) | ||
| Mark D. Sessa | Registered representative | CFP | Oct 2012 (14y) | |
| Mark E Lucas | Registered representative | Oct 2012 (14y) | ||
| Mark E Smelser | Registered representative | Oct 2012 (14y) | ||
| Mark O Maddock | Registered representative | Oct 2012 (14y) | ||
| Mark P Nicholls | Registered representative | Oct 2012 (14y) | ||
| Martin K Melnik | Registered representative | Oct 2012 (14y) | ||
| Mary B Byers | Registered representative | Oct 2012 (14y) | ||
| Mary Jo Lasater | Registered representative | Oct 2012 (14y) | ||
| Mathew David Medcraff | Registered representative | Oct 2012 (14y) | ||
| Matt W Murphy | Registered representative | Oct 2012 (14y) | ||
| Matt Williams | Registered representative | Oct 2012 (14y) | ||
| Matt Williamson | Registered representative | Oct 2012 (14y) | ||
| Matthew C Carr | Registered representative | Oct 2012 (14y) | ||
| Matthew C. Barcia | Registered representative | Oct 2012 (14y) | ||
| Matthew David Beleski | Registered representative | Oct 2012 (14y) | ||
| Matthew Farrier | Registered representative | Oct 2012 (14y) | ||
| Matthew G Horne | Registered representative | CFP | Oct 2012 (14y) | |
| Matthew Gill | Registered representative | Oct 2012 (14y) | ||
| Matthew Jon Bonilla | Registered representative | Oct 2012 (14y) | ||
| Matthew Neiger | Registered representative | Oct 2012 (14y) | ||
| Matthew P Bingham | Registered representative | Oct 2012 (14y) | ||
| Matthew P. Brown | Registered representative | Oct 2012 (14y) | ||
| Matthew Perry | Registered representative | Oct 2012 (14y) | ||
| May A. Khamo | Registered representative | Oct 2012 (14y) | ||
| Mayra A Escalante | Registered representative | Oct 2012 (14y) | ||
| Melanie M Sheedy | Registered representative | CFP | Oct 2012 (14y) | |
| Melissa L Marrero | Registered representative | Oct 2012 (14y) | ||
| Melissa R Moreno | Registered representative | Oct 2012 (14y) | ||
| Melvin D Gardner | Registered representative | Oct 2012 (14y) | ||
| Michael A. Principato | Registered representative | Oct 2012 (14y) | ||
| Michael Anthony Agate | Registered representative | Oct 2012 (14y) | ||
| Michael Barnhill | Registered representative | Oct 2012 (14y) | ||
| Michael C Lyons | Registered representative | Oct 2012 (14y) | ||
| Michael Campbell | Registered representative | Oct 2012 (14y) | ||
| Michael Craig Sommers | Registered representative | Oct 2012 (14y) | ||
| Michael D Sinacola | Registered representative | Oct 2012 (14y) | ||
| Michael Del Grosso | Registered representative | Oct 2012 (14y) | ||
| Michael E Reagan | Registered representative | Oct 2012 (14y) | ||
| Michael H Gudith | Registered representative | Oct 2012 (14y) | ||
| Michael J Cowgill | Registered representative | Oct 2012 (14y) | ||
| Michael J Mc Cluskey | Registered representative | Oct 2012 (14y) | ||
| Michael J Sclafani | Registered representative | Oct 2012 (14y) | ||
| Michael J. Hutton | Registered representative | Oct 2012 (14y) | ||
| Michael John Brady | Registered representative | CFP | Oct 2012 (14y) | |
| Michael John Reinhard | Registered representative | Oct 2012 (14y) | ||
| Michael Kent | Registered representative | Oct 2012 (14y) | ||
| Michael M Ulanowski | Registered representative | Oct 2012 (14y) | ||
| Michael Mott | Registered representative | Oct 2012 (14y) | ||
| Michael Nathan Sokol | Registered representative | CFP | Oct 2012 (14y) | |
| Michael Olson | Registered representative | Oct 2012 (14y) | ||
| Michael Prosen | Registered representative | Oct 2012 (14y) | ||
| Michael Quach | Registered representative | Oct 2012 (14y) | ||
| Michael R Maday | Registered representative | Oct 2012 (14y) | ||
| Michael R Rymsza | Registered representative | Oct 2012 (14y) | ||
| Michael R. Yackanin | Registered representative | Oct 2012 (14y) | ||
| Michael S Kertes | Registered representative | CFP | Oct 2012 (14y) | |
| Michael S Walsh | Registered representative | Oct 2012 (14y) | ||
| Michael T. Gregorio | Registered representative | Oct 2012 (14y) | ||
| Michael Winston Morris | Registered representative | CFP | Oct 2012 (14y) | |
| Michel C Shanks | Registered representative | Oct 2012 (14y) | ||
| Michelle C Delgado | Registered representative | Oct 2012 (14y) | ||
| Michelle Cheree Piper | Registered representative | Oct 2012 (14y) | ||
| Miguel F Hernandez | Registered representative | CFP | Oct 2012 (14y) | |
| Miguel Rodriguez | Registered representative | Oct 2012 (14y) | ||
| Miguel Rodriguez | Registered representative | Oct 2012 (14y) | ||
| Mike Mc Gowan | Registered representative | Oct 2012 (14y) | ||
| Mitchell Wallace | Registered representative | CFP | Oct 2012 (14y) | |
| Mohamed Ramadan | Registered representative | Oct 2012 (14y) | ||
| Mohammad S. Rihan | Registered representative | Oct 2012 (14y) | ||
| Nancy Contino | Registered representative | Oct 2012 (14y) | ||
| Natalia Lorena Paris | Registered representative | Oct 2012 (14y) | ||
| Nazmi Sejdija | Registered representative | Oct 2012 (14y) | ||
| Newlin Ottis Wollaston | Registered representative | Oct 2012 (14y) | ||
| Nichole Marie Baaki | Registered representative | Oct 2012 (14y) | ||
| Nicolas Rosello | Registered representative | Oct 2012 (14y) | ||
| Nikos Gutrugianios | Registered representative | Oct 2012 (14y) | ||
| Nita Mukesh Joshi | Registered representative | Oct 2012 (14y) | ||
| Nurian Paz | Registered representative | Oct 2012 (14y) | ||
| Nadeem Rihan | Registered representative | Oct 2012 (14y) | ||
| Nalendra C Perera | Registered representative | Oct 2012 (14y) | ||
| Nancy H Stewart | Registered representative | Oct 2012 (14y) | ||
| Nate Burtman | Registered representative | Oct 2012 (14y) | ||
| Nathan R Ahearn | Registered representative | Oct 2012 (14y) | ||
| Nathaniel James Lehman | Registered representative | Oct 2012 (14y) | ||
| Neil E Cunningham | Registered representative | Oct 2012 (14y) | ||
| Nelson M. Frias | Registered representative | Oct 2012 (14y) | ||
| Nestor Mauricio Miranda | Registered representative | Oct 2012 (14y) | ||
| Nicholas Brown | Registered representative | Oct 2012 (14y) | ||
| Nicholas F Gambella | Registered representative | Oct 2012 (14y) | ||
| Nicholas J. Thomas | Registered representative | Oct 2012 (14y) | ||
| Nicholas Mavro | Registered representative | CFP | Oct 2012 (14y) | |
| Nicholas Mays | Registered representative | Oct 2012 (14y) | ||
| Nicholas Stangelo | Registered representative | Oct 2012 (14y) | ||
| Nicholas Wayne Mc Spadden | Registered representative | CFP | Oct 2012 (14y) | |
| Nicole M Leroux | Registered representative | Oct 2012 (14y) | ||
| Odalys Delfina Visbal | Registered representative | Oct 2012 (14y) | ||
| Ofer Albaz | Registered representative | Oct 2012 (14y) | ||
| Oganes John Gambarian | Registered representative | Oct 2012 (14y) | ||
| Omar Benvenuto Carnecchia | Registered representative | Oct 2012 (14y) | ||
| Omar Ibarra | Registered representative | Oct 2012 (14y) | ||
| Orlando Isaac Botton | Registered representative | Oct 2012 (14y) | ||
| Osher Douek | Registered representative | Oct 2012 (14y) | ||
| Omar Fathallah | Registered representative | Oct 2012 (14y) | ||
| Oreste A. Abbamonte | Registered representative | Oct 2012 (14y) | ||
| Pamela Gail Woodall | Registered representative | Oct 2012 (14y) | ||
| Patrick K Lusk | Registered representative | Oct 2012 (14y) | ||
| Patrick William Bergman | Registered representative | Oct 2012 (14y) | ||
| Paul David Arbitman | Registered representative | Oct 2012 (14y) | ||
| Paul Michael Cabrera | Registered representative | Oct 2012 (14y) | ||
| Paul Skaggs | Registered representative | Oct 2012 (14y) | ||
| Paul Susana | Registered representative | Oct 2012 (14y) | ||
| Pavel Kreychman | Registered representative | Oct 2012 (14y) | ||
| Pedro M Espejo | Registered representative | Oct 2012 (14y) | ||
| Peter Katsigiorgis | Registered representative | Oct 2012 (14y) | ||
| Peter Lawrence Totaro | Registered representative | Oct 2012 (14y) | ||
| Peter Nicholas Getschmann | Registered representative | Oct 2012 (14y) | ||
| Philip D. Tefarikis | Registered representative | Oct 2012 (14y) | ||
| Phillip Earl Flores | Registered representative | Oct 2012 (14y) | ||
| Piero D Colecchia | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Piyush Chowhan | Registered representative | Oct 2012 (14y) | ||
| Patricia K Moon | Registered representative | Oct 2012 (14y) | ||
| Patrick D Baker | Registered representative | Oct 2012 (14y) | ||
| Patrick J. Kane | Registered representative | Oct 2012 (14y) | ||
| Patrick Krause | Registered representative | Oct 2012 (14y) | ||
| Patrick Turner Price | Registered representative | Oct 2012 (14y) | ||
| Patti L Lent | Registered representative | Oct 2012 (14y) | ||
| Paul Avegno | Registered representative | CFP | Oct 2012 (14y) | |
| Paul C Nielsen | Registered representative | Oct 2012 (14y) | ||
| Paul F Gesiriech | Registered representative | Oct 2012 (14y) | ||
| Paul Ippolito | Registered representative | Oct 2012 (14y) | ||
| Paul R Lang | Registered representative | Oct 2012 (14y) | ||
| Paula E Gandy | Registered representative | Oct 2012 (14y) | ||
| Paula K. Earll | Registered representative | Oct 2012 (14y) | ||
| Peggy A Bowers | Registered representative | CFP | Oct 2012 (14y) | |
| Peggy C Valencia | Registered representative | Oct 2012 (14y) | ||
| Peggy W Neal | Registered representative | Oct 2012 (14y) | ||
| Peizhen He Wong | Registered representative | CFP | Oct 2012 (14y) | |
| Peter Alan Cole | Registered representative | Oct 2012 (14y) | ||
| Peter Brodt | Registered representative | Oct 2012 (14y) | ||
| Peter D Hang | Registered representative | Oct 2012 (14y) | ||
| Peter Skordilis | Registered representative | Oct 2012 (14y) | ||
| Peter William Sears | Registered representative | Oct 2012 (14y) | ||
| Philip N. Neznanov | Registered representative | Oct 2012 (14y) | ||
| Philip S Getfield | Registered representative | Oct 2012 (14y) | ||
| Phillip F Terrones | Registered representative | CFP | Oct 2012 (14y) | |
| Phillip J Kaplan | Registered representative | Oct 2012 (14y) | ||
| Phillip K Kozen | Registered representative | Oct 2012 (14y) | ||
| Poonam Trivedi | Registered representative | Oct 2012 (14y) | ||
| Priya Singh | Registered representative | Oct 2012 (14y) | ||
| Qui Hoa Hua | Registered representative | Oct 2012 (14y) | ||
| Rafael M Medina | Registered representative | Oct 2012 (14y) | ||
| Rajesh Guglani | Registered representative | Oct 2012 (14y) | ||
| Ralph J Gallo | Registered representative | Oct 2012 (14y) | ||
| Randy Scott Bernstein | Registered representative | CFP | Oct 2012 (14y) | |
| Ranjit Singh Hayhre | Registered representative | Oct 2012 (14y) | ||
| Ravi Devendra Panchal | Registered representative | Oct 2012 (14y) | ||
| Raymond Leslie Keogh | Registered representative | Oct 2012 (14y) | ||
| Raywattie Persaud | Registered representative | Oct 2012 (14y) | ||
| Ricardo Jose Medina | Registered representative | CFP | Oct 2012 (14y) | |
| Richard Lee Lucas | Registered representative | CFP | Oct 2012 (14y) | |
| Richard M Patterson | Registered representative | Oct 2012 (14y) | ||
| Richard Paul Kenner | Registered representative | CFP | Oct 2012 (14y) | |
| Rivka Kaplan | Registered representative | Oct 2012 (14y) | ||
| Robert Allen Stachowiak | Registered representative | CFP | Oct 2012 (14y) | |
| Robert Bradley Grace | Registered representative | Oct 2012 (14y) | ||
| Robert Bruce Greenwald | Registered representative | Oct 2012 (14y) | ||
| Robert Edwards Dimilia | Registered representative | CFP | Oct 2012 (14y) | |
| Robert T Thorne | Registered representative | Oct 2012 (14y) | ||
| Robert W Frazier | Registered representative | Oct 2012 (14y) | ||
| Rocio Maria Branz | Registered representative | Oct 2012 (14y) | ||
| Roger Grant Morgan | Registered representative | Oct 2012 (14y) | ||
| Ronald L Javate | Registered representative | Oct 2012 (14y) | ||
| Ronald W Breier | Registered representative | Oct 2012 (14y) | ||
| Roxanna Martinez | Registered representative | CFP | Oct 2012 (14y) | |
| Russell Larvadain | Registered representative | Oct 2012 (14y) | ||
| Ryan Edward Neff | Registered representative | Oct 2012 (14y) | ||
| Ryan Edwin Woodman | Registered representative | Oct 2012 (14y) | ||
| Ryan Glenn Bible | Registered representative | Oct 2012 (14y) | ||
| Ryan Patrick Rossman | Registered representative | Oct 2012 (14y) | ||
| Ryan Taylor Mcdermott | Registered representative | Oct 2012 (14y) | ||
| Rachel Gittens | Registered representative | Oct 2012 (14y) | ||
| Rachelle Dy Andrus | Registered representative | Oct 2012 (14y) | ||
| Ralph E Wagoner | Registered representative | Oct 2012 (14y) | ||
| Ramon Jorge | Registered representative | Oct 2012 (14y) | ||
| Ramzi Y Bahu | Registered representative | Oct 2012 (14y) | ||
| Randal L Jefferson | Registered representative | Oct 2012 (14y) | ||
| Randy Russell | Registered representative | Oct 2012 (14y) | ||
| Randy W Potter | Registered representative | Oct 2012 (14y) | ||
| Raquel M. Quinn | Registered representative | Oct 2012 (14y) | ||
| Rashid A. Coleman | Registered representative | Oct 2012 (14y) | ||
| Raymond D. Leslie | Registered representative | Oct 2012 (14y) | ||
| Raymond P Walsh | Registered representative | Oct 2012 (14y) | ||
| Raymond Riveras | Registered representative | Oct 2012 (14y) | ||
| Rebecca B Baugh | Registered representative | Oct 2012 (14y) | ||
| Renato Manese Tosoc | Registered representative | Oct 2012 (14y) | ||
| Rey Sarmiento | Registered representative | CFP | Oct 2012 (14y) | |
| Rhett W Jefferies | Registered representative | Oct 2012 (14y) | ||
| Richard A Anton | Registered representative | Oct 2012 (14y) | ||
| Richard A Graham | Registered representative | Oct 2012 (14y) | ||
| Richard A. Osty | Registered representative | Oct 2012 (14y) | ||
| Richard A. Urban | Registered representative | Oct 2012 (14y) | ||
| Richard F. Chun | Registered representative | Oct 2012 (14y) | ||
| Richard I. Weinhaus | Registered representative | Oct 2012 (14y) | ||
| Richard J Bell | Registered representative | Oct 2012 (14y) | ||
| Richard Riemer | Registered representative | Oct 2012 (14y) | ||
| Richard Servis | Registered representative | Oct 2012 (14y) | ||
| Rick A Murga | Registered representative | Oct 2012 (14y) | ||
| Rishi Acharya | Registered representative | Oct 2012 (14y) | ||
| Rivers A Patout | Registered representative | Oct 2012 (14y) | ||
| Rob Robertson | Registered representative | Oct 2012 (14y) | ||
| Robert B Curry | Registered representative | Oct 2012 (14y) | ||
| Robert De Marco | Registered representative | Oct 2012 (14y) | ||
| Robert Estepanian | Registered representative | Oct 2012 (14y) | ||
| Robert Hite | Registered representative | Oct 2012 (14y) | ||
| Robert J Denoo | Registered representative | Oct 2012 (14y) | ||
| Robert John Pallitto | Registered representative | Oct 2012 (14y) | ||
| Robert Joseph Sabrio | Registered representative | Oct 2012 (14y) | ||
| Robert Joseph Siers | Registered representative | CFP | Oct 2012 (14y) | |
| Robert Nicoletti | Registered representative | CFP | Oct 2012 (14y) | |
| Robert S Bullock | Registered representative | Oct 2012 (14y) | ||
| Robert S Hedworth | Registered representative | Oct 2012 (14y) | ||
| Robert S. Eiford | Registered representative | Oct 2012 (14y) | ||
| Robert S. Yenisey | Registered representative | Oct 2012 (14y) | ||
| Robert W Williams | Registered representative | CFP | Oct 2012 (14y) | |
| Robert Wilds | Registered representative | Oct 2012 (14y) | ||
| Rodouane Ragui | Registered representative | Oct 2012 (14y) | ||
| Ronald A. Jones | Registered representative | Oct 2012 (14y) | ||
| Ronald L Rosenbeck | Registered representative | Oct 2012 (14y) | ||
| Roy M Leonard | Registered representative | CFP | Oct 2012 (14y) | |
| Russell A Johnson | Registered representative | Oct 2012 (14y) | ||
| Russell L Fletcher | Registered representative | Oct 2012 (14y) | ||
| Rusty Edward Hanna | Registered representative | Oct 2012 (14y) | ||
| Ryan E. Boyle | Registered representative | Oct 2012 (14y) | ||
| Ryan F Neville | Registered representative | CFP | Oct 2012 (14y) | |
| Ryan Fisher | Registered representative | Oct 2012 (14y) | ||
| Ryan J Coryell | Registered representative | Oct 2012 (14y) | ||
| Ryan Leiby | Registered representative | Oct 2012 (14y) | ||
| Ryan Schwedfeger | Registered representative | Oct 2012 (14y) | ||
| Sameer Aga | Registered representative | Oct 2012 (14y) | ||
| Samuel A Iampaglia | Registered representative | Oct 2012 (14y) | ||
| Scott David Lorraine | Registered representative | Oct 2012 (14y) | ||
| Scott Hayward Mitchell | Registered representative | Oct 2012 (14y) | ||
| Scott Kenneth Pope | Registered representative | Oct 2012 (14y) | ||
| Sean Anthony Gomez | Registered representative | Oct 2012 (14y) | ||
| Sean Michael Orourke | Registered representative | Oct 2012 (14y) | ||
| Sergio Godinez | Registered representative | Oct 2012 (14y) | ||
| Seth Jason Dubrow | Registered representative | CFP | Oct 2012 (14y) | |
| Shawn Lahring | Registered representative | Oct 2012 (14y) | ||
| Shruti Sherrie Kohli | Registered representative | Oct 2012 (14y) | ||
| Sohodra Nathu | Registered representative | Oct 2012 (14y) | ||
| Stephanie J Niemtschk | Registered representative | CFP | Oct 2012 (14y) | |
| Stephanie Lee Crocker | Registered representative | Oct 2012 (14y) | ||
| Stephen Michael Hooks | Registered representative | Oct 2012 (14y) | ||
| Sterling Blair Hartley | Registered representative | Oct 2012 (14y) | ||
| Steven David Shields | Registered representative | CFP | Oct 2012 (14y) | |
| Susan Nichole Wallace | Registered representative | Oct 2012 (14y) | ||
| Syed Faisal Afzaal | Registered representative | Oct 2012 (14y) | ||
| Sabine J De Weijer | Registered representative | Oct 2012 (14y) | ||
| Sam L Friday | Registered representative | Oct 2012 (14y) | ||
| Samantha Crouse Philip | Registered representative | Oct 2012 (14y) | ||
| Samir Bagga | Registered representative | Oct 2012 (14y) | ||
| Samson Y Park | Registered representative | Oct 2012 (14y) | ||
| Samuel K Yam | Registered representative | Oct 2012 (14y) | ||
| Sana Khalaf | Registered representative | Oct 2012 (14y) | ||
| Sandra S Myles | Registered representative | Oct 2012 (14y) | ||
| Sang Eckerle | Registered representative | Oct 2012 (14y) | ||
| Sara Neil | Registered representative | Oct 2012 (14y) | ||
| Scott A Gwin | Registered representative | Oct 2012 (14y) | ||
| Scott C Reiner | Registered representative | Oct 2012 (14y) | ||
| Scott C. Holzer | Registered representative | Oct 2012 (14y) | ||
| Scott Chrisman | Registered representative | Oct 2012 (14y) | ||
| Scott F Scharfenberger | Registered representative | Oct 2012 (14y) | ||
| Scott Webster | Registered representative | Oct 2012 (14y) | ||
| Scotty Ferguson | Registered representative | Oct 2012 (14y) | ||
| Sean M. Dobbins | Registered representative | Oct 2012 (14y) | ||
| Sean P. Vail | Registered representative | Oct 2012 (14y) | ||
| Seth J Jones | Registered representative | Oct 2012 (14y) | ||
| Shane Gregory Wummel | Registered representative | Oct 2012 (14y) | ||
| Shane Irvine | Registered representative | Oct 2012 (14y) | ||
| Shane Kreifel | Registered representative | Oct 2012 (14y) | ||
| Shane M Eversole | Registered representative | Oct 2012 (14y) | ||
| Shannon Mc Nairy Freeland | Registered representative | Oct 2012 (14y) | ||
| Shawn F Marks | Registered representative | Oct 2012 (14y) | ||
| Sheel J Desai | Registered representative | Oct 2012 (14y) | ||
| Shelley Rene Perone | Registered representative | Oct 2012 (14y) | ||
| Sheri L Savage | Registered representative | Oct 2012 (14y) | ||
| Sherre Barber | Registered representative | Oct 2012 (14y) | ||
| Shirley T Conditt | Registered representative | Oct 2012 (14y) | ||
| Shukri Dayeh | Registered representative | Oct 2012 (14y) | ||
| Singer Jen Hsing Huang | Registered representative | Oct 2012 (14y) | ||
| Sofia T Manashirov | Registered representative | Oct 2012 (14y) | ||
| Sonja Lilja Li | Registered representative | Oct 2012 (14y) | ||
| Stacey Renee Gearhart | Registered representative | Oct 2012 (14y) | ||
| Stacia L Kerlin Welch | Registered representative | Oct 2012 (14y) | ||
| Stanley Tang | Registered representative | Oct 2012 (14y) | ||
| Stephanie C Chininis | Registered representative | Oct 2012 (14y) | ||
| Stephen Christopher Puccia | Registered representative | Oct 2012 (14y) | ||
| Stephen P Spratley | Registered representative | Oct 2012 (14y) | ||
| Stephen R Witt | Registered representative | Oct 2012 (14y) | ||
| Stephen Roberts | Registered representative | Oct 2012 (14y) | ||
| Stephen S Collette | Registered representative | Oct 2012 (14y) | ||
| Steve F Roitman | Registered representative | Oct 2012 (14y) | ||
| Steve Patrick Stofflet | Registered representative | Oct 2012 (14y) | ||
| Steve Richenberger | Registered representative | Oct 2012 (14y) | ||
| Steve S Schulman | Registered representative | Oct 2012 (14y) | ||
| Steven C Underwood | Registered representative | Oct 2012 (14y) | ||
| Steven Chandler | Registered representative | Oct 2012 (14y) | ||
| Steven D. Lee | Registered representative | CFP | Oct 2012 (14y) | |
| Steven Fuchs | Registered representative | Oct 2012 (14y) | ||
| Steven L Reed | Registered representative | Oct 2012 (14y) | ||
| Steven M Andrews | Registered representative | Oct 2012 (14y) | ||
| Steven M Nelson | Registered representative | Oct 2012 (14y) | ||
| Steven Morey | Registered representative | Oct 2012 (14y) | ||
| Steven N Samson | Registered representative | Oct 2012 (14y) | ||
| Steven Swanson | Registered representative | Oct 2012 (14y) | ||
| Steven Tyler Johnson | Registered representative | Oct 2012 (14y) | ||
| Sulaiman Mayel | Registered representative | CFP | Oct 2012 (14y) | |
| Sumair Hassan | Registered representative | Oct 2012 (14y) | ||
| Susan M Barnett | Registered representative | Oct 2012 (14y) | ||
| Susan M. Ando | Registered representative | Oct 2012 (14y) | ||
| Suzanne M Crook | Registered representative | Oct 2012 (14y) | ||
| Tamir Assas | Registered representative | CFP | Oct 2012 (14y) | |
| Tarun Hasija | Registered representative | Oct 2012 (14y) | ||
| Temur Dranker | Registered representative | Oct 2012 (14y) | ||
| Teresa T Ferrer | Registered representative | Oct 2012 (14y) | ||
| Teresa Tompkins Appell | Registered representative | Oct 2012 (14y) | ||
| Thai Vang | Registered representative | Oct 2012 (14y) | ||
| Thomas Flood | Registered representative | Oct 2012 (14y) | ||
| Thomas Jeffrey Balas | Registered representative | Oct 2012 (14y) | ||
| Timothy Allan Tenbusch | Registered representative | Oct 2012 (14y) | ||
| Timothy James Murphy | Registered representative | Oct 2012 (14y) | ||
| Ting Ngan | Registered representative | Oct 2012 (14y) | ||
| Todd G Fannin | Registered representative | Oct 2012 (14y) | ||
| Todd Michael Downerd | Registered representative | Oct 2012 (14y) | ||
| Tyson S Cave | Registered representative | Oct 2012 (14y) | ||
| Tammy L Rector | Registered representative | Oct 2012 (14y) | ||
| Tanya Michelle Cole | Registered representative | Oct 2012 (14y) | ||
| Tarleton E Smith | Registered representative | CFP | Oct 2012 (14y) | |
| Teasha Soileau | Registered representative | Oct 2012 (14y) | ||
| Tequilla T Swan | Registered representative | Oct 2012 (14y) | ||
| Teri L Landrum | Registered representative | Oct 2012 (14y) | ||
| Terrance Tyler Seelow | Registered representative | Oct 2012 (14y) | ||
| Terrence Gerard Michalik | Registered representative | Oct 2012 (14y) | ||
| Terrence P Ryan | Registered representative | CFP | Oct 2012 (14y) | |
| Thomas A De Luna | Registered representative | Oct 2012 (14y) | ||
| Thomas B Grant | Registered representative | Oct 2012 (14y) | ||
| Thomas E. Garvey | Registered representative | Oct 2012 (14y) | ||
| Thomas M Banks | Registered representative | Oct 2012 (14y) | ||
| Thomas R. Peck | Registered representative | Oct 2012 (14y) | ||
| Thomas Shaw | Registered representative | Oct 2012 (14y) | ||
| Thomas W Muzechuk | Registered representative | Oct 2012 (14y) | ||
| Thomas W Spear | Registered representative | Oct 2012 (14y) | ||
| Tifani A Anderson | Registered representative | Oct 2012 (14y) | ||
| Tiffany Lee Smith | Registered representative | Oct 2012 (14y) | ||
| Tim D Lippincott | Registered representative | Oct 2012 (14y) | ||
| Tim Everhart | Registered representative | CFP | Oct 2012 (14y) | |
| Timothy A. Brennan | Registered representative | Oct 2012 (14y) | ||
| Timothy C Bouslog | Registered representative | Oct 2012 (14y) | ||
| Timothy D Dimock | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Timothy H. Haab | Registered representative | Chartered Financial Consultant | Oct 2012 (14y) | |
| Timothy Hanson | Registered representative | CFP | Oct 2012 (14y) | |
| Timothy Patrick Springer | Registered representative | Oct 2012 (14y) | ||
| Timothy S Cline | Registered representative | Oct 2012 (14y) | ||
| Toan B Au | Registered representative | Oct 2012 (14y) | ||
| Todd J Vander Veer | Registered representative | CFP | Oct 2012 (14y) | |
| Todd Jeffrey Belden | Registered representative | Oct 2012 (14y) | ||
| Todd Morgan | Registered representative | Oct 2012 (14y) | ||
| Todd S. Hanna | Registered representative | Oct 2012 (14y) | ||
| Todd V. Holden | Registered representative | Oct 2012 (14y) | ||
| Tommaso A Mellone | Registered representative | Oct 2012 (14y) | ||
| Tony B Kim | Registered representative | Oct 2012 (14y) | ||
| Tony F Haeussler | Registered representative | Oct 2012 (14y) | ||
| Tony R. Edelen | Registered representative | Oct 2012 (14y) | ||
| Tory Devore | Registered representative | Oct 2012 (14y) | ||
| Travis Harrington | Registered representative | CFP | Oct 2012 (14y) | |
| Travis R Carnes | Registered representative | Oct 2012 (14y) | ||
| Triet M Huynh | Registered representative | Oct 2012 (14y) | ||
| Troy Gerschutz | Registered representative | Oct 2012 (14y) | ||
| Ty Kearney | Registered representative | Oct 2012 (14y) | ||
| Tyler E Passmore | Registered representative | CFP | Oct 2012 (14y) | |
| Ursuline H Azul | Registered representative | Oct 2012 (14y) | ||
| Usha Dyal | Registered representative | Oct 2012 (14y) | ||
| Urszula Wierzgala | Registered representative | Oct 2012 (14y) | ||
| Valerie Maria Perez | Registered representative | Oct 2012 (14y) | ||
| Valerie V Bozich | Registered representative | Oct 2012 (14y) | ||
| Vesna Ranisavljevic | Registered representative | Oct 2012 (14y) | ||
| Vincent Sapienza | Registered representative | Oct 2012 (14y) | ||
| Virgilio Rt Gagalang | Registered representative | Oct 2012 (14y) | ||
| Vito Avvinti | Registered representative | Oct 2012 (14y) | ||
| Vivian Spyropoulos | Registered representative | Oct 2012 (14y) | ||
| Vi P Le | Registered representative | Oct 2012 (14y) | ||
| Victor T Wojtowicz | Registered representative | Oct 2012 (14y) | ||
| Vidya V Jaggernauth | Registered representative | CFP | Oct 2012 (14y) | |
| Vince Dimaggio | Registered representative | Oct 2012 (14y) | ||
| Vince Marino | Registered representative | CFP | Oct 2012 (14y) | |
| Vincent Serso | Registered representative | Oct 2012 (14y) | ||
| Vito A. Laera | Registered representative | CFP | Oct 2012 (14y) | |
| Vyacheslar Patrin | Registered representative | Oct 2012 (14y) | ||
| W Lee Bull | Registered representative | Oct 2012 (14y) | ||
| W. Michael Merkler | Registered representative | Oct 2012 (14y) | ||
| William Lee Jones | Registered representative | Oct 2012 (14y) | ||
| William Tien | Registered representative | Oct 2012 (14y) | ||
| William Travis Olsen | Registered representative | Oct 2012 (14y) | ||
| William Victor Acosta | Registered representative | Oct 2012 (14y) | ||
| Winnie To | Registered representative | Oct 2012 (14y) | ||
| Wanda Vasse Koerner | Registered representative | Oct 2012 (14y) | ||
| Warren Stansberry | Registered representative | Oct 2012 (14y) | ||
| Wayne Marshall | Registered representative | Oct 2012 (14y) | ||
| Wendell W Woods | Registered representative | Oct 2012 (14y) | ||
| Wendy M Ehrlich | Registered representative | Oct 2012 (14y) | ||
| Wesley G Sullivan | Registered representative | Oct 2012 (14y) | ||
| Whittaker Mack | Registered representative | CFP | Oct 2012 (14y) | |
| William B Harris | Registered representative | CFP | Oct 2012 (14y) | |
| William Clements | Registered representative | Oct 2012 (14y) | ||
| William E Leonard | Registered representative | Oct 2012 (14y) | ||
| William E Schoen | Registered representative | CFP | Oct 2012 (14y) | |
| William G. Wells Askew | Registered representative | Oct 2012 (14y) | ||
| William Harrell Chism | Registered representative | Oct 2012 (14y) | ||
| William Perri | Registered representative | Oct 2012 (14y) | ||
| William R Lamar | Registered representative | Oct 2012 (14y) | ||
| William S Randall | Registered representative | Oct 2012 (14y) | ||
| Xiao Liang Hong | Registered representative | CFP | Oct 2012 (14y) | |
| Yasmine Nathalia De Lannoy Reynolds | Registered representative | Oct 2012 (14y) | ||
| Yekaterina Shkolnik | Registered representative | Oct 2012 (14y) | ||
| Ying Fang | Registered representative | Oct 2012 (14y) | ||
| Yingfei Shi | Registered representative | Oct 2012 (14y) | ||
| Years J Davis | Registered representative | Oct 2012 (14y) | ||
| Yolanda Fabre Shiloh | Registered representative | Oct 2012 (14y) | ||
| Yong Hui Kim | Registered representative | CFP Chartered Financial Consultant | Oct 2012 (14y) | |
| Yuvini O. Amaya | Registered representative | Oct 2012 (14y) | ||
| Zachary R Ginsburg | Registered representative | CFP | Oct 2012 (14y) | |
| Zeenath A Selvakumar | Registered representative | Oct 2012 (14y) | ||
| Matthew D. Haney | Registered representative | Oct 2012 (14y) | ||
| Miguel Colon | Registered representative | Oct 2012 (14y) | ||
| Thomas Joseph Saviano | Registered representative | Oct 2012 (14y) | ||
| Jason Robert Perez | Registered representative | Oct 2012 (14y) | ||
| Veronica Amelia Rose | Registered representative | Oct 2012 (14y) | ||
| Brian J Hickey | Registered representative | Oct 2012 (14y) | ||
| John Varghese Cholankeril | Registered representative | Oct 2012 (14y) | ||
| Rodney Beasley | Registered representative | Oct 2012 (14y) | ||
| Tito E Gutierrez | Registered representative | Oct 2012 (14y) | ||
| Elizabeth Lynn Baldwin | Registered representative | Oct 2012 (14y) | ||
| Jonathan William Emerick | Registered representative | Oct 2012 (14y) | ||
| Kenneth R Barhaug | Registered representative | Oct 2012 (14y) | ||
| Argie Focco | Registered representative | Oct 2012 (14y) | ||
| Laura R Rudolph | Registered representative | Oct 2012 (14y) | ||
| Jennifer F Neighbors | Registered representative | Oct 2012 (14y) | ||
| Kimberly Engeln | Registered representative | Oct 2012 (14y) | ||
| Donald Andrew Lambert | Registered representative | Oct 2012 (14y) | ||
| Virginia Ann Cruanes | Registered representative | Oct 2012 (14y) | ||
| Dustin L White | Registered representative | CFP | Oct 2012 (14y) | |
| Kerry Ann Morris | Registered representative | Oct 2012 (14y) | ||
| Raymond L. Barcus | Registered representative | Oct 2012 (14y) | ||
| Jason Lee | Registered representative | Oct 2012 (14y) | ||
| Ricardo Martinez | Registered representative | Oct 2012 (14y) | ||
| Rodolfo E Muniz | Registered representative | CFP | Nov 2012 (14y) | |
| William Michael Novotny | Registered representative | Nov 2012 (14y) | ||
| James M. Hardifer | Registered representative | Nov 2012 (14y) | ||
| Kyle Wassmann | Registered representative | CFP | Nov 2012 (14y) | |
| Mauludin Ghafari | Registered representative | Nov 2012 (14y) | ||
| Cory Ainsworth Essenburg | Registered representative | CFP | Nov 2012 (14y) | |
| Konstantinos Panayiotis Gregory | Registered representative | Nov 2012 (14y) | ||
| Eiman Maleki | Registered representative | Nov 2012 (14y) | ||
| Ling Yung Wu | Registered representative | Nov 2012 (14y) | ||
| Angelena Therese Mascilli | Registered representative | Nov 2012 (14y) | ||
| Joseph P. Schaefer | Registered representative | Nov 2012 (14y) | ||
| Marie J Josue | Registered representative | CFP | Nov 2012 (14y) | |
| Matthew W Frazier | Registered representative | CFP | Dec 2012 (14y) | |
| Matthew P. Tihanovich | Registered representative | Dec 2012 (14y) | ||
| Paul Hoang | Registered representative | Dec 2012 (14y) | ||
| Christopher Thomas Foster | Registered representative | Dec 2012 (14y) | ||
| Kevin Amendola | Registered representative | Dec 2012 (14y) | ||
| Lori Marie Komondy | Registered representative | Dec 2012 (14y) | ||
| Scott Viano | Registered representative | Dec 2012 (14y) | ||
| Brett M. Heyder | Registered representative | Dec 2012 (14y) | ||
| Niki D Sands | Registered representative | Dec 2012 (14y) | ||
| Kerry James Kerch | Registered representative | Dec 2012 (14y) | ||
| Dashan Von Hayhurst | Registered representative | Dec 2012 (14y) | ||
| Nathan Jerry Frenkiel | Registered representative | Dec 2012 (14y) | ||
| Patricia Margaret Gilland | Registered representative | Dec 2012 (14y) | ||
| Sharon J Wallace | Registered representative | Dec 2012 (14y) | ||
| Priti S Patel | Registered representative | Dec 2012 (14y) | ||
| Shawna M Price | Registered representative | Dec 2012 (14y) | ||
| Ana Garcia | Registered representative | Dec 2012 (14y) | ||
| Daniel Davidovich Pollack | Registered representative | CFP | Jan 2013 (14y) | |
| Kelly Marie Jones | Registered representative | Jan 2013 (14y) | ||
| Kim Fonseca | Registered representative | Jan 2013 (14y) | ||
| Catherine T. Fisher | Registered representative | CFP | Jan 2013 (14y) | |
| Juliet R. Halter | Registered representative | Jan 2013 (14y) | ||
| Patrick Vento | Registered representative | Jan 2013 (14y) | ||
| Maria Katsougrakis | Registered representative | Jan 2013 (14y) | ||
| Anna Sitner | Registered representative | Jan 2013 (14y) | ||
| Anthony Aiello | Registered representative | Jan 2013 (14y) | ||
| Thomas W. Larsen | Registered representative | CFP | Jan 2013 (14y) | |
| Rebecca Lynn Walsh | Registered representative | Jan 2013 (14y) | ||
| Todd Steele Heilbrunn | Registered representative | Jan 2013 (14y) | ||
| George Eleftheropoulos | Registered representative | Jan 2013 (14y) | ||
| Masihulla Nawabi | Registered representative | Jan 2013 (14y) | ||
| Jason Rotter | Registered representative | Feb 2013 (14y) | ||
| David Michael Roberts | Registered representative | Feb 2013 (13y) | ||
| Sean Warren | Registered representative | Feb 2013 (13y) | ||
| Antoinette Fiona Kenmuir Evans | Registered representative | Feb 2013 (13y) | ||
| Robert P. Vastine | Registered representative | Feb 2013 (13y) | ||
| Victoria Pierce | Registered representative | Feb 2013 (13y) | ||
| Lisa M Alvarado | Registered representative | Feb 2013 (13y) | ||
| Kristen Soltan | Registered representative | Feb 2013 (13y) | ||
| Carlos Garza | Registered representative | Mar 2013 (13y) | ||
| Rucong Wu | Registered representative | Mar 2013 (13y) | ||
| Stephan E. Rothe | Registered representative | CFP | Mar 2013 (13y) | |
| Antonio Moscoso | Registered representative | Mar 2013 (13y) | ||
| Matthew Palmer | Registered representative | Mar 2013 (13y) | ||
| Christopher H. Wilson | Registered representative | Mar 2013 (13y) | ||
| Celena Beryl Howard | Registered representative | Mar 2013 (13y) | ||
| Patrick J Mccaskill | Registered representative | Mar 2013 (13y) | ||
| Paul Joseph Elliott | Registered representative | CFP | Mar 2013 (13y) | |
| Charlie Kim | Registered representative | Mar 2013 (13y) | ||
| Cathy Argentieri | Registered representative | Mar 2013 (13y) | ||
| Gasper Marcus Flores | Registered representative | Mar 2013 (13y) | ||
| Alan S Sternberg | Registered representative | Mar 2013 (13y) | ||
| Fabian T Padamadan | Registered representative | CFP | Mar 2013 (13y) | |
| Kenya T Jackson | Registered representative | Mar 2013 (13y) | ||
| Ralitsa V Delgado | Registered representative | Mar 2013 (13y) | ||
| Amy Marie Van Der Sluis | Registered representative | Mar 2013 (13y) | ||
| David Bruce Johnson | Registered representative | Apr 2013 (13y) | ||
| Lynette Irene Wilson | Registered representative | Apr 2013 (13y) | ||
| Travis Lee | Registered representative | CFP | Apr 2013 (13y) | |
| Jeremy David Brower | Registered representative | Apr 2013 (13y) | ||
| Karrie Kay Stefanov | Registered representative | Apr 2013 (13y) | ||
| Neiaffa Jones Blue | Registered representative | Apr 2013 (13y) | ||
| Paul Zawilenski | Registered representative | Apr 2013 (13y) | ||
| Sonya Theresa Samir Maniaci | Registered representative | Apr 2013 (13y) | ||
| Kristy Lee Leavitt | Registered representative | Apr 2013 (13y) | ||
| Robert Valdez | Registered representative | Apr 2013 (13y) | ||
| Jarris Scott Davis | Registered representative | Apr 2013 (13y) | ||
| Phebe S. Cosmo | Registered representative | Apr 2013 (13y) | ||
| Renee Marone | Registered representative | Apr 2013 (13y) | ||
| Cathryn Caldwell | Registered representative | Apr 2013 (13y) | ||
| Erik Andrew Sheppard | Registered representative | Apr 2013 (13y) | ||
| Ben Wempe | Registered representative | CFP Chartered Financial Consultant | Apr 2013 (13y) | |
| Siddharth Suri | Registered representative | Apr 2013 (13y) | ||
| Adam M Ward | Registered representative | Apr 2013 (13y) | ||
| Renaldo J. Beltran | Registered representative | Apr 2013 (13y) | ||
| Todd Marone | Registered representative | Apr 2013 (13y) | ||
| Jerry Hall | Registered representative | Apr 2013 (13y) | ||
| Thomas M. Birkley | Registered representative | Apr 2013 (13y) | ||
| Brad Keith Mathews | Registered representative | CFP | May 2013 (13y) | |
| Donald Daniels | Registered representative | May 2013 (13y) | ||
| Jolanta Faszczewska | Registered representative | May 2013 (13y) | ||
| Jahule L Valuvi | Registered representative | May 2013 (13y) | ||
| Nicholas M. Jackson | Registered representative | May 2013 (13y) | ||
| Lauren Del Grande | Registered representative | CFP | May 2013 (13y) | |
| Kristin Leigh Schult | Registered representative | May 2013 (13y) | ||
| Dennis W Copeland | Registered representative | May 2013 (13y) | ||
| Claire A Eller | Registered representative | May 2013 (13y) | ||
| Kenneth John Mastrocola | Registered representative | May 2013 (13y) | ||
| Kristine Lee | Registered representative | May 2013 (13y) | ||
| Monty T Ellis | Registered representative | May 2013 (13y) | ||
| Marjorie Graff | Registered representative | May 2013 (13y) | ||
| Tracy C. Potter | Registered representative | May 2013 (13y) | ||
| Ali Riza Zorluoglu | Registered representative | May 2013 (13y) | ||
| James L. Jacob | Registered representative | May 2013 (13y) | ||
| Garry J. Penta | Registered representative | May 2013 (13y) | ||
| Sean T. Wong | Registered representative | May 2013 (13y) | ||
| Christopher Michael Salogub | Registered representative | May 2013 (13y) | ||
| Juan Alberto Escobar | Registered representative | May 2013 (13y) | ||
| Blake Callahan | Registered representative | May 2013 (13y) | ||
| John Wasikowski | Registered representative | May 2013 (13y) | ||
| Kevin J Hansen | Registered representative | CFP | May 2013 (13y) | |
| Edward A. Scherr | Registered representative | May 2013 (13y) | ||
| Ryan Ingram | Registered representative | CFP | May 2013 (13y) | |
| Brad Dutton | Registered representative | Jun 2013 (13y) | ||
| Daniel Whitehouse | Registered representative | Jun 2013 (13y) | ||
| Holly Beth Yarbrough | Registered representative | Jun 2013 (13y) | ||
| Melissa Conroy Whitney | Registered representative | Jun 2013 (13y) | ||
| Kathleen Whitman Lofton | Registered representative | Jun 2013 (13y) | ||
| Shahram Michael Babamazid | Registered representative | Jun 2013 (13y) | ||
| Mary Ann Wireman | Registered representative | Jun 2013 (13y) | ||
| Hector Santos | Registered representative | Jun 2013 (13y) | ||
| Patty Ann Lipps | Registered representative | Jun 2013 (13y) | ||
| Kyle Kazmer | Registered representative | Jun 2013 (13y) | ||
| Mark Koppendrayer | Registered representative | Jun 2013 (13y) | ||
| Jaime Jose Soto | Registered representative | Jun 2013 (13y) | ||
| Michael Rhoads | Registered representative | Jun 2013 (13y) | ||
| Joseph Bunta | Registered representative | Jun 2013 (13y) | ||
| Michael L Lewis | Registered representative | Jun 2013 (13y) | ||
| Scott W Stelter | Registered representative | Jun 2013 (13y) | ||
| Chad M Imhof | Registered representative | Jun 2013 (13y) | ||
| David Ross Kristiansen | Registered representative | Jun 2013 (13y) | ||
| Kurt Kleinle | Registered representative | Jun 2013 (13y) | ||
| Lisa C. Nagel | Registered representative | CFP | Jun 2013 (13y) | |
| Raymond Frederick Mclean | Registered representative | Jun 2013 (13y) | ||
| Charles Michael Ricciardi | Registered representative | Jun 2013 (13y) | ||
| Spencer H Whitcomb | Registered representative | Jun 2013 (13y) | ||
| Daniel Harber Kimes | Registered representative | Jul 2013 (13y) | ||
| Jillian Polanco | Registered representative | Jul 2013 (13y) | ||
| Marc Ferro | Registered representative | Jul 2013 (13y) | ||
| Vincent Peter Serro | Registered representative | Jul 2013 (13y) | ||
| David Treffry | Registered representative | Jul 2013 (13y) | ||
| Paula Sigue | Registered representative | Jul 2013 (13y) | ||
| Todd E. Stewart | Registered representative | CFP | Jul 2013 (13y) | |
| Michael Christopher Palao | Registered representative | Jul 2013 (13y) | ||
| Eric Frank Suarez | Registered representative | Jul 2013 (13y) | ||
| Andrew Joseph Phillips | Registered representative | CFP | Jul 2013 (13y) | |
| Corinne F. Yeates | Registered representative | Jul 2013 (13y) | ||
| Gerard Dimeo | Registered representative | Jul 2013 (13y) | ||
| Michaelangelo David Maturino | Registered representative | Jul 2013 (13y) | ||
| Jason M. Dew | Registered representative | Jul 2013 (13y) | ||
| Richard Gnau | Registered representative | CFP | Jul 2013 (13y) | |
| Doris Boehmlaender Evans | Registered representative | Jul 2013 (13y) | ||
| Nicholas Armand | Registered representative | Jul 2013 (13y) | ||
| Claire Hsu Benoit | Registered representative | Aug 2013 (13y) | ||
| Edgar Giovanni Giron Ramos | Registered representative | Aug 2013 (13y) | ||
| Ronald D Landelius | Registered representative | CFP CFA | Aug 2013 (13y) | |
| Thomas P Molloy | Registered representative | Aug 2013 (13y) | ||
| Vincent Raimonda | Registered representative | Aug 2013 (13y) | ||
| John Joseph Wagner | Registered representative | Aug 2013 (13y) | ||
| John Trinkwalder | Registered representative | Aug 2013 (13y) | ||
| Anthony James Peoples | Registered representative | Aug 2013 (13y) | ||
| Dores Dunn | Registered representative | Aug 2013 (13y) | ||
| Brian Best | Registered representative | Aug 2013 (13y) | ||
| Justin Duane Sampson | Registered representative | CFP | Aug 2013 (13y) | |
| Alexander Jones | Registered representative | Aug 2013 (13y) | ||
| Portia Kathrine Culley | Registered representative | CFP | Aug 2013 (13y) | |
| Robert A. Major | Registered representative | Aug 2013 (13y) | ||
| Roxanna Lyn Everett | Registered representative | Aug 2013 (13y) | ||
| Richard Rivere | Registered representative | CFP | Aug 2013 (13y) | |
| Shandy Kaye Coleman Mcguire | Registered representative | Aug 2013 (13y) | ||
| John J Macatangay | Registered representative | Aug 2013 (13y) | ||
| Charles R Dennis | Registered representative | Aug 2013 (13y) | ||
| Alfredo Banuelos | Registered representative | Aug 2013 (13y) | ||
| Ernesto Fonseca | Registered representative | Aug 2013 (13y) | ||
| Grant Schaap | Registered representative | Aug 2013 (13y) | ||
| Paul Singh Takhar | Registered representative | Sep 2013 (13y) | ||
| David Kosobucki | Registered representative | Sep 2013 (13y) | ||
| Chad Michael Parsons | Registered representative | CFP | Sep 2013 (13y) | |
| Karen A Feinblatt | Registered representative | CFP | Sep 2013 (13y) | |
| Michael J Daly | Registered representative | Sep 2013 (13y) | ||
| Simone N. Williamson Nicholas | Registered representative | Sep 2013 (13y) | ||
| Elan Izhak | Registered representative | Sep 2013 (13y) | ||
| Jennifer Liu | Registered representative | Sep 2013 (13y) | ||
| Naomi Kouyoumdjian | Registered representative | Sep 2013 (13y) | ||
| Brian Shindeldecker | Registered representative | Sep 2013 (13y) | ||
| Charles Holup | Registered representative | Sep 2013 (13y) | ||
| Bich Nhiem Tran | Registered representative | Sep 2013 (13y) | ||
| Louis Andrew Bader | Registered representative | CFP | Sep 2013 (13y) | |
| Danielle Reidy | Registered representative | Oct 2013 (13y) | ||
| Sandra Juliana Sanchez | Registered representative | Oct 2013 (13y) | ||
| Scott Standel | Registered representative | Oct 2013 (13y) | ||
| Juan Pedro Freitas | Registered representative | Oct 2013 (13y) | ||
| Kathleen R Bigelow | Registered representative | Oct 2013 (13y) | ||
| Kristi J. Curran | Registered representative | Oct 2013 (13y) | ||
| Isaac Zacharia | Registered representative | Oct 2013 (13y) | ||
| Natalya Muravchik | Registered representative | Oct 2013 (13y) | ||
| Brian John Kulak | Registered representative | Oct 2013 (13y) | ||
| David Spiecher | Registered representative | CFP | Oct 2013 (13y) | |
| Hernan Diaz | Registered representative | Nov 2013 (13y) | ||
| Jamie Cooper | Registered representative | Nov 2013 (13y) | ||
| Mena Albert Shehata | Registered representative | Nov 2013 (13y) | ||
| Tony Liang | Registered representative | CFP | Nov 2013 (13y) | |
| Erin Shaw | Registered representative | CFP | Nov 2013 (13y) | |
| Angela N. Leister | Registered representative | Nov 2013 (13y) | ||
| Joseph Chiurazzi | Registered representative | Nov 2013 (13y) | ||
| Christopher Vitale | Registered representative | Nov 2013 (13y) | ||
| James W. Rand | Registered representative | CFP | Nov 2013 (13y) | |
| Robert Santos | Registered representative | Nov 2013 (13y) | ||
| Jacob Servin | Registered representative | Nov 2013 (13y) | ||
| John S. Dinger | Registered representative | Nov 2013 (13y) | ||
| Kathy Catena | Registered representative | Nov 2013 (13y) | ||
| Corey Michael De Mers | Registered representative | Nov 2013 (13y) | ||
| Heath Horning | Registered representative | Dec 2013 (13y) | ||
| Michael T Moore | Registered representative | Dec 2013 (13y) | ||
| Christopher F. Burke | Registered representative | Dec 2013 (13y) | ||
| Anna Hoa Tran | Registered representative | Dec 2013 (13y) | ||
| Rebecca A Chang | Registered representative | Dec 2013 (13y) | ||
| Brian Edward Loegering | Registered representative | Dec 2013 (13y) | ||
| Steven Fried | Registered representative | Dec 2013 (13y) | ||
| David Viane | Registered representative | Dec 2013 (13y) | ||
| Edith Lau | Registered representative | Dec 2013 (13y) | ||
| Dustin D. King | Registered representative | Jan 2014 (13y) | ||
| Tom Gai | Registered representative | Jan 2014 (13y) | ||
| Ulugbek Khashimov | Registered representative | Jan 2014 (13y) | ||
| Ronald Castellanos | Registered representative | Jan 2014 (13y) | ||
| Roseann Steinmetz | Registered representative | Jan 2014 (13y) | ||
| Qamil Dervishi | Registered representative | Jan 2014 (13y) | ||
| Bryan Ellis Thomas | Registered representative | Jan 2014 (13y) | ||
| Autumn Ballard | Registered representative | Jan 2014 (13y) | ||
| Kyle Aaron Metzger | Registered representative | Jan 2014 (13y) | ||
| Matthew James Sidgwick | Registered representative | Jan 2014 (13y) | ||
| Brett David Froman | Registered representative | Jan 2014 (13y) | ||
| Karen Kelly | Registered representative | Jan 2014 (13y) | ||
| Maria Lorena Perez | Registered representative | Jan 2014 (13y) | ||
| Vaqas Sheikh | Registered representative | Jan 2014 (13y) | ||
| Aldin Rakovic | Registered representative | Jan 2014 (13y) | ||
| Jorge Eduardo Zavala Mora | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| Michael S Roberts | Registered representative | Feb 2014 (12y) | ||
| Jasper D. Yang | Registered representative | Feb 2014 (12y) | ||
| Jordan Taylor | Registered representative | Feb 2014 (12y) | ||
| Christopher Chen | Registered representative | Feb 2014 (12y) | ||
| George E Frenzel | Registered representative | Feb 2014 (12y) | ||
| Thomas Frothingham | Registered representative | Feb 2014 (12y) | ||
| Hernand Hernandez | Registered representative | CFP | Feb 2014 (12y) | |
| Jessica Borst | Registered representative | Feb 2014 (12y) | ||
| Benjamin Asher Schlotterer | Registered representative | Feb 2014 (12y) | ||
| Kristin E. Nourse | Registered representative | Feb 2014 (12y) | ||
| Neil Jared Cohen | Registered representative | Feb 2014 (12y) | ||
| William Joseph Farris | Registered representative | Feb 2014 (12y) | ||
| Todd J. Evans | Registered representative | Feb 2014 (12y) | ||
| Jeff Huntzinger | Registered representative | Feb 2014 (12y) | ||
| John Chris Mogush | Registered representative | Feb 2014 (12y) | ||
| Lyle T. Berkson | Registered representative | Feb 2014 (12y) | ||
| Chaicharn Dhepyasuwan | Registered representative | Mar 2014 (12y) | ||
| Gregory William Mcgee | Registered representative | Mar 2014 (12y) | ||
| Jonathan Sherman | Registered representative | CFP | Mar 2014 (12y) | |
| Annette Duran Law | Registered representative | Mar 2014 (12y) | ||
| Matt Arthur | Registered representative | Mar 2014 (12y) | ||
| Sarah Elizabeth Blinka | Registered representative | Mar 2014 (12y) | ||
| Gary Matthew Fournier | Registered representative | Mar 2014 (12y) | ||
| Matt Robert Foster | Registered representative | Mar 2014 (12y) | ||
| Jesse Dax | Registered representative | CFP | Mar 2014 (12y) | |
| Kirk A Mullen | Registered representative | CFP | Mar 2014 (12y) | |
| Martin C. Perrucci | Registered representative | Mar 2014 (12y) | ||
| John Fitzpatrick Delehanty | Registered representative | Mar 2014 (12y) | ||
| Eric Lo | Registered representative | Mar 2014 (12y) | ||
| Jeffrey Alan Patrick | Registered representative | Mar 2014 (12y) | ||
| Ian N Perales | Registered representative | Mar 2014 (12y) | ||
| Dean H. Choi | Registered representative | Apr 2014 (12y) | ||
| John Lin | Registered representative | Apr 2014 (12y) | ||
| Judy Janete Lozoria | Registered representative | Apr 2014 (12y) | ||
| Joseph Napoleone | Registered representative | Apr 2014 (12y) | ||
| Ricardo Esteban | Registered representative | Apr 2014 (12y) | ||
| Pervin Aydin | Registered representative | Apr 2014 (12y) | ||
| Phillip Levy | Registered representative | Apr 2014 (12y) | ||
| Yevgeniy Morozov | Registered representative | Apr 2014 (12y) | ||
| Stephen J. Mikel | Registered representative | Apr 2014 (12y) | ||
| Brett Martin | Registered representative | Apr 2014 (12y) | ||
| Frank Anthony Mastromauro | Registered representative | CFP Chartered Financial Consultant | Apr 2014 (12y) | |
| Kim A Gagnie | Registered representative | Apr 2014 (12y) | ||
| John L. Golliday | Registered representative | Apr 2014 (12y) | ||
| Melissa Ann Kelpsch | Registered representative | Apr 2014 (12y) | ||
| Stephen Blackwell | Registered representative | Apr 2014 (12y) | ||
| Jeffrey A Herndon | Registered representative | CFP | Apr 2014 (12y) | |
| Mahesh Chandwani | Registered representative | Apr 2014 (12y) | ||
| Matthew Jimenez | Registered representative | Apr 2014 (12y) | ||
| Jeremy Arthur Handley | Registered representative | Apr 2014 (12y) | ||
| James M. Sbarra | Registered representative | Apr 2014 (12y) | ||
| Craig J Steury | Registered representative | Apr 2014 (12y) | ||
| Nighat Bashir | Registered representative | Apr 2014 (12y) | ||
| Lyllian Mahana Goldfarb | Registered representative | May 2014 (12y) | ||
| Brandon C Fairbanks | Registered representative | May 2014 (12y) | ||
| Hac Pham | Registered representative | May 2014 (12y) | ||
| Robert A. Longo | Registered representative | May 2014 (12y) | ||
| Christopher Lee Cortez | Registered representative | May 2014 (12y) | ||
| Derik Anderson | Registered representative | CFP | May 2014 (12y) | |
| Devang Shah | Registered representative | May 2014 (12y) | ||
| Matt Aaron Keith | Registered representative | CFP Chartered Financial Consultant | May 2014 (12y) | |
| David Starker | Registered representative | May 2014 (12y) | ||
| Adam Tibbetts | Registered representative | May 2014 (12y) | ||
| Lori Marie Gust | Registered representative | May 2014 (12y) | ||
| Jeremy Scott Gottschall | Registered representative | May 2014 (12y) | ||
| Kristen Marie Beckbissinger | Registered representative | CFP | May 2014 (12y) | |
| Nicholas Phillip Champa | Registered representative | May 2014 (12y) | ||
| Vianna Burns | Registered representative | May 2014 (12y) | ||
| Adrienne Elizabeth Hart | Registered representative | Jun 2014 (12y) | ||
| Marc John Zurich | Registered representative | Jun 2014 (12y) | ||
| Mark W. Young | Registered representative | Jun 2014 (12y) | ||
| Darwin L. Juarez | Registered representative | Jun 2014 (12y) | ||
| Patrick Joseph Burke | Registered representative | Jun 2014 (12y) | ||
| Andrew M. Held | Registered representative | CFP | Jun 2014 (12y) | |
| Daniel George Medina | Registered representative | Jun 2014 (12y) | ||
| Suzanne Murphy | Registered representative | Jun 2014 (12y) | ||
| Robert Dhoore | Registered representative | Jun 2014 (12y) | ||
| Srdjan Calija | Registered representative | Jun 2014 (12y) | ||
| Jeremy N. Warren | Registered representative | Jun 2014 (12y) | ||
| Robert Ray Heim | Registered representative | Jun 2014 (12y) | ||
| Adam Hrtanek | Registered representative | Jun 2014 (12y) | ||
| Hope Harper | Registered representative | Jun 2014 (12y) | ||
| Christina Burke Towery | Registered representative | CFP | Jun 2014 (12y) | |
| Anne Elizabeth Longmire | Registered representative | Jun 2014 (12y) | ||
| Bruce Goodwin Ledoux | Registered representative | Jun 2014 (12y) | ||
| Michael P. Coffee | Registered representative | Jun 2014 (12y) | ||
| Norita K Webb | Registered representative | Jun 2014 (12y) | ||
| Andy Samaan | Registered representative | Jun 2014 (12y) | ||
| John W Mishima | Registered representative | Jun 2014 (12y) | ||
| Usman Ahmed | Registered representative | Jun 2014 (12y) | ||
| Marcia I. Herrera | Registered representative | Jul 2014 (12y) | ||
| Michael F. Kelly | Registered representative | Jul 2014 (12y) | ||
| Valerie Wyatt | Registered representative | Jul 2014 (12y) | ||
| Kashif Akbar Ali | Registered representative | Jul 2014 (12y) | ||
| Steven G. Horowitz | Registered representative | Jul 2014 (12y) | ||
| Jason Pehl | Registered representative | Jul 2014 (12y) | ||
| Mark A Carandang | Registered representative | Jul 2014 (12y) | ||
| Matthew Kocsi | Registered representative | CFP | Jul 2014 (12y) | |
| David James Winikates | Registered representative | Jul 2014 (12y) | ||
| Mark Sinclair Fisher | Registered representative | Jul 2014 (12y) | ||
| Margaret Mccoy | Registered representative | Jul 2014 (12y) | ||
| Dan Csuma | Registered representative | Jul 2014 (12y) | ||
| Edward Martin Rodriguez | Registered representative | Jul 2014 (12y) | ||
| Gregory E. Marino | Registered representative | Jul 2014 (12y) | ||
| Russ Bizhko | Registered representative | Jul 2014 (12y) | ||
| Brandi Leigh Wiseman | Registered representative | Jul 2014 (12y) | ||
| Khanthamaly Phanthavong | Registered representative | Jul 2014 (12y) | ||
| Martha V Moran | Registered representative | Jul 2014 (12y) | ||
| Richard E Vesnic | Registered representative | Jul 2014 (12y) | ||
| Casey Rains | Registered representative | CFP | Jul 2014 (12y) | |
| Nadia A Chang | Registered representative | Jul 2014 (12y) | ||
| Sandra Aviva David Siller | Registered representative | Jul 2014 (12y) | ||
| Robert E. Thompson | Registered representative | CFP | Aug 2014 (12y) | |
| Gwendolyn Maurer | Registered representative | Aug 2014 (12y) | ||
| Justin William Bowles | Registered representative | Aug 2014 (12y) | ||
| Damir Mesinovic | Registered representative | Aug 2014 (12y) | ||
| Jose Luis Hernandez | Registered representative | Aug 2014 (12y) | ||
| Lazaro Rodriguez | Registered representative | Aug 2014 (12y) | ||
| Ryan P. Frazier | Registered representative | CFP | Aug 2014 (12y) | |
| Trung Thua Lam | Registered representative | CFP | Aug 2014 (12y) | |
| Nicholas S. Consiglio | Registered representative | Aug 2014 (12y) | ||
| Joshua U. Allen | Registered representative | Aug 2014 (12y) | ||
| Ruben Marshall | Registered representative | CFP | Aug 2014 (12y) | |
| Bradley Bruschke | Registered representative | CFP | Aug 2014 (12y) | |
| Paul H Hogan | Registered representative | Aug 2014 (12y) | ||
| Sarah Barnhart | Registered representative | Aug 2014 (12y) | ||
| Isaac J. Treesh | Registered representative | Aug 2014 (12y) | ||
| Steven Kim | Registered representative | Aug 2014 (12y) | ||
| Sandra J Swagel | Registered representative | Aug 2014 (12y) | ||
| George P. Conkle | Registered representative | Aug 2014 (12y) | ||
| Miralem Cecunjanin | Registered representative | Aug 2014 (12y) | ||
| Joseph Anthony Pirozzolo | Registered representative | CFP | Aug 2014 (12y) | |
| Nathaniel Golden | Registered representative | CFP | Aug 2014 (12y) | |
| Samuel Cho | Registered representative | Chartered Financial Consultant | Aug 2014 (12y) | |
| Gerald Wayne Thomas | Registered representative | Sep 2014 (12y) | ||
| Siulieng Chea Jerez | Registered representative | Sep 2014 (12y) | ||
| Joann Lee | Registered representative | Sep 2014 (12y) | ||
| Nisreen Nina Kallabat Byrne | Registered representative | Sep 2014 (12y) | ||
| Tim Gottschalk | Registered representative | Sep 2014 (12y) | ||
| Travis L. Shirley | Registered representative | Sep 2014 (12y) | ||
| Loc X. Nguyen | Registered representative | Sep 2014 (12y) | ||
| George Paxinos | Registered representative | Sep 2014 (12y) | ||
| Robert Thorburn | Registered representative | Sep 2014 (12y) | ||
| Gary S. Schwarzman | Registered representative | Sep 2014 (12y) | ||
| Suzette Ali Davis | Registered representative | Sep 2014 (12y) | ||
| John Lamaris | Registered representative | CFP | Sep 2014 (12y) | |
| Shaishav Patwa | Registered representative | Sep 2014 (12y) | ||
| Kevin Lee Benefiel | Registered representative | Sep 2014 (12y) | ||
| Melissa D Scott | Registered representative | Sep 2014 (12y) | ||
| Ulises Barrera | Registered representative | Sep 2014 (12y) | ||
| Meeta Vakil | Registered representative | CFP | Sep 2014 (12y) | |
| Stephanie Ann Schwall | Registered representative | Sep 2014 (12y) | ||
| Christine J. Hulme | Registered representative | CFP | Sep 2014 (12y) | |
| Alfredo A. Collazo | Registered representative | Sep 2014 (12y) | ||
| Darcy A Drain | Registered representative | CFP | Sep 2014 (12y) | |
| Alejandra Venezia | Registered representative | Oct 2014 (12y) | ||
| Amanda C. Anderson | Registered representative | Oct 2014 (12y) | ||
| Mazin Habib | Registered representative | Oct 2014 (12y) | ||
| Matthew J Pierotti | Registered representative | Oct 2014 (12y) | ||
| Robin Fetterolf | Registered representative | Oct 2014 (12y) | ||
| Summer Laura Darkis | Registered representative | Oct 2014 (12y) | ||
| Dan Hidraj | Registered representative | Oct 2014 (12y) | ||
| David Lanshe | Registered representative | Oct 2014 (12y) | ||
| Jeremy R. Di Cuffa | Registered representative | Oct 2014 (12y) | ||
| Raymond Krumdieck | Registered representative | Oct 2014 (12y) | ||
| Joseph Tavano | Registered representative | Oct 2014 (12y) | ||
| Jamie Grace Parkinson | Registered representative | Oct 2014 (12y) | ||
| Andrea Pineda | Registered representative | Oct 2014 (12y) | ||
| Adam Christopher Green | Registered representative | Oct 2014 (12y) | ||
| Karyu Amy Chou | Registered representative | Oct 2014 (12y) | ||
| James Anthony Pallitto | Registered representative | Oct 2014 (12y) | ||
| Matthew Salvatore Ferrando | Registered representative | Oct 2014 (12y) | ||
| Ronald E. Fisher | Registered representative | Oct 2014 (12y) | ||
| Arielle Maria Thompson | Registered representative | Oct 2014 (12y) | ||
| Grace R. Honnef | Registered representative | Oct 2014 (12y) | ||
| Mohammad Sarhan | Registered representative | CFP | Oct 2014 (12y) | |
| Christopher Kory | Registered representative | Oct 2014 (12y) | ||
| Leif Waller | Registered representative | Oct 2014 (12y) | ||
| Mario Quintero | Registered representative | Nov 2014 (12y) | ||
| Joshua B. Noel | Registered representative | Nov 2014 (12y) | ||
| Lisa B Jaboro | Registered representative | Nov 2014 (12y) | ||
| Peter Francis Daley | Registered representative | Nov 2014 (12y) | ||
| Jose Angel Agosto | Registered representative | Nov 2014 (12y) | ||
| Brianna Marie Brewer | Registered representative | Nov 2014 (12y) | ||
| Michelle Chung Hui Lai | Registered representative | CFP | Nov 2014 (12y) | |
| Bradley James Grabowy | Registered representative | Nov 2014 (12y) | ||
| Eric Adam Mackellar | Registered representative | Nov 2014 (12y) | ||
| Roberto Austin | Registered representative | CFP | Nov 2014 (12y) | |
| Anthony Frank Tuzzolino | Registered representative | Nov 2014 (12y) | ||
| Robert Worlow | Registered representative | Nov 2014 (12y) | ||
| Ronald S D'antoni | Registered representative | Nov 2014 (12y) | ||
| Brennan E. Lothery | Registered representative | Nov 2014 (12y) | ||
| Don Lewis | Registered representative | Nov 2014 (12y) | ||
| Mohammad Bobby Shemiranipour | Registered representative | Dec 2014 (12y) | ||
| Ryan Jeffrey Ziegler | Registered representative | Dec 2014 (12y) | ||
| Jeremy Delmer Smith Mckay | Registered representative | Dec 2014 (12y) | ||
| Ming H Chen | Registered representative | Dec 2014 (12y) | ||
| Chris Brewer | Registered representative | CFP | Dec 2014 (12y) | |
| Jeanie E Vidal | Registered representative | Dec 2014 (12y) | ||
| Jerry Wai | Registered representative | Dec 2014 (12y) | ||
| Sarah M Ross | Registered representative | Dec 2014 (12y) | ||
| Tamseel Fatema | Registered representative | Dec 2014 (12y) | ||
| Michael Baumhor | Registered representative | CFP | Dec 2014 (12y) | |
| Catherine Botero | Registered representative | Dec 2014 (12y) | ||
| Jason Christopher Larkins | Registered representative | Dec 2014 (12y) | ||
| Robert Jannicelli | Registered representative | Dec 2014 (12y) | ||
| William Sean Parilla | Registered representative | Dec 2014 (12y) | ||
| Sybil T. Schaffrath | Registered representative | Dec 2014 (12y) | ||
| Michael Alan Buren | Registered representative | Dec 2014 (12y) | ||
| Robert James Bukowski | Registered representative | Dec 2014 (12y) | ||
| Thomas G. Beckley | Registered representative | Dec 2014 (12y) | ||
| Tonya Suzanne Hammonds | Registered representative | Dec 2014 (12y) | ||
| Manuel C Hierro | Registered representative | Dec 2014 (12y) | ||
| Mike Worthington | Registered representative | CFP | Dec 2014 (12y) | |
| Andres Herrera | Registered representative | Jan 2015 (12y) | ||
| Joshua J. Lowery | Registered representative | Jan 2015 (12y) | ||
| Rita Lea Camburn | Registered representative | Jan 2015 (12y) | ||
| Stanley Yee | Registered representative | Jan 2015 (12y) | ||
| Andrew Dier | Registered representative | Jan 2015 (12y) | ||
| Nicholas Ptak | Registered representative | Jan 2015 (12y) | ||
| Peter Green | Registered representative | Jan 2015 (12y) | ||
| Nancy H Sanchez | Registered representative | Jan 2015 (12y) | ||
| Todd J. Sears | Registered representative | Jan 2015 (12y) | ||
| Samuel Hurtado | Registered representative | Jan 2015 (12y) | ||
| Ryan J Stewart | Registered representative | Jan 2015 (12y) | ||
| Derek Stephen Grieff | Registered representative | Jan 2015 (12y) | ||
| Lauren Rae Vasquez | Registered representative | Jan 2015 (12y) | ||
| Cecilia Swain | Registered representative | Feb 2015 (11y) | ||
| Jesse Adam Plata | Registered representative | Feb 2015 (11y) | ||
| Gom Tran | Registered representative | Feb 2015 (11y) | ||
| Douglas D. Ray | Registered representative | Feb 2015 (11y) | ||
| Kevin Depue | Registered representative | Feb 2015 (11y) | ||
| Christopher Mattina | Registered representative | CFP | Feb 2015 (11y) | |
| Jerome A Altschul | Registered representative | Feb 2015 (11y) | ||
| Joshua Michael Miller | Registered representative | Feb 2015 (11y) | ||
| Kyle Lawrence Mooney | Registered representative | Feb 2015 (11y) | ||
| Adam L Frank | Registered representative | Feb 2015 (11y) | ||
| Dennis J O Connell | Registered representative | Feb 2015 (11y) | ||
| Charmaine Chow | Registered representative | Mar 2015 (11y) | ||
| Amir Alex Rad | Registered representative | CFP | Mar 2015 (11y) | |
| Angella Jost | Registered representative | Mar 2015 (11y) | ||
| David Bailey Izard | Registered representative | Mar 2015 (11y) | ||
| Guergana Antonova Karaalanova | Registered representative | Mar 2015 (11y) | ||
| Jamila Hassan | Registered representative | Mar 2015 (11y) | ||
| Kathleen Martin | Registered representative | Mar 2015 (11y) | ||
| Michael J. Fiorilli | Registered representative | Mar 2015 (11y) | ||
| Nicole Teresa Simmons | Registered representative | Mar 2015 (11y) | ||
| Mickey Lee Gilbert | Registered representative | Mar 2015 (11y) | ||
| Albert Anthony Seraydar | Registered representative | Mar 2015 (11y) | ||
| Ashley Nicole Thompson | Registered representative | Mar 2015 (11y) | ||
| Ingrid Elizabeth Morgan | Registered representative | Mar 2015 (11y) | ||
| Mark Repasy | Registered representative | Mar 2015 (11y) | ||
| Thomas Dale Morris | Registered representative | Mar 2015 (11y) | ||
| Stephanie A Kennedy | Registered representative | Mar 2015 (11y) | ||
| Matthew A. Sandler | Registered representative | CFP | Mar 2015 (11y) | |
| Javier Tavares | Registered representative | Mar 2015 (11y) | ||
| Kevin Huynh | Registered representative | Mar 2015 (11y) | ||
| Alexander Khaddar | Registered representative | Mar 2015 (11y) | ||
| Christina Maria Sievers | Registered representative | Mar 2015 (11y) | ||
| Dipo Folami | Registered representative | Mar 2015 (11y) | ||
| Eric M. Sitarski | Registered representative | Mar 2015 (11y) | ||
| Jacob Suntok Esperanto | Registered representative | Mar 2015 (11y) | ||
| Joe Lala | Registered representative | Mar 2015 (11y) | ||
| Nicholas De Nicolo | Registered representative | CFP | Mar 2015 (11y) | |
| Peter Clinton | Registered representative | Mar 2015 (11y) | ||
| Benjamin W. Johnson | Registered representative | CFP | Apr 2015 (11y) | |
| Kelly A Luft | Registered representative | Apr 2015 (11y) | ||
| Elaine L. Sarnoff | Registered representative | Apr 2015 (11y) | ||
| Stephen Lo | Registered representative | Apr 2015 (11y) | ||
| Elwood Louis Kissell | Registered representative | Apr 2015 (11y) | ||
| Matthew Robert Marino | Registered representative | Apr 2015 (11y) | ||
| Sarah E Grosch | Registered representative | Apr 2015 (11y) | ||
| Jennifer H. Shin | Registered representative | Apr 2015 (11y) | ||
| Asli Dolucan | Registered representative | Apr 2015 (11y) | ||
| Andrew J Spears | Registered representative | Apr 2015 (11y) | ||
| Ditzler J. Walker | Registered representative | Apr 2015 (11y) | ||
| Zachariah Wade Greenough | Registered representative | Apr 2015 (11y) | ||
| Justin Priola | Registered representative | Apr 2015 (11y) | ||
| Matthew W. Killip | Registered representative | Apr 2015 (11y) | ||
| Michael J. Vagianos | Registered representative | Apr 2015 (11y) | ||
| Alex J. Guttosch | Registered representative | Apr 2015 (11y) | ||
| Gina Keyloun | Registered representative | Apr 2015 (11y) | ||
| James Cavitt | Registered representative | Apr 2015 (11y) | ||
| Michael Eric Love | Registered representative | Apr 2015 (11y) | ||
| Suzy Lam | Registered representative | Apr 2015 (11y) | ||
| Thanh Nguyen | Registered representative | Apr 2015 (11y) | ||
| Janice F. Wong | Registered representative | May 2015 (11y) | ||
| Elizabeth A Bartunek | Registered representative | May 2015 (11y) | ||
| Luther E Stuhlman | Registered representative | CFA | May 2015 (11y) | |
| Jordan Paul Knight | Registered representative | CFP Chartered Financial Consultant | May 2015 (11y) | |
| Aghahowa Anthony Igbinovia | Registered representative | May 2015 (11y) | ||
| Anthony Labarba | Registered representative | May 2015 (11y) | ||
| Charlie Ann Rodriguez | Registered representative | May 2015 (11y) | ||
| Juan C Garcia | Registered representative | May 2015 (11y) | ||
| Justin Blades | Registered representative | May 2015 (11y) | ||
| Victor G. Rubino | Registered representative | May 2015 (11y) | ||
| Kiel Camken | Registered representative | May 2015 (11y) | ||
| Avideh Safaei | Registered representative | May 2015 (11y) | ||
| Anna Jesusa Sarte Ong | Registered representative | May 2015 (11y) | ||
| Bryan Kelly Lingle | Registered representative | May 2015 (11y) | ||
| Brian Turner | Registered representative | May 2015 (11y) | ||
| Bryan Paul Melko | Registered representative | May 2015 (11y) | ||
| Ethan David Kose | Registered representative | May 2015 (11y) | ||
| Andreea Ochis | Registered representative | May 2015 (11y) | ||
| Julian Abraham Bartolomei | Registered representative | May 2015 (11y) | ||
| Coleen C Paradissis | Registered representative | May 2015 (11y) | ||
| Kristi Lynne Arredondo | Registered representative | May 2015 (11y) | ||
| Andrew Travis Eurton | Registered representative | May 2015 (11y) | ||
| Christopher Wimpfheimer | Registered representative | May 2015 (11y) | ||
| Hernando V Martinez | Registered representative | Jun 2015 (11y) | ||
| Matthew Dado | Registered representative | Jun 2015 (11y) | ||
| Radhames Pineda | Registered representative | Jun 2015 (11y) | ||
| Caitlan Rose Bjornsen | Registered representative | Jun 2015 (11y) | ||
| Jeffrey Allan Feaster | Registered representative | Jun 2015 (11y) | ||
| Brooke L Galassi | Registered representative | Jun 2015 (11y) | ||
| Rendi Wijaya | Registered representative | Jun 2015 (11y) | ||
| Julie H. Nguyen | Registered representative | Jun 2015 (11y) | ||
| Niasha Onia Hasina Piper | Registered representative | Jun 2015 (11y) | ||
| Phillip Garret Walling | Registered representative | Jun 2015 (11y) | ||
| Gordon Levy | Registered representative | Jun 2015 (11y) | ||
| Jeremy Henry Uzqueda | Registered representative | Jun 2015 (11y) | ||
| James Alan Emanuel | Registered representative | Jun 2015 (11y) | ||
| Nicholas Anthony Scordato | Registered representative | Jun 2015 (11y) | ||
| Hillary Higgins Naeve | Registered representative | Jun 2015 (11y) | ||
| Andrew Stuart Murray | Registered representative | Jun 2015 (11y) | ||
| Susan Wu | Registered representative | Jun 2015 (11y) | ||
| Jennifer Ann Justice | Registered representative | Jun 2015 (11y) | ||
| Vlad Umanskiy | Registered representative | CFP | Jul 2015 (11y) | |
| Justin W Townsend | Registered representative | Jul 2015 (11y) | ||
| Timothy G. Holsinger | Registered representative | Jul 2015 (11y) | ||
| Macy Merry Farpali Lammers | Registered representative | Jul 2015 (11y) | ||
| Adam D Andrea | Registered representative | Jul 2015 (11y) | ||
| Eric Kofahl | Registered representative | Jul 2015 (11y) | ||
| Giro Iadevaia | Registered representative | CFP | Jul 2015 (11y) | |
| David J. Levine | Registered representative | Jul 2015 (11y) | ||
| Joshua Ian Flyer | Registered representative | Aug 2015 (11y) | ||
| Christopher J. Scanlan | Registered representative | Aug 2015 (11y) | ||
| Jake R. Gaines | Registered representative | Aug 2015 (11y) | ||
| Matthew Gorrick | Registered representative | Aug 2015 (11y) | ||
| Nick F Wilson | Registered representative | Aug 2015 (11y) | ||
| Evelyn E Anzules | Registered representative | Aug 2015 (11y) | ||
| Juan Castillo | Registered representative | Aug 2015 (11y) | ||
| Sean Phillip Sagaz | Registered representative | Aug 2015 (11y) | ||
| Dwight Anthony Wildman | Registered representative | Aug 2015 (11y) | ||
| Huai Lin | Registered representative | CFP Chartered Financial Consultant | Aug 2015 (11y) | |
| Leonard Scott Peffer | Registered representative | Aug 2015 (11y) | ||
| Thomas Koscal | Registered representative | Aug 2015 (11y) | ||
| Aleece O'connell | Registered representative | Aug 2015 (11y) | ||
| Lee Kirsten Skillman | Registered representative | Sep 2015 (11y) | ||
| Mark Adams | Registered representative | Sep 2015 (11y) | ||
| Jacob M. Watkins | Registered representative | Sep 2015 (11y) | ||
| Michael Binkley | Registered representative | Sep 2015 (11y) | ||
| Derek Thiel | Registered representative | Sep 2015 (11y) | ||
| Max Nutkowitz | Registered representative | CFP | Sep 2015 (11y) | |
| Richard Marc Gordon | Registered representative | Sep 2015 (11y) | ||
| Timothy Ma | Registered representative | Sep 2015 (11y) | ||
| Jordan M Mayer | Registered representative | CFP | Sep 2015 (11y) | |
| Jeffrey Baez | Registered representative | Sep 2015 (11y) | ||
| Pedro Ernesto Zapata | Registered representative | Sep 2015 (11y) | ||
| Steve Sakamoto | Registered representative | Sep 2015 (11y) | ||
| Brett R. Best | Registered representative | Sep 2015 (11y) | ||
| Jeffrey Todd Alewine | Registered representative | CFP | Sep 2015 (11y) | |
| Robert Tillman Mcmahan | Registered representative | Sep 2015 (11y) | ||
| David B. Yoo | Registered representative | Sep 2015 (11y) | ||
| Karen Foley | Registered representative | Sep 2015 (11y) | ||
| Sandeep Singh | Registered representative | Sep 2015 (11y) | ||
| Shaun Pedroncelli | Registered representative | Sep 2015 (11y) | ||
| Vishal Patel | Registered representative | Sep 2015 (11y) | ||
| Douglas Brent Riffle | Registered representative | Sep 2015 (11y) | ||
| James Ernest Potter | Registered representative | Sep 2015 (11y) | ||
| Alexander W. Lenz | Registered representative | Oct 2015 (11y) | ||
| Max Thompson | Registered representative | Oct 2015 (11y) | ||
| Faron M. Mc Clain | Registered representative | Oct 2015 (11y) | ||
| Brian C Harris | Registered representative | Oct 2015 (11y) | ||
| Chun Kit Lee | Registered representative | Oct 2015 (11y) | ||
| Kenny D Cox | Registered representative | Oct 2015 (11y) | ||
| Nicholas Khosrozadeh | Registered representative | Oct 2015 (11y) | ||
| Zalal Aly Mello | Registered representative | Oct 2015 (11y) | ||
| Steven Ferrari | Registered representative | Oct 2015 (11y) | ||
| Christopher Kumar | Registered representative | Oct 2015 (11y) | ||
| Frank Paul Brigati | Registered representative | CFP | Oct 2015 (11y) | |
| Marrium Hussain | Registered representative | Oct 2015 (11y) | ||
| Ryan A. Jackson | Registered representative | Oct 2015 (11y) | ||
| Zachary Hal Greenblatt | Registered representative | Oct 2015 (11y) | ||
| Layne W Vanstone | Registered representative | Chartered Financial Consultant | Oct 2015 (11y) | |
| Maxwell Lang | Registered representative | Oct 2015 (11y) | ||
| Vincent Villodas | Registered representative | Oct 2015 (11y) | ||
| Frederick Gregory Lucas | Registered representative | Oct 2015 (11y) | ||
| Deborah Lynne Caldwell | Registered representative | Oct 2015 (11y) | ||
| Suzanne Houston | Registered representative | Oct 2015 (11y) | ||
| Kameron Troxell | Registered representative | Oct 2015 (11y) | ||
| James P. Siciliano | Registered representative | Oct 2015 (11y) | ||
| Christopher Vaudreuil | Registered representative | Oct 2015 (11y) | ||
| Lisa Jaime Masters | Registered representative | Oct 2015 (11y) | ||
| Justin Burkhart | Registered representative | Oct 2015 (11y) | ||
| Erika D. Oelkers | Registered representative | Oct 2015 (11y) | ||
| Vernon Delaney Hobbs | Registered representative | Oct 2015 (11y) | ||
| Eric Tyler Vaughn | Registered representative | Oct 2015 (11y) | ||
| John Edward Koecheler | Registered representative | Oct 2015 (11y) | ||
| Kevin Connors Mccooey | Registered representative | Oct 2015 (11y) | ||
| Jorge I Corrales | Registered representative | Nov 2015 (11y) | ||
| Salvatore Pietro Finazzo | Registered representative | Nov 2015 (11y) | ||
| Steven Manuel Kallabat | Registered representative | Nov 2015 (11y) | ||
| Cristian Ilie | Registered representative | Nov 2015 (11y) | ||
| Joanna M. Pellecchia | Registered representative | Nov 2015 (11y) | ||
| Justin Guerra | Registered representative | Nov 2015 (11y) | ||
| Kevin Mcphee | Registered representative | Nov 2015 (11y) | ||
| Melissa S. Hodskins | Registered representative | Nov 2015 (11y) | ||
| Victor V Margiotta | Registered representative | Nov 2015 (11y) | ||
| Vincent Pivirotto | Registered representative | Nov 2015 (11y) | ||
| Ngoc Nhu Dinh | Registered representative | Nov 2015 (11y) | ||
| Christopher John Austin | Registered representative | Nov 2015 (11y) | ||
| Robert S Crowell | Registered representative | Nov 2015 (11y) | ||
| Pierre Louis Follari | Registered representative | Nov 2015 (11y) | ||
| Yong Jian Zhao | Registered representative | CFP Chartered Financial Consultant | Nov 2015 (11y) | |
| Mark Franklin Moore | Registered representative | Nov 2015 (11y) | ||
| Nicole Atkins Hartung | Registered representative | Nov 2015 (11y) | ||
| Andrew Eugene Firstman | Registered representative | Nov 2015 (11y) | ||
| Christian Cram | Registered representative | Nov 2015 (11y) | ||
| David Simeon Greene | Registered representative | Nov 2015 (11y) | ||
| Mark Horncastle | Registered representative | Nov 2015 (11y) | ||
| Shayla Worley | Registered representative | Nov 2015 (11y) | ||
| Carlos Gil | Registered representative | Nov 2015 (11y) | ||
| Cody A Barrick | Registered representative | Nov 2015 (11y) | ||
| Liming Cai | Registered representative | Dec 2015 (11y) | ||
| Kevin Krieger | Registered representative | Dec 2015 (11y) | ||
| David P Cook | Registered representative | Dec 2015 (11y) | ||
| Keith Phillip Hudson | Registered representative | Dec 2015 (11y) | ||
| Caleb Chapman | Registered representative | Dec 2015 (11y) | ||
| Noe A Alvarado | Registered representative | Dec 2015 (11y) | ||
| Raof Hashim Jawad Nusraty | Registered representative | Dec 2015 (11y) | ||
| William Vincent Milano | Registered representative | CFP | Dec 2015 (11y) | |
| Kevin Glynne Brereton | Registered representative | Dec 2015 (11y) | ||
| Neil G. Lin | Registered representative | Dec 2015 (11y) | ||
| Keith Evangelist | Registered representative | Dec 2015 (11y) | ||
| Paul Gasparro | Registered representative | Dec 2015 (11y) | ||
| Alan Lee Davis | Registered representative | Dec 2015 (11y) | ||
| David Earl Delaney | Registered representative | Dec 2015 (11y) | ||
| Elliott Hutchinson | Registered representative | Dec 2015 (11y) | ||
| Maxwell Charles Pearl | Registered representative | Dec 2015 (11y) | ||
| Joseph Kelly Nelson | Registered representative | Dec 2015 (11y) | ||
| James Wilkes | Registered representative | Dec 2015 (11y) | ||
| Daniel A Valdivia | Registered representative | Dec 2015 (11y) | ||
| Dashiell H. Weiner | Registered representative | Dec 2015 (11y) | ||
| Victor Manuel Perez | Registered representative | Dec 2015 (11y) | ||
| Timothy Jolliffe | Registered representative | Jan 2016 (11y) | ||
| Elaine Meyers | Registered representative | Jan 2016 (11y) | ||
| Jeremy R Frantz | Registered representative | Jan 2016 (11y) | ||
| Lauren H. Peck | Registered representative | Jan 2016 (11y) | ||
| Sean C. Cribbin | Registered representative | Jan 2016 (11y) | ||
| Annemarie Von Der Goltz | Registered representative | Jan 2016 (11y) | ||
| Dennis Brennan | Registered representative | Jan 2016 (11y) | ||
| Douglas G. Sonnenshein | Registered representative | Jan 2016 (11y) | ||
| Nicholas Juncaj | Registered representative | Jan 2016 (11y) | ||
| Daniel Dale Sponseller | Registered representative | Jan 2016 (11y) | ||
| Michael Johnson | Registered representative | Jan 2016 (11y) | ||
| Paul Koerner | Registered representative | Jan 2016 (11y) | ||
| Zachary Adam Decker | Registered representative | Jan 2016 (11y) | ||
| Kelly M Hart | Registered representative | Jan 2016 (11y) | ||
| Cole Thomas Dowling | Registered representative | Jan 2016 (11y) | ||
| Anup C Bhatt | Registered representative | Jan 2016 (11y) | ||
| Chunyi Lei | Registered representative | Chartered Financial Consultant | Jan 2016 (11y) | |
| Jarrad Smith | Registered representative | Jan 2016 (11y) | ||
| David William Qadir | Registered representative | Jan 2016 (11y) | ||
| Laurence White | Registered representative | Jan 2016 (11y) | ||
| Michelle A. Oleszkowicz | Registered representative | Jan 2016 (11y) | ||
| Robert Scarpa | Registered representative | Jan 2016 (11y) | ||
| Chad Salvador | Registered representative | Feb 2016 (10y) | ||
| Peter Ju | Registered representative | Feb 2016 (10y) | ||
| Caleb Wilson | Registered representative | Feb 2016 (10y) | ||
| John Michael Tonzola | Registered representative | Feb 2016 (10y) | ||
| Monica Jean Dove | Registered representative | Feb 2016 (10y) | ||
| Drew William Saberhagen | Registered representative | Feb 2016 (10y) | ||
| Harvey R Boshart | Registered representative | CFA | Feb 2016 (10y) | |
| Sushil Birla | Registered representative | Feb 2016 (10y) | ||
| Joseph Patrick Singleton | Registered representative | Mar 2016 (10y) | ||
| Lisa Cavanagh | Registered representative | Mar 2016 (10y) | ||
| Robert Salgado | Registered representative | Mar 2016 (10y) | ||
| Frank Joseph Carbone | Registered representative | Mar 2016 (10y) | ||
| Mark J. Stusek | Registered representative | CFP | Mar 2016 (10y) | |
| Rimon Attalla | Registered representative | Mar 2016 (10y) | ||
| Yanmin Young | Registered representative | Mar 2016 (10y) | ||
| Damon Chinn | Registered representative | Mar 2016 (10y) | ||
| Jennifer J Curry | Registered representative | Mar 2016 (10y) | ||
| Jeffrey Woo | Registered representative | Mar 2016 (10y) | ||
| Rouzbeh Pouroushasb | Registered representative | Mar 2016 (10y) | ||
| Christopher J. Tipa | Registered representative | Mar 2016 (10y) | ||
| Gregory Napolitano | Registered representative | Mar 2016 (10y) | ||
| Ryan Ishak | Registered representative | Mar 2016 (10y) | ||
| Derek T Hull | Registered representative | Mar 2016 (10y) | ||
| Henry Lau | Registered representative | Chartered Financial Consultant | Mar 2016 (10y) | |
| Robert R Galian | Registered representative | CFP Chartered Financial Consultant | Mar 2016 (10y) | |
| Robert C Frankowiak | Registered representative | Mar 2016 (10y) | ||
| Stephen Michael Wynne | Registered representative | Mar 2016 (10y) | ||
| Bryan T. Harada | Registered representative | CFP | Mar 2016 (10y) | |
| Ryan Botsford | Registered representative | Mar 2016 (10y) | ||
| Maria Luisa Clare | Registered representative | Mar 2016 (10y) | ||
| Donald D Clark | Registered representative | Mar 2016 (10y) | ||
| Jennifer Leoce | Registered representative | Mar 2016 (10y) | ||
| Scott William Soules | Registered representative | Mar 2016 (10y) | ||
| Alexander V Kondur | Registered representative | CFP | Mar 2016 (10y) | |
| Daniel A Stine | Registered representative | Mar 2016 (10y) | ||
| Daniel Robert Schloff | Registered representative | Apr 2016 (10y) | ||
| Charles W. Knapp | Registered representative | Apr 2016 (10y) | ||
| Scott Jory | Registered representative | Apr 2016 (10y) | ||
| Samuel Dong Hyun Rhu | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Alexia Paroz Young | Registered representative | Apr 2016 (10y) | ||
| Jasdeep Singh Cheema | Registered representative | Apr 2016 (10y) | ||
| Matthew Sanchez | Registered representative | Apr 2016 (10y) | ||
| Andrew M Donovan | Registered representative | Apr 2016 (10y) | ||
| Jessica Chiang | Registered representative | Apr 2016 (10y) | ||
| Daniel Nathan Durr | Registered representative | Apr 2016 (10y) | ||
| Mark T. Starker | Registered representative | Apr 2016 (10y) | ||
| Trevor Joseph Wurtzebach | Registered representative | Apr 2016 (10y) | ||
| Tammia Donez Akilah Rowe | Registered representative | CFP | Apr 2016 (10y) | |
| Benjamin Pogofsky | Registered representative | Apr 2016 (10y) | ||
| Shai Salomon | Registered representative | Apr 2016 (10y) | ||
| Todd Mikell | Registered representative | Apr 2016 (10y) | ||
| Joe Charboneau | Registered representative | Apr 2016 (10y) | ||
| Bibi M Khan | Registered representative | Apr 2016 (10y) | ||
| Jamie Vincent Delio | Registered representative | Apr 2016 (10y) | ||
| Joseph T. Zahora | Registered representative | CFP | Apr 2016 (10y) | |
| Ercilia Garza | Registered representative | Apr 2016 (10y) | ||
| Ingrid Providence | Registered representative | Apr 2016 (10y) | ||
| Amy M Bermudez | Registered representative | May 2016 (10y) | ||
| Andrew Paul Girard | Registered representative | May 2016 (10y) | ||
| Jorge Julian Mejia | Registered representative | May 2016 (10y) | ||
| Nicole Weisman | Registered representative | May 2016 (10y) | ||
| Rose M Gomez | Registered representative | May 2016 (10y) | ||
| Jacob John Pottschmidt | Registered representative | May 2016 (10y) | ||
| Brian Clarke | Registered representative | May 2016 (10y) | ||
| Daniel Umberto Gerbasi | Registered representative | May 2016 (10y) | ||
| Thomas Wiegand | Registered representative | May 2016 (10y) | ||
| Eithar Gaggi | Registered representative | May 2016 (10y) | ||
| Edon Qarri | Registered representative | May 2016 (10y) | ||
| Jeffrey M. Forbes | Registered representative | May 2016 (10y) | ||
| Melody Kay Clark | Registered representative | May 2016 (10y) | ||
| Christopher John Free | Registered representative | May 2016 (10y) | ||
| Agustin Acosta | Registered representative | May 2016 (10y) | ||
| Stephanie Nicole Allen | Registered representative | May 2016 (10y) | ||
| Erik C Varhus | Registered representative | Jun 2016 (10y) | ||
| Jennifer Lynn Ruhter | Registered representative | Jun 2016 (10y) | ||
| Kevin Thomas Corrigan | Registered representative | CFP | Jun 2016 (10y) | |
| Kristen J. Mc Kelvy | Registered representative | Jun 2016 (10y) | ||
| Ashley M Dunbar | Registered representative | Jun 2016 (10y) | ||
| Damjan Juncaj | Registered representative | Jun 2016 (10y) | ||
| David D. Lee | Registered representative | Jun 2016 (10y) | ||
| Joshua Ryan Maloff | Registered representative | Jun 2016 (10y) | ||
| Vasilios Zarboutis | Registered representative | Jun 2016 (10y) | ||
| Christopher W. Riegel | Registered representative | Jun 2016 (10y) | ||
| Suhrob R Kaharov | Registered representative | Jun 2016 (10y) | ||
| Jodie Mc Kenzie | Registered representative | Jun 2016 (10y) | ||
| Jonathan Gervais | Registered representative | Jun 2016 (10y) | ||
| Nathanael C Darnieder | Registered representative | CFP | Jun 2016 (10y) | |
| Tony Ly | Registered representative | Jun 2016 (10y) | ||
| Charles T. Webster | Registered representative | Jun 2016 (10y) | ||
| Theodore Robert Fisher | Registered representative | Jun 2016 (10y) | ||
| Matthew Bell | Registered representative | Jun 2016 (10y) | ||
| Michael F. Spoo | Registered representative | Jun 2016 (10y) | ||
| Annika Lynn Franz | Registered representative | Jun 2016 (10y) | ||
| Brian Eatherton | Registered representative | Jun 2016 (10y) | ||
| Denny Van Chu | Registered representative | Jun 2016 (10y) | ||
| Harley Christopher Barnes | Registered representative | Jun 2016 (10y) | ||
| Michael V. Pitruzzello | Registered representative | Jun 2016 (10y) | ||
| Ryan Edward Kanz | Registered representative | Jun 2016 (10y) | ||
| Michael B. Borders | Registered representative | Jun 2016 (10y) | ||
| Roger P. Algozo | Registered representative | Jun 2016 (10y) | ||
| Daniel Pollak | Registered representative | Jun 2016 (10y) | ||
| Courtney Cardwell | Registered representative | Jun 2016 (10y) | ||
| Ricardo A Urena | Registered representative | Jun 2016 (10y) | ||
| Chun Man Wong | Registered representative | Jun 2016 (10y) | ||
| Alexander Carlos Mendoza | Registered representative | Jul 2016 (10y) | ||
| Cristian I. Rojas | Registered representative | Jul 2016 (10y) | ||
| Janet L Baynes | Registered representative | Jul 2016 (10y) | ||
| Lisa Ann Gregori | Registered representative | Jul 2016 (10y) | ||
| Ted Nelson | Registered representative | Jul 2016 (10y) | ||
| William Marshall | Registered representative | Jul 2016 (10y) | ||
| Steven R Zwirz | Registered representative | Jul 2016 (10y) | ||
| Lisa Michelle Tomlinson | Registered representative | Jul 2016 (10y) | ||
| Ellen Marie Davis | Registered representative | Jul 2016 (10y) | ||
| Lisa Quach | Registered representative | CFP | Jul 2016 (10y) | |
| Andrew Ro Kim | Registered representative | Jul 2016 (10y) | ||
| Scott Mc Vey | Registered representative | CFP | Jul 2016 (10y) | |
| Mari Eisenman | Registered representative | Jul 2016 (10y) | ||
| John Dacey | Registered representative | Jul 2016 (10y) | ||
| Pierre Rieumont | Registered representative | CFP | Jul 2016 (10y) | |
| Chad Lybarger | Registered representative | CFP Chartered Financial Consultant | Jul 2016 (10y) | |
| Dia Gloster | Registered representative | Jul 2016 (10y) | ||
| Jose X Hualpa | Registered representative | Jul 2016 (10y) | ||
| Shifali Shetty | Registered representative | CFP | Jul 2016 (10y) | |
| Evan Parry | Registered representative | Jul 2016 (10y) | ||
| Andrew Fong | Registered representative | Jul 2016 (10y) | ||
| Douglas A. Bradel | Registered representative | Jul 2016 (10y) | ||
| David G Redick | Registered representative | Aug 2016 (10y) | ||
| Jose Jaime Padron | Registered representative | Aug 2016 (10y) | ||
| Meagan Colleen Merrill | Registered representative | Aug 2016 (10y) | ||
| Ryan Phuoc Chau | Registered representative | Aug 2016 (10y) | ||
| Brandon J. Dunford | Registered representative | Aug 2016 (10y) | ||
| Thomas Jagels | Registered representative | Aug 2016 (10y) | ||
| Qing Yao | Registered representative | Aug 2016 (10y) | ||
| Jaime Anaya | Registered representative | Aug 2016 (10y) | ||
| Eric Meister | Registered representative | Aug 2016 (10y) | ||
| Kevin Majidian | Registered representative | CFP | Aug 2016 (10y) | |
| Gary Van Allen | Registered representative | Aug 2016 (10y) | ||
| Jonathon Krempa | Registered representative | Aug 2016 (10y) | ||
| Aaron Lee Weiss | Registered representative | Aug 2016 (10y) | ||
| Christopher S Carroll | Registered representative | CFP | Aug 2016 (10y) | |
| Zachary Marc Sparrow | Registered representative | Aug 2016 (10y) | ||
| Megan Blakeman Frost | Registered representative | Aug 2016 (10y) | ||
| Steven H. Tomalin | Registered representative | Aug 2016 (10y) | ||
| Christopher Foster | Registered representative | Aug 2016 (10y) | ||
| John Dennis Pettis | Registered representative | Aug 2016 (10y) | ||
| Kelly Guda | Registered representative | Aug 2016 (10y) | ||
| Rashad Lamar Brown | Registered representative | Aug 2016 (10y) | ||
| Nelson Alberto Cruz | Registered representative | Aug 2016 (10y) | ||
| James Patrick Knox | Registered representative | Aug 2016 (10y) | ||
| Cynthia Faraci | Registered representative | Aug 2016 (10y) | ||
| Ahsan R Baig | Registered representative | Aug 2016 (10y) | ||
| Gregory O. De Castro | Registered representative | Aug 2016 (10y) | ||
| Robert Weston Knapp | Registered representative | Aug 2016 (10y) | ||
| Sarah Saito | Registered representative | Aug 2016 (10y) | ||
| Andrew Sutton | Registered representative | Aug 2016 (10y) | ||
| Ryan Michael Alge | Registered representative | Sep 2016 (10y) | ||
| Bertrand Christophe Gaudin | Registered representative | Sep 2016 (10y) | ||
| Carolina Rida Jaafar | Registered representative | Sep 2016 (10y) | ||
| Eric Curtis | Registered representative | Sep 2016 (10y) | ||
| Antonio Sebastian Dispensa | Registered representative | Sep 2016 (10y) | ||
| Nadeem Alam | Registered representative | Sep 2016 (10y) | ||
| Aigy Gene Hasegawa | Registered representative | Sep 2016 (10y) | ||
| Denise Michele Long | Registered representative | Sep 2016 (10y) | ||
| Jay Julius Peitsch | Registered representative | Sep 2016 (10y) | ||
| Justin Burns | Registered representative | Sep 2016 (10y) | ||
| Nilay Patel | Registered representative | Sep 2016 (10y) | ||
| Felipe Godard Rangel | Registered representative | Sep 2016 (10y) | ||
| John Kurtis Mc Glyn | Registered representative | Sep 2016 (10y) | ||
| Matthew Stoll | Registered representative | Sep 2016 (10y) | ||
| Michael Dat Dao | Registered representative | Sep 2016 (10y) | ||
| Paul Kim | Registered representative | Sep 2016 (10y) | ||
| Adam Grant Michels | Registered representative | Sep 2016 (10y) | ||
| Annette Louise Young | Registered representative | Sep 2016 (10y) | ||
| Jeffrey Nagle | Registered representative | Sep 2016 (10y) | ||
| Nadim Quaiser | Registered representative | CFP | Sep 2016 (10y) | |
| Brett W. Meers | Registered representative | Sep 2016 (10y) | ||
| Clinton J. Mc Clurkin | Registered representative | Sep 2016 (10y) | ||
| Mary Bernadette Rono | Registered representative | Sep 2016 (10y) | ||
| Michael Petri | Registered representative | Sep 2016 (10y) | ||
| Roberto A Lopez Araiza | Registered representative | Sep 2016 (10y) | ||
| Hitesh Ghangus | Registered representative | Sep 2016 (10y) | ||
| Slavko Stankov | Registered representative | Sep 2016 (10y) | ||
| Amanda Carol Kebbe | Registered representative | Sep 2016 (10y) | ||
| Jacob D Shepard | Registered representative | CFP | Sep 2016 (10y) | |
| James Brian Thomas | Registered representative | Sep 2016 (10y) | ||
| John A Kakarigi | Registered representative | Sep 2016 (10y) | ||
| Vanessa M. Campos | Registered representative | Sep 2016 (10y) | ||
| Xavier Villasenor | Registered representative | Sep 2016 (10y) | ||
| Anthony Nicholas Carpenito | Registered representative | Sep 2016 (10y) | ||
| Kevin Lynn | Registered representative | Oct 2016 (10y) | ||
| Roger Alan Walker | Registered representative | Oct 2016 (10y) | ||
| Jorge Andres Morales | Registered representative | Oct 2016 (10y) | ||
| Diana Anna Krawiec | Registered representative | Oct 2016 (10y) | ||
| James Alex Colonna | Registered representative | Oct 2016 (10y) | ||
| Bryan Jesse Granja | Registered representative | Oct 2016 (10y) | ||
| Danny Lee Huynh | Registered representative | Oct 2016 (10y) | ||
| Kelly Hieu Ha | Registered representative | Oct 2016 (10y) | ||
| Yajing Eva Qiu | Registered representative | Oct 2016 (10y) | ||
| Blake Bertea | Registered representative | Oct 2016 (10y) | ||
| Julie Ann England | Registered representative | Oct 2016 (10y) | ||
| Matthew P. Bettenhausen | Registered representative | Oct 2016 (10y) | ||
| Cristal Jessalyn Liceaga | Registered representative | Oct 2016 (10y) | ||
| Rutul R. Ramolia | Registered representative | Oct 2016 (10y) | ||
| David Neftali Acosta | Registered representative | Oct 2016 (10y) | ||
| Maziyar Ahmadi Kashani | Registered representative | Oct 2016 (10y) | ||
| Michael S Kim | Registered representative | Oct 2016 (10y) | ||
| Roger G. Brigati | Registered representative | CFP CFA | Oct 2016 (10y) | |
| Thomas A Mc Nairy | Registered representative | Oct 2016 (10y) | ||
| Howard Aaron Rudolph | Registered representative | Oct 2016 (10y) | ||
| Hong C Van | Registered representative | Oct 2016 (10y) | ||
| John Louis Froman | Registered representative | Oct 2016 (10y) | ||
| Kevin Ryan Krause | Registered representative | Oct 2016 (10y) | ||
| Shawn T Ropson | Registered representative | Oct 2016 (10y) | ||
| Sime N Miocic | Registered representative | Oct 2016 (10y) | ||
| Allison Marie Ockwood | Registered representative | Oct 2016 (10y) | ||
| Erin Mc Naughton | Registered representative | Oct 2016 (10y) | ||
| John D Parson | Registered representative | Oct 2016 (10y) | ||
| Randi Ellen Lehrhoff | Registered representative | Oct 2016 (10y) | ||
| Ricardo S. Penafiel | Registered representative | Oct 2016 (10y) | ||
| Adelle Ramos Tan | Registered representative | CFP | Oct 2016 (10y) | |
| Gennadiy Yankiv | Registered representative | Oct 2016 (10y) | ||
| Davis Lee Schroeder | Registered representative | Nov 2016 (10y) | ||
| Brian A. Terlinsky | Registered representative | Nov 2016 (10y) | ||
| Brian Tait | Registered representative | Nov 2016 (10y) | ||
| Dustin Andrew Roedding | Registered representative | CFP | Nov 2016 (10y) | |
| Richard Escay Ascalon | Registered representative | Nov 2016 (10y) | ||
| Brian C. Lucido | Registered representative | Nov 2016 (10y) | ||
| Michael F. Starshak | Registered representative | Nov 2016 (10y) | ||
| Mark E. Manasco | Registered representative | Nov 2016 (10y) | ||
| Stefan Michael Abhiram | Registered representative | Nov 2016 (10y) | ||
| Zachary David Lee | Registered representative | Nov 2016 (10y) | ||
| Christian Anthony Ramjohn | Registered representative | Nov 2016 (10y) | ||
| Leonardo Ramirez | Registered representative | Nov 2016 (10y) | ||
| Nicholas A Mc Glynn | Registered representative | Nov 2016 (10y) | ||
| Alberto Guajardo | Registered representative | Nov 2016 (10y) | ||
| Esther Genson Beal | Registered representative | Nov 2016 (10y) | ||
| Jose Rafael Marmol | Registered representative | Nov 2016 (10y) | ||
| Lawrence B. Martin | Registered representative | Nov 2016 (10y) | ||
| Brian Rudin | Registered representative | Nov 2016 (10y) | ||
| Erick Trevor Brown | Registered representative | CFP | Nov 2016 (10y) | |
| George E Martinez | Registered representative | Nov 2016 (10y) | ||
| Jennifer Yen Chia Lee | Registered representative | CFP | Nov 2016 (10y) | |
| Mariga Torossian | Registered representative | Nov 2016 (10y) | ||
| Scott Wolf | Registered representative | Nov 2016 (10y) | ||
| Allen Tsay | Registered representative | Dec 2016 (10y) | ||
| Christopher B. Kelly | Registered representative | CFP | Dec 2016 (10y) | |
| Tonya Kalodimos | Registered representative | Dec 2016 (10y) | ||
| Chris Fales | Registered representative | Dec 2016 (10y) | ||
| Danielle Alexandria Lehman | Registered representative | Dec 2016 (10y) | ||
| Julian J. Kidd | Registered representative | Dec 2016 (10y) | ||
| Dano W. Lo Presti | Registered representative | CFP Chartered Financial Consultant | Dec 2016 (10y) | |
| Jonathan Canter | Registered representative | Dec 2016 (10y) | ||
| Garo Barbarian | Registered representative | CFP | Dec 2016 (10y) | |
| Thomas J. Flynn | Registered representative | Dec 2016 (10y) | ||
| Zachary Adams | Registered representative | Dec 2016 (10y) | ||
| Aliona Lozinschi | Registered representative | Dec 2016 (10y) | ||
| Victoria Lynn Graham | Registered representative | Dec 2016 (10y) | ||
| Robert W. Anderson | Registered representative | Dec 2016 (10y) | ||
| Anthony T Best | Registered representative | Dec 2016 (10y) | ||
| Derrick Ray Hayes | Registered representative | Dec 2016 (10y) | ||
| Devin Erickson | Registered representative | CFP | Dec 2016 (10y) | |
| Eduardo Garcia | Registered representative | Dec 2016 (10y) | ||
| John Mizrahi | Registered representative | Dec 2016 (10y) | ||
| Omatseye Onajome Ugen | Registered representative | Dec 2016 (10y) | ||
| Raechel Hicks | Registered representative | Dec 2016 (10y) | ||
| Anthony P Covelli | Registered representative | Dec 2016 (10y) | ||
| Maria Lina Mejia | Registered representative | Dec 2016 (10y) | ||
| Johnny Wong | Registered representative | Dec 2016 (10y) | ||
| Richard N. Elkhatib | Registered representative | Dec 2016 (10y) | ||
| Corey O. Richards | Registered representative | Dec 2016 (10y) | ||
| Laura Human | Registered representative | Dec 2016 (10y) | ||
| Alban Londo | Registered representative | Jan 2017 (10y) | ||
| Eoin Padraig Walsh | Registered representative | Jan 2017 (10y) | ||
| Frank Difino | Registered representative | Jan 2017 (10y) | ||
| Harrison S. Karp | Registered representative | Jan 2017 (10y) | ||
| Maritsa Teresa Rojas | Registered representative | Jan 2017 (10y) | ||
| Meriam E Putrus | Registered representative | Jan 2017 (10y) | ||
| Nicholas Brian Tagliere | Registered representative | Jan 2017 (10y) | ||
| Polica Penn | Registered representative | Jan 2017 (10y) | ||
| Ryan Matthew Morgan | Registered representative | Jan 2017 (10y) | ||
| Matthew Dean | Registered representative | Jan 2017 (10y) | ||
| Brady S Eller | Registered representative | Jan 2017 (10y) | ||
| Jared M. Lohden | Registered representative | Jan 2017 (10y) | ||
| Steven Aylmer | Registered representative | Jan 2017 (10y) | ||
| Dustin Dude Jones | Registered representative | Jan 2017 (10y) | ||
| James Ryan Barnett | Registered representative | Jan 2017 (10y) | ||
| David Frascarelli | Registered representative | Jan 2017 (10y) | ||
| Andrew Thomas Saggio | Registered representative | Jan 2017 (10y) | ||
| Gabriel Jimenez | Registered representative | Jan 2017 (10y) | ||
| Salvatore Lobue | Registered representative | Jan 2017 (10y) | ||
| Brian Caccamo | Registered representative | Jan 2017 (10y) | ||
| Ericka Marie Groves | Registered representative | Jan 2017 (10y) | ||
| David Morris | Registered representative | Jan 2017 (10y) | ||
| Jordan Paul Trunk | Registered representative | Jan 2017 (10y) | ||
| Edward Joseph Frederick | Registered representative | CFP | Jan 2017 (10y) | |
| Jeffery Henrikson | Registered representative | Jan 2017 (10y) | ||
| Faviola Lara Reyes | Registered representative | Feb 2017 (10y) | ||
| Gary Ebert | Registered representative | Feb 2017 (10y) | ||
| Keven Demott | Registered representative | Feb 2017 (10y) | ||
| Matthew Troutman | Registered representative | Feb 2017 (10y) | ||
| Ryan Mathew Mcclanahan | Registered representative | Feb 2017 (10y) | ||
| Jason A. Rosado | Registered representative | Feb 2017 (9y) | ||
| Mark Aaron Haynes Benz | Registered representative | CFP | Feb 2017 (9y) | |
| Stephen J. Allerti | Registered representative | Feb 2017 (9y) | ||
| Thomas J Huang | Registered representative | Feb 2017 (9y) | ||
| Halima Sadiya Adam Dabre | Registered representative | Feb 2017 (9y) | ||
| Isabel Linda Dueri | Registered representative | CFP | Feb 2017 (9y) | |
| Jyoti A Alwani | Registered representative | Feb 2017 (9y) | ||
| Christopher Iwaskewycz | Registered representative | CFP | Feb 2017 (9y) | |
| Adam Gonzales | Registered representative | Feb 2017 (9y) | ||
| Andrew Patrick Irwin | Registered representative | Feb 2017 (9y) | ||
| Michael Scott Lioy | Registered representative | Feb 2017 (9y) | ||
| Leland Galan | Registered representative | Feb 2017 (9y) | ||
| Bradley Kimpton | Registered representative | Feb 2017 (9y) | ||
| Daniel Munoz | Registered representative | Feb 2017 (9y) | ||
| Ryan Matthew Wilk | Registered representative | Feb 2017 (9y) | ||
| Taylor Jessica Roland | Registered representative | Feb 2017 (9y) | ||
| Jackie Yee Man Lewis | Registered representative | Feb 2017 (9y) | ||
| Michael Ka Lam | Registered representative | Feb 2017 (9y) | ||
| Sean Manning | Registered representative | Mar 2017 (9y) | ||
| Andrew Bresnahan | Registered representative | Mar 2017 (9y) | ||
| Donald Edward Harper | Registered representative | Mar 2017 (9y) | ||
| Donna Celine C Miller | Registered representative | Mar 2017 (9y) | ||
| Evan Scherer | Registered representative | Mar 2017 (9y) | ||
| Mathew Lewis Luermann | Registered representative | Mar 2017 (9y) | ||
| William E Aurand | Registered representative | Mar 2017 (9y) | ||
| Gurjit Singh Atwal | Registered representative | Mar 2017 (9y) | ||
| Mikhail Azayev | Registered representative | Mar 2017 (9y) | ||
| David Marich | Registered representative | Mar 2017 (9y) | ||
| Jeremiah J Hare | Registered representative | Mar 2017 (9y) | ||
| Sherif S Salib | Registered representative | Mar 2017 (9y) | ||
| Tammie Knopp | Registered representative | Mar 2017 (9y) | ||
| John Batista Pannozzo | Registered representative | Mar 2017 (9y) | ||
| Karl Miranda | Registered representative | CFP | Mar 2017 (9y) | |
| Darrin John Wirhouski | Registered representative | Mar 2017 (9y) | ||
| Lauren Williams | Registered representative | Mar 2017 (9y) | ||
| Tanya Ackermann | Registered representative | Mar 2017 (9y) | ||
| Diego Hoyos Farfan | Registered representative | Mar 2017 (9y) | ||
| Rufus H. Smith | Registered representative | Mar 2017 (9y) | ||
| Andrew Waldson | Registered representative | Mar 2017 (9y) | ||
| Joseph L. Kalinoski | Registered representative | Mar 2017 (9y) | ||
| Christopher J. Harford | Registered representative | Mar 2017 (9y) | ||
| Clint Blackburn | Registered representative | Mar 2017 (9y) | ||
| Clifford Allen Ely | Registered representative | Apr 2017 (9y) | ||
| Steven Kleiner | Registered representative | Apr 2017 (9y) | ||
| Luke Paul Hannafin | Registered representative | Apr 2017 (9y) | ||
| Musetta L Li | Registered representative | CFP | Apr 2017 (9y) | |
| Paul Rafael Alvarez | Registered representative | Apr 2017 (9y) | ||
| Ermal Binaj | Registered representative | Apr 2017 (9y) | ||
| James L. Guzman | Registered representative | Apr 2017 (9y) | ||
| Jamie Cecich | Registered representative | Apr 2017 (9y) | ||
| Soben Puckhaber | Registered representative | Apr 2017 (9y) | ||
| Debora C Knaak | Registered representative | Apr 2017 (9y) | ||
| Adam Elghandour | Registered representative | Apr 2017 (9y) | ||
| Matthew W Wesolowski | Registered representative | Apr 2017 (9y) | ||
| Adriana Petrides | Registered representative | Apr 2017 (9y) | ||
| Donavin D C Bausley | Registered representative | Apr 2017 (9y) | ||
| Eric Lee Utesch | Registered representative | Apr 2017 (9y) | ||
| Sherry Dawn Carrico | Registered representative | Apr 2017 (9y) | ||
| Alejandro C Martinez | Registered representative | Apr 2017 (9y) | ||
| Jason Notter | Registered representative | Apr 2017 (9y) | ||
| John Patrick Schober | Registered representative | Apr 2017 (9y) | ||
| Swati B Hofmann | Registered representative | Apr 2017 (9y) | ||
| Adam Christopher Leeper | Registered representative | May 2017 (9y) | ||
| Bradley Lowell Fine | Registered representative | May 2017 (9y) | ||
| Carl Jason Pestelos | Registered representative | May 2017 (9y) | ||
| David Ruiz | Registered representative | May 2017 (9y) | ||
| Kyle Miller | Registered representative | May 2017 (9y) | ||
| Aaron Davis | Registered representative | May 2017 (9y) | ||
| Bradley Hamlin | Registered representative | May 2017 (9y) | ||
| David Terry | Registered representative | May 2017 (9y) | ||
| Hai Nguyen | Registered representative | May 2017 (9y) | ||
| Jennifer P. Maris | Registered representative | May 2017 (9y) | ||
| Mikheil Skhulukhia | Registered representative | May 2017 (9y) | ||
| Colby Hunt | Registered representative | May 2017 (9y) | ||
| Nathan Thomas | Registered representative | May 2017 (9y) | ||
| Bryan Koy | Registered representative | May 2017 (9y) | ||
| Eric Walsh | Registered representative | May 2017 (9y) | ||
| Kim Lee | Registered representative | May 2017 (9y) | ||
| Michael Durkin | Registered representative | May 2017 (9y) | ||
| Shane M. Karshner | Registered representative | May 2017 (9y) | ||
| Amanda Allie | Registered representative | May 2017 (9y) | ||
| Dylan Mobly | Registered representative | May 2017 (9y) | ||
| Corey Novak | Registered representative | CFP | May 2017 (9y) | |
| James Patrick Doherty | Registered representative | May 2017 (9y) | ||
| Michael Paul Rager | Registered representative | May 2017 (9y) | ||
| Tae Yun Kim Oak | Registered representative | May 2017 (9y) | ||
| Bryan Michael Wallin | Registered representative | May 2017 (9y) | ||
| Mary Barbara O'brien | Registered representative | May 2017 (9y) | ||
| Joshua Perkins | Registered representative | May 2017 (9y) | ||
| Jason Hollowell | Registered representative | May 2017 (9y) | ||
| Robert Terence Wright | Registered representative | May 2017 (9y) | ||
| Christopher P. Skijus | Registered representative | May 2017 (9y) | ||
| Melvin Fishman | Registered representative | May 2017 (9y) | ||
| Richard Paul Srnec | Registered representative | May 2017 (9y) | ||
| William S Oleson | Registered representative | May 2017 (9y) | ||
| Corey Ingram | Registered representative | May 2017 (9y) | ||
| Neetu Tiwari | Registered representative | May 2017 (9y) | ||
| Andreas Aravantinos | Registered representative | Jun 2017 (9y) | ||
| Charles Aaron Amadio | Registered representative | Jun 2017 (9y) | ||
| Denis K. Nemeth | Registered representative | Jun 2017 (9y) | ||
| Kenneth Brown | Registered representative | Jun 2017 (9y) | ||
| Matthew Percey | Registered representative | Jun 2017 (9y) | ||
| Yelena Alhadeff | Registered representative | Jun 2017 (9y) | ||
| Brian Robert Mancusi | Registered representative | Jun 2017 (9y) | ||
| Eric Deneau | Registered representative | Jun 2017 (9y) | ||
| Jose Emmanuel Suarez | Registered representative | Jun 2017 (9y) | ||
| Joseph Hymowitz | Registered representative | Jun 2017 (9y) | ||
| Surabhi Shukla | Registered representative | Jun 2017 (9y) | ||
| Jason R. Kelley | Registered representative | Jun 2017 (9y) | ||
| Christopher Lloyd Manchester | Registered representative | Jun 2017 (9y) | ||
| Joseph Anthony Palese | Registered representative | Jun 2017 (9y) | ||
| Jasmine Barker | Registered representative | Jun 2017 (9y) | ||
| Michael Nolan Mehilos | Registered representative | Jun 2017 (9y) | ||
| Melanie L Cash | Registered representative | Jun 2017 (9y) | ||
| Michelle Renee St George | Registered representative | Jun 2017 (9y) | ||
| Steven Kang | Registered representative | Jun 2017 (9y) | ||
| Timothy J Connelly | Registered representative | Jun 2017 (9y) | ||
| Christopher John Rezek | Registered representative | CFP | Jun 2017 (9y) | |
| Ryan Adhari | Registered representative | Jun 2017 (9y) | ||
| Christopher J Scott | Registered representative | Jun 2017 (9y) | ||
| Matthew A. Hampshire | Registered representative | Jun 2017 (9y) | ||
| Stephen Wendling | Registered representative | Jun 2017 (9y) | ||
| Carlos Tseng | Registered representative | Jun 2017 (9y) | ||
| Ariel David Abreu | Registered representative | Jun 2017 (9y) | ||
| Elsa Yuliana Bittar | Registered representative | Jun 2017 (9y) | ||
| Roland Bernard Heidelberg | Registered representative | Jun 2017 (9y) | ||
| Adam Thompson | Registered representative | Jun 2017 (9y) | ||
| Joseph D. Filicicchia | Registered representative | Jun 2017 (9y) | ||
| Matthew Junstrom | Registered representative | Jun 2017 (9y) | ||
| Clay Calderon | Registered representative | Jun 2017 (9y) | ||
| Randy E. Domingue | Registered representative | Jun 2017 (9y) | ||
| Timothy Patrick Feeley | Registered representative | Jun 2017 (9y) | ||
| Vincent R. Lawler | Registered representative | Jun 2017 (9y) | ||
| Richard B. Miller | Registered representative | Jun 2017 (9y) | ||
| Stephen Mangiacotti | Registered representative | Jun 2017 (9y) | ||
| Susan Marie Davis | Registered representative | Jun 2017 (9y) | ||
| Ryan A. Hofgesang | Registered representative | Jul 2017 (9y) | ||
| Jimmy Jones Fox | Registered representative | Jul 2017 (9y) | ||
| Arturo Abarca | Registered representative | Jul 2017 (9y) | ||
| Jerry Capetillo | Registered representative | Jul 2017 (9y) | ||
| Ryan Roth | Registered representative | Jul 2017 (9y) | ||
| Stephen Todd Anderson | Registered representative | Jul 2017 (9y) | ||
| Jennifer Nicole Tuttle | Registered representative | Jul 2017 (9y) | ||
| Paul Wu | Registered representative | Jul 2017 (9y) | ||
| Perry S. Meyers | Registered representative | Jul 2017 (9y) | ||
| Carlos A. Fullen | Registered representative | Jul 2017 (9y) | ||
| Christopher R Billings | Registered representative | Jul 2017 (9y) | ||
| Daniel Benjamin Fitzgerald | Registered representative | Jul 2017 (9y) | ||
| Debra J. Danks | Registered representative | Jul 2017 (9y) | ||
| Nicholas Louis John Williams | Registered representative | CFP | Jul 2017 (9y) | |
| Shannon Patricia Schiebel | Registered representative | Jul 2017 (9y) | ||
| Brandon J. Hodges | Registered representative | Jul 2017 (9y) | ||
| Rosanna Chapa | Registered representative | Jul 2017 (9y) | ||
| Freeman Leung | Registered representative | Jul 2017 (9y) | ||
| Douglas F. Horner | Registered representative | CFP | Jul 2017 (9y) | |
| Matthew James Oliksowycz | Registered representative | Jul 2017 (9y) | ||
| Todd E. Woehle | Registered representative | Jul 2017 (9y) | ||
| Simran Singh | Registered representative | Jul 2017 (9y) | ||
| Jesus Garcia | Registered representative | Jul 2017 (9y) | ||
| Michael Marietti | Registered representative | Jul 2017 (9y) | ||
| Eric Bean | Registered representative | Jul 2017 (9y) | ||
| Amy Voong | Registered representative | Jul 2017 (9y) | ||
| Cristian Santana | Registered representative | Jul 2017 (9y) | ||
| Daniel A. Landry | Registered representative | Jul 2017 (9y) | ||
| Habib Ngom | Registered representative | Jul 2017 (9y) | ||
| Melannie Joyce Kleven | Registered representative | Jul 2017 (9y) | ||
| Bertina Lee | Registered representative | Jul 2017 (9y) | ||
| Brian Winnen | Registered representative | CFP | Jul 2017 (9y) | |
| Jasmine Nichole Ramirez | Registered representative | Jul 2017 (9y) | ||
| Joseph Backlund | Registered representative | Jul 2017 (9y) | ||
| Linda Maureen Vigneri | Registered representative | Jul 2017 (9y) | ||
| Sean Lockwood | Registered representative | Jul 2017 (9y) | ||
| Alejandro Enrique Gonzalez | Registered representative | Jul 2017 (9y) | ||
| Changyuan Lin | Registered representative | Jul 2017 (9y) | ||
| Christopher Adolfo Vargas | Registered representative | Aug 2017 (9y) | ||
| Jonathan J. Urbina | Registered representative | Aug 2017 (9y) | ||
| Kristopher Michael Sayre | Registered representative | Aug 2017 (9y) | ||
| Constantina Cox | Registered representative | Aug 2017 (9y) | ||
| Jack Lee | Registered representative | Aug 2017 (9y) | ||
| Maximillian Poe | Registered representative | Aug 2017 (9y) | ||
| Stephen L Parrish | Registered representative | Aug 2017 (9y) | ||
| Leonel Chaves | Registered representative | Aug 2017 (9y) | ||
| Nathan Patrick Fuhrman | Registered representative | Aug 2017 (9y) | ||
| Jarrad Knutson | Registered representative | Aug 2017 (9y) | ||
| Steve Juncaj | Registered representative | Aug 2017 (9y) | ||
| Vinh D. Tran | Registered representative | Aug 2017 (9y) | ||
| Anthony Joseph Zizzamia | Registered representative | Aug 2017 (9y) | ||
| John J Wolf | Registered representative | Aug 2017 (9y) | ||
| Oliver Sanjay Solomon | Registered representative | Aug 2017 (9y) | ||
| Esther Ezekiel Inyang | Registered representative | Aug 2017 (9y) | ||
| Alex E Matsumura | Registered representative | Aug 2017 (9y) | ||
| Jeremy Patrick O Reilly | Registered representative | Aug 2017 (9y) | ||
| Julio Tudon | Registered representative | Aug 2017 (9y) | ||
| Mark Alford | Registered representative | CFP | Aug 2017 (9y) | |
| Roger Escobar | Registered representative | Aug 2017 (9y) | ||
| George David Nader | Registered representative | Aug 2017 (9y) | ||
| James Milani | Registered representative | Aug 2017 (9y) | ||
| Joseph Philip Tartaglini | Registered representative | Aug 2017 (9y) | ||
| Ivan Erasmo Feliciano | Registered representative | Aug 2017 (9y) | ||
| Amanda A. Spears | Registered representative | Aug 2017 (9y) | ||
| Matt J. Neal | Registered representative | CFP | Aug 2017 (9y) | |
| Nicolas Ryan Culver | Registered representative | Aug 2017 (9y) | ||
| Bryan Benjamin Donald Beloff | Registered representative | Aug 2017 (9y) | ||
| Jessica Arana | Registered representative | Aug 2017 (9y) | ||
| Timothy Shebak | Registered representative | Aug 2017 (9y) | ||
| Bryan A. Okun | Registered representative | Aug 2017 (9y) | ||
| Charles M. Adams | Registered representative | Aug 2017 (9y) | ||
| Jenna Therese Cedillo | Registered representative | Aug 2017 (9y) | ||
| Kenyon Humphrey | Registered representative | Aug 2017 (9y) | ||
| Phong Ly | Registered representative | Aug 2017 (9y) | ||
| Taylor Korb | Registered representative | Aug 2017 (9y) | ||
| Adam Hulen Crumpler | Registered representative | CFP | Sep 2017 (9y) | |
| Justin Shum | Registered representative | Sep 2017 (9y) | ||
| Michael Parisi | Registered representative | Sep 2017 (9y) | ||
| Debby W Wu | Registered representative | Sep 2017 (9y) | ||
| Neelay Lakhia | Registered representative | CFP | Sep 2017 (9y) | |
| Peter Scott Olivo | Registered representative | Sep 2017 (9y) | ||
| Samantha Maney | Registered representative | Sep 2017 (9y) | ||
| Anthony J. Destio | Registered representative | Sep 2017 (9y) | ||
| David Brian Winter | Registered representative | Sep 2017 (9y) | ||
| Edward H. Brooks | Registered representative | Sep 2017 (9y) | ||
| Rigoberto Rodriguez | Registered representative | Sep 2017 (9y) | ||
| Eric Christopher Boykin | Registered representative | Sep 2017 (9y) | ||
| Elaine D Mosqueda | Registered representative | Sep 2017 (9y) | ||
| Justin Paschal | Registered representative | Sep 2017 (9y) | ||
| David Samouhi | Registered representative | Sep 2017 (9y) | ||
| Fritzgerald Jolly | Registered representative | Sep 2017 (9y) | ||
| Jason Perry | Registered representative | Sep 2017 (9y) | ||
| Nicholas Barulic | Registered representative | CFP Chartered Financial Consultant | Sep 2017 (9y) | |
| Darling Vanessa Pineda | Registered representative | Sep 2017 (9y) | ||
| Marlen Garner | Registered representative | Sep 2017 (9y) | ||
| Anthony Turjoman | Registered representative | Sep 2017 (9y) | ||
| Charles Wesley Belton | Registered representative | Sep 2017 (9y) | ||
| Edward W. Dunn | Registered representative | Sep 2017 (9y) | ||
| Matthew Lopardo | Registered representative | Sep 2017 (9y) | ||
| Miguel Angel Figueroa | Registered representative | Sep 2017 (9y) | ||
| Stephen P. Daige | Registered representative | Sep 2017 (9y) | ||
| Daniel Romeo | Registered representative | Sep 2017 (9y) | ||
| Matthew R. Hastings | Registered representative | Sep 2017 (9y) | ||
| Yessica Idalys Herrera | Registered representative | Sep 2017 (9y) | ||
| Daniel V. Rudibaugh | Registered representative | Sep 2017 (9y) | ||
| Brendan Joseph Mc Govern | Registered representative | Oct 2017 (9y) | ||
| Nathalya Wolf | Registered representative | Oct 2017 (9y) | ||
| Kreshnik Berisha | Registered representative | Oct 2017 (9y) | ||
| Ronald H Ledferd | Registered representative | Oct 2017 (9y) | ||
| Linda Ma | Registered representative | Oct 2017 (9y) | ||
| David Null | Registered representative | Oct 2017 (9y) | ||
| Allen Akizuki | Registered representative | Oct 2017 (9y) | ||
| Brandee Karmin Taylor | Registered representative | Oct 2017 (9y) | ||
| John James Macdonell | Registered representative | Oct 2017 (9y) | ||
| Xiaoqing Wang Mathews | Registered representative | Oct 2017 (9y) | ||
| Frank Poli | Registered representative | Oct 2017 (9y) | ||
| Thomas Gary Boykin | Registered representative | Oct 2017 (9y) | ||
| John Michael Sullivan | Registered representative | Oct 2017 (9y) | ||
| Wayne Barnes | Registered representative | Oct 2017 (9y) | ||
| Youle Wang | Registered representative | Oct 2017 (9y) | ||
| David Graham | Registered representative | CFP | Oct 2017 (9y) | |
| Juan Jimenez | Registered representative | Oct 2017 (9y) | ||
| Luis Alberto Grullon | Registered representative | Oct 2017 (9y) | ||
| James Wilson Laprade | Registered representative | Oct 2017 (9y) | ||
| Trevor Owen | Registered representative | Oct 2017 (9y) | ||
| Venansia Ekawati Tuineag | Registered representative | Oct 2017 (9y) | ||
| Bradley Franklin Roberts | Registered representative | Oct 2017 (9y) | ||
| Frank W Lu | Registered representative | Oct 2017 (9y) | ||
| Christopher Buoncore | Registered representative | Oct 2017 (9y) | ||
| Karen Lynn Dillon | Registered representative | Oct 2017 (9y) | ||
| Michelle Runyon | Registered representative | Oct 2017 (9y) | ||
| Jessica Z. Faler | Registered representative | Oct 2017 (9y) | ||
| Matthew James Pejkovic | Registered representative | Oct 2017 (9y) | ||
| Sandi Martin | Registered representative | Oct 2017 (9y) | ||
| Stefano Catalano | Registered representative | Oct 2017 (9y) | ||
| Brandon Alexander Greene | Registered representative | Oct 2017 (9y) | ||
| Christopher Cavileer | Registered representative | Oct 2017 (9y) | ||
| Phuong Pham | Registered representative | Oct 2017 (9y) | ||
| Jedediah Morton | Registered representative | Oct 2017 (9y) | ||
| Joey Grover | Registered representative | Oct 2017 (9y) | ||
| Matthew William Bischoff | Registered representative | Oct 2017 (9y) | ||
| Michael Dana | Registered representative | Oct 2017 (9y) | ||
| Robert Gilman | Registered representative | Oct 2017 (9y) | ||
| Ilija Djukic | Registered representative | Oct 2017 (9y) | ||
| Nanda R. Kishore | Registered representative | Oct 2017 (9y) | ||
| Ana Maria Ramirez | Registered representative | Oct 2017 (9y) | ||
| Bryan Kang | Registered representative | Oct 2017 (9y) | ||
| Dylan M. Barnes | Registered representative | Oct 2017 (9y) | ||
| Maria Carmen Perez | Registered representative | Oct 2017 (9y) | ||
| Michael Joseph Chua | Registered representative | Oct 2017 (9y) | ||
| Nathanael James Eden | Registered representative | Oct 2017 (9y) | ||
| Robert Di Letto | Registered representative | Oct 2017 (9y) | ||
| Shaunta Hunter Weeks | Registered representative | Oct 2017 (9y) | ||
| Yourdanos Mulatu | Registered representative | Oct 2017 (9y) | ||
| David Panzica | Registered representative | CFP | Nov 2017 (9y) | |
| Paul Lorenzetti | Registered representative | Nov 2017 (9y) | ||
| Ryan Quinn | Registered representative | Nov 2017 (9y) | ||
| Arthur Dale Mitchell | Registered representative | Nov 2017 (9y) | ||
| Colleen Alicia O'callaghan | Registered representative | Nov 2017 (9y) | ||
| Daniel Michael Mccarron | Registered representative | Nov 2017 (9y) | ||
| Emily Krivacek | Registered representative | Nov 2017 (9y) | ||
| Frank C A Botta | Registered representative | Nov 2017 (9y) | ||
| Kelsey Good | Registered representative | Nov 2017 (9y) | ||
| Martin Francis Hughes | Registered representative | Nov 2017 (9y) | ||
| Michael Coyne | Registered representative | Nov 2017 (9y) | ||
| Norman Thomas | Registered representative | Nov 2017 (9y) | ||
| Shirley Hsiao An Chang | Registered representative | Nov 2017 (9y) | ||
| Charles J Monturio | Registered representative | Nov 2017 (9y) | ||
| David Boike | Registered representative | CFA | Nov 2017 (9y) | |
| Michael F Lipani | Registered representative | Nov 2017 (9y) | ||
| Thomas A. Goldberg | Registered representative | Nov 2017 (9y) | ||
| Robert John Hoelscher | Registered representative | Nov 2017 (9y) | ||
| Arthur John Remiasz | Registered representative | Nov 2017 (9y) | ||
| Daniel Morrison | Registered representative | Nov 2017 (9y) | ||
| Heather Marie Sara | Registered representative | Nov 2017 (9y) | ||
| Jennifer Celeste Box | Registered representative | Nov 2017 (9y) | ||
| Joel Lawrence Tannebaum | Registered representative | Nov 2017 (9y) | ||
| Michael Sean Stone | Registered representative | Nov 2017 (9y) | ||
| Paul D Linville | Registered representative | Nov 2017 (9y) | ||
| Ruben Arce | Registered representative | Nov 2017 (9y) | ||
| Jack Chen | Registered representative | Nov 2017 (9y) | ||
| Armin Samadi | Registered representative | Nov 2017 (9y) | ||
| Aaron Lampert | Registered representative | Nov 2017 (9y) | ||
| Brad Scott Sottong | Registered representative | Nov 2017 (9y) | ||
| Stephen Malfitano | Registered representative | Nov 2017 (9y) | ||
| Marne Altbaum | Registered representative | Nov 2017 (9y) | ||
| Michael John Omelio | Registered representative | Nov 2017 (9y) | ||
| Michael Christopher D'amelio | Registered representative | Nov 2017 (9y) | ||
| Barbara May Lynn Espinoza | Registered representative | Nov 2017 (9y) | ||
| Dawn Ann Okon | Registered representative | Nov 2017 (9y) | ||
| Evan Thomas Mertz | Registered representative | Nov 2017 (9y) | ||
| Andres Escobar | Registered representative | Nov 2017 (9y) | ||
| Jie Jie Hu | Registered representative | Nov 2017 (9y) | ||
| Alan Au | Registered representative | Nov 2017 (9y) | ||
| Ha Pham Ellender | Registered representative | Nov 2017 (9y) | ||
| Herman Joseph Fehrle | Registered representative | Nov 2017 (9y) | ||
| Pierre Robin Olivarez Dualan | Registered representative | Nov 2017 (9y) | ||
| Sarah Blake Klement | Registered representative | Nov 2017 (9y) | ||
| Brett C. Klotz | Registered representative | Nov 2017 (9y) | ||
| Daniel Molluzzo | Registered representative | CFP | Nov 2017 (9y) | |
| John Minson | Registered representative | Nov 2017 (9y) | ||
| Kurt Sylvia | Registered representative | Nov 2017 (9y) | ||
| Nathan Krueger | Registered representative | CFP | Nov 2017 (9y) | |
| Richard Edge | Registered representative | Nov 2017 (9y) | ||
| Jasmina Adrianne Lujan | Registered representative | Dec 2017 (9y) | ||
| Charles Marc Nuwer | Registered representative | Dec 2017 (9y) | ||
| James F Murphy | Registered representative | Dec 2017 (9y) | ||
| Michael Kiang | Registered representative | CFP | Dec 2017 (9y) | |
| John Mclaren | Registered representative | Dec 2017 (9y) | ||
| Jennifer Tellez | Registered representative | Dec 2017 (9y) | ||
| Keith J. Sheridan | Registered representative | CFP | Dec 2017 (9y) | |
| Tarik Nasrawi | Registered representative | Dec 2017 (9y) | ||
| Matthew John Graham | Registered representative | Dec 2017 (9y) | ||
| Thomas Tom Lee | Registered representative | Dec 2017 (9y) | ||
| Andres Quiceno | Registered representative | Dec 2017 (9y) | ||
| Irene E. Khane | Registered representative | Dec 2017 (9y) | ||
| Nicholas Pacenti | Registered representative | Dec 2017 (9y) | ||
| Daniel Muniz | Registered representative | Dec 2017 (9y) | ||
| Feng Chi Chen | Registered representative | Dec 2017 (9y) | ||
| Holly A Neville | Registered representative | Dec 2017 (9y) | ||
| James T. Williams | Registered representative | Dec 2017 (9y) | ||
| Michael A. Baglio | Registered representative | Dec 2017 (9y) | ||
| Nicholas Robin Paveglio | Registered representative | Dec 2017 (9y) | ||
| Nadin Toma | Registered representative | Dec 2017 (9y) | ||
| Silvia Corral | Registered representative | Dec 2017 (9y) | ||
| Steven Varlas | Registered representative | Dec 2017 (9y) | ||
| Zeeshan Hasan | Registered representative | Dec 2017 (9y) | ||
| Adam C. Fields | Registered representative | Dec 2017 (9y) | ||
| Barton Duane Lindemann | Registered representative | Dec 2017 (9y) | ||
| Christopher A Beatty | Registered representative | Dec 2017 (9y) | ||
| Jacob Johnson | Registered representative | Dec 2017 (9y) | ||
| Alpa Patel Vitale | Registered representative | Dec 2017 (9y) | ||
| Daniel Warren | Registered representative | Dec 2017 (9y) | ||
| Harman Singh Mangat | Registered representative | CFP | Dec 2017 (9y) | |
| Kathy Patrick | Registered representative | Dec 2017 (9y) | ||
| Lacey Odis Patrick Corbett | Registered representative | Dec 2017 (9y) | ||
| Michael Anthony Kaplan | Registered representative | Dec 2017 (9y) | ||
| Peter Vasilios Rezos | Registered representative | Dec 2017 (9y) | ||
| Ricardo Bruce Lee | Registered representative | Dec 2017 (9y) | ||
| Robert Mason | Registered representative | Dec 2017 (9y) | ||
| Janine Giordano | Registered representative | Dec 2017 (9y) | ||
| Michael Garzone | Registered representative | Dec 2017 (9y) | ||
| Zyanya Isabel De La Torre | Registered representative | Dec 2017 (9y) | ||
| Matthew Scott Rose | Registered representative | Jan 2018 (9y) | ||
| Yvonne Trevino | Registered representative | Jan 2018 (9y) | ||
| Thomas Montemurro | Registered representative | Jan 2018 (9y) | ||
| Claude Turner | Registered representative | Jan 2018 (9y) | ||
| Bryan Flores | Registered representative | Jan 2018 (9y) | ||
| Henry Snyder | Registered representative | Jan 2018 (9y) | ||
| Matthew Wesley Smith | Registered representative | Jan 2018 (9y) | ||
| Bianca Magallanes | Registered representative | Jan 2018 (9y) | ||
| Christos Kenneth Politis | Registered representative | Jan 2018 (9y) | ||
| Eduardo Rosales | Registered representative | Jan 2018 (9y) | ||
| Jeremy Witt | Registered representative | Jan 2018 (9y) | ||
| John Doran | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Malgorzata Barnas Majkrzak | Registered representative | Jan 2018 (9y) | ||
| Monu Ahluwalia | Registered representative | Jan 2018 (9y) | ||
| Nickolas F Motto | Registered representative | Jan 2018 (9y) | ||
| Una Chen | Registered representative | Jan 2018 (9y) | ||
| David M Jernigan | Registered representative | Jan 2018 (9y) | ||
| Alyssa Norce | Registered representative | Jan 2018 (9y) | ||
| Steven Scott Kurland | Registered representative | Jan 2018 (9y) | ||
| Ying Tang | Registered representative | Jan 2018 (9y) | ||
| Jason David Gordon | Registered representative | Jan 2018 (9y) | ||
| Thomas Scott Holstead | Registered representative | Jan 2018 (9y) | ||
| Matthew Ryan Zacarias | Registered representative | Jan 2018 (9y) | ||
| Jennifer A Carrillo | Registered representative | Jan 2018 (9y) | ||
| Joshua Emile Silverman | Registered representative | Jan 2018 (9y) | ||
| Sean Young | Registered representative | CFP | Jan 2018 (9y) | |
| Shawn Chughtai | Registered representative | Jan 2018 (9y) | ||
| Stephen Anagnostou | Registered representative | Jan 2018 (9y) | ||
| Jose A. Grajeda | Registered representative | Jan 2018 (9y) | ||
| Bradley J. Chapman | Registered representative | Jan 2018 (9y) | ||
| Justin Mechanic | Registered representative | Jan 2018 (9y) | ||
| Raul Gallardo | Registered representative | Jan 2018 (9y) | ||
| Sharon A. Shapiro | Registered representative | Jan 2018 (9y) | ||
| Sunil Satnarain | Registered representative | Jan 2018 (9y) | ||
| Bryan Michael Hull | Registered representative | Jan 2018 (9y) | ||
| Melinda Cloobeck | Registered representative | Jan 2018 (9y) | ||
| Megan Leanne Shoemake | Registered representative | Jan 2018 (9y) | ||
| Yarisel Ducharne | Registered representative | Jan 2018 (9y) | ||
| Brett Benge | Registered representative | Jan 2018 (9y) | ||
| Pamela Lea Natvig | Registered representative | CFP | Jan 2018 (9y) | |
| Angel Marie Walden | Registered representative | Jan 2018 (9y) | ||
| Charles G Healy | Registered representative | Feb 2018 (9y) | ||
| Drew Payton Wotton | Registered representative | Feb 2018 (9y) | ||
| Yerel Saldivar Morales | Registered representative | Feb 2018 (9y) | ||
| George Hesham Al Ghishan | Registered representative | Feb 2018 (8y) | ||
| Ivan Aguilar | Registered representative | Feb 2018 (8y) | ||
| Jannet Paola Martinez | Registered representative | Feb 2018 (8y) | ||
| Joseph L. Reyes | Registered representative | Feb 2018 (8y) | ||
| Steven Knight | Registered representative | Feb 2018 (8y) | ||
| Justin Crocker | Registered representative | Feb 2018 (8y) | ||
| Jeffrey Roodman | Registered representative | CFP | Feb 2018 (8y) | |
| Kevin Brown | Registered representative | Feb 2018 (8y) | ||
| Zachary A. Moreo | Registered representative | Feb 2018 (8y) | ||
| Simon Zhu | Registered representative | Feb 2018 (8y) | ||
| Sanya Rizvi | Registered representative | Feb 2018 (8y) | ||
| Angela Katampe | Registered representative | Feb 2018 (8y) | ||
| Alexander Parisis | Registered representative | Feb 2018 (8y) | ||
| Angelica Danielle Kennedy | Registered representative | Feb 2018 (8y) | ||
| Cameron Bourque | Registered representative | Feb 2018 (8y) | ||
| Daniel Emmett O Connell | Registered representative | Feb 2018 (8y) | ||
| Jorge Alvarez | Registered representative | Feb 2018 (8y) | ||
| Katherine M. Husman | Registered representative | Feb 2018 (8y) | ||
| Robert K Lee | Registered representative | Feb 2018 (8y) | ||
| Jim J. Akasala | Registered representative | Feb 2018 (8y) | ||
| Nicholas Charles Smith | Registered representative | Feb 2018 (8y) | ||
| Dave Lee Deming | Registered representative | Feb 2018 (8y) | ||
| Angela Di Martino | Registered representative | Feb 2018 (8y) | ||
| Emil Budilov | Registered representative | CFP | Feb 2018 (8y) | |
| Neil Ferrentino | Registered representative | Feb 2018 (8y) | ||
| Ronald T Villegas | Registered representative | Feb 2018 (8y) | ||
| Nathan James Heath | Registered representative | Feb 2018 (8y) | ||
| Ulysses Copag Enario | Registered representative | Mar 2018 (8y) | ||
| Daniel T. Lane | Registered representative | Mar 2018 (8y) | ||
| Drue Anderson | Registered representative | Mar 2018 (8y) | ||
| Daniel Parsons | Registered representative | Mar 2018 (8y) | ||
| Ewa Karim | Registered representative | Mar 2018 (8y) | ||
| Michael D. Law | Registered representative | Mar 2018 (8y) | ||
| Vatche Derassoyan | Registered representative | CFP | Mar 2018 (8y) | |
| Derek J Toy | Registered representative | Mar 2018 (8y) | ||
| Stephen Ognibene | Registered representative | Mar 2018 (8y) | ||
| David Frederick Withee | Registered representative | Mar 2018 (8y) | ||
| Tyler Gilmore | Registered representative | Mar 2018 (8y) | ||
| Analisa Rogers | Registered representative | Mar 2018 (8y) | ||
| Keegan Parsons | Registered representative | Mar 2018 (8y) | ||
| Regino Diaz | Registered representative | CFP | Mar 2018 (8y) | |
| Rachel Morgan Kelly | Registered representative | Mar 2018 (8y) | ||
| Russell B Paris | Registered representative | Mar 2018 (8y) | ||
| Christopher Baggini | Registered representative | Mar 2018 (8y) | ||
| Colin Flynn | Registered representative | Mar 2018 (8y) | ||
| Rodrigo Carlos Rodriguez | Registered representative | Mar 2018 (8y) | ||
| Ping Sophie Yu | Registered representative | Mar 2018 (8y) | ||
| Nancy Erika Mancilla | Registered representative | Mar 2018 (8y) | ||
| Heather Ann Hirschensohn | Registered representative | Mar 2018 (8y) | ||
| Jovan Fryar | Registered representative | Mar 2018 (8y) | ||
| Andrew R. Johnson | Registered representative | Mar 2018 (8y) | ||
| Christopher Alan Rouzaud | Registered representative | Mar 2018 (8y) | ||
| Jonathan Frederick Usitalo | Registered representative | Mar 2018 (8y) | ||
| Arben Arifi | Registered representative | Apr 2018 (8y) | ||
| Clayton Toliver Craig | Registered representative | Apr 2018 (8y) | ||
| Jordan Greenberg | Registered representative | Apr 2018 (8y) | ||
| Matthew A White | Registered representative | Apr 2018 (8y) | ||
| Mai Thang | Registered representative | Apr 2018 (8y) | ||
| Matthew Charles Gonzalez | Registered representative | Apr 2018 (8y) | ||
| Matthew J Cordes | Registered representative | Apr 2018 (8y) | ||
| Bill A. Dillon | Registered representative | Apr 2018 (8y) | ||
| Matthew James Whitehead | Registered representative | Apr 2018 (8y) | ||
| William Blake Bridges | Registered representative | Apr 2018 (8y) | ||
| Robert Hangan | Registered representative | Apr 2018 (8y) | ||
| Jason Z. Gopen | Registered representative | Apr 2018 (8y) | ||
| Robert T. Hicks | Registered representative | CFP | Apr 2018 (8y) | |
| Scott E Mac Cormac | Registered representative | Apr 2018 (8y) | ||
| Anthony Lee Seitz | Registered representative | Apr 2018 (8y) | ||
| Craig Michael Ellis | Registered representative | Apr 2018 (8y) | ||
| Darren Armetta | Registered representative | Apr 2018 (8y) | ||
| Jonathan S. Quigley | Registered representative | Apr 2018 (8y) | ||
| Kristi M Daniel | Registered representative | Apr 2018 (8y) | ||
| Nancy M Carwile | Registered representative | Apr 2018 (8y) | ||
| Adam S. Hutchison | Registered representative | Apr 2018 (8y) | ||
| Jason W. Cowie | Registered representative | Apr 2018 (8y) | ||
| Chase Porter | Registered representative | Apr 2018 (8y) | ||
| Charles Kenneth Aubert | Registered representative | Apr 2018 (8y) | ||
| Justin Ryan Ledbetter | Registered representative | Apr 2018 (8y) | ||
| Kaitlyn Kerr | Registered representative | Apr 2018 (8y) | ||
| George Gargiulo | Registered representative | Apr 2018 (8y) | ||
| Luis J. Arzate | Registered representative | Apr 2018 (8y) | ||
| Robert C Cundari | Registered representative | Apr 2018 (8y) | ||
| Alice M Lee | Registered representative | Apr 2018 (8y) | ||
| Pedro Luis Rendon | Registered representative | Apr 2018 (8y) | ||
| Xiang Ci Helen Mei | Registered representative | Apr 2018 (8y) | ||
| Ching Pong Vicman Ho | Registered representative | Apr 2018 (8y) | ||
| Zachary S. Pickren | Registered representative | Apr 2018 (8y) | ||
| Frank J Renda | Registered representative | Apr 2018 (8y) | ||
| Haya Deis | Registered representative | Apr 2018 (8y) | ||
| Jonathan Huan Chen | Registered representative | CFP | Apr 2018 (8y) | |
| Adam Mace | Registered representative | Apr 2018 (8y) | ||
| Cary Ann Murphy | Registered representative | Apr 2018 (8y) | ||
| John Andrew Hafner | Registered representative | Apr 2018 (8y) | ||
| Matthew Walker Fishbone | Registered representative | Apr 2018 (8y) | ||
| Simon Whitaker | Registered representative | Apr 2018 (8y) | ||
| Brittney Ann De Luca | Registered representative | Apr 2018 (8y) | ||
| Karina Y Stevens | Registered representative | Apr 2018 (8y) | ||
| Jorge Nickiford | Registered representative | May 2018 (8y) | ||
| Chuong Nhat Dao | Registered representative | CFP | May 2018 (8y) | |
| John T. Lafata | Registered representative | May 2018 (8y) | ||
| Adam Scott Grotell | Registered representative | May 2018 (8y) | ||
| Tyler Mei Anderson Settele | Registered representative | May 2018 (8y) | ||
| Adam J Berman | Registered representative | CFP | May 2018 (8y) | |
| Christine Ann Moise | Registered representative | May 2018 (8y) | ||
| Kevin William Piegare | Registered representative | May 2018 (8y) | ||
| Marco Fernandes | Registered representative | May 2018 (8y) | ||
| Rufus J Baldwin | Registered representative | CFP | May 2018 (8y) | |
| Albin Zrile | Registered representative | May 2018 (8y) | ||
| Jie La Plante | Registered representative | May 2018 (8y) | ||
| Leonardo Fiorentino | Registered representative | May 2018 (8y) | ||
| Nicholas G Melzer | Registered representative | May 2018 (8y) | ||
| Madina Chochaeva Boland | Registered representative | May 2018 (8y) | ||
| Mark Adams | Registered representative | May 2018 (8y) | ||
| Eric Picard | Registered representative | May 2018 (8y) | ||
| Heather Armstrong | Registered representative | May 2018 (8y) | ||
| Hugh Skinner | Registered representative | May 2018 (8y) | ||
| Mircea Corches | Registered representative | May 2018 (8y) | ||
| Marco F. Acosta | Registered representative | May 2018 (8y) | ||
| Bruce Iacono | Registered representative | May 2018 (8y) | ||
| James Barrett | Registered representative | May 2018 (8y) | ||
| Julie De Witt | Registered representative | May 2018 (8y) | ||
| Matthew Arnella | Registered representative | May 2018 (8y) | ||
| John Edward Contreras | Registered representative | May 2018 (8y) | ||
| Brittany Terlaje | Registered representative | May 2018 (8y) | ||
| Mar Yacabucci | Registered representative | May 2018 (8y) | ||
| Jeffrey Luftig | Registered representative | May 2018 (8y) | ||
| Brian Thompson Russell | Registered representative | May 2018 (8y) | ||
| Joseph Adjei Mensah | Registered representative | May 2018 (8y) | ||
| Justin Booher | Registered representative | May 2018 (8y) | ||
| Karen L. Chang | Registered representative | May 2018 (8y) | ||
| Minh Quang Nguyen | Registered representative | May 2018 (8y) | ||
| Michael V. Ranieri | Registered representative | May 2018 (8y) | ||
| Ryan J. Lehuta | Registered representative | May 2018 (8y) | ||
| John Michael Trabucco | Registered representative | May 2018 (8y) | ||
| Zhanna Inotayev | Registered representative | May 2018 (8y) | ||
| Marius Svirinavicius | Registered representative | May 2018 (8y) | ||
| Charles Cooper | Registered representative | Jun 2018 (8y) | ||
| David Thomas Henriquez | Registered representative | Jun 2018 (8y) | ||
| Jonathan Mc Pharlin | Registered representative | Jun 2018 (8y) | ||
| Kelly Case Brait | Registered representative | CFP | Jun 2018 (8y) | |
| Joseph Marrocco | Registered representative | Jun 2018 (8y) | ||
| Jesse Randolph Ellison | Registered representative | Jun 2018 (8y) | ||
| Michelle Taveras | Registered representative | Jun 2018 (8y) | ||
| Phillip Cheng | Registered representative | Jun 2018 (8y) | ||
| Solomon Dayan | Registered representative | Jun 2018 (8y) | ||
| Salvatore Cipriano | Registered representative | Jun 2018 (8y) | ||
| Matthew E. Scanlon | Registered representative | Jun 2018 (8y) | ||
| Wai Ip Chan | Registered representative | Jun 2018 (8y) | ||
| Mark D. Kindberg | Registered representative | Jun 2018 (8y) | ||
| Michael Stocksick | Registered representative | Jun 2018 (8y) | ||
| William H. Lafferty | Registered representative | CFP | Jun 2018 (8y) | |
| Jeremy Lee Du Bose | Registered representative | Jun 2018 (8y) | ||
| Carmen Haynes | Registered representative | Jun 2018 (8y) | ||
| Christopher Beatrice | Registered representative | Jun 2018 (8y) | ||
| Richard Zinman | Registered representative | Jun 2018 (8y) | ||
| Cuong Le | Registered representative | Jun 2018 (8y) | ||
| John M. Hollands | Registered representative | Jun 2018 (8y) | ||
| Mario Luis Valdez | Registered representative | Jun 2018 (8y) | ||
| Patrick J. O'callaghan | Registered representative | Jun 2018 (8y) | ||
| Ruchi Rao Rangaraju | Registered representative | Jun 2018 (8y) | ||
| Elizabeth Mata Ramirez | Registered representative | Jun 2018 (8y) | ||
| Nita Kajal Rathod | Registered representative | Jun 2018 (8y) | ||
| Darren N Bui | Registered representative | Jun 2018 (8y) | ||
| Stephanie Lee | Registered representative | Jun 2018 (8y) | ||
| Michael Fettig | Registered representative | Jun 2018 (8y) | ||
| David Richard Reiser | Registered representative | Jun 2018 (8y) | ||
| Frank Wen Dah Huang | Registered representative | Jun 2018 (8y) | ||
| Patrick M Murphy | Registered representative | Jun 2018 (8y) | ||
| Ria Pomeranz | Registered representative | Jun 2018 (8y) | ||
| James Silva | Registered representative | Jun 2018 (8y) | ||
| Denise Bondiman | Registered representative | Jun 2018 (8y) | ||
| Jenette O'brien Moench | Registered representative | Jun 2018 (8y) | ||
| Angel Mendez | Registered representative | Jun 2018 (8y) | ||
| Charles William Weisser | Registered representative | Jun 2018 (8y) | ||
| Evan S. Irni | Registered representative | Jun 2018 (8y) | ||
| Seann B. Wooten | Registered representative | Jun 2018 (8y) | ||
| Kerry Jean Kimmel Geiger | Registered representative | Jun 2018 (8y) | ||
| Matthew F. Coughlin | Registered representative | Jun 2018 (8y) | ||
| Meghavi Damani Rosean | Registered representative | Jun 2018 (8y) | ||
| Paul D. Romano | Registered representative | Jun 2018 (8y) | ||
| Hugh Reilly | Registered representative | Jul 2018 (8y) | ||
| Angelo John Bonvino | Registered representative | Jul 2018 (8y) | ||
| Brice Steffes | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| Femi Adeagbo | Registered representative | Jul 2018 (8y) | ||
| Sagar Gandhi | Registered representative | Jul 2018 (8y) | ||
| Marcy Rich | Registered representative | Jul 2018 (8y) | ||
| Justin Gratz | Registered representative | Jul 2018 (8y) | ||
| Belinda Kouche | Registered representative | Jul 2018 (8y) | ||
| Daniel J. Bergmann | Registered representative | Jul 2018 (8y) | ||
| Heather L. Fuhr | Registered representative | Jul 2018 (8y) | ||
| James Connor Macbeth | Registered representative | Jul 2018 (8y) | ||
| Stacy Mc Corkle | Registered representative | Jul 2018 (8y) | ||
| Lesley Deas | Registered representative | Jul 2018 (8y) | ||
| Francesca Ophelia Talbert | Registered representative | Jul 2018 (8y) | ||
| Hae Ji Chong | Registered representative | Jul 2018 (8y) | ||
| Nicholas Segovia | Registered representative | Jul 2018 (8y) | ||
| Rosanna Josephine Manganaro | Registered representative | Jul 2018 (8y) | ||
| Daniel D. Slade | Registered representative | Jul 2018 (8y) | ||
| Jennifer J Vidaure | Registered representative | Jul 2018 (8y) | ||
| Laura R Sale | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| Bradley J. Smith | Registered representative | Jul 2018 (8y) | ||
| Eileen Curran | Registered representative | Jul 2018 (8y) | ||
| Nadia Eldadah | Registered representative | Jul 2018 (8y) | ||
| Rheeta Anne Wilson Fitzpatrick | Registered representative | Jul 2018 (8y) | ||
| Victor Acevedo | Registered representative | Jul 2018 (8y) | ||
| Francis Thomas Schickling | Registered representative | Jul 2018 (8y) | ||
| James Earl Hilderbrandt | Registered representative | Jul 2018 (8y) | ||
| Sergio Akselrad | Registered representative | Jul 2018 (8y) | ||
| Robert John Masanotti | Registered representative | Jul 2018 (8y) | ||
| William Jared Salansky | Registered representative | Jul 2018 (8y) | ||
| Jonathan R. Jansky | Registered representative | Jul 2018 (8y) | ||
| Donald Tulloch | Registered representative | Jul 2018 (8y) | ||
| Julie Johnson | Registered representative | Jul 2018 (8y) | ||
| Massimo Mioni | Registered representative | Jul 2018 (8y) | ||
| Thomas Joseph Barrett | Registered representative | Jul 2018 (8y) | ||
| Brittany Nicole Romero | Registered representative | Jul 2018 (8y) | ||
| Jesse Joe Arriaga | Registered representative | Jul 2018 (8y) | ||
| Scott R Gibson | Registered representative | Jul 2018 (8y) | ||
| Tyler West Lightcap | Registered representative | Jul 2018 (8y) | ||
| Kevin Khadimally Pasha | Registered representative | Jul 2018 (8y) | ||
| Lonnie Davis | Registered representative | Aug 2018 (8y) | ||
| Josie Ya Fang Chuang | Registered representative | Aug 2018 (8y) | ||
| Vijeran Zrile | Registered representative | Aug 2018 (8y) | ||
| Cheri R. Lytle | Registered representative | Aug 2018 (8y) | ||
| Lauren Choo | Registered representative | Aug 2018 (8y) | ||
| Adam Adelman | Registered representative | Aug 2018 (8y) | ||
| Carlos Mendez | Registered representative | Aug 2018 (8y) | ||
| Craig Andrew Scholtes | Registered representative | Aug 2018 (8y) | ||
| Crystal M. Jackson | Registered representative | Aug 2018 (8y) | ||
| Justin C. Priode | Registered representative | Aug 2018 (8y) | ||
| Kenneth M Patterson | Registered representative | Aug 2018 (8y) | ||
| Margaret Flentge Kukawski | Registered representative | Aug 2018 (8y) | ||
| Maxwell T Van Rite | Registered representative | Aug 2018 (8y) | ||
| Catherine Pietro | Registered representative | Aug 2018 (8y) | ||
| Jesus Maciel | Registered representative | Aug 2018 (8y) | ||
| Justin S. Luzi | Registered representative | Aug 2018 (8y) | ||
| Marissa Ann Cassidy | Registered representative | Aug 2018 (8y) | ||
| Patrick C Amato | Registered representative | Aug 2018 (8y) | ||
| Robert T. Waldbauer | Registered representative | Aug 2018 (8y) | ||
| Trisha Abad Sinouanthavysouk | Registered representative | Aug 2018 (8y) | ||
| David Joseph Griffiths | Registered representative | Aug 2018 (8y) | ||
| Frederick George Schoenfeld | Registered representative | Aug 2018 (8y) | ||
| Holly P. Peritz | Registered representative | Aug 2018 (8y) | ||
| Robert Feinberg | Registered representative | Aug 2018 (8y) | ||
| Robert Charles Haynes | Registered representative | Aug 2018 (8y) | ||
| Robert A. Evans | Registered representative | Aug 2018 (8y) | ||
| Antonio Ignarra | Registered representative | Aug 2018 (8y) | ||
| Gabriel Davidoff | Registered representative | Aug 2018 (8y) | ||
| Hang Yu Gary Jiang | Registered representative | Aug 2018 (8y) | ||
| Naghmeh Melody Mossayi | Registered representative | Aug 2018 (8y) | ||
| Patrick James Baker | Registered representative | Aug 2018 (8y) | ||
| Daniel A Lopez | Registered representative | Aug 2018 (8y) | ||
| Gina G Nguyen | Registered representative | Aug 2018 (8y) | ||
| Michael Santangelo | Registered representative | Aug 2018 (8y) | ||
| Thomas Oliver Strange | Registered representative | Aug 2018 (8y) | ||
| Jason Souder | Registered representative | Aug 2018 (8y) | ||
| David Nathaniel Scott | Registered representative | Aug 2018 (8y) | ||
| Kevin Daniel Honan | Registered representative | Aug 2018 (8y) | ||
| David Kaplan | Registered representative | Aug 2018 (8y) | ||
| Michelle Xiaozhen Liu | Registered representative | Aug 2018 (8y) | ||
| Shaun Philip Waylonis | Registered representative | CFP | Aug 2018 (8y) | |
| Thomas Lowell | Registered representative | Aug 2018 (8y) | ||
| Arpit Kumar Jain | Registered representative | Aug 2018 (8y) | ||
| Cameron L. Wheeler | Registered representative | Aug 2018 (8y) | ||
| La Tosha S Miller | Registered representative | Aug 2018 (8y) | ||
| Meredith Ann Mc Kay | Registered representative | CFP | Aug 2018 (8y) | |
| Adam Ross Selman | Registered representative | Sep 2018 (8y) | ||
| David K. Shelbourn | Registered representative | Sep 2018 (8y) | ||
| Gena Yaqubi | Registered representative | Sep 2018 (8y) | ||
| George M. Visintin | Registered representative | Sep 2018 (8y) | ||
| Matt Englizian | Registered representative | CFP | Sep 2018 (8y) | |
| Steven T. Erfman | Registered representative | CFP | Sep 2018 (8y) | |
| Laura Jane Ferguson | Registered representative | Sep 2018 (8y) | ||
| Christopher David Sheets | Registered representative | Sep 2018 (8y) | ||
| Forrest Richard Green | Registered representative | Sep 2018 (8y) | ||
| John W. King | Registered representative | CFP | Sep 2018 (8y) | |
| Leonel Enrique Corado | Registered representative | Sep 2018 (8y) | ||
| Shana Mohsen | Registered representative | Sep 2018 (8y) | ||
| Sean Pflum | Registered representative | Sep 2018 (8y) | ||
| Stephen J. Arntson | Registered representative | Sep 2018 (8y) | ||
| Jasmine Agrelo | Registered representative | Sep 2018 (8y) | ||
| Kathleen A. Berger | Registered representative | Sep 2018 (8y) | ||
| Brian Carson | Registered representative | Sep 2018 (8y) | ||
| Ivan Valadez | Registered representative | Sep 2018 (8y) | ||
| Fanor Abraham Bohorquez | Registered representative | Sep 2018 (8y) | ||
| Joshua J. Morgan | Registered representative | Sep 2018 (8y) | ||
| Angela Dement | Registered representative | Sep 2018 (8y) | ||
| Damon B. Hopkins | Registered representative | Sep 2018 (8y) | ||
| Jeanna Deane | Registered representative | Sep 2018 (8y) | ||
| Ryan Steinicke | Registered representative | Sep 2018 (8y) | ||
| Charlotte A. Roper | Registered representative | Sep 2018 (8y) | ||
| Larry Craig Dennis | Registered representative | Sep 2018 (8y) | ||
| Richard Allan Beachler | Registered representative | Sep 2018 (8y) | ||
| Lawrence Charles Boytano | Registered representative | Sep 2018 (8y) | ||
| Lynnae Atkinson | Registered representative | Sep 2018 (8y) | ||
| Mary De Luis | Registered representative | Sep 2018 (8y) | ||
| Mark Timothy Rehms | Registered representative | Sep 2018 (8y) | ||
| Robert Burns | Registered representative | Sep 2018 (8y) | ||
| Adam Jakubowitz | Registered representative | Sep 2018 (8y) | ||
| David Scaramucci | Registered representative | Sep 2018 (8y) | ||
| James Lagges | Registered representative | Sep 2018 (8y) | ||
| Storm Bay Chapa | Registered representative | Sep 2018 (8y) | ||
| Christopher R. Hastings | Registered representative | Oct 2018 (8y) | ||
| Ryan J. Mikelonis | Registered representative | CFP | Oct 2018 (8y) | |
| Brad S. Anders | Registered representative | Oct 2018 (8y) | ||
| Christina Wu | Registered representative | Oct 2018 (8y) | ||
| Kristin Devalerio | Registered representative | Oct 2018 (8y) | ||
| Nicholas Torres | Registered representative | Oct 2018 (8y) | ||
| Chad Nathaniel Brown | Registered representative | Oct 2018 (8y) | ||
| Jason R Jensen | Registered representative | Oct 2018 (8y) | ||
| Montgomery John Milburn | Registered representative | Oct 2018 (8y) | ||
| Timothy Paul Webster | Registered representative | Oct 2018 (8y) | ||
| Alexa Parisi | Registered representative | CFP | Oct 2018 (8y) | |
| Courtney Bosi | Registered representative | CFP | Oct 2018 (8y) | |
| Patrick Ryan Henry | Registered representative | CFP | Oct 2018 (8y) | |
| Sarah Rebecca Faltot | Registered representative | Oct 2018 (8y) | ||
| Drew H. Lacey | Registered representative | Oct 2018 (8y) | ||
| Hector Camilo Vargas Forero | Registered representative | Oct 2018 (8y) | ||
| Jason Brian Holland | Registered representative | CFP | Oct 2018 (8y) | |
| Juan Armando Olivares | Registered representative | Oct 2018 (8y) | ||
| Michael Davino | Registered representative | Oct 2018 (8y) | ||
| Robert A Johnston | Registered representative | Oct 2018 (8y) | ||
| Stephen Howard Gold | Registered representative | Oct 2018 (8y) | ||
| Brian M Weinshenker | Registered representative | Oct 2018 (8y) | ||
| Edwin Bueno | Registered representative | Oct 2018 (8y) | ||
| Gregg R. Evangelist | Registered representative | Oct 2018 (8y) | ||
| Tod A. Bisher | Registered representative | Oct 2018 (8y) | ||
| Tuyet Minh Ha Hoang | Registered representative | Oct 2018 (8y) | ||
| Alexis Bello | Registered representative | Oct 2018 (8y) | ||
| Brian Omiecinski | Registered representative | Oct 2018 (8y) | ||
| Francisco J. Sanchez | Registered representative | Oct 2018 (8y) | ||
| Gozde Claire Cannarella | Registered representative | Oct 2018 (8y) | ||
| Katrina L Berube | Registered representative | CFA | Oct 2018 (8y) | |
| David H. Anzicek | Registered representative | CFP | Oct 2018 (8y) | |
| Hector Tafoya | Registered representative | Oct 2018 (8y) | ||
| Nicholas James Mcbride | Registered representative | CFP | Oct 2018 (8y) | |
| Jeremy D. Jones | Registered representative | Oct 2018 (8y) | ||
| Katherine Sharon Festa | Registered representative | Oct 2018 (8y) | ||
| Joon K. Cho | Registered representative | Oct 2018 (8y) | ||
| Michael Anton Szabados | Registered representative | Oct 2018 (8y) | ||
| Ryan Keith Bucholtz | Registered representative | Oct 2018 (8y) | ||
| Thomas Marc Hasny | Registered representative | Oct 2018 (8y) | ||
| Javier Mario Gonzalez | Registered representative | Oct 2018 (8y) | ||
| Elena L Taylor Welch | Registered representative | Oct 2018 (8y) | ||
| Safar Soltani | Registered representative | Oct 2018 (8y) | ||
| Arthur Angulo | Registered representative | Oct 2018 (8y) | ||
| Ricardo Amador Cordova | Registered representative | Oct 2018 (8y) | ||
| Daniel Scott Sheets | Registered representative | Nov 2018 (8y) | ||
| Fred Kleinfeld | Registered representative | Nov 2018 (8y) | ||
| Gerald Brown | Registered representative | Nov 2018 (8y) | ||
| Heath La Faber | Registered representative | Nov 2018 (8y) | ||
| Phuoc Tan Van | Registered representative | Nov 2018 (8y) | ||
| Cole Frageman | Registered representative | Nov 2018 (8y) | ||
| Jason Tang | Registered representative | Nov 2018 (8y) | ||
| Ryan S Settle | Registered representative | Nov 2018 (8y) | ||
| Shawn Huynh | Registered representative | Nov 2018 (8y) | ||
| Timothy Sinclair | Registered representative | Nov 2018 (8y) | ||
| Weiheng Zhang | Registered representative | CFA | Nov 2018 (8y) | |
| Christopher Stewart | Registered representative | Nov 2018 (8y) | ||
| Christopher J. Barbata | Registered representative | Nov 2018 (8y) | ||
| Christopher Pecktol | Registered representative | Nov 2018 (8y) | ||
| Jeffrey Ziemnik | Registered representative | Nov 2018 (8y) | ||
| Mark E. Zivkovich | Registered representative | Nov 2018 (8y) | ||
| Mobin Mohsini | Registered representative | Nov 2018 (8y) | ||
| Pauline M Honecker | Registered representative | Nov 2018 (8y) | ||
| Zichang Karen Liu | Registered representative | Nov 2018 (8y) | ||
| Daniel A. Lincoln | Registered representative | Nov 2018 (8y) | ||
| Jose David Ramos | Registered representative | Nov 2018 (8y) | ||
| Roxanne Renee Natale Vanblarcom | Registered representative | Nov 2018 (8y) | ||
| Kevin Smart | Registered representative | Nov 2018 (8y) | ||
| Ryan Lynch | Registered representative | Nov 2018 (8y) | ||
| Abigail Ann Ryan | Registered representative | Nov 2018 (8y) | ||
| Angela M. Thompson | Registered representative | Nov 2018 (8y) | ||
| Bahram Sam Tabesh | Registered representative | Nov 2018 (8y) | ||
| Chi Dawnielle Richmond | Registered representative | Nov 2018 (8y) | ||
| Gregory Flynn | Registered representative | CFP | Nov 2018 (8y) | |
| Madhu Sudan Sharma | Registered representative | Nov 2018 (8y) | ||
| Samer Deir | Registered representative | Nov 2018 (8y) | ||
| Michael T. Andreski | Registered representative | Nov 2018 (8y) | ||
| Aysen Sezanur Muderrisoglu | Registered representative | Nov 2018 (8y) | ||
| Megan Nielsen Courtney | Registered representative | Nov 2018 (8y) | ||
| Michael Ponessa | Registered representative | Nov 2018 (8y) | ||
| L Inda M. Lombari | Registered representative | Nov 2018 (8y) | ||
| Jose Covarrubias | Registered representative | Nov 2018 (8y) | ||
| Gregory S. Farber | Registered representative | Nov 2018 (8y) | ||
| Stacy Hawkins | Registered representative | Nov 2018 (8y) | ||
| Carlos Betancourt | Registered representative | Dec 2018 (8y) | ||
| Jonathan Fernandez | Registered representative | Dec 2018 (8y) | ||
| Brett Lee Schulz | Registered representative | Dec 2018 (8y) | ||
| David Siegel | Registered representative | Dec 2018 (8y) | ||
| Gregory Darin Padlo | Registered representative | Dec 2018 (8y) | ||
| Linda Marie Lambert | Registered representative | Dec 2018 (8y) | ||
| Sara E Moreno | Registered representative | Dec 2018 (8y) | ||
| Tim John Tracy | Registered representative | Dec 2018 (8y) | ||
| Dmitriy Konnov | Registered representative | Dec 2018 (8y) | ||
| David Ferraro | Registered representative | Dec 2018 (8y) | ||
| Dawn Faigle | Registered representative | Dec 2018 (8y) | ||
| Dean H. Lin | Registered representative | Dec 2018 (8y) | ||
| Daniel Aaron Lampe | Registered representative | CFP | Dec 2018 (8y) | |
| Kelsey Lind Annesley | Registered representative | Dec 2018 (8y) | ||
| Brian Michael Henderson | Registered representative | Dec 2018 (8y) | ||
| Erin Lynn Vogel | Registered representative | Dec 2018 (8y) | ||
| Marcus P Smith | Registered representative | Dec 2018 (8y) | ||
| Joshua Beck | Registered representative | Dec 2018 (8y) | ||
| Justin Brewton | Registered representative | Dec 2018 (8y) | ||
| Victor Truong | Registered representative | Dec 2018 (8y) | ||
| Iroda Gazieva | Registered representative | Dec 2018 (8y) | ||
| Aaron Leach | Registered representative | Dec 2018 (8y) | ||
| Derrick E. Reaves | Registered representative | Dec 2018 (8y) | ||
| Isaiah Oh | Registered representative | Dec 2018 (8y) | ||
| Ruston Lohmeyer | Registered representative | Dec 2018 (8y) | ||
| Thuy Khanh Tran | Registered representative | Dec 2018 (8y) | ||
| David A. Jaicomo | Registered representative | Dec 2018 (8y) | ||
| Gerard Delannoy | Registered representative | Dec 2018 (8y) | ||
| Karoline S. Humphries | Registered representative | Dec 2018 (8y) | ||
| Peter Bergren | Registered representative | Dec 2018 (8y) | ||
| Ryan Isler | Registered representative | Dec 2018 (8y) | ||
| Joe Attinello | Registered representative | Dec 2018 (8y) | ||
| Amber Blue Davis | Registered representative | Dec 2018 (8y) | ||
| Matthew Gregory Ludwig | Registered representative | Dec 2018 (8y) | ||
| Casey Leanne Davis Vician | Registered representative | Jan 2019 (8y) | ||
| Katherine Garcin | Registered representative | Jan 2019 (8y) | ||
| Mordechai Worch | Registered representative | Jan 2019 (8y) | ||
| Miguel Eduardo Coronel Garcia | Registered representative | Jan 2019 (8y) | ||
| Richard Lazaro | Registered representative | Jan 2019 (8y) | ||
| Abigail Rodriguez | Registered representative | Jan 2019 (8y) | ||
| Thomas Monnay | Registered representative | Jan 2019 (8y) | ||
| Adrian Sondhi | Registered representative | Jan 2019 (8y) | ||
| Adam Burchfield | Registered representative | Jan 2019 (8y) | ||
| Brandon M. Rosen | Registered representative | CFP | Jan 2019 (8y) | |
| Danielle Fasci | Registered representative | Jan 2019 (8y) | ||
| Like Wu | Registered representative | Jan 2019 (8y) | ||
| Michael Steward | Registered representative | Jan 2019 (8y) | ||
| Paul John De Santis | Registered representative | Jan 2019 (8y) | ||
| Sean Patrick Dixon | Registered representative | Jan 2019 (8y) | ||
| Wing Yin Teresa Lee | Registered representative | CFP CFA | Jan 2019 (8y) | |
| Daniel Worobiec | Registered representative | CFP | Jan 2019 (8y) | |
| Adrian M Arvayo | Registered representative | Jan 2019 (8y) | ||
| Christina Pierce | Registered representative | Jan 2019 (8y) | ||
| Craig Galatas | Registered representative | Jan 2019 (8y) | ||
| Michael Lee Turner | Registered representative | Jan 2019 (8y) | ||
| Raymond Edward Powers | Registered representative | Jan 2019 (8y) | ||
| Lee Staton | Registered representative | Jan 2019 (8y) | ||
| Courtney Eberhart | Registered representative | Jan 2019 (8y) | ||
| Colby Doray Moneta | Registered representative | Jan 2019 (8y) | ||
| Lawrence R Stubbs | Registered representative | Jan 2019 (8y) | ||
| Techen Hwang | Registered representative | Jan 2019 (8y) | ||
| Zachary Stillman | Registered representative | Jan 2019 (8y) | ||
| Eric Sarkissian | Registered representative | Jan 2019 (8y) | ||
| Andrew Mecham | Registered representative | CFP Chartered Financial Consultant | Jan 2019 (8y) | |
| Jonathan Hunter King | Registered representative | Jan 2019 (8y) | ||
| Mariam A Kiani | Registered representative | Jan 2019 (8y) | ||
| Nadine Narolsky | Registered representative | Jan 2019 (8y) | ||
| Richard Allan Price | Registered representative | Jan 2019 (8y) | ||
| Gregory Paul Caragine | Registered representative | Jan 2019 (8y) | ||
| Jake Bernstein | Registered representative | Jan 2019 (8y) | ||
| Daniel L Rabe | Registered representative | Jan 2019 (8y) | ||
| John Taveira | Registered representative | Jan 2019 (8y) | ||
| Nevena Vatachka | Registered representative | Jan 2019 (8y) | ||
| Craig S Weinstein | Registered representative | CFP | Jan 2019 (8y) | |
| Daniel Louis Chisena | Registered representative | Jan 2019 (8y) | ||
| Alex Wagner | Registered representative | Feb 2019 (8y) | ||
| Nicholas Robinson | Registered representative | Feb 2019 (8y) | ||
| Maya Bensen | Registered representative | Feb 2019 (7y) | ||
| Alejandro Gonzalez | Registered representative | Feb 2019 (7y) | ||
| Brandon George Cholagh | Registered representative | Feb 2019 (7y) | ||
| Brandon Estrada | Registered representative | CFP Chartered Financial Consultant | Feb 2019 (7y) | |
| Michael Barranco | Registered representative | Feb 2019 (7y) | ||
| Ruben Munoz | Registered representative | Feb 2019 (7y) | ||
| Teagan Washington | Registered representative | Feb 2019 (7y) | ||
| Tuyetanh Tran | Registered representative | Feb 2019 (7y) | ||
| Kathy L Warden | Registered representative | Feb 2019 (7y) | ||
| Sarah Joanne Wolf Conlon | Registered representative | Feb 2019 (7y) | ||
| Jason Edward Arciniega | Registered representative | Feb 2019 (7y) | ||
| Christopher Lewis Castellaw | Registered representative | Feb 2019 (7y) | ||
| David Kritzer | Registered representative | Feb 2019 (7y) | ||
| Oscar Nevarez | Registered representative | Feb 2019 (7y) | ||
| Matthew S. Reid | Registered representative | Feb 2019 (7y) | ||
| Adam Cabrera | Registered representative | Feb 2019 (7y) | ||
| Brian Saba | Registered representative | Feb 2019 (7y) | ||
| Travis John Leta | Registered representative | Feb 2019 (7y) | ||
| Donovan J Iglesias | Registered representative | Feb 2019 (7y) | ||
| Marilyn Rose Velasquez | Registered representative | Feb 2019 (7y) | ||
| Sami Milush | Registered representative | Feb 2019 (7y) | ||
| Angela M Owens | Registered representative | Feb 2019 (7y) | ||
| Jeff Claude Bonhomme | Registered representative | Feb 2019 (7y) | ||
| Antoine Kthuy Le | Registered representative | Feb 2019 (7y) | ||
| Maria Gabriela Gortaire | Registered representative | Feb 2019 (7y) | ||
| Hyong Lark Kim | Registered representative | Feb 2019 (7y) | ||
| Alan L. Krone | Registered representative | CFP | Feb 2019 (7y) | |
| Gregory Preston Curran | Registered representative | Mar 2019 (7y) | ||
| Matthew Taylor | Registered representative | Mar 2019 (7y) | ||
| Brandon Mong | Registered representative | CFP | Mar 2019 (7y) | |
| Michael David Hart | Registered representative | Mar 2019 (7y) | ||
| Marco Antonio Carrasco | Registered representative | Mar 2019 (7y) | ||
| Sandra Ramos | Registered representative | Mar 2019 (7y) | ||
| Brian Keith Owen | Registered representative | Mar 2019 (7y) | ||
| Erin Rossi Machado | Registered representative | Mar 2019 (7y) | ||
| Jacob Lee Miller | Registered representative | Mar 2019 (7y) | ||
| Michael Thomas Coats | Registered representative | Mar 2019 (7y) | ||
| Mirna Polis | Registered representative | Mar 2019 (7y) | ||
| Stephen Clifton | Registered representative | Mar 2019 (7y) | ||
| Fiorella Inurritegui | Registered representative | Mar 2019 (7y) | ||
| Jeffrey Demesa Bonsol | Registered representative | Mar 2019 (7y) | ||
| Edward Linn Heartfield | Registered representative | Mar 2019 (7y) | ||
| Karen Jacqueline Sites | Registered representative | Mar 2019 (7y) | ||
| Kyle J. Martie | Registered representative | Mar 2019 (7y) | ||
| Liang Ke Yu | Registered representative | Mar 2019 (7y) | ||
| Mark Francis | Registered representative | Mar 2019 (7y) | ||
| Shane Morrison | Registered representative | CFP | Mar 2019 (7y) | |
| Craig Weinstein | Registered representative | Mar 2019 (7y) | ||
| Angela Maria Saladino | Registered representative | Mar 2019 (7y) | ||
| Brent Wiedenfeld | Registered representative | Mar 2019 (7y) | ||
| Juhair Khan | Registered representative | Mar 2019 (7y) | ||
| Junru Ma | Registered representative | Mar 2019 (7y) | ||
| Matthew Foster | Registered representative | Mar 2019 (7y) | ||
| Vanessa Stephanie Cancelo | Registered representative | Mar 2019 (7y) | ||
| Holly J Barthelmas | Registered representative | Apr 2019 (7y) | ||
| Nicholas A. Adducci | Registered representative | Apr 2019 (7y) | ||
| Jordan Michael Anderson | Registered representative | Apr 2019 (7y) | ||
| Cady Chau Tran | Registered representative | Apr 2019 (7y) | ||
| Cesar Anthony Burgueno | Registered representative | Apr 2019 (7y) | ||
| Ivette Hernandez | Registered representative | Apr 2019 (7y) | ||
| Michael Kurt Veit | Registered representative | Apr 2019 (7y) | ||
| Sean Patrick Whalen | Registered representative | Apr 2019 (7y) | ||
| Tiffany Ann Lusk | Registered representative | Apr 2019 (7y) | ||
| Jamie Lynne Williams | Registered representative | Apr 2019 (7y) | ||
| Maria Jose Baron | Registered representative | Apr 2019 (7y) | ||
| Susan Denise Richards Dresback | Registered representative | Apr 2019 (7y) | ||
| Mercedes Martinez | Registered representative | Apr 2019 (7y) | ||
| Alan D Winter | Registered representative | Apr 2019 (7y) | ||
| Abraham Ernesto Zavala | Registered representative | Apr 2019 (7y) | ||
| Brett Woods | Registered representative | Apr 2019 (7y) | ||
| Brock Stephens | Registered representative | Apr 2019 (7y) | ||
| Julia Mc Cray | Registered representative | CFP | Apr 2019 (7y) | |
| Kevin O Reynolds | Registered representative | Apr 2019 (7y) | ||
| Matthew Alfonso Constancio | Registered representative | CFA | Apr 2019 (7y) | |
| Ryan Alatorre | Registered representative | Apr 2019 (7y) | ||
| Justin Richard Pearson | Registered representative | Apr 2019 (7y) | ||
| Brittany Downey | Registered representative | Apr 2019 (7y) | ||
| Neil Mathew | Registered representative | Apr 2019 (7y) | ||
| Araceli Sarinana | Registered representative | Apr 2019 (7y) | ||
| Jaime Gonzalez | Registered representative | Apr 2019 (7y) | ||
| David William Sippel | Registered representative | Apr 2019 (7y) | ||
| Ravi Shiva Sooknanan | Registered representative | Apr 2019 (7y) | ||
| Shaakira N Mason | Registered representative | Apr 2019 (7y) | ||
| Stephen Mc Lean | Registered representative | CFP | Apr 2019 (7y) | |
| Anthony A. Puppo | Registered representative | Apr 2019 (7y) | ||
| Christopher James Tyll | Registered representative | May 2019 (7y) | ||
| Christopher Peter Simpson | Registered representative | May 2019 (7y) | ||
| Isaac Aulick | Registered representative | May 2019 (7y) | ||
| Jason Christopher Harrison | Registered representative | May 2019 (7y) | ||
| Keith Henehan | Registered representative | May 2019 (7y) | ||
| Sharon Marissa Edgerton | Registered representative | May 2019 (7y) | ||
| Steven Wendler | Registered representative | May 2019 (7y) | ||
| Christopher Richard Day | Registered representative | May 2019 (7y) | ||
| Leonard James Manz | Registered representative | CFP | May 2019 (7y) | |
| Avinash R Alwani | Registered representative | May 2019 (7y) | ||
| Adam Bublitz | Registered representative | May 2019 (7y) | ||
| Dionne Tucker | Registered representative | May 2019 (7y) | ||
| Joshua D Perri | Registered representative | May 2019 (7y) | ||
| Kyle A. Hambright | Registered representative | May 2019 (7y) | ||
| Cesar Ricardo Chavez | Registered representative | May 2019 (7y) | ||
| Yanick Kolbjornsen Midyette | Registered representative | May 2019 (7y) | ||
| Christopher Kelly | Registered representative | May 2019 (7y) | ||
| Mindy Hiu Man Cheng | Registered representative | May 2019 (7y) | ||
| Nicholas Lee Eyl | Registered representative | May 2019 (7y) | ||
| Timothy Nicholas Gutierrez | Registered representative | May 2019 (7y) | ||
| Scott Brenner Jacobs | Registered representative | May 2019 (7y) | ||
| Breda Wynne Clare | Registered representative | May 2019 (7y) | ||
| Graziano Rotellini | Registered representative | May 2019 (7y) | ||
| Michael Patrick Buehrle | Registered representative | May 2019 (7y) | ||
| Miguel Antonio Jimenez | Registered representative | Chartered Financial Consultant | May 2019 (7y) | |
| Daniel Yee | Registered representative | May 2019 (7y) | ||
| Jasmine Kim Khanh Le | Registered representative | May 2019 (7y) | ||
| Ryan A Krause | Registered representative | May 2019 (7y) | ||
| Tracie Brown | Registered representative | May 2019 (7y) | ||
| Corey Joseph Jones | Registered representative | May 2019 (7y) | ||
| Jason Travis Brooke | Registered representative | May 2019 (7y) | ||
| Bianca N. Cross | Registered representative | May 2019 (7y) | ||
| Manoj Das | Registered representative | May 2019 (7y) | ||
| Susan V. Walker Gomez | Registered representative | May 2019 (7y) | ||
| Mithilesh Ajay Pimpariya | Registered representative | CFP | May 2019 (7y) | |
| Denise Cerny | Registered representative | May 2019 (7y) | ||
| John Joseph Sikula | Registered representative | May 2019 (7y) | ||
| Billie Van Lith | Registered representative | May 2019 (7y) | ||
| Colin O'malley | Registered representative | May 2019 (7y) | ||
| Scott Hutto | Registered representative | May 2019 (7y) | ||
| Benjamin Joseph Garvey | Registered representative | May 2019 (7y) | ||
| Brad Moore | Registered representative | May 2019 (7y) | ||
| Jeremiah Hartley | Registered representative | May 2019 (7y) | ||
| Jose R Ocasio | Registered representative | May 2019 (7y) | ||
| Kevin M. Sexton | Registered representative | May 2019 (7y) | ||
| Ciro Antonio Gallego Bocanegra | Registered representative | May 2019 (7y) | ||
| Todd C. Davidson | Registered representative | May 2019 (7y) | ||
| Garrett Tognozzi | Registered representative | Jun 2019 (7y) | ||
| John Kirkwood | Registered representative | Jun 2019 (7y) | ||
| Nicole Marie Downing | Registered representative | Jun 2019 (7y) | ||
| Alycia C Music | Registered representative | Jun 2019 (7y) | ||
| Amir Rahimi | Registered representative | Jun 2019 (7y) | ||
| Boyi Wang | Registered representative | Jun 2019 (7y) | ||
| Danny P. Pagoulatos | Registered representative | Jun 2019 (7y) | ||
| Phu Xuan Nguyen | Registered representative | Jun 2019 (7y) | ||
| Roman Thomas Miller | Registered representative | Jun 2019 (7y) | ||
| Larry A Xhama | Registered representative | Jun 2019 (7y) | ||
| Ryan Niswander | Registered representative | Jun 2019 (7y) | ||
| Sahar Louk | Registered representative | Jun 2019 (7y) | ||
| Alyssa Murphy | Registered representative | CFP | Jun 2019 (7y) | |
| Joseph M. Hannigan | Registered representative | Jun 2019 (7y) | ||
| Therese A Slusher | Registered representative | Jun 2019 (7y) | ||
| Bradley John Hargrave | Registered representative | Jun 2019 (7y) | ||
| Dex E. Norman | Registered representative | CFP | Jun 2019 (7y) | |
| Michael L. Corcoran | Registered representative | Jun 2019 (7y) | ||
| Meghan E. Donahoe | Registered representative | CFP | Jun 2019 (7y) | |
| William Casey Garland | Registered representative | Jun 2019 (7y) | ||
| Paul Adelson | Registered representative | Jun 2019 (7y) | ||
| Maguy Amine | Registered representative | Jun 2019 (7y) | ||
| Lauren D. Nadler | Registered representative | Jun 2019 (7y) | ||
| Bryan Suk Jun Yun | Registered representative | CFA | Jun 2019 (7y) | |
| Charles Burton Valentino | Registered representative | Jun 2019 (7y) | ||
| Conrad V Badillo | Registered representative | Jun 2019 (7y) | ||
| Nataly Brito | Registered representative | Jul 2019 (7y) | ||
| Daniel Malone | Registered representative | Jul 2019 (7y) | ||
| Edgar Kurt Engelhardt | Registered representative | Jul 2019 (7y) | ||
| Julie Wakefield | Registered representative | CFP | Jul 2019 (7y) | |
| Natalie M Barraza | Registered representative | Jul 2019 (7y) | ||
| Nune Crawford | Registered representative | Jul 2019 (7y) | ||
| Andrew Feit | Registered representative | Jul 2019 (7y) | ||
| Bining Shen | Registered representative | Jul 2019 (7y) | ||
| David J. Fabos | Registered representative | Jul 2019 (7y) | ||
| He Fu | Registered representative | Jul 2019 (7y) | ||
| Yaneisy Quevedo | Registered representative | Jul 2019 (7y) | ||
| Hon Chung Mai | Registered representative | Jul 2019 (7y) | ||
| Hugo Alfredo Suarez | Registered representative | Jul 2019 (7y) | ||
| Jiaoling Cai | Registered representative | Jul 2019 (7y) | ||
| Jason Simone | Registered representative | Jul 2019 (7y) | ||
| Joenah Norasing | Registered representative | Jul 2019 (7y) | ||
| Timothy J. O'hara | Registered representative | Jul 2019 (7y) | ||
| Daniel J. Brauer | Registered representative | Jul 2019 (7y) | ||
| Yvonne Thompson Maniez | Registered representative | Jul 2019 (7y) | ||
| Cynthia Valencia Sayabounthavong | Registered representative | Jul 2019 (7y) | ||
| Brian Thomas Witkowski | Registered representative | Jul 2019 (7y) | ||
| Ryan S. Hippert | Registered representative | Jul 2019 (7y) | ||
| Mario Emilio Mendez | Registered representative | Jul 2019 (7y) | ||
| Richard Kim | Registered representative | Jul 2019 (7y) | ||
| Claire Elizabeth Schrotenboer | Registered representative | Jul 2019 (7y) | ||
| David Joseph Luther | Registered representative | CFP | Jul 2019 (7y) | |
| Daniel R. Dorger | Registered representative | Jul 2019 (7y) | ||
| Giovanna Lissette Triana | Registered representative | Jul 2019 (7y) | ||
| Jacob Robert Webb | Registered representative | Jul 2019 (7y) | ||
| Mark A Parrott | Registered representative | Jul 2019 (7y) | ||
| Nicholas Joyce | Registered representative | Jul 2019 (7y) | ||
| Nicholas R. Esposito | Registered representative | Jul 2019 (7y) | ||
| Karen L. Comer | Registered representative | Jul 2019 (7y) | ||
| Tayen Hazqiyal | Registered representative | Jul 2019 (7y) | ||
| Darren Frederick Lange | Registered representative | Jul 2019 (7y) | ||
| Taylor Wallace Franzman | Registered representative | Jul 2019 (7y) | ||
| Jacob S. Nichols | Registered representative | Jul 2019 (7y) | ||
| Susanne Costantini | Registered representative | Jul 2019 (7y) | ||
| Brooke Bodner | Registered representative | Jul 2019 (7y) | ||
| Michelle A. Ketten | Registered representative | Jul 2019 (7y) | ||
| Nicholas Cason | Registered representative | CFP | Jul 2019 (7y) | |
| Robert Scott Powell | Registered representative | Jul 2019 (7y) | ||
| Sean H. Yoo | Registered representative | Jul 2019 (7y) | ||
| Christopher Andrews | Registered representative | CFP | Jul 2019 (7y) | |
| Daniel Raymond Rose | Registered representative | Jul 2019 (7y) | ||
| Tyler Moritsune Tonaki | Registered representative | Jul 2019 (7y) | ||
| Claudia Fernanda Arevalo | Registered representative | Aug 2019 (7y) | ||
| Connie Kent Hayes | Registered representative | Aug 2019 (7y) | ||
| David Adam Hughes | Registered representative | Aug 2019 (7y) | ||
| Joel Patrick Ducore | Registered representative | Chartered Financial Consultant | Aug 2019 (7y) | |
| Jerry Wayne Shults | Registered representative | Aug 2019 (7y) | ||
| Lei Zhu | Registered representative | Aug 2019 (7y) | ||
| Matthew Christopher Eovino | Registered representative | Aug 2019 (7y) | ||
| Wei Han Jack Chang | Registered representative | CFP | Aug 2019 (7y) | |
| Daniel A. Weaver | Registered representative | Aug 2019 (7y) | ||
| Salvatore Azzolino | Registered representative | Aug 2019 (7y) | ||
| Zachary Lyle Roberts | Registered representative | Aug 2019 (7y) | ||
| Lauren Ashleigh Michel | Registered representative | Aug 2019 (7y) | ||
| Kelly Clay Bentley | Registered representative | Aug 2019 (7y) | ||
| Maria Castellon | Registered representative | Aug 2019 (7y) | ||
| Justin James Beerman | Registered representative | Aug 2019 (7y) | ||
| Sara Lanning | Registered representative | Aug 2019 (7y) | ||
| Philip Ron Stark | Registered representative | Aug 2019 (7y) | ||
| Zachary Chauvin | Registered representative | Aug 2019 (7y) | ||
| Andrew Richard Rodriguez | Registered representative | Aug 2019 (7y) | ||
| Matthew S. Cruz | Registered representative | Aug 2019 (7y) | ||
| Michael Iervoline | Registered representative | Aug 2019 (7y) | ||
| Loren Bates | Registered representative | Aug 2019 (7y) | ||
| Sukhwinder Singh | Registered representative | Aug 2019 (7y) | ||
| Nicholas Joseph Rosa | Registered representative | Aug 2019 (7y) | ||
| Paul Croitoroo | Registered representative | Aug 2019 (7y) | ||
| Mariam Khan Le Doux | Registered representative | Aug 2019 (7y) | ||
| Jay Maldonado | Registered representative | Aug 2019 (7y) | ||
| Eric Jay Smith | Registered representative | Aug 2019 (7y) | ||
| Kemal Garuc | Registered representative | Aug 2019 (7y) | ||
| Sanel Behlic | Registered representative | Aug 2019 (7y) | ||
| Nicholas Moragne | Registered representative | CFP | Aug 2019 (7y) | |
| Thomas M. Spoto | Registered representative | Aug 2019 (7y) | ||
| Asgher Ali | Registered representative | Aug 2019 (7y) | ||
| Larissa Anne Oliphant | Registered representative | Aug 2019 (7y) | ||
| Russell Paige Smith | Registered representative | Aug 2019 (7y) | ||
| Joseph Chavez | Registered representative | Aug 2019 (7y) | ||
| Julie Sterling | Registered representative | Aug 2019 (7y) | ||
| Latoya Denise Cogburn | Registered representative | Aug 2019 (7y) | ||
| Brian L. Peterson | Registered representative | Aug 2019 (7y) | ||
| Cortney Wagner | Registered representative | Sep 2019 (7y) | ||
| Amy Elizabeth Wilcox | Registered representative | Sep 2019 (7y) | ||
| Renee Lamb | Registered representative | Sep 2019 (7y) | ||
| Jingwei Zhang | Registered representative | Sep 2019 (7y) | ||
| Kyle Manuel | Registered representative | Sep 2019 (7y) | ||
| Joel Anthony Salazar | Registered representative | Sep 2019 (7y) | ||
| Randy Park Rousseau | Registered representative | Sep 2019 (7y) | ||
| Bridget C. Williams | Registered representative | Sep 2019 (7y) | ||
| Josh Lewensohn | Registered representative | Sep 2019 (7y) | ||
| Aaron C Simone | Registered representative | Sep 2019 (7y) | ||
| Jennifer Pena | Registered representative | Sep 2019 (7y) | ||
| Tyrone Kerby | Registered representative | Sep 2019 (7y) | ||
| Jacque A. La Belle | Registered representative | Sep 2019 (7y) | ||
| James C. Mizell | Registered representative | Sep 2019 (7y) | ||
| Matthew Charles Hasse | Registered representative | Sep 2019 (7y) | ||
| Rachael Gordon | Registered representative | Sep 2019 (7y) | ||
| Xiuqi Jiang | Registered representative | Sep 2019 (7y) | ||
| Andrew Permo De Vera | Registered representative | Sep 2019 (7y) | ||
| Angela Kristen Blythe | Registered representative | Sep 2019 (7y) | ||
| Derek Clement | Registered representative | Sep 2019 (7y) | ||
| Theodore Arthur Tellefsen | Registered representative | Sep 2019 (7y) | ||
| Eric Jordan Teichberg | Registered representative | CFP | Sep 2019 (7y) | |
| Frederick Joseph Schultz | Registered representative | Sep 2019 (7y) | ||
| Kennan Blakely Low | Registered representative | Sep 2019 (7y) | ||
| Rebecca Lin Gieseking | Registered representative | Sep 2019 (7y) | ||
| Scott Sturley | Registered representative | Sep 2019 (7y) | ||
| Daniel Mancini | Registered representative | Sep 2019 (7y) | ||
| Kyle A. Tate | Registered representative | Sep 2019 (7y) | ||
| James Joseph Lauber | Registered representative | Sep 2019 (7y) | ||
| Brent Cowin | Registered representative | Sep 2019 (7y) | ||
| Wendy M. Nguyen | Registered representative | Sep 2019 (7y) | ||
| Anthony R. Romani | Registered representative | Sep 2019 (7y) | ||
| Aundeah J. Kearney | Registered representative | Sep 2019 (7y) | ||
| Robert Emerson | Registered representative | Sep 2019 (7y) | ||
| Nancy Margarita Severino | Registered representative | Sep 2019 (7y) | ||
| Enri Sosunov | Registered representative | Sep 2019 (7y) | ||
| Luis M. Jimenez | Registered representative | Sep 2019 (7y) | ||
| Mitchell Frazier | Registered representative | Sep 2019 (7y) | ||
| Shane Gold | Registered representative | Sep 2019 (7y) | ||
| Laura Lee Hanson Virginia | Registered representative | Sep 2019 (7y) | ||
| Lauren Stein | Registered representative | Sep 2019 (7y) | ||
| Zepyur Vardanyan | Registered representative | Sep 2019 (7y) | ||
| Edith E Kase | Registered representative | Oct 2019 (7y) | ||
| Kashmira Qureshi | Registered representative | Oct 2019 (7y) | ||
| Paul Peterson | Registered representative | Oct 2019 (7y) | ||
| Matthew Ambuehl | Registered representative | Oct 2019 (7y) | ||
| Steve Brunke | Registered representative | Oct 2019 (7y) | ||
| Girard Henry | Registered representative | Oct 2019 (7y) | ||
| Stefan Popescu | Registered representative | Oct 2019 (7y) | ||
| Gissell Vidal | Registered representative | Oct 2019 (7y) | ||
| Cameron B. Wilson | Registered representative | Oct 2019 (7y) | ||
| Justin Yokajty | Registered representative | Oct 2019 (7y) | ||
| Matthew Gene Pfeifer | Registered representative | Oct 2019 (7y) | ||
| David W. Bushnell | Registered representative | Oct 2019 (7y) | ||
| Alexander Scott Kickham | Registered representative | Oct 2019 (7y) | ||
| Khalid Mazen Eldadah | Registered representative | Oct 2019 (7y) | ||
| Aili Liang Hua | Registered representative | Oct 2019 (7y) | ||
| Dolores M Fain | Registered representative | Oct 2019 (7y) | ||
| James Christopher Becker | Registered representative | Oct 2019 (7y) | ||
| Jonathan Master | Registered representative | Oct 2019 (7y) | ||
| James Carl Alberts | Registered representative | CFP | Oct 2019 (7y) | |
| Myles R. Luster | Registered representative | Oct 2019 (7y) | ||
| Pamela Abercrombie Capps | Registered representative | Oct 2019 (7y) | ||
| Dimitar Timnev | Registered representative | Oct 2019 (7y) | ||
| Pagnchaktra Sun | Registered representative | Oct 2019 (7y) | ||
| Maria D Salguero | Registered representative | Oct 2019 (7y) | ||
| Ting Ting Zhao | Registered representative | Oct 2019 (7y) | ||
| Zhen Zhang | Registered representative | Oct 2019 (7y) | ||
| Edward C Keenan | Registered representative | Oct 2019 (7y) | ||
| Kai Langenberg | Registered representative | Nov 2019 (7y) | ||
| Simon Winston Kinet | Registered representative | Nov 2019 (7y) | ||
| David F. Teska | Registered representative | Nov 2019 (7y) | ||
| Hernan Martinez | Registered representative | Nov 2019 (7y) | ||
| David Keith Spindle | Registered representative | Nov 2019 (7y) | ||
| Robert M. Billings | Registered representative | Nov 2019 (7y) | ||
| Michael A Grodek | Registered representative | Nov 2019 (7y) | ||
| Jeffrey Stewart Axford | Registered representative | Nov 2019 (7y) | ||
| Monica Van Den Hudding | Registered representative | Nov 2019 (7y) | ||
| Felix A Torres | Registered representative | Nov 2019 (7y) | ||
| Derick Enos | Registered representative | Nov 2019 (7y) | ||
| Ryan Patrick Monahan | Registered representative | Nov 2019 (7y) | ||
| Serj Arutyunyan | Registered representative | CFP | Nov 2019 (7y) | |
| Monty Long | Registered representative | Nov 2019 (7y) | ||
| Alexandra Alicia Sayvong | Registered representative | Nov 2019 (7y) | ||
| Brandon Duane Blumenhorst | Registered representative | Nov 2019 (7y) | ||
| Kyle David George | Registered representative | Nov 2019 (7y) | ||
| Stephanie Brooke Wooldridge | Registered representative | Nov 2019 (7y) | ||
| Camoy Tresan Kotlyarov | Registered representative | Dec 2019 (7y) | ||
| Candace Johnson | Registered representative | Dec 2019 (7y) | ||
| Jaren Reese Packard | Registered representative | Dec 2019 (7y) | ||
| Tony Padilla | Registered representative | Dec 2019 (7y) | ||
| Peter G. Valade | Registered representative | Dec 2019 (7y) | ||
| Trevor Lee Heying | Registered representative | Dec 2019 (7y) | ||
| Jill Henderson | Registered representative | Dec 2019 (7y) | ||
| Robert Quinton Miller | Registered representative | Dec 2019 (7y) | ||
| Arthur Blakey | Registered representative | Dec 2019 (7y) | ||
| Anthony Joel Ramos | Registered representative | Dec 2019 (7y) | ||
| Tien Binh An Vo | Registered representative | Dec 2019 (7y) | ||
| Karina Angelly Calderon | Registered representative | Dec 2019 (7y) | ||
| Howard Harold Scott Holmes | Registered representative | Dec 2019 (7y) | ||
| Marcos Ocegueda | Registered representative | Dec 2019 (7y) | ||
| Sarah Boyd | Registered representative | Dec 2019 (7y) | ||
| Marianna Mansour | Registered representative | Dec 2019 (7y) | ||
| Yamely Gonzalez | Registered representative | Dec 2019 (7y) | ||
| Ramy Iskandar | Registered representative | Dec 2019 (7y) | ||
| Daniel S. Gianopulos | Registered representative | Dec 2019 (7y) | ||
| Dawei Lin | Registered representative | CFP | Dec 2019 (7y) | |
| Irina Kibizova | Registered representative | Dec 2019 (7y) | ||
| Kennedy Sherles | Registered representative | Dec 2019 (7y) | ||
| Esther Heejin Moon | Registered representative | Dec 2019 (7y) | ||
| Kushtrim Veseli | Registered representative | Dec 2019 (7y) | ||
| Leinzs F Vincent | Registered representative | Dec 2019 (7y) | ||
| Joanna Ramos Vizcarra | Registered representative | Dec 2019 (7y) | ||
| Arda Kara Thomas | Registered representative | CFP | Dec 2019 (7y) | |
| Vicente Antonio Hernandez | Registered representative | Dec 2019 (7y) | ||
| Lisa Christine Falcone | Registered representative | Jan 2020 (7y) | ||
| Iryna Kovalchuk | Registered representative | Jan 2020 (7y) | ||
| James Ryan Smith | Registered representative | Jan 2020 (7y) | ||
| Pablo E. Ibarra | Registered representative | Jan 2020 (7y) | ||
| Tony Mak | Registered representative | Jan 2020 (7y) | ||
| Joaquin Cervantes | Registered representative | Jan 2020 (7y) | ||
| Elizabeth Hammer | Registered representative | Jan 2020 (7y) | ||
| Jessica Marie Axelsson | Registered representative | Jan 2020 (7y) | ||
| Fei Ye | Registered representative | Jan 2020 (7y) | ||
| Ozioma Abraham | Registered representative | Jan 2020 (7y) | ||
| Benvenuto Anthony De Rosa | Registered representative | Jan 2020 (7y) | ||
| Reuel Chang | Registered representative | Jan 2020 (7y) | ||
| Chase Nielsen | Registered representative | Jan 2020 (7y) | ||
| Abraham J Guzman | Registered representative | Jan 2020 (7y) | ||
| Ashley Dambreville | Registered representative | Jan 2020 (7y) | ||
| Bao Truong | Registered representative | Jan 2020 (7y) | ||
| Kristi Ortego Tauzin | Registered representative | Jan 2020 (7y) | ||
| Martha Ruth Egli | Registered representative | Jan 2020 (7y) | ||
| Michelle Conlon | Registered representative | Jan 2020 (7y) | ||
| Peter C Canale | Registered representative | CFP | Jan 2020 (7y) | |
| Salma Begum | Registered representative | Jan 2020 (7y) | ||
| Thiago Dos Santos | Registered representative | Jan 2020 (7y) | ||
| Rajiv Gupta | Registered representative | Jan 2020 (7y) | ||
| Andrea Marie Hill | Registered representative | Jan 2020 (7y) | ||
| Jacob Gregory Saenz | Registered representative | Jan 2020 (7y) | ||
| Shannon J Bauer | Registered representative | Jan 2020 (7y) | ||
| Justin R. Russell | Registered representative | Jan 2020 (7y) | ||
| Tony Ly | Registered representative | Jan 2020 (7y) | ||
| Katherine Anton | Registered representative | Jan 2020 (7y) | ||
| Nauman Lakhany | Registered representative | Jan 2020 (7y) | ||
| Reginald P. Nau | Registered representative | Jan 2020 (7y) | ||
| Robert Bregman | Registered representative | Jan 2020 (7y) | ||
| Steven Parker | Registered representative | Jan 2020 (7y) | ||
| James Oetking | Registered representative | Feb 2020 (6y) | ||
| Jun Min Peter Koh | Registered representative | Feb 2020 (6y) | ||
| Kirk Edward Venderlic | Registered representative | Feb 2020 (6y) | ||
| Sharon W Striegl | Registered representative | Feb 2020 (6y) | ||
| Erika Jannette Pineda | Registered representative | Feb 2020 (6y) | ||
| Rico Rodriguez | Registered representative | Feb 2020 (6y) | ||
| William Ivan Hornbuckle | Registered representative | Feb 2020 (6y) | ||
| Carolyn K. Beasley | Registered representative | Feb 2020 (6y) | ||
| Derek Tu | Registered representative | Feb 2020 (6y) | ||
| Kelley Anne Hart | Registered representative | Feb 2020 (6y) | ||
| Thomas Shay Cole | Registered representative | Feb 2020 (6y) | ||
| Trever B Messer | Registered representative | Feb 2020 (6y) | ||
| Michelle Norbeau | Registered representative | Feb 2020 (6y) | ||
| Jesse Jimenez | Registered representative | Feb 2020 (6y) | ||
| Ayisha Zec | Registered representative | Feb 2020 (6y) | ||
| Chuks Petrus Nweke | Registered representative | Feb 2020 (6y) | ||
| David Lee Rowe | Registered representative | Feb 2020 (6y) | ||
| Rodolfo Ornelas | Registered representative | Feb 2020 (6y) | ||
| Corey Ryan Brown | Registered representative | Feb 2020 (6y) | ||
| Elias James Mellul | Registered representative | Feb 2020 (6y) | ||
| Robert Danion | Registered representative | Feb 2020 (6y) | ||
| Ruben M Rodriguez | Registered representative | Feb 2020 (6y) | ||
| Theodore Peroulakis | Registered representative | CFP Chartered Financial Consultant | Feb 2020 (6y) | |
| Christopher Johnson | Registered representative | Feb 2020 (6y) | ||
| David Alan Blake | Registered representative | Feb 2020 (6y) | ||
| Justin Girard | Registered representative | Feb 2020 (6y) | ||
| Michael Douglas Mcmorris | Registered representative | Feb 2020 (6y) | ||
| Matthew Fiore | Registered representative | Feb 2020 (6y) | ||
| Leonard Vasquez | Registered representative | Feb 2020 (6y) | ||
| Joel P. Callahan | Registered representative | Feb 2020 (6y) | ||
| Richard Hong | Registered representative | Feb 2020 (6y) | ||
| Kyle S. Parkin | Registered representative | CFP | Feb 2020 (6y) | |
| Jeannette R Fonoti | Registered representative | Feb 2020 (6y) | ||
| Shan Lin | Registered representative | Feb 2020 (6y) | ||
| Danielle Intini | Registered representative | Feb 2020 (6y) | ||
| Derek Van Der Wal | Registered representative | Feb 2020 (6y) | ||
| Tarissa Sharene Cardoso | Registered representative | Feb 2020 (6y) | ||
| Wanda Wu | Registered representative | Feb 2020 (6y) | ||
| Daniel Conti | Registered representative | Mar 2020 (6y) | ||
| Russell A. Slack | Registered representative | Mar 2020 (6y) | ||
| Benigno Gonzalez | Registered representative | Mar 2020 (6y) | ||
| Kristi Jin Bae | Registered representative | Mar 2020 (6y) | ||
| Leonard Andrew Segal | Registered representative | Mar 2020 (6y) | ||
| Mira Arya | Registered representative | Mar 2020 (6y) | ||
| Kevin David Thompson | Registered representative | Mar 2020 (6y) | ||
| Lars Henrik Samuel Rohdin | Registered representative | Mar 2020 (6y) | ||
| Timothy B. Mazzanti | Registered representative | Mar 2020 (6y) | ||
| Katrina M. Geis | Registered representative | Mar 2020 (6y) | ||
| Alan Ertel | Registered representative | Mar 2020 (6y) | ||
| Hugo Rodrigues | Registered representative | Mar 2020 (6y) | ||
| Matthew Michael Lessard | Registered representative | Mar 2020 (6y) | ||
| Clancy Schmidt | Registered representative | Mar 2020 (6y) | ||
| Maily Vu Cruz | Registered representative | Mar 2020 (6y) | ||
| Robert Mateusz Lesny | Registered representative | Mar 2020 (6y) | ||
| Jamie Yanez | Registered representative | Mar 2020 (6y) | ||
| Franklin Paulino | Registered representative | Mar 2020 (6y) | ||
| Deyanira Gissell Gutierrez | Registered representative | Mar 2020 (6y) | ||
| Luis Alberto Mondragon | Registered representative | Mar 2020 (6y) | ||
| Steve Melvage | Registered representative | Mar 2020 (6y) | ||
| Jessica Clowney | Registered representative | Apr 2020 (6y) | ||
| Gordon Marshall Buskirk | Registered representative | Apr 2020 (6y) | ||
| Philip Dam | Registered representative | Apr 2020 (6y) | ||
| Ryan Mc Mahon | Registered representative | Apr 2020 (6y) | ||
| Ben Bresnahan | Registered representative | May 2020 (6y) | ||
| Juan M. Garcia | Registered representative | May 2020 (6y) | ||
| Ryan Falk | Registered representative | May 2020 (6y) | ||
| Alva Marlene Guerrero | Registered representative | May 2020 (6y) | ||
| Bradley Mark Welter | Registered representative | May 2020 (6y) | ||
| Zachary T. Harvell | Registered representative | May 2020 (6y) | ||
| Candace Alyce Austin | Registered representative | May 2020 (6y) | ||
| Gina H Sorrells | Registered representative | CFP | May 2020 (6y) | |
| Maura Kathleen Mc Mahon | Registered representative | May 2020 (6y) | ||
| Scott Thomas Dozier | Registered representative | May 2020 (6y) | ||
| Zac A. Cottongim | Registered representative | May 2020 (6y) | ||
| Joanne Dushek | Registered representative | May 2020 (6y) | ||
| Krina S Patel | Registered representative | May 2020 (6y) | ||
| Man So | Registered representative | May 2020 (6y) | ||
| Michelle Addington | Registered representative | May 2020 (6y) | ||
| Arthur Gellang | Registered representative | May 2020 (6y) | ||
| Cynthia Lynn Early | Registered representative | May 2020 (6y) | ||
| Alexa Barragan | Registered representative | May 2020 (6y) | ||
| Justin Talamantes | Registered representative | May 2020 (6y) | ||
| Mitchell Eric Hedlund | Registered representative | May 2020 (6y) | ||
| Noemi Aguilar Biddick | Registered representative | May 2020 (6y) | ||
| Bridget Anne Eickhoff | Registered representative | Jun 2020 (6y) | ||
| Jonathan Taylor Pardue | Registered representative | Jun 2020 (6y) | ||
| Jeremy Michael Forman | Registered representative | Jun 2020 (6y) | ||
| Milyn A Bruno | Registered representative | Jun 2020 (6y) | ||
| Yuan Ting Wang | Registered representative | Jun 2020 (6y) | ||
| Richard Joseph Ruiz | Registered representative | Jun 2020 (6y) | ||
| Brian Adam Singer | Registered representative | Jun 2020 (6y) | ||
| Brandon Chapel | Registered representative | Jun 2020 (6y) | ||
| Dustin Heath Mc Gill | Registered representative | Jun 2020 (6y) | ||
| Andrew D Winaker | Registered representative | Jun 2020 (6y) | ||
| Maria Christina Killion | Registered representative | Jun 2020 (6y) | ||
| Joseph Allen Mc Clung | Registered representative | Jun 2020 (6y) | ||
| Zejia Leung | Registered representative | Jun 2020 (6y) | ||
| Cherry Mae B. Lerio | Registered representative | Jun 2020 (6y) | ||
| Damon Wayne Elvington | Registered representative | Jun 2020 (6y) | ||
| Cicely Ann Fox | Registered representative | Jun 2020 (6y) | ||
| Meghan Dwyer | Registered representative | Jun 2020 (6y) | ||
| Connor Grayson Schultz | Registered representative | Jun 2020 (6y) | ||
| Anton Francis Lohn | Registered representative | Jun 2020 (6y) | ||
| Stacyann G Stallings | Registered representative | Jul 2020 (6y) | ||
| Francisco Davila | Registered representative | Jul 2020 (6y) | ||
| Gurdeesh Singh | Registered representative | Jul 2020 (6y) | ||
| David Anthony Kasich | Registered representative | CFP | Jul 2020 (6y) | |
| Tiffany Roussis | Registered representative | Jul 2020 (6y) | ||
| Jung Hoon Lee | Registered representative | Jul 2020 (6y) | ||
| Anthony Steven Gippetti | Registered representative | Jul 2020 (6y) | ||
| Brianna Elizabeth Palarion | Registered representative | Jul 2020 (6y) | ||
| Jennifer Rachel Mayer | Registered representative | Jul 2020 (6y) | ||
| Arshia Zarei | Registered representative | Aug 2020 (6y) | ||
| Christopher Youkang Lee | Registered representative | Aug 2020 (6y) | ||
| Eileen Elliott | Registered representative | Aug 2020 (6y) | ||
| Salvina Gambino | Registered representative | Aug 2020 (6y) | ||
| Michael Dino | Registered representative | Aug 2020 (6y) | ||
| Michael Gogliormella | Registered representative | Aug 2020 (6y) | ||
| Ronald Xela | Registered representative | Aug 2020 (6y) | ||
| Ioana Rives | Registered representative | Aug 2020 (6y) | ||
| Brandon Jones | Registered representative | Aug 2020 (6y) | ||
| Steven Lombardo | Registered representative | Aug 2020 (6y) | ||
| Margaret Dooley | Registered representative | Aug 2020 (6y) | ||
| Anthony T Bui | Registered representative | Aug 2020 (6y) | ||
| Corey Kemplin | Registered representative | Aug 2020 (6y) | ||
| Hok In Un | Registered representative | Aug 2020 (6y) | ||
| Isaac Paul Daugherty | Registered representative | Aug 2020 (6y) | ||
| Ian G. Edwards | Registered representative | Aug 2020 (6y) | ||
| John Deng | Registered representative | Aug 2020 (6y) | ||
| James Thomas Farrell | Registered representative | Aug 2020 (6y) | ||
| Jeremias Deo Villagran | Registered representative | Aug 2020 (6y) | ||
| Kyle Thomas Hedden | Registered representative | Aug 2020 (6y) | ||
| Liming Zhang | Registered representative | Aug 2020 (6y) | ||
| Luis Bernardo Ruelas | Registered representative | Aug 2020 (6y) | ||
| Margarhedt Varon | Registered representative | Aug 2020 (6y) | ||
| Juan Saavedra Marin | Registered representative | Aug 2020 (6y) | ||
| Michael J. Zatarain | Registered representative | Aug 2020 (6y) | ||
| Simi Bridgelal | Registered representative | Aug 2020 (6y) | ||
| Nadege Etienne | Registered representative | Aug 2020 (6y) | ||
| Shane Thomas Stafford | Registered representative | Aug 2020 (6y) | ||
| Marquise Bias | Registered representative | Aug 2020 (6y) | ||
| Steven David Lehrer | Registered representative | Aug 2020 (6y) | ||
| Julia Charron Arnsworth | Registered representative | Aug 2020 (6y) | ||
| Ashley Mae Callow | Registered representative | Aug 2020 (6y) | ||
| Chawwadee Rompothong | Registered representative | Aug 2020 (6y) | ||
| Derek Kyle Hubbard | Registered representative | Aug 2020 (6y) | ||
| Hector Eduardo Murillo | Registered representative | Aug 2020 (6y) | ||
| Joshua Kiyoshi Moody | Registered representative | Aug 2020 (6y) | ||
| Marianna Torreblanca | Registered representative | Aug 2020 (6y) | ||
| Michael Shane Robinson | Registered representative | Aug 2020 (6y) | ||
| Omar Sakr | Registered representative | Aug 2020 (6y) | ||
| James Hickey | Registered representative | Aug 2020 (6y) | ||
| Nancy Washington | Registered representative | Sep 2020 (6y) | ||
| Christopher Schwartz | Registered representative | Sep 2020 (6y) | ||
| Robert F. Hart | Registered representative | Sep 2020 (6y) | ||
| Amanjit Bains | Registered representative | Sep 2020 (6y) | ||
| Bachira H. Murray | Registered representative | Sep 2020 (6y) | ||
| Daniel Borgia | Registered representative | Sep 2020 (6y) | ||
| Felipe Sebastian | Registered representative | Sep 2020 (6y) | ||
| Jigna Patel | Registered representative | Sep 2020 (6y) | ||
| Kristine Rodarte | Registered representative | Sep 2020 (6y) | ||
| Nicolette Thibault | Registered representative | Sep 2020 (6y) | ||
| Zarko Ivanov | Registered representative | Sep 2020 (6y) | ||
| Coleman Vaughn Mc Namara | Registered representative | Sep 2020 (6y) | ||
| Ching Man Wong | Registered representative | Sep 2020 (6y) | ||
| Maya M Dahab | Registered representative | Sep 2020 (6y) | ||
| Michael J Jones | Registered representative | Sep 2020 (6y) | ||
| Pharlande Joseph | Registered representative | Sep 2020 (6y) | ||
| William Monaccio | Registered representative | Sep 2020 (6y) | ||
| Mayra J Schropp | Registered representative | Sep 2020 (6y) | ||
| Michael James Haringa | Registered representative | Sep 2020 (6y) | ||
| Elizabeth Pilar Rogers | Registered representative | Sep 2020 (6y) | ||
| Greg Moore | Registered representative | Sep 2020 (6y) | ||
| Jonathan Edward Farah | Registered representative | Sep 2020 (6y) | ||
| Traci J. Underhill | Registered representative | Sep 2020 (6y) | ||
| Boaz Lahovitsky | Registered representative | Sep 2020 (6y) | ||
| Mark Alden Down | Registered representative | Sep 2020 (6y) | ||
| Sarah Zhang Kamman | Registered representative | Sep 2020 (6y) | ||
| Dennis David Brown | Registered representative | Sep 2020 (6y) | ||
| Margaret Adamchak | Registered representative | Sep 2020 (6y) | ||
| Ruhi Unwalla | Registered representative | Sep 2020 (6y) | ||
| Ricardo Cases | Registered representative | Sep 2020 (6y) | ||
| Cheryl Farley | Registered representative | Sep 2020 (6y) | ||
| John F Hinman | Registered representative | Sep 2020 (6y) | ||
| Susan H Marks | Registered representative | Sep 2020 (6y) | ||
| James Harry Delaney | Registered representative | Sep 2020 (6y) | ||
| Scott Clifton Kimpson | Registered representative | Sep 2020 (6y) | ||
| Apostolos N Kiriazis | Registered representative | Sep 2020 (6y) | ||
| Brandi Kae Maxwell | Registered representative | Sep 2020 (6y) | ||
| Claire Bebee | Registered representative | Sep 2020 (6y) | ||
| Gabriel Carvalho | Registered representative | Sep 2020 (6y) | ||
| Francis Sam | Registered representative | Sep 2020 (6y) | ||
| Jason Denby Allen | Registered representative | Sep 2020 (6y) | ||
| Charles Millas | Registered representative | Sep 2020 (6y) | ||
| Erika S. Halliwill | Registered representative | Sep 2020 (6y) | ||
| Jonathan Arce | Registered representative | Sep 2020 (6y) | ||
| Matthew Arnold | Registered representative | Sep 2020 (6y) | ||
| Tanice Fort | Registered representative | Sep 2020 (6y) | ||
| Yangmei Chen | Registered representative | Sep 2020 (6y) | ||
| Robert Vincent Chamberlin | Registered representative | Sep 2020 (6y) | ||
| David Holland | Registered representative | Oct 2020 (6y) | ||
| Steve Hamilton | Registered representative | Oct 2020 (6y) | ||
| Aaron Murray | Registered representative | Oct 2020 (6y) | ||
| Britni M. Hastings | Registered representative | Oct 2020 (6y) | ||
| Linsey D Mills | Registered representative | Oct 2020 (6y) | ||
| Miguel Huerta | Registered representative | Oct 2020 (6y) | ||
| Nicholas John Martin | Registered representative | Oct 2020 (6y) | ||
| Youkang Gao | Registered representative | Oct 2020 (6y) | ||
| Kevin Yoosuk Kim | Registered representative | Oct 2020 (6y) | ||
| Anthony Wayne Kramer | Registered representative | Oct 2020 (6y) | ||
| Ben Campbell | Registered representative | Oct 2020 (6y) | ||
| Daniel Mobley | Registered representative | Oct 2020 (6y) | ||
| Matthew Hale | Registered representative | Oct 2020 (6y) | ||
| Nina Jackson | Registered representative | Oct 2020 (6y) | ||
| Candi Rose Trevino | Registered representative | Oct 2020 (6y) | ||
| Corey Di Pietro | Registered representative | Oct 2020 (6y) | ||
| James John Meehan | Registered representative | Oct 2020 (6y) | ||
| Ryan Hegarty | Registered representative | Oct 2020 (6y) | ||
| Valerie Voy In | Registered representative | Oct 2020 (6y) | ||
| Xiaomin Deroo | Registered representative | Oct 2020 (6y) | ||
| Charles Glackin | Registered representative | Oct 2020 (6y) | ||
| Danielle Vergona | Registered representative | Oct 2020 (6y) | ||
| Jack Ly | Registered representative | Oct 2020 (6y) | ||
| Kevin Ridpath | Registered representative | Oct 2020 (6y) | ||
| Nisha Bista Bhandary | Registered representative | Oct 2020 (6y) | ||
| Patricia Lee Bonsall | Registered representative | Oct 2020 (6y) | ||
| Rudy Moreno Macias | Registered representative | Oct 2020 (6y) | ||
| Kenneth Kim | Registered representative | Oct 2020 (6y) | ||
| Michael A. Cremen | Registered representative | Oct 2020 (6y) | ||
| Zhuying Li | Registered representative | CFP | Oct 2020 (6y) | |
| Domenica Richards | Registered representative | Oct 2020 (6y) | ||
| Derek Popp | Registered representative | Oct 2020 (6y) | ||
| George Musselman | Registered representative | Oct 2020 (6y) | ||
| Kyle David Mcgrath | Registered representative | Oct 2020 (6y) | ||
| Anthony Justin Lolli | Registered representative | Oct 2020 (6y) | ||
| Brandon Garrett | Registered representative | Oct 2020 (6y) | ||
| Carlos Daniel Figueroa | Registered representative | Oct 2020 (6y) | ||
| Jin W Shin | Registered representative | Oct 2020 (6y) | ||
| Peter A Weber | Registered representative | Oct 2020 (6y) | ||
| Todd F Daley | Registered representative | Oct 2020 (6y) | ||
| Arthur Trey Ruprecht | Registered representative | Oct 2020 (6y) | ||
| Courtney Dean Cruz | Registered representative | Oct 2020 (6y) | ||
| Jennifer Williams | Registered representative | Nov 2020 (6y) | ||
| Lanan M Clark | Registered representative | Nov 2020 (6y) | ||
| Robert R. White | Registered representative | Nov 2020 (6y) | ||
| Donald Dean Gonzales | Registered representative | Nov 2020 (6y) | ||
| Michael Aman | Registered representative | Nov 2020 (6y) | ||
| Owen M. Smith | Registered representative | Nov 2020 (6y) | ||
| Jacqueline Ibarra | Registered representative | Nov 2020 (6y) | ||
| Jodi Le Nguyen | Registered representative | Nov 2020 (6y) | ||
| Luke M. Di Gangi | Registered representative | Nov 2020 (6y) | ||
| Justin Hahl | Registered representative | CFP | Nov 2020 (6y) | |
| Cori L. Cass | Registered representative | Nov 2020 (6y) | ||
| Erin King | Registered representative | Nov 2020 (6y) | ||
| Justin Hernandez | Registered representative | Nov 2020 (6y) | ||
| Richard De Sola | Registered representative | Nov 2020 (6y) | ||
| Steven Anderson | Registered representative | Nov 2020 (6y) | ||
| Anil Shaun Maharaj | Registered representative | Nov 2020 (6y) | ||
| Mirsad Jakupi | Registered representative | Nov 2020 (6y) | ||
| David Sachrison | Registered representative | Nov 2020 (6y) | ||
| Jeffrey Alan Trares | Registered representative | Nov 2020 (6y) | ||
| Katherine Stewart | Registered representative | Nov 2020 (6y) | ||
| Khoa Luong | Registered representative | Nov 2020 (6y) | ||
| Larry Raymond Brannick | Registered representative | Nov 2020 (6y) | ||
| Nick J. Centis | Registered representative | Nov 2020 (6y) | ||
| Adam Clemens | Registered representative | Nov 2020 (6y) | ||
| Andrew F. Clark | Registered representative | Nov 2020 (6y) | ||
| Jared Moser | Registered representative | Nov 2020 (6y) | ||
| Paul F. Halbkram | Registered representative | Nov 2020 (6y) | ||
| Rodney Chu | Registered representative | CFP | Nov 2020 (6y) | |
| Timothy A French | Registered representative | Nov 2020 (6y) | ||
| Jon Hong | Registered representative | Nov 2020 (6y) | ||
| Peter Urrutia | Registered representative | Nov 2020 (6y) | ||
| Henry Tom | Registered representative | Nov 2020 (6y) | ||
| John Floryan | Registered representative | CFP | Nov 2020 (6y) | |
| Maurice Murray | Registered representative | Nov 2020 (6y) | ||
| Alison M. Young | Registered representative | Nov 2020 (6y) | ||
| Andrea Cardwell | Registered representative | Nov 2020 (6y) | ||
| Brandy Marie Monasco | Registered representative | Nov 2020 (6y) | ||
| Gary Allen Phillips | Registered representative | CFP | Nov 2020 (6y) | |
| Andrew M. Nakagawa | Registered representative | Nov 2020 (6y) | ||
| Jason Moreo | Registered representative | Nov 2020 (6y) | ||
| Kostadinos Eracleous | Registered representative | Nov 2020 (6y) | ||
| Craig A. Jefferis | Registered representative | Nov 2020 (6y) | ||
| Michael J Ressler | Registered representative | Nov 2020 (6y) | ||
| Shuru Han | Registered representative | Nov 2020 (6y) | ||
| Jesus Ismael Navedo | Registered representative | Nov 2020 (6y) | ||
| Benjamin M. Mobley | Registered representative | Dec 2020 (6y) | ||
| James M Zeumer | Registered representative | Dec 2020 (6y) | ||
| Thomas Henry Miller | Registered representative | Dec 2020 (6y) | ||
| Ivan Arzate | Registered representative | Dec 2020 (6y) | ||
| Jason Anthony Silva | Registered representative | Dec 2020 (6y) | ||
| Sarkis Landhorian | Registered representative | Dec 2020 (6y) | ||
| Venkatesh Kurvari | Registered representative | Dec 2020 (6y) | ||
| Alexander Christon | Registered representative | Dec 2020 (6y) | ||
| Alyssa N. Benitez | Registered representative | Dec 2020 (6y) | ||
| Erik A. Sanchez | Registered representative | Dec 2020 (6y) | ||
| Shari Helaine Mason | Registered representative | Dec 2020 (6y) | ||
| Steven Grill | Registered representative | Dec 2020 (6y) | ||
| James G Brown | Registered representative | Dec 2020 (6y) | ||
| Alexander J. Milack | Registered representative | Dec 2020 (6y) | ||
| Anthony Hicks | Registered representative | Dec 2020 (6y) | ||
| Paul Webber | Registered representative | Dec 2020 (6y) | ||
| Roman Rodriguez | Registered representative | Dec 2020 (6y) | ||
| Thomas J Leder | Registered representative | CFA | Dec 2020 (6y) | |
| Eric Alberico | Registered representative | Dec 2020 (6y) | ||
| Christopher Lawrence | Registered representative | Dec 2020 (6y) | ||
| Carlo Medina | Registered representative | Dec 2020 (6y) | ||
| Jonak Gonzalez | Registered representative | Dec 2020 (6y) | ||
| Michael Martinek | Registered representative | Dec 2020 (6y) | ||
| Andrew Dale Batey | Registered representative | Dec 2020 (6y) | ||
| Andrew Lawrence Lee | Registered representative | Dec 2020 (6y) | ||
| David Chang | Registered representative | Dec 2020 (6y) | ||
| Jared Harville | Registered representative | Dec 2020 (6y) | ||
| Robert Coker | Registered representative | Dec 2020 (6y) | ||
| Robert Edelman | Registered representative | Dec 2020 (6y) | ||
| Steven Bazaldua | Registered representative | Dec 2020 (6y) | ||
| Shawn K. Gaffin | Registered representative | Dec 2020 (6y) | ||
| Jace Yeung | Registered representative | Dec 2020 (6y) | ||
| James M Atkins | Registered representative | Dec 2020 (6y) | ||
| James Rice | Registered representative | Dec 2020 (6y) | ||
| Joseph Anthony Sheperis | Registered representative | Dec 2020 (6y) | ||
| Kelly Elizabeth Graybill | Registered representative | Dec 2020 (6y) | ||
| Mikael Lemieux | Registered representative | CFP | Dec 2020 (6y) | |
| Omar Elwer | Registered representative | Dec 2020 (6y) | ||
| Racheal Loren Hardy | Registered representative | Dec 2020 (6y) | ||
| Sara Jane Wright | Registered representative | Dec 2020 (6y) | ||
| Stephen A. Cross | Registered representative | Dec 2020 (6y) | ||
| Jiangning Liu | Registered representative | Dec 2020 (6y) | ||
| Shellie Nicole Baugh | Registered representative | Jan 2021 (6y) | ||
| Lavanya Palakurthi | Registered representative | Jan 2021 (6y) | ||
| Dave Amrani | Registered representative | Jan 2021 (6y) | ||
| Matthew Smallidge | Registered representative | Jan 2021 (6y) | ||
| Cristina Young Wilson | Registered representative | Jan 2021 (6y) | ||
| Matt Reiber | Registered representative | Jan 2021 (6y) | ||
| Lorraine Gray Boris | Registered representative | Jan 2021 (6y) | ||
| Marcela Alicia Scott | Registered representative | Jan 2021 (6y) | ||
| Bunyan Tom | Registered representative | Jan 2021 (6y) | ||
| Cory Miglio | Registered representative | Jan 2021 (6y) | ||
| Salena M. Raved | Registered representative | Jan 2021 (6y) | ||
| Gregory T. Brooks | Registered representative | Jan 2021 (6y) | ||
| Richard R Magallanes | Registered representative | Jan 2021 (6y) | ||
| Sean Giovanniello | Registered representative | Jan 2021 (6y) | ||
| James J. Tully | Registered representative | CFP | Jan 2021 (6y) | |
| Stevenson Bruneus | Registered representative | Jan 2021 (6y) | ||
| Chris Padilla | Registered representative | Jan 2021 (6y) | ||
| Fernando Andres Velandia | Registered representative | Jan 2021 (6y) | ||
| Gildete Holt | Registered representative | Jan 2021 (6y) | ||
| Ocean John Ho | Registered representative | CFP | Jan 2021 (6y) | |
| Shawky A Yoakim | Registered representative | Jan 2021 (6y) | ||
| Alan Beltran | Registered representative | Jan 2021 (6y) | ||
| Bernard Lyle Wheeler | Registered representative | Jan 2021 (6y) | ||
| Keith Arnez Williams | Registered representative | Jan 2021 (6y) | ||
| Sarah Elizabeth Palomares | Registered representative | Jan 2021 (6y) | ||
| Sterling Lane | Registered representative | Jan 2021 (6y) | ||
| Eric Eggen | Registered representative | Jan 2021 (6y) | ||
| Matthew Bryan Kline | Registered representative | Jan 2021 (6y) | ||
| J. Daniel Philpott | Registered representative | Jan 2021 (6y) | ||
| Peggy Piper Stavinoha | Registered representative | Jan 2021 (6y) | ||
| Kinga Teresa Frick | Registered representative | Jan 2021 (6y) | ||
| Robin Chun Tim Cheng | Registered representative | Jan 2021 (6y) | ||
| Alejandro Cebrian | Registered representative | Jan 2021 (6y) | ||
| Heidy Pagan | Registered representative | Jan 2021 (6y) | ||
| Jesse F. Alonzo | Registered representative | Jan 2021 (6y) | ||
| Cami N. Schumacher | Registered representative | Jan 2021 (6y) | ||
| Christopher Trotta | Registered representative | Jan 2021 (6y) | ||
| David Bilyk | Registered representative | Jan 2021 (6y) | ||
| Hugo Santos | Registered representative | Jan 2021 (6y) | ||
| Jason Michael Keser | Registered representative | Jan 2021 (6y) | ||
| Jason Wong | Registered representative | Jan 2021 (6y) | ||
| John Gabros | Registered representative | Jan 2021 (6y) | ||
| Joseph J. Cifarelli | Registered representative | Jan 2021 (6y) | ||
| Ljindon Vukdedaj | Registered representative | Jan 2021 (6y) | ||
| Luis Miguel Reynoso | Registered representative | Jan 2021 (6y) | ||
| Louis P. Romano | Registered representative | Jan 2021 (6y) | ||
| Michael James Logiudice | Registered representative | Jan 2021 (6y) | ||
| Michael Joseph Davanzo | Registered representative | Jan 2021 (6y) | ||
| Mohamed Amine Saidani | Registered representative | Jan 2021 (6y) | ||
| Matthew J. Clarke | Registered representative | Jan 2021 (6y) | ||
| Peter John Wielocha | Registered representative | Jan 2021 (6y) | ||
| Rebecca F. Ozirus | Registered representative | Jan 2021 (6y) | ||
| Thomas Christopoulos | Registered representative | Jan 2021 (6y) | ||
| Thomas James De Vito | Registered representative | Jan 2021 (6y) | ||
| Victor Alfredo Brocca | Registered representative | Jan 2021 (6y) | ||
| Corey Alan Johnson | Registered representative | Jan 2021 (6y) | ||
| Darian J Jones | Registered representative | Jan 2021 (6y) | ||
| Christian Orth | Registered representative | Jan 2021 (6y) | ||
| David Joseph Tivin | Registered representative | Jan 2021 (6y) | ||
| John Schade | Registered representative | Jan 2021 (6y) | ||
| Nathaniel Hall | Registered representative | Jan 2021 (6y) | ||
| Thomas Meer | Registered representative | Jan 2021 (6y) | ||
| Giovanna Nathalie Egas | Registered representative | Feb 2021 (6y) | ||
| Heather Ann Blount | Registered representative | Feb 2021 (6y) | ||
| Jason C. Hudgens | Registered representative | Feb 2021 (6y) | ||
| Skyler Hodges | Registered representative | Feb 2021 (5y) | ||
| Pragati Dia Adlakha | Registered representative | Feb 2021 (5y) | ||
| Michael A Gustafson | Registered representative | Feb 2021 (5y) | ||
| Yidnekachew Hailu | Registered representative | Feb 2021 (5y) | ||
| Elliot Alvarado | Registered representative | Feb 2021 (5y) | ||
| Milan Patel | Registered representative | Feb 2021 (5y) | ||
| Randy Golembeck | Registered representative | Feb 2021 (5y) | ||
| Christian Marc Johnson | Registered representative | Feb 2021 (5y) | ||
| Lloyd W. Archibald | Registered representative | Feb 2021 (5y) | ||
| Thomas Edward Redden | Registered representative | Feb 2021 (5y) | ||
| Megan E. Clauzel | Registered representative | Feb 2021 (5y) | ||
| Nicole Sahar Slapak | Registered representative | Feb 2021 (5y) | ||
| Peter Roman | Registered representative | Feb 2021 (5y) | ||
| Tiffany Goodall | Registered representative | Feb 2021 (5y) | ||
| Christopher Temp Buzzell | Registered representative | Feb 2021 (5y) | ||
| Bohdan Y. Paslawskyj | Registered representative | Feb 2021 (5y) | ||
| Janet Gisenia Hernandez Ramos | Registered representative | Feb 2021 (5y) | ||
| Randall Pompeo | Registered representative | Feb 2021 (5y) | ||
| Matthew J. Cuen | Registered representative | Feb 2021 (5y) | ||
| Tom Lenkiewicz | Registered representative | CFP | Feb 2021 (5y) | |
| Bindu Menon | Registered representative | Feb 2021 (5y) | ||
| James Faraci | Registered representative | Feb 2021 (5y) | ||
| Hugh Shuitong Wong | Registered representative | Feb 2021 (5y) | ||
| Kyle Lemay Kristick | Registered representative | Feb 2021 (5y) | ||
| Sean Joseph Connolly | Registered representative | Feb 2021 (5y) | ||
| Tommy Ngoc Lenguyen | Registered representative | Feb 2021 (5y) | ||
| Upinder K Chandhok | Registered representative | Feb 2021 (5y) | ||
| Brenda Millhouse Huebner | Registered representative | CFP | Feb 2021 (5y) | |
| Matthew J Tew | Registered representative | Feb 2021 (5y) | ||
| Quintin Bononcini | Registered representative | Feb 2021 (5y) | ||
| Timothy Dolan | Registered representative | Feb 2021 (5y) | ||
| Johnathan Hirsh | Registered representative | Feb 2021 (5y) | ||
| Montserrat Flores | Registered representative | Feb 2021 (5y) | ||
| Nathan Samuel Bell | Registered representative | Feb 2021 (5y) | ||
| Yadira Rodriguez | Registered representative | Feb 2021 (5y) | ||
| Daniel Harter | Registered representative | Feb 2021 (5y) | ||
| Dustin Davies | Registered representative | Feb 2021 (5y) | ||
| Salvatore Palmeri | Registered representative | Feb 2021 (5y) | ||
| Carl Timothy Johnson | Registered representative | Feb 2021 (5y) | ||
| Chaoyi Liu | Registered representative | Feb 2021 (5y) | ||
| Hoan Pham | Registered representative | Feb 2021 (5y) | ||
| Zach Recker | Registered representative | Feb 2021 (5y) | ||
| David Galic | Registered representative | Feb 2021 (5y) | ||
| Taylor M. Boyle | Registered representative | CFP | Feb 2021 (5y) | |
| Zack T. Skinner | Registered representative | CFP | Feb 2021 (5y) | |
| Adam Michael Eckhard | Registered representative | Mar 2021 (5y) | ||
| Jackson Hudnall | Registered representative | Mar 2021 (5y) | ||
| Kip David Schaefer | Registered representative | Mar 2021 (5y) | ||
| Zachary J. Rowe | Registered representative | Mar 2021 (5y) | ||
| Adam Cooper | Registered representative | CFA | Mar 2021 (5y) | |
| Clark R Piper | Registered representative | Mar 2021 (5y) | ||
| Caleb Stear | Registered representative | Mar 2021 (5y) | ||
| Devin Michael Fitzgerald | Registered representative | CFA | Mar 2021 (5y) | |
| Dominick Bay Pagliaro | Registered representative | Mar 2021 (5y) | ||
| Kevin Patrick Sherman | Registered representative | CFP | Mar 2021 (5y) | |
| Louella Molina Basco | Registered representative | Mar 2021 (5y) | ||
| Louis Romano | Registered representative | CFP | Mar 2021 (5y) | |
| Mark Schechter | Registered representative | Mar 2021 (5y) | ||
| Santi Shengmei Wong | Registered representative | CFP | Mar 2021 (5y) | |
| Timothy John Slavin | Registered representative | CFA | Mar 2021 (5y) | |
| Adisa Hadzic | Registered representative | Mar 2021 (5y) | ||
| James Earl Mishoe | Registered representative | Mar 2021 (5y) | ||
| Nhut Anh Thi Dang | Registered representative | Mar 2021 (5y) | ||
| Ryan Cassidy | Registered representative | Mar 2021 (5y) | ||
| Diana Y Carrillo | Registered representative | Mar 2021 (5y) | ||
| John F. Murray | Registered representative | Mar 2021 (5y) | ||
| David Ausmus | Registered representative | Mar 2021 (5y) | ||
| Stephen Porter Pendleton | Registered representative | Mar 2021 (5y) | ||
| James Michael Fritz | Registered representative | Mar 2021 (5y) | ||
| Carol A White | Registered representative | Mar 2021 (5y) | ||
| Teresa Hart | Registered representative | Mar 2021 (5y) | ||
| Tracy A. Caruso | Registered representative | Mar 2021 (5y) | ||
| Ananth Murali Balasubramanian | Registered representative | Mar 2021 (5y) | ||
| Andrea Marie Dyer | Registered representative | Mar 2021 (5y) | ||
| Elizabeth Espinal | Registered representative | Mar 2021 (5y) | ||
| Stephan Hwang | Registered representative | Mar 2021 (5y) | ||
| John T. Miranda | Registered representative | CFP | Mar 2021 (5y) | |
| Lindsay Gall | Registered representative | Mar 2021 (5y) | ||
| Christopher Weber | Registered representative | Mar 2021 (5y) | ||
| Jeremy A. Kessler | Registered representative | Mar 2021 (5y) | ||
| Tanya Thompson Zavala | Registered representative | Mar 2021 (5y) | ||
| Andrew William Gauthier | Registered representative | Mar 2021 (5y) | ||
| Isaiah Neeper | Registered representative | Mar 2021 (5y) | ||
| Phillip Allen Theiss | Registered representative | CFP | Mar 2021 (5y) | |
| Allison D. Stevenson | Registered representative | CFP | Mar 2021 (5y) | |
| Amanda R Bronson | Registered representative | CFA | Mar 2021 (5y) | |
| Christopher Shannon Madden | Registered representative | Mar 2021 (5y) | ||
| Hanane Bettahi | Registered representative | Mar 2021 (5y) | ||
| Khushbu Sunder Harjani | Registered representative | Mar 2021 (5y) | ||
| Mohammed Ali Dhanji | Registered representative | Mar 2021 (5y) | ||
| Aaron Dash | Registered representative | CFP | Mar 2021 (5y) | |
| Andrea J. Sigler | Registered representative | Mar 2021 (5y) | ||
| Douglas E. Leister | Registered representative | Mar 2021 (5y) | ||
| Jacob Furlow | Registered representative | Mar 2021 (5y) | ||
| Jason B. Keele | Registered representative | CFP | Mar 2021 (5y) | |
| Michael Monroe Smith | Registered representative | Mar 2021 (5y) | ||
| Michael J. Barthmaier | Registered representative | Mar 2021 (5y) | ||
| Douglas Sammons | Registered representative | Mar 2021 (5y) | ||
| Alexandra Geoghegan | Registered representative | Mar 2021 (5y) | ||
| Brandon G Hill | Registered representative | Mar 2021 (5y) | ||
| Christopher Samuel Cortina | Registered representative | Mar 2021 (5y) | ||
| Casey C. Wythers | Registered representative | Mar 2021 (5y) | ||
| Giuliano Gashaj | Registered representative | Mar 2021 (5y) | ||
| Jason Mairowitz | Registered representative | Mar 2021 (5y) | ||
| Lance Andrew Charmont | Registered representative | Mar 2021 (5y) | ||
| Milo Rothstein | Registered representative | Mar 2021 (5y) | ||
| Nathaniel Lloyd | Registered representative | Mar 2021 (5y) | ||
| Bruce Marshall | Registered representative | Mar 2021 (5y) | ||
| Giorgio A Athans | Registered representative | Apr 2021 (5y) | ||
| Vanessa Rose Voge | Registered representative | CFP | Apr 2021 (5y) | |
| David N Chavez | Registered representative | CFP | Apr 2021 (5y) | |
| James Keisel | Registered representative | Apr 2021 (5y) | ||
| Robert L Conaway | Registered representative | Apr 2021 (5y) | ||
| James T Apgar | Registered representative | Apr 2021 (5y) | ||
| Colin Chandler | Registered representative | Apr 2021 (5y) | ||
| Hari Gonzalez | Registered representative | Apr 2021 (5y) | ||
| Sebastien Glinzler | Registered representative | Apr 2021 (5y) | ||
| Dean Michael Steinmann | Registered representative | Apr 2021 (5y) | ||
| Erik Banda | Registered representative | Apr 2021 (5y) | ||
| Su Dong | Registered representative | Apr 2021 (5y) | ||
| Colin Everett Ford | Registered representative | Apr 2021 (5y) | ||
| Christopher J. Campo | Registered representative | Apr 2021 (5y) | ||
| Erin Alsman Robertson | Registered representative | CFP | Apr 2021 (5y) | |
| Sean Michael Kilkenny | Registered representative | Apr 2021 (5y) | ||
| Washington M Nabong | Registered representative | Apr 2021 (5y) | ||
| John H. Ryan | Registered representative | Apr 2021 (5y) | ||
| Richard Kraker | Registered representative | CFP | Apr 2021 (5y) | |
| Elizabeth Nowlin | Registered representative | Apr 2021 (5y) | ||
| Ignat Ignatov | Registered representative | Apr 2021 (5y) | ||
| Ryan Stallkamp | Registered representative | Apr 2021 (5y) | ||
| Alexander C. Gelbert | Registered representative | Apr 2021 (5y) | ||
| Gurpreet Singh | Registered representative | Apr 2021 (5y) | ||
| Giselle Wright | Registered representative | Apr 2021 (5y) | ||
| Lucas Mccarville | Registered representative | Apr 2021 (5y) | ||
| Vincent John Picciuto | Registered representative | Apr 2021 (5y) | ||
| Basit Hilal Adhami | Registered representative | Apr 2021 (5y) | ||
| Brian Shriner | Registered representative | Apr 2021 (5y) | ||
| Dominic D Stanford | Registered representative | Apr 2021 (5y) | ||
| Nathan Lawrence Wise | Registered representative | Apr 2021 (5y) | ||
| Tony B. Wu | Registered representative | CFP | Apr 2021 (5y) | |
| Kathy Weil | Registered representative | Apr 2021 (5y) | ||
| Anson Sung | Registered representative | Apr 2021 (5y) | ||
| Jon Paul Keslinke | Registered representative | Apr 2021 (5y) | ||
| Katie A. Barnes | Registered representative | Apr 2021 (5y) | ||
| Matthew Kogler | Registered representative | Apr 2021 (5y) | ||
| Javier Mondragon | Registered representative | Apr 2021 (5y) | ||
| Steven Ard | Registered representative | Apr 2021 (5y) | ||
| Thomas Joseph Nagy | Registered representative | Apr 2021 (5y) | ||
| Alae Jaber | Registered representative | Apr 2021 (5y) | ||
| Bevan Nimi Poyyak | Registered representative | Apr 2021 (5y) | ||
| Christopher D. Pearo | Registered representative | CFP | Apr 2021 (5y) | |
| Christopher P. Bergman | Registered representative | Apr 2021 (5y) | ||
| Mi Ran Kim | Registered representative | Apr 2021 (5y) | ||
| Mark A Brucato | Registered representative | Apr 2021 (5y) | ||
| Sean P. Durkin | Registered representative | Apr 2021 (5y) | ||
| Allen Christopher Morton | Registered representative | Apr 2021 (5y) | ||
| Richard Lee Gustafson | Registered representative | Apr 2021 (5y) | ||
| Shiva Rajpal | Registered representative | Apr 2021 (5y) | ||
| Anthony Lazzaro | Registered representative | May 2021 (5y) | ||
| Cody Lyal Kidwell | Registered representative | May 2021 (5y) | ||
| Jeffrey Lee | Registered representative | May 2021 (5y) | ||
| John Kriarakis | Registered representative | May 2021 (5y) | ||
| Marco Antonio Diaz | Registered representative | May 2021 (5y) | ||
| Nathan Anthony Singer | Registered representative | May 2021 (5y) | ||
| Nana Kojo Okyere | Registered representative | May 2021 (5y) | ||
| Peter Lennon | Registered representative | CFP | May 2021 (5y) | |
| Reno Jon Tusing | Registered representative | May 2021 (5y) | ||
| Eileen Corkery | Registered representative | May 2021 (5y) | ||
| Eva Rhodes | Registered representative | May 2021 (5y) | ||
| John K. Schaefer | Registered representative | May 2021 (5y) | ||
| Michael Curcio | Registered representative | May 2021 (5y) | ||
| Nicolas Appen Lippard | Registered representative | May 2021 (5y) | ||
| William Alexander Brown | Registered representative | May 2021 (5y) | ||
| Evan R. Meyers | Registered representative | May 2021 (5y) | ||
| Michael Fiore | Registered representative | May 2021 (5y) | ||
| Christopher Mc Intosh | Registered representative | May 2021 (5y) | ||
| Alec Trentler | Registered representative | May 2021 (5y) | ||
| Christopher Knox | Registered representative | May 2021 (5y) | ||
| Melinda Judith Tyann Plumb | Registered representative | May 2021 (5y) | ||
| Victoria E. Farrell | Registered representative | May 2021 (5y) | ||
| William Emmet | Registered representative | May 2021 (5y) | ||
| Aaron Friedman | Registered representative | May 2021 (5y) | ||
| Bryan Mendoza | Registered representative | May 2021 (5y) | ||
| Jason Cancino | Registered representative | May 2021 (5y) | ||
| George Butch A Massaro | Registered representative | May 2021 (5y) | ||
| Steven Robert Olson | Registered representative | May 2021 (5y) | ||
| Thuy T. Nguyen | Registered representative | May 2021 (5y) | ||
| Gordon Maurice Sommer | Registered representative | May 2021 (5y) | ||
| Mark Gerard Donohue | Registered representative | May 2021 (5y) | ||
| Yevgeniy Gryazev | Registered representative | May 2021 (5y) | ||
| John Callimanis | Registered representative | May 2021 (5y) | ||
| Claudia R. Morales Herrera | Registered representative | May 2021 (5y) | ||
| Jeanie Ray Martin | Registered representative | May 2021 (5y) | ||
| Joseph Truscott | Registered representative | May 2021 (5y) | ||
| Samer Jawhari | Registered representative | May 2021 (5y) | ||
| Savoy Casey Drummond | Registered representative | May 2021 (5y) | ||
| Brian Swearingen | Registered representative | May 2021 (5y) | ||
| Christina M. Lawson | Registered representative | May 2021 (5y) | ||
| Jeffrey Michael Kosta | Registered representative | May 2021 (5y) | ||
| Ligaya P Choo | Registered representative | May 2021 (5y) | ||
| Payden Montanna Hays | Registered representative | May 2021 (5y) | ||
| Joshua Rosario | Registered representative | May 2021 (5y) | ||
| Aleksandar Kocevski | Registered representative | May 2021 (5y) | ||
| Aaron Nardozza | Registered representative | May 2021 (5y) | ||
| Benny Caesar Vallejo | Registered representative | May 2021 (5y) | ||
| Daniel V. Rowbottom | Registered representative | May 2021 (5y) | ||
| Robert James Mosesian | Registered representative | CFP | May 2021 (5y) | |
| Thomas A. Solis | Registered representative | May 2021 (5y) | ||
| Anthony Joseph Bartalino | Registered representative | May 2021 (5y) | ||
| Mark Bryan Gamble | Registered representative | May 2021 (5y) | ||
| Margaret Flynn Robison | Registered representative | May 2021 (5y) | ||
| Erick Suazo | Registered representative | May 2021 (5y) | ||
| James W. Taylor | Registered representative | May 2021 (5y) | ||
| Michael A Ramirez | Registered representative | May 2021 (5y) | ||
| Naghmeh Nadry | Registered representative | May 2021 (5y) | ||
| Charles C. Smith | Registered representative | May 2021 (5y) | ||
| Keith Dean | Registered representative | May 2021 (5y) | ||
| Emily Egan Coyle | Registered representative | May 2021 (5y) | ||
| Kevin Zijian Chen | Registered representative | May 2021 (5y) | ||
| Korab Hasani | Registered representative | May 2021 (5y) | ||
| Dru Cambron | Registered representative | May 2021 (5y) | ||
| Carrie Velasco | Registered representative | May 2021 (5y) | ||
| Tyler Durand | Registered representative | CFP | May 2021 (5y) | |
| Valerie Wheelock | Registered representative | May 2021 (5y) | ||
| Jason Mancivalano | Registered representative | Jun 2021 (5y) | ||
| Andrew Di Nardo | Registered representative | Jun 2021 (5y) | ||
| Barrington Mc Farlane | Registered representative | Jun 2021 (5y) | ||
| Drew S. Stallings | Registered representative | Jun 2021 (5y) | ||
| Ramesh Chandrashekhar Ramdatt | Registered representative | Jun 2021 (5y) | ||
| Shaun Yates | Registered representative | Jun 2021 (5y) | ||
| Asmir Malevic | Registered representative | Jun 2021 (5y) | ||
| David Hoang | Registered representative | Jun 2021 (5y) | ||
| Nikolas R Mc Whirter | Registered representative | Jun 2021 (5y) | ||
| Charles Joseph Wick | Registered representative | Jun 2021 (5y) | ||
| Rafael Urquidi | Registered representative | Jun 2021 (5y) | ||
| Annie Ha | Registered representative | Jun 2021 (5y) | ||
| Ashley Webb | Registered representative | Jun 2021 (5y) | ||
| Frederick E Disbrow | Registered representative | Jun 2021 (5y) | ||
| Tamir Y Levi | Registered representative | Jun 2021 (5y) | ||
| Andrew Provost | Registered representative | Jun 2021 (5y) | ||
| Jarrod Frazier | Registered representative | Jun 2021 (5y) | ||
| Patrick Steen | Registered representative | Jun 2021 (5y) | ||
| Robert Patrick Casey | Registered representative | Jun 2021 (5y) | ||
| Christopher Paul Francese | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Henry Pak | Registered representative | Jun 2021 (5y) | ||
| Jayson David Grauman | Registered representative | Jun 2021 (5y) | ||
| Joseph P Gentilucci | Registered representative | Jun 2021 (5y) | ||
| Steven Simoneaux | Registered representative | Jun 2021 (5y) | ||
| Christopher Cook Bush | Registered representative | CFA | Jun 2021 (5y) | |
| Kim Alan Hamilton | Registered representative | Jun 2021 (5y) | ||
| Xiaobei Li | Registered representative | Jun 2021 (5y) | ||
| Mark Link | Registered representative | Jun 2021 (5y) | ||
| Wenyu Zhang | Registered representative | Jun 2021 (5y) | ||
| Alonso Garza Zorrilla | Registered representative | Jun 2021 (5y) | ||
| James T. Moore | Registered representative | Jun 2021 (5y) | ||
| Joanna Alexandra Hodge | Registered representative | Jun 2021 (5y) | ||
| Michael Derby | Registered representative | Jun 2021 (5y) | ||
| Tyler Blake | Registered representative | Jun 2021 (5y) | ||
| Colton T Wise | Registered representative | Jun 2021 (5y) | ||
| Nicholas Frederick | Registered representative | Jun 2021 (5y) | ||
| Raymond Anthony Latty | Registered representative | Jun 2021 (5y) | ||
| Rodolfo Munoz | Registered representative | Jun 2021 (5y) | ||
| Steven B. Wise | Registered representative | CFP | Jun 2021 (5y) | |
| Daryl K Harper | Registered representative | Jun 2021 (5y) | ||
| Dustin Broadwater | Registered representative | CFP | Jun 2021 (5y) | |
| Paula M Baxley | Registered representative | Jun 2021 (5y) | ||
| Rebekah A. Beekie | Registered representative | Jun 2021 (5y) | ||
| Josh David Kollman | Registered representative | Jun 2021 (5y) | ||
| Katherine S Grant | Registered representative | Jun 2021 (5y) | ||
| Nicole Bono | Registered representative | Jun 2021 (5y) | ||
| Michael Mazzola | Registered representative | Jun 2021 (5y) | ||
| Alexander John Pawlukowsky | Registered representative | Jun 2021 (5y) | ||
| Connor Aidan Benson | Registered representative | Jun 2021 (5y) | ||
| Eric Alen Baldwin | Registered representative | Jun 2021 (5y) | ||
| Tyler J Messner | Registered representative | CFA | Jun 2021 (5y) | |
| Veronica Rodriguez | Registered representative | Jun 2021 (5y) | ||
| Zhenyu Liu | Registered representative | Jun 2021 (5y) | ||
| Heather M Abshear | Registered representative | Jun 2021 (5y) | ||
| Ryan Riviere | Registered representative | Jun 2021 (5y) | ||
| Samantha Lynn Pairitz Robinson | Registered representative | Jun 2021 (5y) | ||
| Alan F Bigdelou | Registered representative | Jun 2021 (5y) | ||
| Frederick Abrams Bellows | Registered representative | Jun 2021 (5y) | ||
| Lori Hulse Specker | Registered representative | Jun 2021 (5y) | ||
| Lake Lapp | Registered representative | Jun 2021 (5y) | ||
| Mansi Kapoor | Registered representative | Jun 2021 (5y) | ||
| Michael T. Hearne | Registered representative | Jun 2021 (5y) | ||
| Samantha Danielle Levin | Registered representative | Jun 2021 (5y) | ||
| Shannan Lynn Schultz | Registered representative | Jun 2021 (5y) | ||
| Victor Goh | Registered representative | Jun 2021 (5y) | ||
| Brent Edward Breslau | Registered representative | Jul 2021 (5y) | ||
| Connor Dougherty | Registered representative | Jul 2021 (5y) | ||
| Jake Dakota Krominga | Registered representative | Jul 2021 (5y) | ||
| Thomas Dean Ellison | Registered representative | Jul 2021 (5y) | ||
| Carlos Jose Quijano | Registered representative | Jul 2021 (5y) | ||
| Britney Naomi Turk | Registered representative | Jul 2021 (5y) | ||
| James Dermot Hynes | Registered representative | Jul 2021 (5y) | ||
| Blake Fisher | Registered representative | CFP | Jul 2021 (5y) | |
| Mike Lo | Registered representative | Jul 2021 (5y) | ||
| Symon Davis | Registered representative | Jul 2021 (5y) | ||
| Woong Rae Roh | Registered representative | Jul 2021 (5y) | ||
| Carrie Snyder Vilaplana | Registered representative | Jul 2021 (5y) | ||
| Caedia Fraser | Registered representative | Jul 2021 (5y) | ||
| John R Herron | Registered representative | Jul 2021 (5y) | ||
| Kim Huynh Sanchez | Registered representative | Jul 2021 (5y) | ||
| Patricia Castaneda Bennett | Registered representative | Jul 2021 (5y) | ||
| Darren Heng Yen Woon | Registered representative | Jul 2021 (5y) | ||
| Amanda Sic | Registered representative | Jul 2021 (5y) | ||
| Christopher Roman Cuvinan | Registered representative | Jul 2021 (5y) | ||
| Jacob Richter Fox | Registered representative | Jul 2021 (5y) | ||
| James E. Jacobs | Registered representative | Jul 2021 (5y) | ||
| Norine Lima | Registered representative | Jul 2021 (5y) | ||
| Blake Erwin | Registered representative | CFP | Jul 2021 (5y) | |
| Maria C Romanowski | Registered representative | Jul 2021 (5y) | ||
| Nicole Lisa Canada | Registered representative | Jul 2021 (5y) | ||
| Michael Lombardo | Registered representative | Jul 2021 (5y) | ||
| William T Giordano | Registered representative | CFP | Jul 2021 (5y) | |
| Jacob Reed Southren | Registered representative | Jul 2021 (5y) | ||
| Peisan Lin | Registered representative | Jul 2021 (5y) | ||
| Amanda Bailey Tyree | Registered representative | Jul 2021 (5y) | ||
| Chi H Yeon | Registered representative | Jul 2021 (5y) | ||
| Lisa Marie Lussier | Registered representative | Jul 2021 (5y) | ||
| Taharka Kenneth Farrell | Registered representative | Jul 2021 (5y) | ||
| Jessica Wang | Registered representative | Jul 2021 (5y) | ||
| Joseph Thomas Spiegel | Registered representative | Jul 2021 (5y) | ||
| Patrick Timothy De Cou | Registered representative | Jul 2021 (5y) | ||
| Frank De Benedittis | Registered representative | Jul 2021 (5y) | ||
| Adam Tekel | Registered representative | Jul 2021 (5y) | ||
| Hernan Lautersztein | Registered representative | Jul 2021 (5y) | ||
| Iain William Hollyhoke | Registered representative | Jul 2021 (5y) | ||
| Jeremy J. Holm | Registered representative | Jul 2021 (5y) | ||
| Natasha L. Stefanik | Registered representative | Jul 2021 (5y) | ||
| Stephen Rodriguez | Registered representative | Jul 2021 (5y) | ||
| Adam Rahl | Registered representative | Jul 2021 (5y) | ||
| Oliver Joseph Oxenreiter | Registered representative | Jul 2021 (5y) | ||
| Alex Teodorescu | Registered representative | Jul 2021 (5y) | ||
| Amy K. Giannola | Registered representative | Jul 2021 (5y) | ||
| Michael John Martin | Registered representative | Jul 2021 (5y) | ||
| Trevor Joseph Orr | Registered representative | Jul 2021 (5y) | ||
| Michael Youbert Mirza | Registered representative | Jul 2021 (5y) | ||
| Michael W Lassiter | Registered representative | Jul 2021 (5y) | ||
| Robert Sullivan | Registered representative | Jul 2021 (5y) | ||
| Blake M. Peterson | Registered representative | Jul 2021 (5y) | ||
| Cohen Reagan | Registered representative | CFP | Jul 2021 (5y) | |
| Elizabeth Wilkinson Smith | Registered representative | Jul 2021 (5y) | ||
| Scott Russell Baynes | Registered representative | Jul 2021 (5y) | ||
| Cole Schmitz | Registered representative | Jul 2021 (5y) | ||
| Jacob Chander Reiser | Registered representative | Jul 2021 (5y) | ||
| Robert Craig Brisbane | Registered representative | Aug 2021 (5y) | ||
| Hans Hofstetter | Registered representative | Aug 2021 (5y) | ||
| Liliana Zygouris | Registered representative | Aug 2021 (5y) | ||
| Brian Joseph O'keefe | Registered representative | Aug 2021 (5y) | ||
| Fred Wu | Registered representative | Aug 2021 (5y) | ||
| Nicholas J. Coufal | Registered representative | Aug 2021 (5y) | ||
| Oriana Proto Mucciolo | Registered representative | Aug 2021 (5y) | ||
| Zachery J. Cove | Registered representative | Aug 2021 (5y) | ||
| Kathy Lorraine Frazier | Registered representative | Aug 2021 (5y) | ||
| Reid J. Stein | Registered representative | Aug 2021 (5y) | ||
| Suzanne Sweeney Lamouroux | Registered representative | Aug 2021 (5y) | ||
| Adriana Penaloza | Registered representative | Aug 2021 (5y) | ||
| Anthony C Decaro | Registered representative | Aug 2021 (5y) | ||
| Jonathan Mendoza | Registered representative | Aug 2021 (5y) | ||
| Joshua Mark Finkelstein | Registered representative | Aug 2021 (5y) | ||
| Amanda M Lo | Registered representative | CFP | Aug 2021 (5y) | |
| Marcus B. Patterson | Registered representative | Aug 2021 (5y) | ||
| Michael C. Raissis | Registered representative | Aug 2021 (5y) | ||
| Umer Awan | Registered representative | Aug 2021 (5y) | ||
| Barry Tucker | Registered representative | Aug 2021 (5y) | ||
| Robert Kushel | Registered representative | Aug 2021 (5y) | ||
| John R Koklys | Registered representative | Aug 2021 (5y) | ||
| Jonathan Perez | Registered representative | Aug 2021 (5y) | ||
| Justina Cartner | Registered representative | Aug 2021 (5y) | ||
| Kristy L Pieprzak | Registered representative | Aug 2021 (5y) | ||
| Meng Kim Hok | Registered representative | Aug 2021 (5y) | ||
| Nicholas Andrew Hirstein | Registered representative | Aug 2021 (5y) | ||
| Virshal Preetesh Singh | Registered representative | Aug 2021 (5y) | ||
| Alec Lacinski | Registered representative | Aug 2021 (5y) | ||
| Claudio F. Robertson | Registered representative | Aug 2021 (5y) | ||
| Daniel Haynes | Registered representative | Aug 2021 (5y) | ||
| Chester Wang | Registered representative | Aug 2021 (5y) | ||
| Adrianna Mesquita | Registered representative | Aug 2021 (5y) | ||
| Amaury De Parcevaux | Registered representative | Aug 2021 (5y) | ||
| Adam Rosenblatt | Registered representative | Aug 2021 (5y) | ||
| Matthew Paul Schaefer | Registered representative | Aug 2021 (5y) | ||
| Taylor L Banks | Registered representative | Aug 2021 (5y) | ||
| Adam Miller | Registered representative | Aug 2021 (5y) | ||
| Christopher J. Gironda | Registered representative | CFA | Aug 2021 (5y) | |
| Colin Albert | Registered representative | Aug 2021 (5y) | ||
| Frank Garces | Registered representative | Aug 2021 (5y) | ||
| George Burns | Registered representative | Aug 2021 (5y) | ||
| Karishma Alka Shah | Registered representative | Aug 2021 (5y) | ||
| Sarah Daya | Registered representative | Aug 2021 (5y) | ||
| Stephen J Theunissen | Registered representative | Aug 2021 (5y) | ||
| Zachary S. Williams | Registered representative | Aug 2021 (5y) | ||
| Christine Marie Helsel | Registered representative | Aug 2021 (5y) | ||
| Jonathan M. Galarza | Registered representative | Aug 2021 (5y) | ||
| Mitchell Lemmo | Registered representative | Aug 2021 (5y) | ||
| William Daniel Bradley | Registered representative | Aug 2021 (5y) | ||
| Ashok R. Subramanian | Registered representative | Aug 2021 (5y) | ||
| Josef Bezdek | Registered representative | Aug 2021 (5y) | ||
| Daniel Oppenheim | Registered representative | Aug 2021 (5y) | ||
| Jade C. Labak | Registered representative | Aug 2021 (5y) | ||
| John Thomas Norton | Registered representative | Aug 2021 (5y) | ||
| Nicholas A. Cannone | Registered representative | Aug 2021 (5y) | ||
| Anna Sernka | Registered representative | Aug 2021 (5y) | ||
| Brandon E. Stephenson | Registered representative | Aug 2021 (5y) | ||
| Elsa Jaysing | Registered representative | Aug 2021 (5y) | ||
| Dominic Andrew Wermuth | Registered representative | Aug 2021 (5y) | ||
| Ryan J. Giacomarro | Registered representative | CFP | Aug 2021 (5y) | |
| Ermelinta Capozzi | Registered representative | Aug 2021 (5y) | ||
| Eric Bailey | Registered representative | Aug 2021 (5y) | ||
| Shelby Odle | Registered representative | Aug 2021 (5y) | ||
| Jared Wade Kuykendall | Registered representative | Aug 2021 (5y) | ||
| Victor Sambuis | Registered representative | Aug 2021 (5y) | ||
| John Anthony Russo | Registered representative | Aug 2021 (5y) | ||
| Timothy D Street | Registered representative | Aug 2021 (5y) | ||
| Wendi Ann Francis | Registered representative | Aug 2021 (5y) | ||
| Colin F. O'donnell | Registered representative | Sep 2021 (5y) | ||
| Francisco Gorrin Gorrin Boccardo | Registered representative | Sep 2021 (5y) | ||
| Savannah Groos | Registered representative | Sep 2021 (5y) | ||
| Vivek Mahajan | Registered representative | Sep 2021 (5y) | ||
| John Kevin Smyth | Registered representative | Sep 2021 (5y) | ||
| Aidan Menell | Registered representative | Sep 2021 (5y) | ||
| Emily Anne Margolis | Registered representative | Sep 2021 (5y) | ||
| Jacqueline Lee Hettesheimer | Registered representative | Sep 2021 (5y) | ||
| Joseph John Nader | Registered representative | Sep 2021 (5y) | ||
| Lana Awadallah | Registered representative | Sep 2021 (5y) | ||
| Andrew Jared Morris | Registered representative | Sep 2021 (5y) | ||
| Yan Xiong | Registered representative | Sep 2021 (5y) | ||
| Alberto Nunez | Registered representative | Sep 2021 (5y) | ||
| Gina Maria Bosetti | Registered representative | Sep 2021 (5y) | ||
| Lisa K Granberg | Registered representative | Sep 2021 (5y) | ||
| Christian Coppola | Registered representative | Sep 2021 (5y) | ||
| Helen Mah | Registered representative | Sep 2021 (5y) | ||
| Roberto Martinez | Registered representative | Sep 2021 (5y) | ||
| Trung Nhu Le | Registered representative | Sep 2021 (5y) | ||
| Xavier Christian Sanchez | Registered representative | Sep 2021 (5y) | ||
| Andrew James Nelson | Registered representative | Sep 2021 (5y) | ||
| Charbel Abi Hassoun | Registered representative | Sep 2021 (5y) | ||
| Corbin Tips | Registered representative | Sep 2021 (5y) | ||
| Corinne B Kurtz | Registered representative | Sep 2021 (5y) | ||
| Jonathan R Townley | Registered representative | Sep 2021 (5y) | ||
| Melissa Ann De La Pena | Registered representative | Sep 2021 (5y) | ||
| Michelle R. Jersey | Registered representative | Sep 2021 (5y) | ||
| Parker Bjorlin | Registered representative | Sep 2021 (5y) | ||
| Ryan Dix | Registered representative | Sep 2021 (5y) | ||
| Ching Yu Lam | Registered representative | Sep 2021 (5y) | ||
| Lydia Lam | Registered representative | Sep 2021 (5y) | ||
| Prescott Lewis Padgett | Registered representative | CFP | Sep 2021 (5y) | |
| Emma Delaney Alexander | Registered representative | Sep 2021 (5y) | ||
| Joel Yun | Registered representative | Sep 2021 (5y) | ||
| Forrest Gregg Beilby | Registered representative | Sep 2021 (5y) | ||
| Javier Rojo | Registered representative | Sep 2021 (5y) | ||
| Randall Ng | Registered representative | Sep 2021 (5y) | ||
| Sean Burke | Registered representative | Sep 2021 (5y) | ||
| Joseph Dursi | Registered representative | Sep 2021 (5y) | ||
| Kali Franco | Registered representative | Sep 2021 (5y) | ||
| Stephen Beaton | Registered representative | Sep 2021 (5y) | ||
| Chloe S Gandal | Registered representative | Sep 2021 (5y) | ||
| Jason D. Oliver | Registered representative | Sep 2021 (5y) | ||
| Kendra A. Piazza | Registered representative | Sep 2021 (5y) | ||
| Tamara Day Anton | Registered representative | Sep 2021 (5y) | ||
| Manolo Baca | Registered representative | Sep 2021 (5y) | ||
| Peiji Liang | Registered representative | Sep 2021 (5y) | ||
| Toby Tawfik Alattar | Registered representative | Sep 2021 (5y) | ||
| Taylor Gingie Bessent | Registered representative | Sep 2021 (5y) | ||
| William Russell Gudorf | Registered representative | Sep 2021 (5y) | ||
| Juan Pablo Arias Bello | Registered representative | Sep 2021 (5y) | ||
| Kerwin Michael Kelley | Registered representative | Sep 2021 (5y) | ||
| Leroy Dwayne Chambers | Registered representative | Sep 2021 (5y) | ||
| Raymond Hayes | Registered representative | Sep 2021 (5y) | ||
| Russell Moran | Registered representative | Sep 2021 (5y) | ||
| Brent W. Railey | Registered representative | Sep 2021 (5y) | ||
| Jonry Ji | Registered representative | Sep 2021 (5y) | ||
| James Andrew Reeves | Registered representative | CFP | Sep 2021 (5y) | |
| Joe Carter | Registered representative | Sep 2021 (5y) | ||
| Kathrine Bishop | Registered representative | Sep 2021 (5y) | ||
| Kyle Horst | Registered representative | Sep 2021 (5y) | ||
| Scott Francis Ricca | Registered representative | Sep 2021 (5y) | ||
| Shelbi Cleaver | Registered representative | Sep 2021 (5y) | ||
| Lucas Panagiotis Giokas | Registered representative | Sep 2021 (5y) | ||
| Whitney Frances Burke | Registered representative | Sep 2021 (5y) | ||
| Alec Carroll | Registered representative | Sep 2021 (5y) | ||
| Christopher Russell Perkins | Registered representative | Sep 2021 (5y) | ||
| James J Karnik | Registered representative | Sep 2021 (5y) | ||
| Trevor Cole Johnson | Registered representative | Sep 2021 (5y) | ||
| Adam Shilkoski | Registered representative | Oct 2021 (5y) | ||
| Jamal Nia | Registered representative | Oct 2021 (5y) | ||
| Julia Episcopio | Registered representative | Oct 2021 (5y) | ||
| Oscar G. Rodriguez | Registered representative | Oct 2021 (5y) | ||
| Wyatt Sullivan Rodger | Registered representative | Oct 2021 (5y) | ||
| James Oddo | Registered representative | Oct 2021 (5y) | ||
| Jessica Flores | Registered representative | Oct 2021 (5y) | ||
| Kevin S. Clark | Registered representative | Oct 2021 (5y) | ||
| Lauren Elizabeth Barbieri | Registered representative | Oct 2021 (5y) | ||
| Marisa Alison Thibault | Registered representative | Oct 2021 (5y) | ||
| Maria Rivero Clarke | Registered representative | Oct 2021 (5y) | ||
| Sylvia Fernanda Schwartz | Registered representative | Oct 2021 (5y) | ||
| Andrew L. Croop | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Jason Alessi | Registered representative | Oct 2021 (5y) | ||
| Miguel Jimenez | Registered representative | Oct 2021 (5y) | ||
| Sandra P. Gonzalez Del Campo | Registered representative | Oct 2021 (5y) | ||
| Devin Garrett Robinson | Registered representative | Oct 2021 (5y) | ||
| Gamal Aburdene Marcos | Registered representative | Oct 2021 (5y) | ||
| Andrew D. Conley | Registered representative | CFP | Oct 2021 (5y) | |
| Felix Yan | Registered representative | Oct 2021 (5y) | ||
| Joseph Eugene Donnelly | Registered representative | Oct 2021 (5y) | ||
| Muhammad Salahuddin Khan | Registered representative | Oct 2021 (5y) | ||
| Marco Pena | Registered representative | Oct 2021 (5y) | ||
| Sean Donnelly | Registered representative | Oct 2021 (5y) | ||
| David Hubbs | Registered representative | Oct 2021 (5y) | ||
| Eduardo Villagrana | Registered representative | Oct 2021 (5y) | ||
| Gail M Grove | Registered representative | Oct 2021 (5y) | ||
| Mary Frances Cargile | Registered representative | Oct 2021 (5y) | ||
| Maybol Pagan | Registered representative | Oct 2021 (5y) | ||
| Tracy Hindman | Registered representative | CFP | Oct 2021 (5y) | |
| Youssef Lahlou | Registered representative | Oct 2021 (5y) | ||
| Brian Thomas Fraser | Registered representative | Oct 2021 (5y) | ||
| Braydon Dustin Bergeron | Registered representative | Oct 2021 (5y) | ||
| Charlotte Duncan | Registered representative | Oct 2021 (5y) | ||
| Chris Chris Toomey | Registered representative | Oct 2021 (5y) | ||
| Danny Chen | Registered representative | Oct 2021 (5y) | ||
| Eddie Lozano Rivera | Registered representative | Oct 2021 (5y) | ||
| Jeffrey Angel Gonzalez | Registered representative | Oct 2021 (5y) | ||
| Meenal Sharma | Registered representative | Oct 2021 (5y) | ||
| Nicholas Marshall Scott | Registered representative | Oct 2021 (5y) | ||
| Qifei Qi | Registered representative | Oct 2021 (5y) | ||
| Ryan Christopher Martinez | Registered representative | Oct 2021 (5y) | ||
| Ricardo Olvera | Registered representative | Oct 2021 (5y) | ||
| Salvador Jimenez | Registered representative | Oct 2021 (5y) | ||
| Sergio Garcia | Registered representative | Oct 2021 (5y) | ||
| Vivian Maass | Registered representative | Oct 2021 (5y) | ||
| Bradley Kyle Cole | Registered representative | Oct 2021 (5y) | ||
| Helen Sengor | Registered representative | Oct 2021 (5y) | ||
| Isabel R Beltran | Registered representative | Oct 2021 (5y) | ||
| John Grant Griffith | Registered representative | Oct 2021 (5y) | ||
| Kenneth Lopian | Registered representative | Oct 2021 (5y) | ||
| Raul Rafael Moreno | Registered representative | Oct 2021 (5y) | ||
| James A Velasquez | Registered representative | Oct 2021 (5y) | ||
| Jinjin Zhang | Registered representative | Oct 2021 (5y) | ||
| Eric Morel | Registered representative | Oct 2021 (5y) | ||
| Damon Christopher Missouri | Registered representative | Oct 2021 (5y) | ||
| Dena Lewis | Registered representative | Oct 2021 (5y) | ||
| Jennifer Cochran | Registered representative | Oct 2021 (5y) | ||
| Joseph S. Dailey | Registered representative | Oct 2021 (5y) | ||
| Luis Felipe Mejia | Registered representative | Oct 2021 (5y) | ||
| Marielle Stern | Registered representative | CFP | Oct 2021 (5y) | |
| Michael Bisso Slatten | Registered representative | Oct 2021 (5y) | ||
| Ryan Baumhoff | Registered representative | Oct 2021 (5y) | ||
| Tony Lan | Registered representative | Oct 2021 (5y) | ||
| Andrei Michael George Saunders | Registered representative | Oct 2021 (5y) | ||
| Carly Jenkins | Registered representative | Oct 2021 (5y) | ||
| Diane M Basgall | Registered representative | Oct 2021 (5y) | ||
| Eduardo Encinosa | Registered representative | Oct 2021 (5y) | ||
| James Rosato | Registered representative | Oct 2021 (5y) | ||
| John Patrick Napoli | Registered representative | Oct 2021 (5y) | ||
| Jose Leyva | Registered representative | Oct 2021 (5y) | ||
| Victoria Ridberg | Registered representative | Oct 2021 (5y) | ||
| Vivian Lee | Registered representative | Oct 2021 (5y) | ||
| Alondra Harvey | Registered representative | Oct 2021 (5y) | ||
| Christopher R. Holness | Registered representative | Oct 2021 (5y) | ||
| Leah Nicole Reno | Registered representative | Oct 2021 (5y) | ||
| Miguel A Cardenas | Registered representative | Oct 2021 (5y) | ||
| Tahir Salman Khursheed | Registered representative | Oct 2021 (5y) | ||
| William Merrill Fay | Registered representative | Oct 2021 (5y) | ||
| Eugina Rodriguez | Registered representative | Oct 2021 (5y) | ||
| Kai Chen | Registered representative | Oct 2021 (5y) | ||
| Scott Henry Levinson | Registered representative | Oct 2021 (5y) | ||
| Brooke Doherty Horgan | Registered representative | Oct 2021 (5y) | ||
| John Carley | Registered representative | Oct 2021 (5y) | ||
| Alissa Cipriano | Registered representative | Oct 2021 (5y) | ||
| Anthony M Domenella | Registered representative | Oct 2021 (5y) | ||
| Kyle J. Coughlin | Registered representative | Oct 2021 (5y) | ||
| Megan Elizabeth Danko | Registered representative | Oct 2021 (5y) | ||
| Sean Harlan | Registered representative | Oct 2021 (5y) | ||
| Stephen Mc Carthy | Registered representative | Oct 2021 (5y) | ||
| Tom Egan | Registered representative | Oct 2021 (5y) | ||
| Bryan Hanson | Registered representative | CFP | Oct 2021 (5y) | |
| Ella Cooper | Registered representative | Oct 2021 (5y) | ||
| Jacqueline Collins | Registered representative | Oct 2021 (5y) | ||
| Cory Dickison | Registered representative | Oct 2021 (5y) | ||
| Oluwole Adeyemi | Registered representative | Oct 2021 (5y) | ||
| Roberto Joseph Lo Cascio | Registered representative | Oct 2021 (5y) | ||
| Brett Michaels | Registered representative | Oct 2021 (5y) | ||
| Matthew Joseph Corbi | Registered representative | Oct 2021 (5y) | ||
| Tara Elizabeth Abrams | Registered representative | Oct 2021 (5y) | ||
| Thomas Joseph Boland | Registered representative | Oct 2021 (5y) | ||
| Diana M Marquez | Registered representative | Nov 2021 (5y) | ||
| Shamiza Ally Bansie | Registered representative | Nov 2021 (5y) | ||
| Drew M. Schmitz | Registered representative | Nov 2021 (5y) | ||
| Elizabeth Jordan Hopkins | Registered representative | Nov 2021 (5y) | ||
| Jacques Shepherd | Registered representative | Nov 2021 (5y) | ||
| Nathaniel La Goy | Registered representative | Nov 2021 (5y) | ||
| Adam Christian Hunter | Registered representative | Nov 2021 (5y) | ||
| Aleksandra Karac | Registered representative | Nov 2021 (5y) | ||
| Daniel R. Driscoll | Registered representative | Nov 2021 (5y) | ||
| Marc James Ng | Registered representative | Nov 2021 (5y) | ||
| Sibyl Winston Price | Registered representative | Nov 2021 (5y) | ||
| Sean Mc Dermott | Registered representative | Nov 2021 (5y) | ||
| Joseph John Vanderdonck | Registered representative | Nov 2021 (5y) | ||
| Michael William Rovens | Registered representative | Nov 2021 (5y) | ||
| Tracy A. Pulvers | Registered representative | Nov 2021 (5y) | ||
| Chetan Patel | Registered representative | Nov 2021 (5y) | ||
| John R. Piccard | Registered representative | Nov 2021 (5y) | ||
| Johnny C. Copeland | Registered representative | Nov 2021 (5y) | ||
| Mohamad Mawed | Registered representative | Nov 2021 (5y) | ||
| Sam Reece Hibbert | Registered representative | Nov 2021 (5y) | ||
| Andra Cristina Novacovici | Registered representative | Nov 2021 (5y) | ||
| Conrad Woo | Registered representative | Nov 2021 (5y) | ||
| Chase Anthony Markham | Registered representative | Nov 2021 (5y) | ||
| Kelsey Latour Bogle | Registered representative | Nov 2021 (5y) | ||
| Kimia Vassetizadeh | Registered representative | Nov 2021 (5y) | ||
| Nicole Avery | Registered representative | Nov 2021 (5y) | ||
| Sammi Zheng | Registered representative | Nov 2021 (5y) | ||
| Stefani M. Bywater | Registered representative | Nov 2021 (5y) | ||
| James Mathew Vinograd | Registered representative | Nov 2021 (5y) | ||
| Julian Duron | Registered representative | Nov 2021 (5y) | ||
| Michael D Williams | Registered representative | Nov 2021 (5y) | ||
| Phillip N Pinelli | Registered representative | Nov 2021 (5y) | ||
| Caroline Roulett Beltz | Registered representative | Nov 2021 (5y) | ||
| Sue K Jackson | Registered representative | Nov 2021 (5y) | ||
| Ti Lon Cho | Registered representative | Nov 2021 (5y) | ||
| Blessing Alfonzo Rodriguez | Registered representative | Nov 2021 (5y) | ||
| Joseph Anthony Mellusi | Registered representative | CFP | Nov 2021 (5y) | |
| James Jennings | Registered representative | Nov 2021 (5y) | ||
| Kevin Naquin | Registered representative | Nov 2021 (5y) | ||
| Owen James Fay | Registered representative | Nov 2021 (5y) | ||
| Rachel Gibson Kelland | Registered representative | Nov 2021 (5y) | ||
| Roxanne Carmen Rodriguez | Registered representative | Nov 2021 (5y) | ||
| Yumi Meng Summers | Registered representative | Nov 2021 (5y) | ||
| Yaron Warzman | Registered representative | Nov 2021 (5y) | ||
| Alex Rabell | Registered representative | Nov 2021 (5y) | ||
| Armana C. Milbry | Registered representative | Nov 2021 (5y) | ||
| Eiad Amjad Hasan | Registered representative | Nov 2021 (5y) | ||
| Michael Andrew Rogers | Registered representative | Nov 2021 (5y) | ||
| Matthew Sasonoff | Registered representative | Nov 2021 (5y) | ||
| Vadim Popov | Registered representative | Nov 2021 (5y) | ||
| Benjamin Max Genser | Registered representative | Nov 2021 (5y) | ||
| Caden Kelley | Registered representative | Nov 2021 (5y) | ||
| John Tiller Macintosh | Registered representative | Nov 2021 (5y) | ||
| Lauren M. Finikiotis | Registered representative | Nov 2021 (5y) | ||
| Rebeccah Paonita | Registered representative | Nov 2021 (5y) | ||
| Barrett E Renner | Registered representative | Nov 2021 (5y) | ||
| Charles Shaw Jer Hung | Registered representative | CFP | Nov 2021 (5y) | |
| Jennifer Di Candido | Registered representative | Nov 2021 (5y) | ||
| Michi Chin | Registered representative | Nov 2021 (5y) | ||
| Mathew Freeman | Registered representative | Nov 2021 (5y) | ||
| Peter Joseph Capotosto | Registered representative | Nov 2021 (5y) | ||
| Wendy Leung Venegas | Registered representative | Nov 2021 (5y) | ||
| Andrew Sanchez | Registered representative | Nov 2021 (5y) | ||
| Chengcheng Huang | Registered representative | Nov 2021 (5y) | ||
| David Cruz Castellanos | Registered representative | Nov 2021 (5y) | ||
| Joseph Bellavia | Registered representative | Nov 2021 (5y) | ||
| Trista Elise Monroe | Registered representative | Nov 2021 (5y) | ||
| Adriana C. Perez | Registered representative | Nov 2021 (5y) | ||
| Averell Ryan Walker | Registered representative | Nov 2021 (5y) | ||
| Brooke Holle | Registered representative | Nov 2021 (5y) | ||
| Dominique C. Valdez | Registered representative | Nov 2021 (5y) | ||
| Julian Nieto | Registered representative | Nov 2021 (5y) | ||
| Michael Curtis | Registered representative | CFP | Nov 2021 (5y) | |
| Naafe Hakeem | Registered representative | Nov 2021 (5y) | ||
| Timothy James Dugan | Registered representative | Nov 2021 (5y) | ||
| William H. Schenck | Registered representative | Nov 2021 (5y) | ||
| Eric A Hale | Registered representative | Nov 2021 (5y) | ||
| Jared Blair | Registered representative | Nov 2021 (5y) | ||
| Kelly J Smith | Registered representative | Nov 2021 (5y) | ||
| Lay Phang Cheong | Registered representative | Nov 2021 (5y) | ||
| Pablo Quesnel | Registered representative | Nov 2021 (5y) | ||
| Samuel Morris | Registered representative | Nov 2021 (5y) | ||
| Steven Mitcheltree | Registered representative | Nov 2021 (5y) | ||
| Brendy Kamba | Registered representative | Nov 2021 (5y) | ||
| Christian William Godard | Registered representative | Nov 2021 (5y) | ||
| Jonathon Nelson | Registered representative | Nov 2021 (5y) | ||
| Patrick Louis Sanders | Registered representative | Nov 2021 (5y) | ||
| Sheila Stephanie Gabrie Quinones | Registered representative | Nov 2021 (5y) | ||
| Jason D Howard | Registered representative | Nov 2021 (5y) | ||
| Mary Elizabeth Matl | Registered representative | Nov 2021 (5y) | ||
| Frederick Younger | Registered representative | Nov 2021 (5y) | ||
| Suhair Marji | Registered representative | Nov 2021 (5y) | ||
| Scott Bradley Corman | Registered representative | Dec 2021 (5y) | ||
| Tuyet Mai Hoang | Registered representative | CFP | Dec 2021 (5y) | |
| Agustin Marcos Silva | Registered representative | Dec 2021 (5y) | ||
| Christina Lovett | Registered representative | Dec 2021 (5y) | ||
| Mark Fowler | Registered representative | Dec 2021 (5y) | ||
| Michael D. Zick | Registered representative | CFP | Dec 2021 (5y) | |
| Jonathan Wilson | Registered representative | Dec 2021 (5y) | ||
| Alec M. Hemmelgarn | Registered representative | Dec 2021 (5y) | ||
| Alexandria R. Mc Kenna | Registered representative | Dec 2021 (5y) | ||
| Erin J. Connolly | Registered representative | Dec 2021 (5y) | ||
| Jeffrey Michael Jacobe | Registered representative | CFA | Dec 2021 (5y) | |
| Kathryn Elizabeth Brahler | Registered representative | Dec 2021 (5y) | ||
| Karen E. Stewart | Registered representative | Dec 2021 (5y) | ||
| Noah Braydon Karras | Registered representative | Dec 2021 (5y) | ||
| Caitlin Hubbell | Registered representative | Dec 2021 (5y) | ||
| Michael Lester Armour | Registered representative | Dec 2021 (5y) | ||
| Ben Kim | Registered representative | Dec 2021 (5y) | ||
| Bhavesh Gondha | Registered representative | Dec 2021 (5y) | ||
| Daniel Oropeza | Registered representative | Dec 2021 (5y) | ||
| Emory Jackson | Registered representative | Dec 2021 (5y) | ||
| Iviz I Loucks | Registered representative | Dec 2021 (5y) | ||
| John Kirk Helm | Registered representative | Dec 2021 (5y) | ||
| Robyn Owens | Registered representative | Dec 2021 (5y) | ||
| Sarah H Jun | Registered representative | Dec 2021 (5y) | ||
| Tal Feldman | Registered representative | Dec 2021 (5y) | ||
| Westley D Wilson | Registered representative | Dec 2021 (5y) | ||
| Byron Ramirez | Registered representative | Dec 2021 (5y) | ||
| Cameo Rene Price | Registered representative | Dec 2021 (5y) | ||
| Carlos Enrique Lazo | Registered representative | Dec 2021 (5y) | ||
| Fatima I. Leon | Registered representative | Dec 2021 (5y) | ||
| Bridget Lillis | Registered representative | Dec 2021 (5y) | ||
| Austin Frederick Zaunbrecher | Registered representative | CFA | Dec 2021 (5y) | |
| Bryan J. Loew | Registered representative | CFP | Dec 2021 (5y) | |
| Douglas Pagan | Registered representative | Dec 2021 (5y) | ||
| Joseph Filippetti | Registered representative | Dec 2021 (5y) | ||
| Michael Mackenzie Archiable | Registered representative | Dec 2021 (5y) | ||
| Stanley Crawford | Registered representative | Dec 2021 (5y) | ||
| Taras Jeffrey Polakoff | Registered representative | Dec 2021 (5y) | ||
| Gino Edward Musarra | Registered representative | Dec 2021 (5y) | ||
| Hamza Hamid | Registered representative | Dec 2021 (5y) | ||
| Robert A. Tancredi | Registered representative | Dec 2021 (5y) | ||
| Jack Lawrence Blum | Registered representative | Dec 2021 (5y) | ||
| Peter Michael Gould | Registered representative | Dec 2021 (5y) | ||
| Amani Cohen Barnes | Registered representative | Dec 2021 (5y) | ||
| Ashley Elizabeth Belcher | Registered representative | Dec 2021 (5y) | ||
| Justin James Thomas | Registered representative | Dec 2021 (5y) | ||
| Joshua Goldman | Registered representative | Dec 2021 (5y) | ||
| Kristina L Ivey | Registered representative | Dec 2021 (5y) | ||
| Kayla Nicole Hinkle | Registered representative | Dec 2021 (5y) | ||
| Sapan B Shah | Registered representative | Dec 2021 (5y) | ||
| Wayne Evans | Registered representative | Dec 2021 (5y) | ||
| Alexander P Adams | Registered representative | Dec 2021 (5y) | ||
| John Feminella | Registered representative | Dec 2021 (5y) | ||
| Kenneth Frederick Morgan | Registered representative | Dec 2021 (5y) | ||
| Lan Jones | Registered representative | Dec 2021 (5y) | ||
| Brenna Piper | Registered representative | Dec 2021 (5y) | ||
| Raul Valencia | Registered representative | CFP | Dec 2021 (5y) | |
| Amanda Elyse Newman | Registered representative | Dec 2021 (5y) | ||
| Cesarina Burgos | Registered representative | Dec 2021 (5y) | ||
| David E Woods | Registered representative | Dec 2021 (5y) | ||
| Ellen Glenn Honeycutt | Registered representative | Dec 2021 (5y) | ||
| Joshua Leslie Leonard | Registered representative | Dec 2021 (5y) | ||
| George Constantine Mcfarlane | Registered representative | Jan 2022 (5y) | ||
| Mia Hyatt | Registered representative | CFP | Jan 2022 (5y) | |
| Nathaniel E. Gladish | Registered representative | Jan 2022 (5y) | ||
| Nicole Marie Gibson | Registered representative | Jan 2022 (5y) | ||
| Briana Mc Dougall | Registered representative | Jan 2022 (5y) | ||
| Michael Brennan Leahy | Registered representative | Jan 2022 (5y) | ||
| Sean Cowan | Registered representative | Jan 2022 (5y) | ||
| Taylor Michael Frias | Registered representative | Jan 2022 (5y) | ||
| Jarred Okane | Registered representative | Jan 2022 (5y) | ||
| Maria Elisa Leon Valero | Registered representative | Jan 2022 (5y) | ||
| Michael William Rondon | Registered representative | Jan 2022 (5y) | ||
| Christine Potterton | Registered representative | Jan 2022 (5y) | ||
| David J. Mc Keown | Registered representative | Jan 2022 (5y) | ||
| Amanda Scheidt | Registered representative | Jan 2022 (5y) | ||
| Fiona Chi Kate Lam | Registered representative | Jan 2022 (5y) | ||
| Jonah Reeman | Registered representative | Jan 2022 (5y) | ||
| Marlon C Sobalvarro | Registered representative | Jan 2022 (5y) | ||
| Taylor Lynch | Registered representative | Jan 2022 (5y) | ||
| Amelia Christina J Wolfe | Registered representative | Jan 2022 (5y) | ||
| Christopher Richards Sabella | Registered representative | Jan 2022 (5y) | ||
| Eric Dow Etshman | Registered representative | Jan 2022 (5y) | ||
| Jennifer Brooke Guthrie | Registered representative | Jan 2022 (5y) | ||
| Jacklyn S. Rider | Registered representative | Jan 2022 (5y) | ||
| Joshua E Kramer | Registered representative | Jan 2022 (5y) | ||
| Kevin Dean Morrison | Registered representative | CFA | Jan 2022 (5y) | |
| Kenneth Simon | Registered representative | Jan 2022 (5y) | ||
| Michele Fine | Registered representative | Jan 2022 (5y) | ||
| Matthew Gaeta | Registered representative | Jan 2022 (5y) | ||
| Peter S. Genersich | Registered representative | Jan 2022 (5y) | ||
| Ross Joseph Marchitto | Registered representative | Jan 2022 (5y) | ||
| Ryan Casey Donohue | Registered representative | Jan 2022 (5y) | ||
| Alberto Leyba | Registered representative | Jan 2022 (5y) | ||
| Constanze Schafstall | Registered representative | Jan 2022 (5y) | ||
| Hao Wu | Registered representative | Jan 2022 (5y) | ||
| Sofia Virginia Abreu Braca | Registered representative | Jan 2022 (5y) | ||
| Shannon Marie Mulhern | Registered representative | Jan 2022 (5y) | ||
| Edgardo Borelly | Registered representative | Jan 2022 (5y) | ||
| Maria Teresa De Benavides Parra | Registered representative | Jan 2022 (5y) | ||
| Sara Renee Steigerwald | Registered representative | Jan 2022 (5y) | ||
| Owen Denicenco | Registered representative | Jan 2022 (5y) | ||
| Jely Lorenzo | Registered representative | Jan 2022 (5y) | ||
| Gerardo Armando Pasquel Beristain | Registered representative | Jan 2022 (5y) | ||
| Jillian Czaplinski | Registered representative | Jan 2022 (5y) | ||
| John M. Bator | Registered representative | Jan 2022 (5y) | ||
| Manuel Alfredo Bernardez | Registered representative | CFP | Jan 2022 (5y) | |
| Michael Revilla | Registered representative | Jan 2022 (5y) | ||
| Peter Mc Gowen Swindell | Registered representative | Jan 2022 (5y) | ||
| Gabriel Mccloskey | Registered representative | Jan 2022 (5y) | ||
| Graham W. Garrison | Registered representative | Jan 2022 (5y) | ||
| Ivan Flores | Registered representative | Jan 2022 (5y) | ||
| Jose Alexis Olivares Nevarez | Registered representative | Jan 2022 (5y) | ||
| Kaitlin Emma Ryan | Registered representative | Jan 2022 (5y) | ||
| Nicholas Rafat Alafranji | Registered representative | Jan 2022 (5y) | ||
| Adeel Ganju | Registered representative | Jan 2022 (5y) | ||
| Krista Scott | Registered representative | Jan 2022 (5y) | ||
| Mark Xing | Registered representative | Jan 2022 (5y) | ||
| Sean Mc Googan Murphy | Registered representative | Jan 2022 (5y) | ||
| Claudia Christine Herrick | Registered representative | Jan 2022 (5y) | ||
| John M Welsh | Registered representative | Jan 2022 (5y) | ||
| Kevin O'neill | Registered representative | Jan 2022 (5y) | ||
| Sarah Elizabeth Bower | Registered representative | Jan 2022 (5y) | ||
| Wayne L Mahan | Registered representative | Jan 2022 (5y) | ||
| Hir Patel | Registered representative | Jan 2022 (5y) | ||
| Blaine Hunkins | Registered representative | Jan 2022 (5y) | ||
| Robert James Visconti | Registered representative | Jan 2022 (5y) | ||
| Robert Lee Valencia | Registered representative | Jan 2022 (5y) | ||
| Stanley Michael David Banas | Registered representative | Jan 2022 (5y) | ||
| Valerie A. Vannelli | Registered representative | Jan 2022 (5y) | ||
| Amara Holbrook Ferguson | Registered representative | Jan 2022 (5y) | ||
| Brennan L. Mc Daniel | Registered representative | Jan 2022 (5y) | ||
| David S. Paik | Registered representative | Jan 2022 (5y) | ||
| Elena Cristina Peterson | Registered representative | Jan 2022 (5y) | ||
| Elise Aaron Campe | Registered representative | Jan 2022 (5y) | ||
| Haley Suzanne Shepard Johnson | Registered representative | Jan 2022 (5y) | ||
| Jessica Lee Ferares | Registered representative | Jan 2022 (5y) | ||
| Kevin Robert Stamm | Registered representative | Jan 2022 (5y) | ||
| Laura B. Hoffman | Registered representative | CFP | Jan 2022 (5y) | |
| Mario Velarde | Registered representative | Jan 2022 (5y) | ||
| Mark Allen Hetzer | Registered representative | Jan 2022 (5y) | ||
| Matthew Biedron | Registered representative | CFP | Jan 2022 (5y) | |
| Matthew Casey | Registered representative | Jan 2022 (5y) | ||
| Michael J Sonday | Registered representative | Jan 2022 (5y) | ||
| Nicholas Giacinto Faiola | Registered representative | Jan 2022 (5y) | ||
| Ryan Smith | Registered representative | Jan 2022 (5y) | ||
| Christian Robert Craft | Registered representative | Jan 2022 (5y) | ||
| Jared Stewart Kirkpatrick | Registered representative | Jan 2022 (5y) | ||
| Josue E Gonzalez | Registered representative | Jan 2022 (5y) | ||
| Klodiana Sina Gjikondi | Registered representative | Jan 2022 (5y) | ||
| Matthew John Sullivan | Registered representative | Jan 2022 (5y) | ||
| Megan Nicole Kirk Vargo | Registered representative | Jan 2022 (5y) | ||
| Meggan Montoya | Registered representative | Jan 2022 (5y) | ||
| Sara Evans | Registered representative | Jan 2022 (5y) | ||
| Vicki Lynch | Registered representative | Jan 2022 (5y) | ||
| Andrew Wang | Registered representative | Jan 2022 (5y) | ||
| Edward W. Blazejewski | Registered representative | Jan 2022 (5y) | ||
| Jonathan Robert Stoller | Registered representative | Jan 2022 (5y) | ||
| Margaret Mary Petrillo | Registered representative | Jan 2022 (5y) | ||
| William Paul Protasiewicz | Registered representative | Jan 2022 (5y) | ||
| Andrew John Duffy | Registered representative | Jan 2022 (5y) | ||
| Charles Stuyvesant Coleman | Registered representative | Jan 2022 (5y) | ||
| Camden Sargent | Registered representative | Jan 2022 (5y) | ||
| Christopher Drew Stagg | Registered representative | Jan 2022 (5y) | ||
| Joseph James Woodward | Registered representative | Jan 2022 (5y) | ||
| Joseph Daniels | Registered representative | Jan 2022 (5y) | ||
| Nolan Prendergast | Registered representative | Jan 2022 (5y) | ||
| Owen Prendergast | Registered representative | Jan 2022 (5y) | ||
| Vishal Singh Sabharwal | Registered representative | Jan 2022 (5y) | ||
| Andrew Dustin Lewis | Registered representative | Feb 2022 (5y) | ||
| Mireya A Polanco | Registered representative | Feb 2022 (5y) | ||
| Taleh Aliyev | Registered representative | Feb 2022 (5y) | ||
| Eli J. Cohen | Registered representative | Feb 2022 (4y) | ||
| Elizabeth Ann Williams | Registered representative | Feb 2022 (4y) | ||
| Junior Mathieu | Registered representative | Feb 2022 (4y) | ||
| John Eichelberger | Registered representative | Feb 2022 (4y) | ||
| Kiley Cameron Baker | Registered representative | Feb 2022 (4y) | ||
| Kelly Keith | Registered representative | Feb 2022 (4y) | ||
| Michelle Wada | Registered representative | Feb 2022 (4y) | ||
| Mohammed Ashik | Registered representative | Feb 2022 (4y) | ||
| Matthew Aloysius Durnan | Registered representative | Feb 2022 (4y) | ||
| Mayur M Shah | Registered representative | Feb 2022 (4y) | ||
| Sammy Williams | Registered representative | Feb 2022 (4y) | ||
| Sunil S. Sankaramanchi | Registered representative | Feb 2022 (4y) | ||
| Gary Ost | Registered representative | Feb 2022 (4y) | ||
| Mackenley Louis | Registered representative | Feb 2022 (4y) | ||
| Matthew J. Sullivan | Registered representative | Feb 2022 (4y) | ||
| Saeger Cay Olsen | Registered representative | Feb 2022 (4y) | ||
| Amanda Lee Garcia | Registered representative | Feb 2022 (4y) | ||
| Brent James Wyble | Registered representative | Feb 2022 (4y) | ||
| Brian De La Torre | Registered representative | Feb 2022 (4y) | ||
| Henry Thanh Hong | Registered representative | Feb 2022 (4y) | ||
| Jeff R Miller | Registered representative | Feb 2022 (4y) | ||
| Mary Leigh Villegas | Registered representative | Feb 2022 (4y) | ||
| Nikolaos V. Doulas | Registered representative | Feb 2022 (4y) | ||
| Ramiro Daniel Dominguez | Registered representative | Feb 2022 (4y) | ||
| Elliot Glynn Janota | Registered representative | Feb 2022 (4y) | ||
| Lauren R. De Vries Shields | Registered representative | Feb 2022 (4y) | ||
| Liam Dougherty | Registered representative | Feb 2022 (4y) | ||
| Quinton Wong | Registered representative | Feb 2022 (4y) | ||
| Sana Seth | Registered representative | CFP | Feb 2022 (4y) | |
| Karla Hopper | Registered representative | Feb 2022 (4y) | ||
| Ellen M Houston | Registered representative | Feb 2022 (4y) | ||
| Heather Marie Steiniger | Registered representative | Feb 2022 (4y) | ||
| Jason Hollander | Registered representative | Feb 2022 (4y) | ||
| Barry Tague | Registered representative | CFA | Feb 2022 (4y) | |
| Divam Giri | Registered representative | Feb 2022 (4y) | ||
| Eric Hansen | Registered representative | Feb 2022 (4y) | ||
| Jacob Wakoff | Registered representative | Feb 2022 (4y) | ||
| Samuel Patrick Hyatt | Registered representative | Feb 2022 (4y) | ||
| Thomas David Teel | Registered representative | Feb 2022 (4y) | ||
| Gregory A. Crane | Registered representative | Feb 2022 (4y) | ||
| Juana Yanyll Sanchez | Registered representative | Feb 2022 (4y) | ||
| Nicholas Adrien Barbey | Registered representative | Feb 2022 (4y) | ||
| Sush Bharani | Registered representative | Feb 2022 (4y) | ||
| Edward K. Douglass | Registered representative | Feb 2022 (4y) | ||
| Nicholas C. Byrnes | Registered representative | Feb 2022 (4y) | ||
| Tyler Peterson | Registered representative | Feb 2022 (4y) | ||
| Taesha Mc Tear Hargrove | Registered representative | Feb 2022 (4y) | ||
| Yuki Xiaojun Zeng | Registered representative | Feb 2022 (4y) | ||
| Aaron Black | Registered representative | Feb 2022 (4y) | ||
| Federico A Rodriguez | Registered representative | Feb 2022 (4y) | ||
| Frank Tiberia | Registered representative | Feb 2022 (4y) | ||
| Jean Luis Chong Chung | Registered representative | Feb 2022 (4y) | ||
| Brian Matthew Saltzberg | Registered representative | Feb 2022 (4y) | ||
| Bren Grand Pre | Registered representative | Feb 2022 (4y) | ||
| Christian Alexander Stevens | Registered representative | Feb 2022 (4y) | ||
| Claire B. Meyer | Registered representative | CFP | Feb 2022 (4y) | |
| Richard Adam Springer | Registered representative | Feb 2022 (4y) | ||
| Damon M De Dario | Registered representative | Feb 2022 (4y) | ||
| Jignesh Dilip Chande | Registered representative | Feb 2022 (4y) | ||
| Jeffrey Landry | Registered representative | Feb 2022 (4y) | ||
| Michael Mrlik | Registered representative | CFP | Feb 2022 (4y) | |
| Travis L. Dock | Registered representative | Feb 2022 (4y) | ||
| Maxwell James Buckley | Registered representative | Feb 2022 (4y) | ||
| Pablo Luchau | Registered representative | Feb 2022 (4y) | ||
| Alfredo Ivan Morales | Registered representative | Feb 2022 (4y) | ||
| Jedidiah Adarquah Yiadom | Registered representative | Feb 2022 (4y) | ||
| Katherine Elizabeth Pope Rodriguez | Registered representative | Feb 2022 (4y) | ||
| Kelsey Heimbigner | Registered representative | Feb 2022 (4y) | ||
| Logan Baldwin Blue | Registered representative | Feb 2022 (4y) | ||
| Luis Gil | Registered representative | Feb 2022 (4y) | ||
| Matthew Wade Hankey | Registered representative | Feb 2022 (4y) | ||
| Claudia Nilda Mullin | Registered representative | Feb 2022 (4y) | ||
| John Teutschman | Registered representative | Feb 2022 (4y) | ||
| Matthew Simon Petersen | Registered representative | Feb 2022 (4y) | ||
| Myles A. Shapiro | Registered representative | Feb 2022 (4y) | ||
| Sergio Daniel Salinas | Registered representative | Feb 2022 (4y) | ||
| Brendan M. Leary | Registered representative | Feb 2022 (4y) | ||
| Frank Schiro | Registered representative | Feb 2022 (4y) | ||
| Joshua Thayer Parker | Registered representative | Feb 2022 (4y) | ||
| Nicholas P Di Santo | Registered representative | Feb 2022 (4y) | ||
| Peter Fine | Registered representative | Feb 2022 (4y) | ||
| Tom Wallack | Registered representative | Feb 2022 (4y) | ||
| Zandra Jean Weiss | Registered representative | Feb 2022 (4y) | ||
| Lee Perry Ward | Registered representative | Feb 2022 (4y) | ||
| Brandon Findel | Registered representative | Feb 2022 (4y) | ||
| Doohee Lee | Registered representative | Feb 2022 (4y) | ||
| Ra Shad J Adkison | Registered representative | Feb 2022 (4y) | ||
| Ritesh Khanna | Registered representative | Feb 2022 (4y) | ||
| Wenxuan Zhou | Registered representative | Feb 2022 (4y) | ||
| Christian Merlano | Registered representative | Mar 2022 (4y) | ||
| Jiacheng Sun | Registered representative | Mar 2022 (4y) | ||
| James Harrison Pappas | Registered representative | Mar 2022 (4y) | ||
| Kenneth Robert Surick | Registered representative | Mar 2022 (4y) | ||
| Margaret Guido | Registered representative | Mar 2022 (4y) | ||
| Zachary Cannon Allen | Registered representative | Mar 2022 (4y) | ||
| Joshua Brutcher | Registered representative | Mar 2022 (4y) | ||
| Timothy Marsh | Registered representative | Mar 2022 (4y) | ||
| Austin K Huntsman | Registered representative | Mar 2022 (4y) | ||
| Erick Koparan Roche | Registered representative | Mar 2022 (4y) | ||
| Jay Koh | Registered representative | Mar 2022 (4y) | ||
| Logan C. Parsons | Registered representative | Mar 2022 (4y) | ||
| Mollie Colavita | Registered representative | Mar 2022 (4y) | ||
| Parker E. Young | Registered representative | Mar 2022 (4y) | ||
| Samuel White | Registered representative | Mar 2022 (4y) | ||
| Tod M. Cattani | Registered representative | Mar 2022 (4y) | ||
| Edmer Uriel Herrera Hernandez | Registered representative | Mar 2022 (4y) | ||
| Jie Liu | Registered representative | Mar 2022 (4y) | ||
| Olga M. Solis | Registered representative | Mar 2022 (4y) | ||
| Thomas J Forde | Registered representative | Mar 2022 (4y) | ||
| Colter Randle Wilcock | Registered representative | Mar 2022 (4y) | ||
| Christopher Edward Curry | Registered representative | Mar 2022 (4y) | ||
| Sam Young Moody | Registered representative | Mar 2022 (4y) | ||
| Anthony Jared Bianco | Registered representative | Mar 2022 (4y) | ||
| Brian D Flood | Registered representative | Mar 2022 (4y) | ||
| Christopher J. Arditi | Registered representative | Mar 2022 (4y) | ||
| Connor Bowman Jabs | Registered representative | Mar 2022 (4y) | ||
| Brandon A Heroux | Registered representative | Mar 2022 (4y) | ||
| Cosmin Cotet | Registered representative | Mar 2022 (4y) | ||
| Daniel Murcott | Registered representative | Mar 2022 (4y) | ||
| Tze Ee Hng | Registered representative | Mar 2022 (4y) | ||
| Mariya Abou Absi | Registered representative | Mar 2022 (4y) | ||
| Shiela Ann Imperial | Registered representative | Mar 2022 (4y) | ||
| Trevor Val Pitzak | Registered representative | Mar 2022 (4y) | ||
| Irene Cruz | Registered representative | Mar 2022 (4y) | ||
| James Thomas Mackay | Registered representative | Mar 2022 (4y) | ||
| James C. Biasucci | Registered representative | Mar 2022 (4y) | ||
| Jennifer Lyons | Registered representative | Mar 2022 (4y) | ||
| Michael Andrew Cichowski | Registered representative | Mar 2022 (4y) | ||
| Garyfalia Kastanis | Registered representative | Mar 2022 (4y) | ||
| Arnie Gonzalez | Registered representative | Mar 2022 (4y) | ||
| Andre Jude Bakhos | Registered representative | Mar 2022 (4y) | ||
| Christine Vergari | Registered representative | Mar 2022 (4y) | ||
| Lyubov Rozman | Registered representative | Mar 2022 (4y) | ||
| Matthew David Gureghian | Registered representative | Mar 2022 (4y) | ||
| Misael Alexander Molina | Registered representative | Mar 2022 (4y) | ||
| Nayeli Delia Gomez | Registered representative | Mar 2022 (4y) | ||
| Benjamin Cross | Registered representative | Mar 2022 (4y) | ||
| John Harrington Mulvey | Registered representative | Mar 2022 (4y) | ||
| Mathew Garcia | Registered representative | Mar 2022 (4y) | ||
| Richard L. Hughes | Registered representative | Mar 2022 (4y) | ||
| Timothy Eckerdt | Registered representative | Mar 2022 (4y) | ||
| Aleksandr Shterenberg | Registered representative | Mar 2022 (4y) | ||
| Daniel J. Freeman | Registered representative | Mar 2022 (4y) | ||
| David Nicholson | Registered representative | Mar 2022 (4y) | ||
| Jeremy Cox | Registered representative | Mar 2022 (4y) | ||
| Kelly L. Jakems | Registered representative | Mar 2022 (4y) | ||
| Vicky Wong | Registered representative | Mar 2022 (4y) | ||
| Bradley Allen Todd | Registered representative | Mar 2022 (4y) | ||
| Marcus Lucchese | Registered representative | Mar 2022 (4y) | ||
| Sydney Rae Affholder | Registered representative | Mar 2022 (4y) | ||
| Vincent Winder | Registered representative | Mar 2022 (4y) | ||
| Lisa E Waters | Registered representative | Mar 2022 (4y) | ||
| Aaron Kubicina | Registered representative | Mar 2022 (4y) | ||
| Autumn Gonzalez | Registered representative | Mar 2022 (4y) | ||
| Christopher John Baldi | Registered representative | Mar 2022 (4y) | ||
| Debbie Huang | Registered representative | Mar 2022 (4y) | ||
| Jorge Mayolo Orozco | Registered representative | Mar 2022 (4y) | ||
| Maxwell Hine | Registered representative | CFP | Mar 2022 (4y) | |
| Samantha Ann Zetouna | Registered representative | Mar 2022 (4y) | ||
| Katlin Cannon Sprague | Registered representative | Mar 2022 (4y) | ||
| Erin Marie Graham Child | Registered representative | Mar 2022 (4y) | ||
| Heather Lozano | Registered representative | Mar 2022 (4y) | ||
| Jiani Zhu | Registered representative | Mar 2022 (4y) | ||
| Robert R Phillips | Registered representative | Mar 2022 (4y) | ||
| Rong Chen | Registered representative | Mar 2022 (4y) | ||
| Runtian Jia | Registered representative | Mar 2022 (4y) | ||
| Xiang Li | Registered representative | Mar 2022 (4y) | ||
| Cameron Ryan Pait | Registered representative | Mar 2022 (4y) | ||
| Nahrain Yacoub | Registered representative | Mar 2022 (4y) | ||
| Timothy J. Greaves | Registered representative | CFP | Mar 2022 (4y) | |
| David L Levitt | Registered representative | Chartered Financial Consultant | Mar 2022 (4y) | |
| Eric J. Brandenberg | Registered representative | Mar 2022 (4y) | ||
| Georgeo Romero Frazer | Registered representative | Mar 2022 (4y) | ||
| Lauren A. Vogel | Registered representative | Mar 2022 (4y) | ||
| Perry Davis Gropper | Registered representative | Mar 2022 (4y) | ||
| Brian Logue | Registered representative | Mar 2022 (4y) | ||
| Ebby Kahen | Registered representative | Mar 2022 (4y) | ||
| Iker Alexander Pimienta | Registered representative | Mar 2022 (4y) | ||
| Kevin Castillo | Registered representative | Mar 2022 (4y) | ||
| Lydia Armelin | Registered representative | Mar 2022 (4y) | ||
| Ronnie Carrol Davis | Registered representative | Mar 2022 (4y) | ||
| Saira Khan Torres | Registered representative | Mar 2022 (4y) | ||
| Joseph Salvatore Panepinto | Registered representative | Mar 2022 (4y) | ||
| Norris A. James | Registered representative | Mar 2022 (4y) | ||
| Pavel Leokumovich | Registered representative | Mar 2022 (4y) | ||
| Ryan Montes | Registered representative | Mar 2022 (4y) | ||
| Juan Mendoza | Registered representative | Mar 2022 (4y) | ||
| Lukasz Mike Wojciechowski | Registered representative | Mar 2022 (4y) | ||
| Matthew Johnson | Registered representative | Mar 2022 (4y) | ||
| Teresa Whitney | Registered representative | Mar 2022 (4y) | ||
| Thomas G. Figgiani | Registered representative | Mar 2022 (4y) | ||
| Yuval Brokman | Registered representative | Mar 2022 (4y) | ||
| Joseph Bernecker | Registered representative | CFP | Mar 2022 (4y) | |
| Patrick Alden Hesketh | Registered representative | Mar 2022 (4y) | ||
| Samuel Martin Kuster | Registered representative | Mar 2022 (4y) | ||
| Steven Joseph Ayers | Registered representative | Mar 2022 (4y) | ||
| Anuj D Desai | Registered representative | Apr 2022 (4y) | ||
| Fazal M Khan | Registered representative | Apr 2022 (4y) | ||
| Isaac Chan | Registered representative | Apr 2022 (4y) | ||
| Mary Whitehead | Registered representative | Apr 2022 (4y) | ||
| Richard Kalfayan | Registered representative | Apr 2022 (4y) | ||
| Summi Verma | Registered representative | Apr 2022 (4y) | ||
| Tessa Vera Garnett | Registered representative | Apr 2022 (4y) | ||
| Xhoana Dika | Registered representative | Apr 2022 (4y) | ||
| Douglas Robert Eizen | Registered representative | Apr 2022 (4y) | ||
| Jared Day | Registered representative | Apr 2022 (4y) | ||
| Nicole Leigh Carlton Hefner | Registered representative | Apr 2022 (4y) | ||
| Vincent Joseph Ambrose | Registered representative | Apr 2022 (4y) | ||
| Anna Caroline Rauh Garrido | Registered representative | Apr 2022 (4y) | ||
| Cheryl Jui Thorpe | Registered representative | Apr 2022 (4y) | ||
| Eric Pena | Registered representative | Apr 2022 (4y) | ||
| Kirsten Comment | Registered representative | Apr 2022 (4y) | ||
| Penelope Constance Skowronski | Registered representative | Apr 2022 (4y) | ||
| Sabrina Hurley | Registered representative | Apr 2022 (4y) | ||
| Daniel Andres Rodriguez | Registered representative | Apr 2022 (4y) | ||
| Daniel Jansen Dickson | Registered representative | Apr 2022 (4y) | ||
| Heather Suzanne Furdyna | Registered representative | CFP | Apr 2022 (4y) | |
| James J Sorley | Registered representative | Apr 2022 (4y) | ||
| Daniel Priwin | Registered representative | Apr 2022 (4y) | ||
| James Kennedy | Registered representative | CFP | Apr 2022 (4y) | |
| Patrick Dolle | Registered representative | Apr 2022 (4y) | ||
| Randy Wang | Registered representative | Apr 2022 (4y) | ||
| Stacee L Caskey | Registered representative | Apr 2022 (4y) | ||
| Ginger Marie Davidson | Registered representative | Apr 2022 (4y) | ||
| Jennifer Barre | Registered representative | Apr 2022 (4y) | ||
| Lynne Arlene Crockett | Registered representative | Apr 2022 (4y) | ||
| Caleb Sutton Medley | Registered representative | Apr 2022 (4y) | ||
| Aurian Faridi | Registered representative | Apr 2022 (4y) | ||
| Liam Flinn Hurley | Registered representative | Apr 2022 (4y) | ||
| Hunter Reed Jensen | Registered representative | Apr 2022 (4y) | ||
| Judith B Richards | Registered representative | Apr 2022 (4y) | ||
| Julian Perez | Registered representative | Apr 2022 (4y) | ||
| Meghan M. Mc Auley | Registered representative | Apr 2022 (4y) | ||
| Miguel Angel Hernandez | Registered representative | Apr 2022 (4y) | ||
| Bryan Amaris | Registered representative | Apr 2022 (4y) | ||
| Hyun Min L Cash | Registered representative | Apr 2022 (4y) | ||
| Anthony Vincent Chopp | Registered representative | Apr 2022 (4y) | ||
| Khoanam Duong | Registered representative | Apr 2022 (4y) | ||
| Nathaniel Trobiani | Registered representative | Apr 2022 (4y) | ||
| Anton Gurzhiy | Registered representative | Apr 2022 (4y) | ||
| Francis J. Gaeta | Registered representative | Apr 2022 (4y) | ||
| Jay Mac Davenport | Registered representative | Apr 2022 (4y) | ||
| Joe Woody | Registered representative | Apr 2022 (4y) | ||
| Alexandra Banham | Registered representative | Apr 2022 (4y) | ||
| Bethany M. Gonzalez | Registered representative | Apr 2022 (4y) | ||
| Christian E. Parfit | Registered representative | Apr 2022 (4y) | ||
| Christopher Bache | Registered representative | Apr 2022 (4y) | ||
| Eduardo Arturo Alfonzo Paredes | Registered representative | Apr 2022 (4y) | ||
| Francisco Alejandro Contreras | Registered representative | Apr 2022 (4y) | ||
| Jenna Shaker Keene | Registered representative | Apr 2022 (4y) | ||
| Jeffrey B. Hamlin | Registered representative | Apr 2022 (4y) | ||
| Kevin Delgado | Registered representative | Apr 2022 (4y) | ||
| Kenneth M. Greaney | Registered representative | Apr 2022 (4y) | ||
| Mayoor K Desai | Registered representative | Apr 2022 (4y) | ||
| Marissa Maiorca | Registered representative | Apr 2022 (4y) | ||
| Sheridan Kathleen Patrick | Registered representative | Apr 2022 (4y) | ||
| Tristan Gunson | Registered representative | Apr 2022 (4y) | ||
| Tyler Poritzky | Registered representative | Apr 2022 (4y) | ||
| Alexander Robert Hemsath | Registered representative | Apr 2022 (4y) | ||
| Michael Truckenmiller | Registered representative | CFP | Apr 2022 (4y) | |
| Ryan Joseph Whyte | Registered representative | CFP | Apr 2022 (4y) | |
| Tyler Horgan | Registered representative | Apr 2022 (4y) | ||
| Aries Chinsio | Registered representative | Apr 2022 (4y) | ||
| Christopher Gia Nguyen | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Dustin Hall | Registered representative | Apr 2022 (4y) | ||
| Jan R. Klype | Registered representative | Apr 2022 (4y) | ||
| Martin James Mc Ginley | Registered representative | Apr 2022 (4y) | ||
| Sean Kemery | Registered representative | Apr 2022 (4y) | ||
| Suranga Ganewatte | Registered representative | Apr 2022 (4y) | ||
| Zhouyang Joan Wang | Registered representative | Apr 2022 (4y) | ||
| Herman William Jonas | Registered representative | Apr 2022 (4y) | ||
| Ivan J. Vegas | Registered representative | Apr 2022 (4y) | ||
| Jennifer Conway | Registered representative | Apr 2022 (4y) | ||
| Jim Lucas | Registered representative | Apr 2022 (4y) | ||
| Justin Farmand | Registered representative | Apr 2022 (4y) | ||
| Hector E Martinez | Registered representative | Apr 2022 (4y) | ||
| James Anagnos | Registered representative | Apr 2022 (4y) | ||
| Jorge Aguilar | Registered representative | Apr 2022 (4y) | ||
| Kin Hung Chan | Registered representative | Apr 2022 (4y) | ||
| Tiffany J Francis | Registered representative | Apr 2022 (4y) | ||
| Victor Tejada | Registered representative | Apr 2022 (4y) | ||
| Konrad David Pi | Registered representative | Apr 2022 (4y) | ||
| Richard Gruver Kline | Registered representative | Apr 2022 (4y) | ||
| Elmer E Garcia | Registered representative | Apr 2022 (4y) | ||
| Mana Sims | Registered representative | Apr 2022 (4y) | ||
| Nicholas J Starck | Registered representative | Apr 2022 (4y) | ||
| Evelyn Walker | Registered representative | Apr 2022 (4y) | ||
| Ellie K Malone | Registered representative | Apr 2022 (4y) | ||
| Will Mason | Registered representative | Apr 2022 (4y) | ||
| Carlos A. Zepeda | Registered representative | Apr 2022 (4y) | ||
| Christina Lee | Registered representative | Apr 2022 (4y) | ||
| James Michael Sanacore | Registered representative | Apr 2022 (4y) | ||
| Jarrod Shaw | Registered representative | Apr 2022 (4y) | ||
| Kelaiah Doby | Registered representative | Apr 2022 (4y) | ||
| Shereen Adwer Louka | Registered representative | Apr 2022 (4y) | ||
| Jhubin Moghaddamfar | Registered representative | Apr 2022 (4y) | ||
| John Chu | Registered representative | Apr 2022 (4y) | ||
| John F Klimas | Registered representative | Apr 2022 (4y) | ||
| Mark Boriskin | Registered representative | Apr 2022 (4y) | ||
| Stephen Willcox | Registered representative | Apr 2022 (4y) | ||
| Svetlana A Will | Registered representative | Apr 2022 (4y) | ||
| Hao Yi Lu | Registered representative | May 2022 (4y) | ||
| Hayden B. Galatas | Registered representative | May 2022 (4y) | ||
| Joseph White | Registered representative | May 2022 (4y) | ||
| Paul Chen | Registered representative | May 2022 (4y) | ||
| Ruben Rodriguez | Registered representative | May 2022 (4y) | ||
| Sabrina Marsella | Registered representative | May 2022 (4y) | ||
| Ashley Rebecca Campisi | Registered representative | May 2022 (4y) | ||
| Alisa Yuri Abrams | Registered representative | May 2022 (4y) | ||
| Keith L. Jackson | Registered representative | May 2022 (4y) | ||
| Michelle Lynn Hugmeyer | Registered representative | May 2022 (4y) | ||
| Richard Erling | Registered representative | May 2022 (4y) | ||
| Tom Linker | Registered representative | May 2022 (4y) | ||
| Tyson Shawn Howard | Registered representative | May 2022 (4y) | ||
| Andrea Fonseca | Registered representative | May 2022 (4y) | ||
| Ashish Verma | Registered representative | May 2022 (4y) | ||
| Gregory King Giuffra | Registered representative | CFP | May 2022 (4y) | |
| Hayward Giraud | Registered representative | May 2022 (4y) | ||
| Holly Rezzonico | Registered representative | May 2022 (4y) | ||
| Juanjie Long | Registered representative | May 2022 (4y) | ||
| Mirza Kevric | Registered representative | May 2022 (4y) | ||
| Angelo Flores | Registered representative | May 2022 (4y) | ||
| Jennifer Louise Hensley | Registered representative | May 2022 (4y) | ||
| Jacob Robert Smith | Registered representative | May 2022 (4y) | ||
| John G. Myers | Registered representative | May 2022 (4y) | ||
| Lionel Goh | Registered representative | May 2022 (4y) | ||
| Matthew Hicaro | Registered representative | May 2022 (4y) | ||
| Nancy Lay | Registered representative | May 2022 (4y) | ||
| Nicholas J. Heeg | Registered representative | May 2022 (4y) | ||
| Santanna Moody | Registered representative | May 2022 (4y) | ||
| Shawn Kadalikattu Joseph | Registered representative | May 2022 (4y) | ||
| Tara Lubin | Registered representative | May 2022 (4y) | ||
| Tianyi Hao | Registered representative | May 2022 (4y) | ||
| Theodore Keaton Polevoy | Registered representative | May 2022 (4y) | ||
| Elizabeth Rama Penagos | Registered representative | May 2022 (4y) | ||
| Harley Joseph Tierheimer | Registered representative | May 2022 (4y) | ||
| Jesus Munoz | Registered representative | May 2022 (4y) | ||
| James C Aeppli | Registered representative | May 2022 (4y) | ||
| Jonathon D. Bona | Registered representative | May 2022 (4y) | ||
| Joseph Mac Carthy Funicelli | Registered representative | May 2022 (4y) | ||
| Matthew James Simpson | Registered representative | May 2022 (4y) | ||
| Russel J. De Remer | Registered representative | May 2022 (4y) | ||
| Aaron Joseph Kainoa Valdez | Registered representative | May 2022 (4y) | ||
| David Roger Allen | Registered representative | May 2022 (4y) | ||
| Elena Ristov | Registered representative | May 2022 (4y) | ||
| Michael Alexander Mcgee | Registered representative | May 2022 (4y) | ||
| Samantha Mascia | Registered representative | May 2022 (4y) | ||
| Mee Hyon Lee | Registered representative | May 2022 (4y) | ||
| Rushiraj Trivedi | Registered representative | May 2022 (4y) | ||
| Anthony Toan Nguyen | Registered representative | May 2022 (4y) | ||
| Emily Marie Edington | Registered representative | May 2022 (4y) | ||
| Geoffrey R. Turnbull | Registered representative | May 2022 (4y) | ||
| Jeremy Ryan | Registered representative | May 2022 (4y) | ||
| John R Arrowsmith | Registered representative | May 2022 (4y) | ||
| Louis Orlando Moya | Registered representative | May 2022 (4y) | ||
| Mohammed Shahid Ghouse | Registered representative | May 2022 (4y) | ||
| Neal O'donnell | Registered representative | May 2022 (4y) | ||
| Robert Fisher | Registered representative | May 2022 (4y) | ||
| Donna D Perkey | Registered representative | May 2022 (4y) | ||
| Kevin L. Tokarski | Registered representative | May 2022 (4y) | ||
| Andrew Ochola | Registered representative | May 2022 (4y) | ||
| Nicholas Routzahn | Registered representative | May 2022 (4y) | ||
| Rita Orow | Registered representative | May 2022 (4y) | ||
| Roberto Jose Aguayo | Registered representative | May 2022 (4y) | ||
| Afaf Zaher | Registered representative | May 2022 (4y) | ||
| Brian Butler | Registered representative | May 2022 (4y) | ||
| Jimin Chen | Registered representative | May 2022 (4y) | ||
| Jonel Ramus | Registered representative | May 2022 (4y) | ||
| Kirsty Miller Hopkins | Registered representative | May 2022 (4y) | ||
| Isabella Kathleen Messer | Registered representative | May 2022 (4y) | ||
| Jonathan Sereda | Registered representative | May 2022 (4y) | ||
| Kathryn Alethe Hall | Registered representative | May 2022 (4y) | ||
| Phillip Rodowicz | Registered representative | May 2022 (4y) | ||
| Sam Azzam Fakhoury | Registered representative | May 2022 (4y) | ||
| Vicente Jimenez | Registered representative | May 2022 (4y) | ||
| Claudia Angela Bernaola | Registered representative | May 2022 (4y) | ||
| Collin Brunnock | Registered representative | May 2022 (4y) | ||
| Dean Allen Morgan Haithcox | Registered representative | May 2022 (4y) | ||
| Dylan M. Givner | Registered representative | CFP | May 2022 (4y) | |
| Eric Lubin | Registered representative | May 2022 (4y) | ||
| Michael Phung | Registered representative | May 2022 (4y) | ||
| Michael Roberto | Registered representative | May 2022 (4y) | ||
| Kevin A. Potter | Registered representative | May 2022 (4y) | ||
| Mohammed Bunyad | Registered representative | May 2022 (4y) | ||
| Rocky Sze Lok Yip | Registered representative | May 2022 (4y) | ||
| Esteban Santos | Registered representative | May 2022 (4y) | ||
| Dwayne Martin Jenkins | Registered representative | May 2022 (4y) | ||
| Gerald K. Bloodsaw | Registered representative | May 2022 (4y) | ||
| Omar Munir Butt | Registered representative | May 2022 (4y) | ||
| Victoria M. Dossett | Registered representative | May 2022 (4y) | ||
| Briana Prentice Sharp | Registered representative | May 2022 (4y) | ||
| Devoleon Taylor | Registered representative | May 2022 (4y) | ||
| Matthew Edward Murer | Registered representative | May 2022 (4y) | ||
| Nondita Singh Hazari | Registered representative | May 2022 (4y) | ||
| Raymond Ethan Guffey | Registered representative | May 2022 (4y) | ||
| Anthony Baldo | Registered representative | May 2022 (4y) | ||
| Celena Weber | Registered representative | May 2022 (4y) | ||
| Lonnise Handy | Registered representative | May 2022 (4y) | ||
| Steven Johnson | Registered representative | May 2022 (4y) | ||
| Fushan Korfi | Registered representative | May 2022 (4y) | ||
| Tyler Conway | Registered representative | May 2022 (4y) | ||
| William Lewis | Registered representative | May 2022 (4y) | ||
| Gregory Scott Keegan | Registered representative | May 2022 (4y) | ||
| Kayli Lynn Changstrom Christensen | Registered representative | May 2022 (4y) | ||
| Karen Lepore | Registered representative | May 2022 (4y) | ||
| Lee Christian Parker | Registered representative | May 2022 (4y) | ||
| Michael Roman Kuziw | Registered representative | May 2022 (4y) | ||
| Martin Bradford | Registered representative | May 2022 (4y) | ||
| Melissa Uylaki | Registered representative | May 2022 (4y) | ||
| Allison Graham Jensen | Registered representative | May 2022 (4y) | ||
| Christopher L. Klinck | Registered representative | May 2022 (4y) | ||
| Christopher Zuniga | Registered representative | May 2022 (4y) | ||
| Connor Flannery | Registered representative | May 2022 (4y) | ||
| Diogenes Esteves | Registered representative | May 2022 (4y) | ||
| John Michael Castaldo | Registered representative | May 2022 (4y) | ||
| Lovel M. Gilmore | Registered representative | May 2022 (4y) | ||
| Taylor Miller | Registered representative | May 2022 (4y) | ||
| Valerie C. Pergolizzi | Registered representative | May 2022 (4y) | ||
| Arthur G Spoerl | Registered representative | Jun 2022 (4y) | ||
| Justin Temple | Registered representative | Jun 2022 (4y) | ||
| Gary Yung | Registered representative | Jun 2022 (4y) | ||
| John David Walker Hill | Registered representative | Jun 2022 (4y) | ||
| Jennifer Cherrey | Registered representative | Jun 2022 (4y) | ||
| Rachael Anne Limandri | Registered representative | Jun 2022 (4y) | ||
| Kyle Simmons | Registered representative | Jun 2022 (4y) | ||
| Stephen H. Scharosch | Registered representative | Jun 2022 (4y) | ||
| Charles John Reed | Registered representative | Jun 2022 (4y) | ||
| David Jungwoo Lee | Registered representative | Jun 2022 (4y) | ||
| Erika Simone Noble | Registered representative | Jun 2022 (4y) | ||
| Jeffrey Mc Mahon | Registered representative | Jun 2022 (4y) | ||
| Rodrigo Ayres De Torteli | Registered representative | Jun 2022 (4y) | ||
| Sohrob Tehrani | Registered representative | Jun 2022 (4y) | ||
| Justin Patrick Whitley | Registered representative | Jun 2022 (4y) | ||
| Julia Taylor Hagan | Registered representative | Jun 2022 (4y) | ||
| Matthew Alan Stevens | Registered representative | Jun 2022 (4y) | ||
| Sergio Berumen | Registered representative | Jun 2022 (4y) | ||
| Yifan Chen | Registered representative | Jun 2022 (4y) | ||
| Stephen Mc Graw | Registered representative | Jun 2022 (4y) | ||
| Anh Phuong Thi Tran | Registered representative | Jun 2022 (4y) | ||
| Alfonso Medina | Registered representative | Jun 2022 (4y) | ||
| Lindsey Philipp | Registered representative | Jun 2022 (4y) | ||
| Alexander Rodriguez | Registered representative | Jun 2022 (4y) | ||
| Dylan R Kepes | Registered representative | Jun 2022 (4y) | ||
| Julia Collins | Registered representative | CFP | Jun 2022 (4y) | |
| Kelci Mc Ginnis | Registered representative | Jun 2022 (4y) | ||
| Dustin Paterson | Registered representative | Jun 2022 (4y) | ||
| Nicholas Christopher Trulis | Registered representative | Jun 2022 (4y) | ||
| Peter B. Lardner | Registered representative | Jun 2022 (4y) | ||
| Aneta Ivanova | Registered representative | Jun 2022 (4y) | ||
| Daniel Sano | Registered representative | Jun 2022 (4y) | ||
| Jamie Lee Wicks | Registered representative | Jun 2022 (4y) | ||
| Kawthar Rabie | Registered representative | Jun 2022 (4y) | ||
| Lance Michael Polk | Registered representative | Jun 2022 (4y) | ||
| Leonard L. Whitehorn | Registered representative | Jun 2022 (4y) | ||
| Seth Berkowitz | Registered representative | Jun 2022 (4y) | ||
| Thomas Galiger | Registered representative | Jun 2022 (4y) | ||
| Clay Robert Daney | Registered representative | Jun 2022 (4y) | ||
| John Robinson | Registered representative | Jun 2022 (4y) | ||
| Hakam Abu Rizeq | Registered representative | Jun 2022 (4y) | ||
| Domenico Tomas Sciulli | Registered representative | Jun 2022 (4y) | ||
| Dorian J Townsend | Registered representative | Jun 2022 (4y) | ||
| Aisha Ali | Registered representative | Jun 2022 (4y) | ||
| Cesar Avendano | Registered representative | Jun 2022 (4y) | ||
| John P Boston | Registered representative | Jun 2022 (4y) | ||
| Curtis D. Andrews | Registered representative | Jun 2022 (4y) | ||
| Eduardo Perez Balli | Registered representative | Jun 2022 (4y) | ||
| Harleen Kaur | Registered representative | Jun 2022 (4y) | ||
| Jason Patrick Silbaugh | Registered representative | Jun 2022 (4y) | ||
| James Hanafin | Registered representative | Jun 2022 (4y) | ||
| Jillian Zabrosky | Registered representative | Jun 2022 (4y) | ||
| Karim A. Mekhail | Registered representative | Jun 2022 (4y) | ||
| Madeline Cynthia Charest | Registered representative | Jun 2022 (4y) | ||
| Mohamed Abdalnaby | Registered representative | Jun 2022 (4y) | ||
| Andrea M. Morton | Registered representative | Jun 2022 (4y) | ||
| Andy A Rubio | Registered representative | Jun 2022 (4y) | ||
| Jacob Munoz | Registered representative | Jun 2022 (4y) | ||
| Samuel Tsinman | Registered representative | Jun 2022 (4y) | ||
| Frenlly De La Cruz | Registered representative | Jun 2022 (4y) | ||
| Gerardo Ivan Blanco | Registered representative | Jun 2022 (4y) | ||
| Jennifer Lynn Buford | Registered representative | Jun 2022 (4y) | ||
| Michael P. Klein | Registered representative | Jun 2022 (4y) | ||
| Valerie L. Mosher | Registered representative | Jun 2022 (4y) | ||
| Kathryn Louise Gaggi | Registered representative | Jun 2022 (4y) | ||
| Sidney Bartlett | Registered representative | Jun 2022 (4y) | ||
| Tyler Cella | Registered representative | Jun 2022 (4y) | ||
| Torren Joseph Szuluk | Registered representative | Jun 2022 (4y) | ||
| Adam Jason Rogoff | Registered representative | Jun 2022 (4y) | ||
| Chad Stafford Clay | Registered representative | Jun 2022 (4y) | ||
| Heather Gabbara | Registered representative | Jun 2022 (4y) | ||
| Oluwaseun Adeniyi Adelegan | Registered representative | Jun 2022 (4y) | ||
| Shreya Chary | Registered representative | Jun 2022 (4y) | ||
| Alexandria Lee Otto | Registered representative | Jul 2022 (4y) | ||
| Jacinda Elizabeth Fried | Registered representative | Jul 2022 (4y) | ||
| Jennifer Caccavale | Registered representative | Jul 2022 (4y) | ||
| Josephine Ireland | Registered representative | Jul 2022 (4y) | ||
| Melinda Susan Boline | Registered representative | Jul 2022 (4y) | ||
| Rong Diao | Registered representative | Jul 2022 (4y) | ||
| Rachel C. Ramm | Registered representative | Jul 2022 (4y) | ||
| Kristin Wilson | Registered representative | Jul 2022 (4y) | ||
| Aaron Timothy Murphy | Registered representative | Jul 2022 (4y) | ||
| Peter Alexander Lazor | Registered representative | Jul 2022 (4y) | ||
| Steven R. Wallis | Registered representative | Jul 2022 (4y) | ||
| Christina Leigh Mangels | Registered representative | Jul 2022 (4y) | ||
| Grant Parker Redmond | Registered representative | Jul 2022 (4y) | ||
| Kevin N. Mc Carthy | Registered representative | Jul 2022 (4y) | ||
| Steve Zimmerman | Registered representative | Jul 2022 (4y) | ||
| Lung Chan | Registered representative | Jul 2022 (4y) | ||
| Meghan Quinn White | Registered representative | Jul 2022 (4y) | ||
| Michael Lutz | Registered representative | Jul 2022 (4y) | ||
| Tyler D. Parise | Registered representative | Jul 2022 (4y) | ||
| Benjamin Keiper | Registered representative | Jul 2022 (4y) | ||
| Christopher Campbell Perry | Registered representative | Jul 2022 (4y) | ||
| Hector Trujillo Gutierrez | Registered representative | Jul 2022 (4y) | ||
| Michael Joseph Brown | Registered representative | Jul 2022 (4y) | ||
| Shawn Zimmermann | Registered representative | Jul 2022 (4y) | ||
| William M Melago | Registered representative | Jul 2022 (4y) | ||
| William Robert Cooper | Registered representative | CFP | Jul 2022 (4y) | |
| Hilario Salas | Registered representative | Jul 2022 (4y) | ||
| Joshua Maldonado | Registered representative | Jul 2022 (4y) | ||
| Martha Gomez Walton | Registered representative | Jul 2022 (4y) | ||
| Robert Ian Swallen | Registered representative | Jul 2022 (4y) | ||
| Yousuf Ghalayini | Registered representative | Jul 2022 (4y) | ||
| Dana Rubarth | Registered representative | Jul 2022 (4y) | ||
| Dave Adams | Registered representative | Jul 2022 (4y) | ||
| John Riley | Registered representative | Jul 2022 (4y) | ||
| Mario Daniel Molina | Registered representative | Jul 2022 (4y) | ||
| Anastasia Medvedev | Registered representative | Jul 2022 (4y) | ||
| Bradford Luke Muir | Registered representative | Jul 2022 (4y) | ||
| Lucas J D'arcy | Registered representative | Jul 2022 (4y) | ||
| Rejoice Esi Bonnie | Registered representative | Jul 2022 (4y) | ||
| Surupa Chakraborty | Registered representative | Jul 2022 (4y) | ||
| Victoria Seunghyun Kim | Registered representative | Jul 2022 (4y) | ||
| Adam Vietmeier | Registered representative | Jul 2022 (4y) | ||
| Brooks E. Nelson | Registered representative | Jul 2022 (4y) | ||
| Justin M. Kaplan | Registered representative | Jul 2022 (4y) | ||
| Mark Bjorkman | Registered representative | Jul 2022 (4y) | ||
| Allan Pecka | Registered representative | Jul 2022 (4y) | ||
| Jesus Amateco Espiridion | Registered representative | Jul 2022 (4y) | ||
| Karol Szuster | Registered representative | Jul 2022 (4y) | ||
| Melissa Bencomo | Registered representative | Jul 2022 (4y) | ||
| Syed Ali | Registered representative | Jul 2022 (4y) | ||
| Paolo Belloni Urso | Registered representative | Jul 2022 (4y) | ||
| Samuel B Muller | Registered representative | Jul 2022 (4y) | ||
| Ali Iftikhar | Registered representative | Jul 2022 (4y) | ||
| Arlisa Whitby | Registered representative | Jul 2022 (4y) | ||
| Carl Axel Balder Ragnar Sjoeberg | Registered representative | Jul 2022 (4y) | ||
| Martin William Francis Brennen | Registered representative | Jul 2022 (4y) | ||
| Ryan D Monge | Registered representative | Jul 2022 (4y) | ||
| Brandon Lawrence La Carter | Registered representative | Jul 2022 (4y) | ||
| Christopher Tien Xin Hoi Lapp | Registered representative | Jul 2022 (4y) | ||
| Jami Kelly | Registered representative | Jul 2022 (4y) | ||
| Jason L. Wingo | Registered representative | Jul 2022 (4y) | ||
| Justin D Perry | Registered representative | Jul 2022 (4y) | ||
| Mark T. Paschall | Registered representative | Jul 2022 (4y) | ||
| Eric D. Dawson | Registered representative | Jul 2022 (4y) | ||
| Brad S. Thompson | Registered representative | Jul 2022 (4y) | ||
| Cassandra Noel Sanchez | Registered representative | Jul 2022 (4y) | ||
| Marc Torres | Registered representative | Jul 2022 (4y) | ||
| Homer Leonard | Registered representative | Jul 2022 (4y) | ||
| Julia Pierre Louis | Registered representative | Jul 2022 (4y) | ||
| Robert Joseph O Roark | Registered representative | Jul 2022 (4y) | ||
| Ron Palmer | Registered representative | Jul 2022 (4y) | ||
| Ampelio Villa | Registered representative | Jul 2022 (4y) | ||
| Billy J. Malcolm | Registered representative | Jul 2022 (4y) | ||
| David S Raap | Registered representative | Jul 2022 (4y) | ||
| Davon Barrett | Registered representative | CFP | Jul 2022 (4y) | |
| Joseph Mario Le Bouff | Registered representative | Jul 2022 (4y) | ||
| Michael Moghtader | Registered representative | Jul 2022 (4y) | ||
| Michael R Stanley | Registered representative | Jul 2022 (4y) | ||
| Chirag B. Shah | Registered representative | Jul 2022 (4y) | ||
| Pablo Hernandez | Registered representative | Jul 2022 (4y) | ||
| Robert Finn | Registered representative | Jul 2022 (4y) | ||
| Shannon Snow Andresen | Registered representative | Jul 2022 (4y) | ||
| Vincent Howard Richerson | Registered representative | Jul 2022 (4y) | ||
| Adam Christopher Lustig | Registered representative | Jul 2022 (4y) | ||
| Andres Rodriguez | Registered representative | Jul 2022 (4y) | ||
| Gregory E. Dutton | Registered representative | CFP | Jul 2022 (4y) | |
| Connor Sisk | Registered representative | Jul 2022 (4y) | ||
| Francisco Elizondo | Registered representative | Jul 2022 (4y) | ||
| Josh Bradshaw | Registered representative | Jul 2022 (4y) | ||
| Tien Le Dinh | Registered representative | Jul 2022 (4y) | ||
| Zhan Wu | Registered representative | Jul 2022 (4y) | ||
| Leonor Torrens | Registered representative | Aug 2022 (4y) | ||
| Matt Varriano | Registered representative | Aug 2022 (4y) | ||
| Vaishali Harirajan | Registered representative | Aug 2022 (4y) | ||
| Derek S. Kasper | Registered representative | Aug 2022 (4y) | ||
| Eric Lebedin | Registered representative | Aug 2022 (4y) | ||
| Jennifer L Nelson | Registered representative | Aug 2022 (4y) | ||
| Devin Andrew Thompson | Registered representative | Aug 2022 (4y) | ||
| Kenneth Kestenbaum | Registered representative | Aug 2022 (4y) | ||
| Peta Gay Vyanne Burt | Registered representative | Aug 2022 (4y) | ||
| Ariana Haislip | Registered representative | Aug 2022 (4y) | ||
| James E Foote | Registered representative | Aug 2022 (4y) | ||
| Thomas B. Wade | Registered representative | Aug 2022 (4y) | ||
| Joshua Eugene White | Registered representative | Aug 2022 (4y) | ||
| Joshua A Radford | Registered representative | Aug 2022 (4y) | ||
| Adin Roskoph | Registered representative | Aug 2022 (4y) | ||
| Paul Zvi Dukes Suwalsky | Registered representative | Aug 2022 (4y) | ||
| Silvana L Bolivar | Registered representative | Aug 2022 (4y) | ||
| Christina O'neill | Registered representative | Aug 2022 (4y) | ||
| Debora Castany | Registered representative | Aug 2022 (4y) | ||
| Lindsay S Heller | Registered representative | Aug 2022 (4y) | ||
| Mohammad Reza Shabani | Registered representative | Aug 2022 (4y) | ||
| Pamela Finewood | Registered representative | Aug 2022 (4y) | ||
| Peter Paul Seroczynski | Registered representative | Aug 2022 (4y) | ||
| Sydney Marie Williams | Registered representative | Aug 2022 (4y) | ||
| Sean Laverty | Registered representative | Aug 2022 (4y) | ||
| Thomas Farrell Morgan | Registered representative | CFA | Aug 2022 (4y) | |
| Erica Shelare White | Registered representative | CFA | Aug 2022 (4y) | |
| Greg M. Desmond | Registered representative | Aug 2022 (4y) | ||
| Jacob Butler | Registered representative | Aug 2022 (4y) | ||
| Marcus Gregory Woodard | Registered representative | Aug 2022 (4y) | ||
| Matthew J. Mirtahami | Registered representative | Aug 2022 (4y) | ||
| Michelle M Czernik | Registered representative | Aug 2022 (4y) | ||
| Robert Martin Taylor | Registered representative | Aug 2022 (4y) | ||
| John Philip Leidy | Registered representative | Aug 2022 (4y) | ||
| Radostina Mims | Registered representative | Aug 2022 (4y) | ||
| Robert S. Hughes | Registered representative | Aug 2022 (4y) | ||
| Trisha Vo | Registered representative | Aug 2022 (4y) | ||
| Bryan Calderon | Registered representative | Aug 2022 (4y) | ||
| Crystal Fay Treloar Richter | Registered representative | Aug 2022 (4y) | ||
| Daniel Jozsef Patterson | Registered representative | Aug 2022 (4y) | ||
| Kevin T Sheehan | Registered representative | Aug 2022 (4y) | ||
| Zachary S Van Ysseldyk | Registered representative | Aug 2022 (4y) | ||
| Steven Golenberke | Registered representative | Aug 2022 (4y) | ||
| Christopher Paul Budde | Registered representative | Aug 2022 (4y) | ||
| Eric W Wilson | Registered representative | Aug 2022 (4y) | ||
| Larry Behum | Registered representative | Aug 2022 (4y) | ||
| Mahadee Hassan Chowdhury | Registered representative | Aug 2022 (4y) | ||
| Merari Benjamin Ortega | Registered representative | Aug 2022 (4y) | ||
| Michael Ayache | Registered representative | Aug 2022 (4y) | ||
| Brian Michael Ciulla | Registered representative | Aug 2022 (4y) | ||
| Jose Luis De Alba De La Garza | Registered representative | Aug 2022 (4y) | ||
| Layson T. Savant | Registered representative | Aug 2022 (4y) | ||
| Craig Joseph Pitz | Registered representative | Aug 2022 (4y) | ||
| Jose Jimenez | Registered representative | Aug 2022 (4y) | ||
| Jason Church | Registered representative | Aug 2022 (4y) | ||
| Rezaul Kazi | Registered representative | Aug 2022 (4y) | ||
| Steven Paul Cole | Registered representative | Aug 2022 (4y) | ||
| Wei Ming Jiang | Registered representative | Chartered Financial Consultant | Aug 2022 (4y) | |
| Robert Hemingway Statton | Registered representative | Aug 2022 (4y) | ||
| Reilly Cupp | Registered representative | Aug 2022 (4y) | ||
| Cory Messaros | Registered representative | Aug 2022 (4y) | ||
| Daniel J. Ferreira | Registered representative | Aug 2022 (4y) | ||
| Eric H. Choi | Registered representative | Aug 2022 (4y) | ||
| Juan Pablo Quintero | Registered representative | Aug 2022 (4y) | ||
| Miguel Facundo | Registered representative | Aug 2022 (4y) | ||
| Robert Sands | Registered representative | Aug 2022 (4y) | ||
| Stefano Aleppo | Registered representative | Aug 2022 (4y) | ||
| Brett S. Letchworth | Registered representative | Aug 2022 (4y) | ||
| Kentrell Taylor | Registered representative | Aug 2022 (4y) | ||
| Matthew Patrick Butler | Registered representative | Aug 2022 (4y) | ||
| Raymundo Catalan | Registered representative | Aug 2022 (4y) | ||
| Andrew Young | Registered representative | Aug 2022 (4y) | ||
| George Danilo Palacios | Registered representative | Aug 2022 (4y) | ||
| Gonsalo A Barragan | Registered representative | Aug 2022 (4y) | ||
| Michael James Collins | Registered representative | Aug 2022 (4y) | ||
| Nanda Vijitha Fernando | Registered representative | Aug 2022 (4y) | ||
| Christian Patrick Goebel | Registered representative | Aug 2022 (4y) | ||
| Catherine M. Cafaro | Registered representative | Aug 2022 (4y) | ||
| Janet Sanders | Registered representative | Aug 2022 (4y) | ||
| Sadiera Crawford | Registered representative | Aug 2022 (4y) | ||
| Samuel Joseph Rouse | Registered representative | Aug 2022 (4y) | ||
| William Freeman Coyne | Registered representative | Aug 2022 (4y) | ||
| Anna Trettel | Registered representative | Aug 2022 (4y) | ||
| Conor Kelly | Registered representative | Aug 2022 (4y) | ||
| Daniel Eric Ioos | Registered representative | Aug 2022 (4y) | ||
| David Van Horn | Registered representative | Aug 2022 (4y) | ||
| Grace Murray | Registered representative | Aug 2022 (4y) | ||
| John Shaker | Registered representative | Aug 2022 (4y) | ||
| Robert Donnell | Registered representative | Aug 2022 (4y) | ||
| Tiffany R. Kuehner | Registered representative | Aug 2022 (4y) | ||
| Will Griffin | Registered representative | Aug 2022 (4y) | ||
| Charles William Horvath | Registered representative | Aug 2022 (4y) | ||
| Claire Elizabeth Kushan | Registered representative | Aug 2022 (4y) | ||
| David Andrew Swinburne | Registered representative | Aug 2022 (4y) | ||
| Diming Owen Zhu | Registered representative | Aug 2022 (4y) | ||
| Foram Hiten Vaidya | Registered representative | Aug 2022 (4y) | ||
| Grace Krantz | Registered representative | Aug 2022 (4y) | ||
| James Edward Dvoracek | Registered representative | Aug 2022 (4y) | ||
| Michael Chew | Registered representative | Aug 2022 (4y) | ||
| Rachel Antonia Menziuso | Registered representative | Aug 2022 (4y) | ||
| Robert K. Jobe | Registered representative | Aug 2022 (4y) | ||
| Susan E. Dove | Registered representative | Aug 2022 (4y) | ||
| Tawanna Browne Smith | Registered representative | Aug 2022 (4y) | ||
| Taylor Monet Neel | Registered representative | Aug 2022 (4y) | ||
| Alex Arenschield | Registered representative | Aug 2022 (4y) | ||
| Blaze C. Mc Mellian | Registered representative | Aug 2022 (4y) | ||
| Brad Ellis Nassar | Registered representative | Aug 2022 (4y) | ||
| Brendan J Meagher | Registered representative | Aug 2022 (4y) | ||
| Brian Harrison | Registered representative | Aug 2022 (4y) | ||
| Emily Grace Rothenberg | Registered representative | Aug 2022 (4y) | ||
| Emma Barroso | Registered representative | Aug 2022 (4y) | ||
| Geetanjali Lakshmi Iyer | Registered representative | Aug 2022 (4y) | ||
| Jimmy Lomas | Registered representative | Aug 2022 (4y) | ||
| John Lucas Briggs | Registered representative | Aug 2022 (4y) | ||
| Kerry Ann Mcnichols | Registered representative | Aug 2022 (4y) | ||
| Mateo Mauricio Koster | Registered representative | Aug 2022 (4y) | ||
| Noah Sekowski | Registered representative | Aug 2022 (4y) | ||
| Samuel Rao | Registered representative | Aug 2022 (4y) | ||
| Sebastian Ross Hernandez | Registered representative | Aug 2022 (4y) | ||
| Shayna Lily Rose Bomfim Finkelstein | Registered representative | Aug 2022 (4y) | ||
| Wesley T. Hill | Registered representative | Aug 2022 (4y) | ||
| Alexandra Nicole Briskin | Registered representative | Aug 2022 (4y) | ||
| Joseph Kitaen | Registered representative | Aug 2022 (4y) | ||
| Madison Rose Brenchak | Registered representative | Aug 2022 (4y) | ||
| Rachel Anne Martin | Registered representative | Aug 2022 (4y) | ||
| Caroline Rose Wall | Registered representative | Aug 2022 (4y) | ||
| Christopher Hamilton Cook | Registered representative | Aug 2022 (4y) | ||
| Christopher Hart | Registered representative | Aug 2022 (4y) | ||
| Danilo Durigon | Registered representative | Aug 2022 (4y) | ||
| George Thomas Coyle | Registered representative | Aug 2022 (4y) | ||
| Jennifer Ellen Jones | Registered representative | Aug 2022 (4y) | ||
| Julian Phillip Anthony Young | Registered representative | Aug 2022 (4y) | ||
| Joseph T. Hahn | Registered representative | Aug 2022 (4y) | ||
| Karen Meza | Registered representative | Aug 2022 (4y) | ||
| Katelyn E. Stanchfield | Registered representative | CFP | Aug 2022 (4y) | |
| Michael Tamayo | Registered representative | Aug 2022 (4y) | ||
| Steven Joseph Hoffmann | Registered representative | Aug 2022 (4y) | ||
| Samuel Ryan Hansen | Registered representative | Aug 2022 (4y) | ||
| Eduardo Estrada | Registered representative | Sep 2022 (4y) | ||
| Hardik Kansara | Registered representative | Sep 2022 (4y) | ||
| Jack Dooley | Registered representative | Sep 2022 (4y) | ||
| Jackson David Berman | Registered representative | Sep 2022 (4y) | ||
| James R. Fleming | Registered representative | CFP | Sep 2022 (4y) | |
| Matthew S. Sumner | Registered representative | Sep 2022 (4y) | ||
| Mc Kenna N Elliott | Registered representative | Sep 2022 (4y) | ||
| Richard Aaron King | Registered representative | Sep 2022 (4y) | ||
| Ryan L. Boren | Registered representative | Sep 2022 (4y) | ||
| Ryan Pilcher | Registered representative | Sep 2022 (4y) | ||
| Alan Morales Toledano | Registered representative | Sep 2022 (4y) | ||
| Diego Madero | Registered representative | Sep 2022 (4y) | ||
| Jalen Frazier | Registered representative | Sep 2022 (4y) | ||
| Margaret Wittpenn | Registered representative | Sep 2022 (4y) | ||
| Tomas Prizmic Larsen | Registered representative | Sep 2022 (4y) | ||
| Wallis Toscarelli | Registered representative | Sep 2022 (4y) | ||
| Andrea Marisol Guerra | Registered representative | Sep 2022 (4y) | ||
| Andrew M Sheehy | Registered representative | Sep 2022 (4y) | ||
| Brendan Traverso | Registered representative | Sep 2022 (4y) | ||
| Caleb Robert Jerome | Registered representative | Sep 2022 (4y) | ||
| Charlotte Weeks | Registered representative | Sep 2022 (4y) | ||
| Elizabeth Chang | Registered representative | Sep 2022 (4y) | ||
| Hattie Bauchiero | Registered representative | Sep 2022 (4y) | ||
| Isabella Camacaro Gomez | Registered representative | Sep 2022 (4y) | ||
| James Daniel Payne | Registered representative | Sep 2022 (4y) | ||
| Joshua English | Registered representative | Sep 2022 (4y) | ||
| Saverio Reinier Kaufman | Registered representative | Sep 2022 (4y) | ||
| Sophia Johnston | Registered representative | Sep 2022 (4y) | ||
| Stephanie Ott | Registered representative | Sep 2022 (4y) | ||
| Thomas Stone | Registered representative | Sep 2022 (4y) | ||
| Youngmin Lee | Registered representative | Sep 2022 (4y) | ||
| Brooke Miller | Registered representative | Sep 2022 (4y) | ||
| Andrew Bryson Lechleiter | Registered representative | Sep 2022 (4y) | ||
| Domenica Proud | Registered representative | Sep 2022 (4y) | ||
| Elizabeth Marie Carpenter | Registered representative | Sep 2022 (4y) | ||
| Eric James Hernandez | Registered representative | Sep 2022 (4y) | ||
| Eric W Vallerand | Registered representative | Sep 2022 (4y) | ||
| R. Todd Perkins | Registered representative | Sep 2022 (4y) | ||
| Riley Ann Allen | Registered representative | Sep 2022 (4y) | ||
| Zhanxiao Pan | Registered representative | Sep 2022 (4y) | ||
| Cristy Erin Ryan | Registered representative | Sep 2022 (4y) | ||
| Howard Steven Rowen | Registered representative | Sep 2022 (4y) | ||
| Isaac Kim | Registered representative | Sep 2022 (4y) | ||
| Quentin Henry Boehm Buchman | Registered representative | Sep 2022 (4y) | ||
| Richard J. Thill | Registered representative | Sep 2022 (4y) | ||
| Axel Hatrick | Registered representative | Sep 2022 (4y) | ||
| Anne Brodsky Sternlicht | Registered representative | Sep 2022 (4y) | ||
| Gregory P. Calderone | Registered representative | Sep 2022 (4y) | ||
| Rory Pena O'connor | Registered representative | Sep 2022 (4y) | ||
| Strauss Elliot Cooperstein | Registered representative | Sep 2022 (4y) | ||
| Anabella Camacaro Gomez | Registered representative | Sep 2022 (4y) | ||
| Beatriz Salvat | Registered representative | Sep 2022 (4y) | ||
| Charles Sanders | Registered representative | Sep 2022 (4y) | ||
| Jessica Chen | Registered representative | Sep 2022 (4y) | ||
| Jorge Camero | Registered representative | Sep 2022 (4y) | ||
| Lian Gu | Registered representative | Sep 2022 (4y) | ||
| Maria Victoria Rodriguez Resende | Registered representative | Sep 2022 (4y) | ||
| Mark Maldonado | Registered representative | Sep 2022 (4y) | ||
| Michael Mezzacappa | Registered representative | Sep 2022 (4y) | ||
| Mychael Haywood | Registered representative | Sep 2022 (4y) | ||
| Philip Brian Grove | Registered representative | Sep 2022 (4y) | ||
| Scott James Murray Harrison | Registered representative | Sep 2022 (4y) | ||
| Chit Lau | Registered representative | Sep 2022 (4y) | ||
| Jordan Gerard Crenshaw | Registered representative | Sep 2022 (4y) | ||
| Makena Kiara | Registered representative | Sep 2022 (4y) | ||
| Kelvin Tsai | Registered representative | Sep 2022 (4y) | ||
| Audrey Michelle Hammond | Registered representative | Sep 2022 (4y) | ||
| Chung Yiu Gareth Lam | Registered representative | Sep 2022 (4y) | ||
| Chandler J Boudreaux | Registered representative | Sep 2022 (4y) | ||
| Charles Gabriel Russell | Registered representative | Sep 2022 (4y) | ||
| Collin Michael Kulivan | Registered representative | Sep 2022 (4y) | ||
| Cynthia Pettegrove | Registered representative | Sep 2022 (4y) | ||
| Gabriel A Bendana | Registered representative | Sep 2022 (4y) | ||
| Jenny Wang | Registered representative | Sep 2022 (4y) | ||
| John Robert Moore | Registered representative | Sep 2022 (4y) | ||
| Lawrence D. Brown | Registered representative | Sep 2022 (4y) | ||
| Michael O'reilly | Registered representative | Sep 2022 (4y) | ||
| Royeen Ahmad Sanie | Registered representative | Sep 2022 (4y) | ||
| Samantha Abusada Strohmeier | Registered representative | Sep 2022 (4y) | ||
| Scott Breckenridge | Registered representative | Sep 2022 (4y) | ||
| Tiffany Vu | Registered representative | Sep 2022 (4y) | ||
| Alaina Cass | Registered representative | Sep 2022 (4y) | ||
| Jennifer Bryer | Registered representative | Sep 2022 (4y) | ||
| Julia Christine Della Salle | Registered representative | Sep 2022 (4y) | ||
| Michael Anderson | Registered representative | Sep 2022 (4y) | ||
| Ailey Langley | Registered representative | Sep 2022 (4y) | ||
| Olivia Degois Sainz | Registered representative | Sep 2022 (4y) | ||
| Pradeep Kaur | Registered representative | Sep 2022 (4y) | ||
| Tia B Mahaffy | Registered representative | Sep 2022 (4y) | ||
| Annie Lam | Registered representative | Sep 2022 (4y) | ||
| Andrew M. Sinko | Registered representative | Sep 2022 (4y) | ||
| Fareena Cortez | Registered representative | Sep 2022 (4y) | ||
| John Joseph Luger | Registered representative | Sep 2022 (4y) | ||
| Walker Hale | Registered representative | Sep 2022 (4y) | ||
| Brian Swamipersaud | Registered representative | Sep 2022 (4y) | ||
| Eric James Purcell | Registered representative | Sep 2022 (4y) | ||
| Spencer Kingsley Osei | Registered representative | Sep 2022 (4y) | ||
| Balasubramanyam Karanam | Registered representative | Sep 2022 (4y) | ||
| Elton Jakupi | Registered representative | Sep 2022 (4y) | ||
| Esteban Velez | Registered representative | Sep 2022 (4y) | ||
| James Roean Morgan | Registered representative | Sep 2022 (4y) | ||
| John Andrew Latessa | Registered representative | Sep 2022 (4y) | ||
| Jose Eduardo Munoz | Registered representative | Sep 2022 (4y) | ||
| Jason Vrbancic | Registered representative | Sep 2022 (4y) | ||
| Maria J. Perdomo Torres | Registered representative | Sep 2022 (4y) | ||
| Nicholas A Cuiffo | Registered representative | Sep 2022 (4y) | ||
| Zuri Malik Abdul Saboor | Registered representative | Sep 2022 (4y) | ||
| Frank N. Lizotte | Registered representative | Sep 2022 (4y) | ||
| Gery Brownholtz | Registered representative | Sep 2022 (4y) | ||
| Mark J Di Pierro | Registered representative | Sep 2022 (4y) | ||
| Sardia Alimatu Buari Wypych | Registered representative | Sep 2022 (4y) | ||
| David S. Berger | Registered representative | Sep 2022 (4y) | ||
| Jason Matthew Gere | Registered representative | Sep 2022 (4y) | ||
| Marco Bruno | Registered representative | Sep 2022 (4y) | ||
| Adam A. Garcia | Registered representative | Sep 2022 (4y) | ||
| Ceceil Collins Pearcy | Registered representative | Sep 2022 (4y) | ||
| Grayson T Sipe | Registered representative | Sep 2022 (4y) | ||
| Julia M Savage | Registered representative | Sep 2022 (4y) | ||
| Wayne D Oberle | Registered representative | Sep 2022 (4y) | ||
| Fiordaliza Beato | Registered representative | Sep 2022 (4y) | ||
| James Gerard Stanton | Registered representative | Sep 2022 (4y) | ||
| Jake Tran | Registered representative | Sep 2022 (4y) | ||
| Kheilla Marie Ndayikeza | Registered representative | Sep 2022 (4y) | ||
| Michael P. Duggan | Registered representative | Sep 2022 (4y) | ||
| Trenton Scott Zylinski | Registered representative | Sep 2022 (4y) | ||
| A King Ishmael | Registered representative | Sep 2022 (4y) | ||
| Felix Mawuli Agbebo | Registered representative | Sep 2022 (4y) | ||
| Izabella Daibert Carpenter | Registered representative | Sep 2022 (4y) | ||
| Nicole Marie Benzschawel | Registered representative | Sep 2022 (4y) | ||
| Oscar Maldonado | Registered representative | Sep 2022 (4y) | ||
| Stephanie Seiler | Registered representative | Sep 2022 (4y) | ||
| Stephen N. Jones | Registered representative | Sep 2022 (4y) | ||
| Benjamin C. Womble | Registered representative | Sep 2022 (4y) | ||
| Douglas S. Ateniese | Registered representative | Sep 2022 (4y) | ||
| James Patrick Kilgore | Registered representative | Sep 2022 (4y) | ||
| Marion Parker | Registered representative | Sep 2022 (4y) | ||
| Mauricio B Zamaripa | Registered representative | Sep 2022 (4y) | ||
| Roberto Martinez Castaneda | Registered representative | Sep 2022 (4y) | ||
| Claire Elizabeth Fitzgerald | Registered representative | Sep 2022 (4y) | ||
| Jaime Powers Freeman | Registered representative | Sep 2022 (4y) | ||
| Kurt Skudrna | Registered representative | Sep 2022 (4y) | ||
| William Dentremont | Registered representative | Sep 2022 (4y) | ||
| Bingyang Li | Registered representative | Sep 2022 (4y) | ||
| Camilla Sanson | Registered representative | Sep 2022 (4y) | ||
| Jeremy Davin Hume | Registered representative | Sep 2022 (4y) | ||
| Kevin Robert Johnson | Registered representative | Sep 2022 (4y) | ||
| Matthew James Kruger | Registered representative | Sep 2022 (4y) | ||
| Noah Michael Oxley | Registered representative | Sep 2022 (4y) | ||
| Rocco Stefano Martinelli | Registered representative | Sep 2022 (4y) | ||
| Stephanie E. Lyons | Registered representative | Sep 2022 (4y) | ||
| Alex Pagan | Registered representative | Sep 2022 (4y) | ||
| Michael Penney | Registered representative | Sep 2022 (4y) | ||
| Nicolette Johnstone | Registered representative | Sep 2022 (4y) | ||
| Valerie Irene Hansen | Registered representative | Sep 2022 (4y) | ||
| George Anagnostou | Registered representative | Oct 2022 (4y) | ||
| Jade Moses | Registered representative | Oct 2022 (4y) | ||
| Alison Zarella | Registered representative | Oct 2022 (4y) | ||
| Glenia Castellon | Registered representative | Oct 2022 (4y) | ||
| Joseph Gallina | Registered representative | Oct 2022 (4y) | ||
| Kristjan Preka | Registered representative | Oct 2022 (4y) | ||
| Kendall Carter | Registered representative | Oct 2022 (4y) | ||
| Phyllis Helene Levario | Registered representative | Oct 2022 (4y) | ||
| Thomas King Truong | Registered representative | Oct 2022 (4y) | ||
| Thomas Richard Kukuk | Registered representative | Oct 2022 (4y) | ||
| Ian Joseph Nance | Registered representative | Oct 2022 (4y) | ||
| Igor Gissoni | Registered representative | Oct 2022 (4y) | ||
| Jonathan Isaac Harold Kornberg | Registered representative | Oct 2022 (4y) | ||
| Andrew Marx | Registered representative | Oct 2022 (4y) | ||
| James Calcagno | Registered representative | Oct 2022 (4y) | ||
| Jason Stern | Registered representative | Oct 2022 (4y) | ||
| Ryan Amy | Registered representative | CFP | Oct 2022 (4y) | |
| Alexandra Pastor | Registered representative | Oct 2022 (4y) | ||
| Alexandra Mc Isaac | Registered representative | Oct 2022 (4y) | ||
| David Abdoush | Registered representative | Oct 2022 (4y) | ||
| Evan M Carson | Registered representative | Oct 2022 (4y) | ||
| Lucas Horvaht Collins | Registered representative | Oct 2022 (4y) | ||
| Ron R. Daniel | Registered representative | Oct 2022 (4y) | ||
| Alex Kaufman | Registered representative | Oct 2022 (4y) | ||
| Baruch Shemtov | Registered representative | Oct 2022 (4y) | ||
| Charles William George Martin | Registered representative | Oct 2022 (4y) | ||
| James Scott Chandler | Registered representative | Oct 2022 (4y) | ||
| James W. Kelleher | Registered representative | Oct 2022 (4y) | ||
| Qiaofei He | Registered representative | CFP | Oct 2022 (4y) | |
| Sam Justin Botwinick | Registered representative | Oct 2022 (4y) | ||
| Ellen Nguyen | Registered representative | Oct 2022 (4y) | ||
| Wesley Thomas Janeck | Registered representative | Oct 2022 (4y) | ||
| Adriana Serna | Registered representative | Oct 2022 (4y) | ||
| Carlos Arellano | Registered representative | Oct 2022 (4y) | ||
| Eddie Cheng | Registered representative | Oct 2022 (4y) | ||
| Elizabeth M. Doherty | Registered representative | Oct 2022 (4y) | ||
| Eric S. Sappington | Registered representative | Oct 2022 (4y) | ||
| Henry Pham | Registered representative | Oct 2022 (4y) | ||
| Michael Kustigian | Registered representative | Oct 2022 (4y) | ||
| Natalia Hampel | Registered representative | Oct 2022 (4y) | ||
| Robert Barcenas | Registered representative | Oct 2022 (4y) | ||
| Veneeta Singal | Registered representative | Oct 2022 (4y) | ||
| Briana Ardolf | Registered representative | Oct 2022 (4y) | ||
| Dante Giraldi | Registered representative | Oct 2022 (4y) | ||
| Florencio Greg Ayala | Registered representative | Oct 2022 (4y) | ||
| Grace Tenke | Registered representative | Oct 2022 (4y) | ||
| Jennifer Tennsingque | Registered representative | Oct 2022 (4y) | ||
| Kyle William Howard | Registered representative | Oct 2022 (4y) | ||
| Matthew Randall Stout | Registered representative | Oct 2022 (4y) | ||
| Madilyn Liston | Registered representative | Oct 2022 (4y) | ||
| Roger Vaganis | Registered representative | Oct 2022 (4y) | ||
| Xin Liang | Registered representative | Oct 2022 (4y) | ||
| Denise Wang | Registered representative | Oct 2022 (4y) | ||
| Luz Maria Hoyos Marin | Registered representative | Oct 2022 (4y) | ||
| Osama Roubi | Registered representative | Oct 2022 (4y) | ||
| Elizabeth Nam | Registered representative | Oct 2022 (4y) | ||
| Jason Michael Prehm | Registered representative | Oct 2022 (4y) | ||
| Margaret A Bennett | Registered representative | Oct 2022 (4y) | ||
| Philip K Mc Ewen | Registered representative | Oct 2022 (4y) | ||
| Stephanie Marie Strucel | Registered representative | Oct 2022 (4y) | ||
| Zachary T. Molyneaux | Registered representative | Oct 2022 (4y) | ||
| Austin Templeton | Registered representative | Oct 2022 (4y) | ||
| Clyde Emil Ellis | Registered representative | Oct 2022 (4y) | ||
| Edward Botros | Registered representative | Oct 2022 (4y) | ||
| Jameson Grant Moore | Registered representative | Oct 2022 (4y) | ||
| Kathleen Tyler Chryssicas | Registered representative | Oct 2022 (4y) | ||
| Michael Gomez | Registered representative | Oct 2022 (4y) | ||
| Sydnee R Scruggs | Registered representative | Oct 2022 (4y) | ||
| Tung Luu | Registered representative | Oct 2022 (4y) | ||
| Ann Chen | Registered representative | Oct 2022 (4y) | ||
| Daniel Guevara Cortez | Registered representative | Oct 2022 (4y) | ||
| David H. Payne | Registered representative | Oct 2022 (4y) | ||
| Gabriel T. Stranges | Registered representative | Oct 2022 (4y) | ||
| Hunter M. Andrew | Registered representative | Oct 2022 (4y) | ||
| Kathleen E Raseman | Registered representative | Oct 2022 (4y) | ||
| Kyle Niemtschk | Registered representative | Oct 2022 (4y) | ||
| Lindsay Erickson | Registered representative | Oct 2022 (4y) | ||
| Matthew Frank Barkauskas | Registered representative | Oct 2022 (4y) | ||
| Ravindra Anaparti | Registered representative | Oct 2022 (4y) | ||
| Richard J. Gargiulo | Registered representative | Oct 2022 (4y) | ||
| Shauna Nicole Eng | Registered representative | Oct 2022 (4y) | ||
| Barbara Maria Salas Beltran | Registered representative | Oct 2022 (4y) | ||
| Bernardo Andres Waincier | Registered representative | Oct 2022 (4y) | ||
| Celeste E. Foster | Registered representative | Oct 2022 (4y) | ||
| Dennis Castillo | Registered representative | Oct 2022 (4y) | ||
| John H. Casey | Registered representative | Oct 2022 (4y) | ||
| Kevin Michael Fruge | Registered representative | Oct 2022 (4y) | ||
| Kevin N. Singh | Registered representative | CFA | Oct 2022 (4y) | |
| Luke Daniel Smith | Registered representative | Oct 2022 (4y) | ||
| Melissa Maurer | Registered representative | Oct 2022 (4y) | ||
| Nicholas L. Elsmo | Registered representative | Oct 2022 (4y) | ||
| Nigar Vakilova | Registered representative | Oct 2022 (4y) | ||
| Shereen Moussa | Registered representative | Oct 2022 (4y) | ||
| Sandeep Mangal | Registered representative | Oct 2022 (4y) | ||
| Shane Weston | Registered representative | Oct 2022 (4y) | ||
| Sherrell Henry | Registered representative | Oct 2022 (4y) | ||
| Michael Lee | Registered representative | Oct 2022 (4y) | ||
| Peter Attalla | Registered representative | Oct 2022 (4y) | ||
| Amy M Welzer | Registered representative | Oct 2022 (4y) | ||
| Andrew P. Williams | Registered representative | Oct 2022 (4y) | ||
| Justin Lemax Martin | Registered representative | Oct 2022 (4y) | ||
| Victor Martinez | Registered representative | Oct 2022 (4y) | ||
| Ayodele J. Adeyemo | Registered representative | Oct 2022 (4y) | ||
| Max Shockett | Registered representative | Oct 2022 (4y) | ||
| Michael James Cahill | Registered representative | Oct 2022 (4y) | ||
| Mingming Zhang | Registered representative | Oct 2022 (4y) | ||
| Preetham Dhivakar | Registered representative | Oct 2022 (4y) | ||
| Diana Hoang Nguyen | Registered representative | Oct 2022 (4y) | ||
| John Thomas Bretti | Registered representative | Oct 2022 (4y) | ||
| Raymond Fernandez | Registered representative | Oct 2022 (4y) | ||
| Britton Cotton | Registered representative | Oct 2022 (4y) | ||
| Carlos Javier Aviles | Registered representative | Oct 2022 (4y) | ||
| Donnell Spencer | Registered representative | Oct 2022 (4y) | ||
| Drew Joseph Hinckley | Registered representative | Oct 2022 (4y) | ||
| Jacob Parker Hollander | Registered representative | Oct 2022 (4y) | ||
| James F Welsh | Registered representative | Oct 2022 (4y) | ||
| Jennifer G Hampton | Registered representative | Oct 2022 (4y) | ||
| Jorge L Idrovo Fernandez | Registered representative | Oct 2022 (4y) | ||
| Joshua Mitchell Peterson | Registered representative | Oct 2022 (4y) | ||
| Kerri Lynn Rail | Registered representative | Oct 2022 (4y) | ||
| Robert Edward Olsewski | Registered representative | Oct 2022 (4y) | ||
| Thomas King | Registered representative | Oct 2022 (4y) | ||
| Fritz John Innocent | Registered representative | Oct 2022 (4y) | ||
| Justin Newman | Registered representative | Oct 2022 (4y) | ||
| Larry Witley Zhang | Registered representative | Oct 2022 (4y) | ||
| Mark C Witt | Registered representative | Oct 2022 (4y) | ||
| Christopher Francis Nowicki | Registered representative | Oct 2022 (4y) | ||
| Daniel Elias | Registered representative | Oct 2022 (4y) | ||
| Jacques G. Philoctete | Registered representative | Oct 2022 (4y) | ||
| Ramon Michael Gaytan | Registered representative | Oct 2022 (4y) | ||
| Taylor Masson | Registered representative | Oct 2022 (4y) | ||
| Yasser Itani | Registered representative | Oct 2022 (4y) | ||
| Joe Suarato | Registered representative | Oct 2022 (4y) | ||
| Martin J Macaraeg | Registered representative | Oct 2022 (4y) | ||
| Max Michael Gollobin | Registered representative | Oct 2022 (4y) | ||
| Mallory Willow North | Registered representative | Oct 2022 (4y) | ||
| Samuel Harrison Blankenship | Registered representative | Oct 2022 (4y) | ||
| Thomas A. De Rosa | Registered representative | Oct 2022 (4y) | ||
| Alexander Jerome Bayer | Registered representative | Oct 2022 (4y) | ||
| Kelsey Neville Gannon | Registered representative | Oct 2022 (4y) | ||
| Kerrington Bigsbee | Registered representative | Oct 2022 (4y) | ||
| Steven C. Rivera | Registered representative | Oct 2022 (4y) | ||
| Armando Ortiz | Registered representative | Nov 2022 (4y) | ||
| Robert L. Poole | Registered representative | Nov 2022 (4y) | ||
| William R Hoffman | Registered representative | CFA | Nov 2022 (4y) | |
| Juan Antonio Maranon | Registered representative | Nov 2022 (4y) | ||
| Joseph Reedy | Registered representative | Nov 2022 (4y) | ||
| Andrew Kennedy | Registered representative | Nov 2022 (4y) | ||
| Krystal Broussard | Registered representative | Nov 2022 (4y) | ||
| Anis Jelassi | Registered representative | Nov 2022 (4y) | ||
| Claudio E Edington | Registered representative | Nov 2022 (4y) | ||
| Cuong Le Huy Huynh | Registered representative | Nov 2022 (4y) | ||
| Dakota Gross | Registered representative | Nov 2022 (4y) | ||
| Jason Demopoulos | Registered representative | Nov 2022 (4y) | ||
| Meng Mounga | Registered representative | Nov 2022 (4y) | ||
| Paul Szczepaniak | Registered representative | Nov 2022 (4y) | ||
| Richard A. Abaunza Hernandez | Registered representative | Nov 2022 (4y) | ||
| Russell Alfonso Smith | Registered representative | Nov 2022 (4y) | ||
| Susan Eckelmann Kizer | Registered representative | Nov 2022 (4y) | ||
| Thatcher Madelly | Registered representative | Nov 2022 (4y) | ||
| Thomas Henry Suydam | Registered representative | CFP | Nov 2022 (4y) | |
| Andrew David Basu | Registered representative | Nov 2022 (4y) | ||
| Benjamin Maxwell Harceg Reiser | Registered representative | CFP | Nov 2022 (4y) | |
| Grace Xiaofen Wang | Registered representative | Nov 2022 (4y) | ||
| Kathryn Tolkowsky | Registered representative | Nov 2022 (4y) | ||
| Loren Michael Osbourne | Registered representative | Nov 2022 (4y) | ||
| Lwin Mar Kaung Myint | Registered representative | Nov 2022 (4y) | ||
| Matthew John Waugh | Registered representative | Nov 2022 (4y) | ||
| Matthew Miller | Registered representative | Nov 2022 (4y) | ||
| Tyrane R. Perry | Registered representative | Nov 2022 (4y) | ||
| Cesar A. Lopez Solorzano | Registered representative | Nov 2022 (4y) | ||
| Drew Cushwa | Registered representative | Nov 2022 (4y) | ||
| Loon Peter Chan | Registered representative | Nov 2022 (4y) | ||
| Maria Alexea Papanicolaou | Registered representative | Nov 2022 (4y) | ||
| Matthew Cawley | Registered representative | Nov 2022 (4y) | ||
| Susan Biederstedt | Registered representative | Nov 2022 (4y) | ||
| Vineeta Gupta | Registered representative | Nov 2022 (4y) | ||
| Craig A. Glover | Registered representative | Nov 2022 (4y) | ||
| Dakota Lewis | Registered representative | Nov 2022 (4y) | ||
| Geeta Rajan Kohli | Registered representative | Nov 2022 (4y) | ||
| Hannah Elizabeth Rivera | Registered representative | Nov 2022 (4y) | ||
| Jayme Francine Mcmahon | Registered representative | Nov 2022 (4y) | ||
| Jorge Alberto Cepeda | Registered representative | Nov 2022 (4y) | ||
| Joshua Don | Registered representative | Nov 2022 (4y) | ||
| Maurice Thomas Boykin | Registered representative | Nov 2022 (4y) | ||
| Nicholas E. Ng | Registered representative | Nov 2022 (4y) | ||
| Victoria Roman | Registered representative | Nov 2022 (4y) | ||
| Amy Rash | Registered representative | Nov 2022 (4y) | ||
| Christopher Simon Johnson | Registered representative | Nov 2022 (4y) | ||
| David R Albrecht | Registered representative | Nov 2022 (4y) | ||
| Greg Scharlott | Registered representative | Nov 2022 (4y) | ||
| Pedro Luz Maia | Registered representative | Nov 2022 (4y) | ||
| Lawrence D Buhl | Registered representative | Nov 2022 (4y) | ||
| Nicolaos Connor Koutoulas | Registered representative | Nov 2022 (4y) | ||
| Sharon Leathem | Registered representative | Nov 2022 (4y) | ||
| Brady M. Le Monds | Registered representative | Nov 2022 (4y) | ||
| Miguel De Luis Perez Calderon | Registered representative | Nov 2022 (4y) | ||
| Nicole Danielle Borovicka | Registered representative | Nov 2022 (4y) | ||
| Pablo Roberto Moreno | Registered representative | Nov 2022 (4y) | ||
| Shayan Jalali | Registered representative | Nov 2022 (4y) | ||
| Abraham Blocker | Registered representative | Nov 2022 (4y) | ||
| David L. Holliday | Registered representative | Nov 2022 (4y) | ||
| Hallbrook Polite | Registered representative | Nov 2022 (4y) | ||
| Jakara B. Davis | Registered representative | Nov 2022 (4y) | ||
| Katherine Elizabeth Snider | Registered representative | Nov 2022 (4y) | ||
| Linda M. Swain | Registered representative | Nov 2022 (4y) | ||
| Madeline Andrews | Registered representative | Nov 2022 (4y) | ||
| Mouffak Alkassar | Registered representative | Nov 2022 (4y) | ||
| Abraham Zelenyak | Registered representative | Nov 2022 (4y) | ||
| Austin Tipp | Registered representative | Nov 2022 (4y) | ||
| Daniel Albert Fisher | Registered representative | Nov 2022 (4y) | ||
| Emily Shiang | Registered representative | Nov 2022 (4y) | ||
| Eoghan Thomas Shields | Registered representative | Nov 2022 (4y) | ||
| Griselda Guadalupe Flores Mora | Registered representative | Nov 2022 (4y) | ||
| Irene Lozoya Perela | Registered representative | Nov 2022 (4y) | ||
| Janine Renee Farah | Registered representative | Nov 2022 (4y) | ||
| Juan Carlos Cocuy | Registered representative | Nov 2022 (4y) | ||
| Justin Matthew Launer | Registered representative | Nov 2022 (4y) | ||
| Melissa Oakes | Registered representative | Nov 2022 (4y) | ||
| Oscar Y Lai | Registered representative | Nov 2022 (4y) | ||
| Adam Davis | Registered representative | Nov 2022 (4y) | ||
| Alexander Thomas Ramler | Registered representative | Nov 2022 (4y) | ||
| Alexandra Ellen Marto | Registered representative | Nov 2022 (4y) | ||
| Andus Chan | Registered representative | Nov 2022 (4y) | ||
| Courtney Rose Heller | Registered representative | Nov 2022 (4y) | ||
| Fatimah Ibidunni | Registered representative | Nov 2022 (4y) | ||
| James Joseph Gernand | Registered representative | Nov 2022 (4y) | ||
| Jacob R Goldberg | Registered representative | Nov 2022 (4y) | ||
| James William Kirkham | Registered representative | Nov 2022 (4y) | ||
| Jenai Patrick | Registered representative | Nov 2022 (4y) | ||
| Jessica Dolores Perez | Registered representative | Nov 2022 (4y) | ||
| Jose Eduardo Cordero | Registered representative | Nov 2022 (4y) | ||
| Megan E. Lavins | Registered representative | Nov 2022 (4y) | ||
| Morgan Ureel | Registered representative | Nov 2022 (4y) | ||
| Nia Imani Harris | Registered representative | Nov 2022 (4y) | ||
| Noah Michael Zakarian | Registered representative | Nov 2022 (4y) | ||
| Olivia Catherine Younker | Registered representative | Nov 2022 (4y) | ||
| Ryan Matthew Gervasi | Registered representative | Nov 2022 (4y) | ||
| Ricardo Ventura | Registered representative | Nov 2022 (4y) | ||
| Walter Justin Hammert | Registered representative | Nov 2022 (4y) | ||
| Alex Emory Schneider | Registered representative | Nov 2022 (4y) | ||
| Amanda Roedell | Registered representative | Nov 2022 (4y) | ||
| Andrew Westrich | Registered representative | Nov 2022 (4y) | ||
| Aria Kojima Falahee | Registered representative | Nov 2022 (4y) | ||
| Brandon G Chen | Registered representative | Nov 2022 (4y) | ||
| Christopher D. Tsourmas | Registered representative | Nov 2022 (4y) | ||
| Daniel Thomas Manjooran | Registered representative | Nov 2022 (4y) | ||
| Emily Grace Hebert | Registered representative | Nov 2022 (4y) | ||
| Emily Stallings | Registered representative | Nov 2022 (4y) | ||
| Garrett Ort | Registered representative | Nov 2022 (4y) | ||
| Ian Mc Kay Creelman | Registered representative | Nov 2022 (4y) | ||
| Jackson Stephen Toney | Registered representative | Nov 2022 (4y) | ||
| Jill Dalene Jackson Fullmer | Registered representative | Nov 2022 (4y) | ||
| Julian Lawrence Kiernan | Registered representative | Nov 2022 (4y) | ||
| Jonathan H. Kokinchak | Registered representative | Nov 2022 (4y) | ||
| Joseph Perse Libertin | Registered representative | Nov 2022 (4y) | ||
| Joshua David Calisti | Registered representative | Nov 2022 (4y) | ||
| Nirmal Kiritkumar Patel | Registered representative | Nov 2022 (4y) | ||
| Olivia Kate Barzee | Registered representative | Nov 2022 (4y) | ||
| Ted Wells Orben | Registered representative | Nov 2022 (4y) | ||
| Brian Minto | Registered representative | Nov 2022 (4y) | ||
| Erica Santa Carpenter | Registered representative | CFA | Nov 2022 (4y) | |
| Jose Carlos Lopez Villa | Registered representative | Nov 2022 (4y) | ||
| Riad Daffach | Registered representative | Nov 2022 (4y) | ||
| Emma Tordella | Registered representative | Nov 2022 (4y) | ||
| Alex Benjamin Villar | Registered representative | Nov 2022 (4y) | ||
| Christopher Mark Pritchard | Registered representative | Nov 2022 (4y) | ||
| Caroline Baldwin | Registered representative | Nov 2022 (4y) | ||
| Daniel Mavrogian | Registered representative | Nov 2022 (4y) | ||
| Ivan J Andujar | Registered representative | Nov 2022 (4y) | ||
| Kristian A. Reinbachs | Registered representative | Nov 2022 (4y) | ||
| Lydia Hunda | Registered representative | Nov 2022 (4y) | ||
| Marie Donner | Registered representative | Nov 2022 (4y) | ||
| Nikhil Agrawal | Registered representative | Nov 2022 (4y) | ||
| Patrick Joseph Miller | Registered representative | Nov 2022 (4y) | ||
| Quintin Burkhamer | Registered representative | Nov 2022 (4y) | ||
| Remington Kerr Rabins | Registered representative | Nov 2022 (4y) | ||
| Ronald Dickerson | Registered representative | Nov 2022 (4y) | ||
| Wyatt Mc Cale Schmidt | Registered representative | Nov 2022 (4y) | ||
| William Gray Bullock | Registered representative | Nov 2022 (4y) | ||
| Amaury Sanchez | Registered representative | Nov 2022 (4y) | ||
| Fafa Adjoa Lovia Segbefia | Registered representative | Nov 2022 (4y) | ||
| Jorge Elias Medrano | Registered representative | Nov 2022 (4y) | ||
| Tamara L Whiteside | Registered representative | Nov 2022 (4y) | ||
| Grace Harris | Registered representative | Nov 2022 (4y) | ||
| Aahil S. Ali | Registered representative | Nov 2022 (4y) | ||
| Cristian Ibarra | Registered representative | Nov 2022 (4y) | ||
| Austin Grant Snyder | Registered representative | Nov 2022 (4y) | ||
| Ana Babic | Registered representative | Nov 2022 (4y) | ||
| Dean H. Thompson | Registered representative | CFA | Nov 2022 (4y) | |
| Fady M Iskander | Registered representative | Nov 2022 (4y) | ||
| Jack Yuan | Registered representative | Nov 2022 (4y) | ||
| Sophie Marilyn Barnett | Registered representative | Nov 2022 (4y) | ||
| James John Baker | Registered representative | CFA | Nov 2022 (4y) | |
| Van Tran | Registered representative | Nov 2022 (4y) | ||
| Brian Muehrcke | Registered representative | Nov 2022 (4y) | ||
| Christopher C Millard | Registered representative | Nov 2022 (4y) | ||
| Trung La | Registered representative | Nov 2022 (4y) | ||
| Eric James Finch | Registered representative | Dec 2022 (4y) | ||
| Ethan Morgan | Registered representative | CFP | Dec 2022 (4y) | |
| Fitzjames Adams | Registered representative | Dec 2022 (4y) | ||
| John R. Ali | Registered representative | Dec 2022 (4y) | ||
| Jorge A Valencia | Registered representative | Dec 2022 (4y) | ||
| Knox Kenerly | Registered representative | Dec 2022 (4y) | ||
| Maureen Finn Austin | Registered representative | Dec 2022 (4y) | ||
| Michael P Barrett | Registered representative | Dec 2022 (4y) | ||
| Norman Tracey | Registered representative | Dec 2022 (4y) | ||
| Yifan Zuo O'connor | Registered representative | Dec 2022 (4y) | ||
| Brandon A. Hepburn | Registered representative | Dec 2022 (4y) | ||
| Frank J. Rodriguez | Registered representative | Dec 2022 (4y) | ||
| Geoffrey C Walsh | Registered representative | Dec 2022 (4y) | ||
| Jacob Peter Weissman | Registered representative | Dec 2022 (4y) | ||
| Jacob R. Nusinow | Registered representative | Dec 2022 (4y) | ||
| Jennifer H. Petrovic | Registered representative | Dec 2022 (4y) | ||
| Maria Eickelmann | Registered representative | Dec 2022 (4y) | ||
| Michael M Rosenstein | Registered representative | Dec 2022 (4y) | ||
| Sandra Joy Rosenstein | Registered representative | CFP | Dec 2022 (4y) | |
| Drew Jordan | Registered representative | Dec 2022 (4y) | ||
| Amanda Natalicchio | Registered representative | Dec 2022 (4y) | ||
| Austin R. Taylor | Registered representative | Dec 2022 (4y) | ||
| David Kepner | Registered representative | Dec 2022 (4y) | ||
| Felipe Villarreal | Registered representative | Dec 2022 (4y) | ||
| Matthew Benjamin Hall | Registered representative | CFP CFA | Dec 2022 (4y) | |
| Marieke Sophia Nelis | Registered representative | Dec 2022 (4y) | ||
| Ross Joseph Massey | Registered representative | Dec 2022 (4y) | ||
| Thomas Joseph Perna | Registered representative | Dec 2022 (4y) | ||
| Tiffany Nichole Bailey Duhon | Registered representative | Dec 2022 (4y) | ||
| Berni Castillo | Registered representative | Dec 2022 (4y) | ||
| Charles J Craft | Registered representative | Dec 2022 (4y) | ||
| Jonathan Lee | Registered representative | Dec 2022 (4y) | ||
| Linda E. Moran | Registered representative | Dec 2022 (4y) | ||
| Marlie Weprin | Registered representative | Dec 2022 (4y) | ||
| Oskar Agaronov | Registered representative | Dec 2022 (4y) | ||
| Rameen Danishyar | Registered representative | Dec 2022 (4y) | ||
| Christopher Rodriguez | Registered representative | Dec 2022 (4y) | ||
| Wilhelm James Christiansen | Registered representative | Dec 2022 (4y) | ||
| William Harlin Trumbo | Registered representative | Dec 2022 (4y) | ||
| Adriana Navarro Gonzalez | Registered representative | CFA | Dec 2022 (4y) | |
| Alfonso Bataller Monfort | Registered representative | CFA | Dec 2022 (4y) | |
| Alex H. Hood | Registered representative | Dec 2022 (4y) | ||
| Brenda Castellanos Rojas | Registered representative | Dec 2022 (4y) | ||
| Daniel Restrepo Londono | Registered representative | CFA | Dec 2022 (4y) | |
| Heath Mendoza | Registered representative | Dec 2022 (4y) | ||
| Juliana Adarve | Registered representative | CFA | Dec 2022 (4y) | |
| Jake Di Nucci | Registered representative | CFA | Dec 2022 (4y) | |
| James Thomas Martin | Registered representative | Dec 2022 (4y) | ||
| Jennifer Kaehu Hervai | Registered representative | Dec 2022 (4y) | ||
| Joseph Anthony Stufano | Registered representative | Dec 2022 (4y) | ||
| Kristopher Kirby | Registered representative | Dec 2022 (4y) | ||
| Russell Nicholas Chomiak | Registered representative | Dec 2022 (4y) | ||
| Matthew Aman | Registered representative | Dec 2022 (4y) | ||
| Andrea Michelle Gerbrand | Registered representative | Dec 2022 (4y) | ||
| Grant Sutter | Registered representative | Dec 2022 (4y) | ||
| Henry Edwards Tobey | Registered representative | Dec 2022 (4y) | ||
| Jaime Legarreta | Registered representative | Dec 2022 (4y) | ||
| Kevin Kai Wen Cheng | Registered representative | Dec 2022 (4y) | ||
| Lee Sui | Registered representative | Dec 2022 (4y) | ||
| Natalie Wright Taylor | Registered representative | Dec 2022 (4y) | ||
| Nelson D Villa | Registered representative | Dec 2022 (4y) | ||
| Paige Kim | Registered representative | Dec 2022 (4y) | ||
| Sahar Babaknia | Registered representative | Dec 2022 (4y) | ||
| Tanya Gambale | Registered representative | Dec 2022 (4y) | ||
| Valerie M Arenas | Registered representative | Dec 2022 (4y) | ||
| Allen Hetzel | Registered representative | Dec 2022 (4y) | ||
| Ashley Marie Lopes | Registered representative | Dec 2022 (4y) | ||
| Cynthia Ann Lammert | Registered representative | CFP | Dec 2022 (4y) | |
| Dennis P Shaw | Registered representative | Dec 2022 (4y) | ||
| Dayne Comrie | Registered representative | Dec 2022 (4y) | ||
| Elizabeth L Sutherland | Registered representative | Dec 2022 (4y) | ||
| Erik Capowski | Registered representative | Dec 2022 (4y) | ||
| Felipe Mois | Registered representative | Dec 2022 (4y) | ||
| Jessica A Sease | Registered representative | Dec 2022 (4y) | ||
| Rick Groom | Registered representative | Dec 2022 (4y) | ||
| Allison K. Rawlings | Registered representative | Dec 2022 (4y) | ||
| Keeley Brogan | Registered representative | Dec 2022 (4y) | ||
| Sarah Cortas | Registered representative | Dec 2022 (4y) | ||
| Hans Michael Keden | Registered representative | Dec 2022 (4y) | ||
| Jesse Harlow | Registered representative | Dec 2022 (4y) | ||
| Peter W Vitali | Registered representative | Dec 2022 (4y) | ||
| Viridiana Rojas | Registered representative | Dec 2022 (4y) | ||
| Craig A. Schwarz | Registered representative | Dec 2022 (4y) | ||
| Eric Charway | Registered representative | Dec 2022 (4y) | ||
| Kevin Crook | Registered representative | Dec 2022 (4y) | ||
| Maximilian Kincaid Gehler | Registered representative | Dec 2022 (4y) | ||
| Mustafa Mohamed El Deeb | Registered representative | Dec 2022 (4y) | ||
| Paul Graafsma | Registered representative | Dec 2022 (4y) | ||
| Richard Gutierrez | Registered representative | Dec 2022 (4y) | ||
| Matthew James Connor | Registered representative | Dec 2022 (4y) | ||
| Autra Mc Kinstry | Registered representative | Dec 2022 (4y) | ||
| Brent Greeley | Registered representative | Dec 2022 (4y) | ||
| Brian C. King | Registered representative | Dec 2022 (4y) | ||
| Chris Bernard Mancera | Registered representative | Dec 2022 (4y) | ||
| Dexter Greaves | Registered representative | Dec 2022 (4y) | ||
| Frandy Cruz | Registered representative | Dec 2022 (4y) | ||
| Gabrielle Wiarda | Registered representative | Dec 2022 (4y) | ||
| Jenny Ching Hsuan Lin | Registered representative | Dec 2022 (4y) | ||
| Stephanie Dagher | Registered representative | Dec 2022 (4y) | ||
| Yaakov Geller | Registered representative | Dec 2022 (4y) | ||
| Aleah R. Bowers | Registered representative | Dec 2022 (4y) | ||
| Francis Quemuel Robles | Registered representative | Dec 2022 (4y) | ||
| Michael Robert Loughnane | Registered representative | Dec 2022 (4y) | ||
| Piotr M. Zagorowski | Registered representative | Dec 2022 (4y) | ||
| Valerie Avila | Registered representative | Dec 2022 (4y) | ||
| Devin D. Bebout | Registered representative | CFP | Dec 2022 (4y) | |
| Kim Amoresano Bonanni | Registered representative | Dec 2022 (4y) | ||
| Nathaniel Fredricks | Registered representative | Dec 2022 (4y) | ||
| Jonathan Bradford Scott Sandlund | Registered representative | Dec 2022 (4y) | ||
| Jose C Ramirez Miranda | Registered representative | Dec 2022 (4y) | ||
| Michael Lewis | Registered representative | Dec 2022 (4y) | ||
| Thomas J. Coughlan | Registered representative | Dec 2022 (4y) | ||
| Arrianna Eva Sikolas | Registered representative | Jan 2023 (4y) | ||
| Aromi Yook | Registered representative | Jan 2023 (4y) | ||
| Christin Carlile Alleman | Registered representative | Jan 2023 (4y) | ||
| Eric Mario Castillo | Registered representative | Jan 2023 (4y) | ||
| Gabriela Moran | Registered representative | Jan 2023 (4y) | ||
| Gilberto Acosta | Registered representative | Jan 2023 (4y) | ||
| Lisa E. Hurst | Registered representative | Jan 2023 (4y) | ||
| Michael Leblanc | Registered representative | Jan 2023 (4y) | ||
| Prakruti Agrawal | Registered representative | Jan 2023 (4y) | ||
| Scott J Keifer | Registered representative | Jan 2023 (4y) | ||
| Yunhe Chao | Registered representative | Jan 2023 (4y) | ||
| Edward Matthew Courtney | Registered representative | Jan 2023 (4y) | ||
| Julie Rush | Registered representative | Jan 2023 (4y) | ||
| Michael Isaza | Registered representative | Jan 2023 (4y) | ||
| Samantha Smith Carsey | Registered representative | Jan 2023 (4y) | ||
| Trang Vo | Registered representative | Jan 2023 (4y) | ||
| Changhoon Oh | Registered representative | Jan 2023 (4y) | ||
| Francisco L Garcia | Registered representative | CFP CFA | Jan 2023 (4y) | |
| Gerardo Hurtado | Registered representative | Jan 2023 (4y) | ||
| Hunter Lee Archibald | Registered representative | Jan 2023 (4y) | ||
| Scott L. Weaber | Registered representative | Jan 2023 (4y) | ||
| Shahmir Natha | Registered representative | Jan 2023 (4y) | ||
| Tracy Allen Saunders | Registered representative | Jan 2023 (4y) | ||
| Vanessa Islas | Registered representative | Jan 2023 (4y) | ||
| Ryan Spaulding | Registered representative | Jan 2023 (4y) | ||
| Chiara Dos Passos Singleton | Registered representative | Jan 2023 (4y) | ||
| David Edward Turkasz | Registered representative | Jan 2023 (4y) | ||
| Jonathan Erik Burrows | Registered representative | Jan 2023 (4y) | ||
| Beatrix Eva Kondor | Registered representative | Jan 2023 (4y) | ||
| Benjamin Max Eisemann | Registered representative | Jan 2023 (4y) | ||
| Daniel Wiewel | Registered representative | Jan 2023 (4y) | ||
| Demetris Ioannis Kakaris | Registered representative | Jan 2023 (4y) | ||
| Edin Ojeda | Registered representative | Jan 2023 (4y) | ||
| Frederick W. Schoenhut | Registered representative | CFA | Jan 2023 (4y) | |
| Jonathan Hirsch Saunders | Registered representative | Jan 2023 (4y) | ||
| Michael J. Maglio | Registered representative | Jan 2023 (4y) | ||
| Tamanna Chowdhury | Registered representative | Jan 2023 (4y) | ||
| Corey Richardson | Registered representative | Jan 2023 (4y) | ||
| Daniel Castro Astralaga | Registered representative | Jan 2023 (4y) | ||
| Edward Choi | Registered representative | Jan 2023 (4y) | ||
| Howard Atlee Coote | Registered representative | Jan 2023 (4y) | ||
| Shrenik Shah | Registered representative | Jan 2023 (4y) | ||
| Joseph Vaccarino | Registered representative | Jan 2023 (4y) | ||
| Marina Vladimirovna Voblikova Davis | Registered representative | Jan 2023 (4y) | ||
| Michael A Gillen | Registered representative | Jan 2023 (4y) | ||
| Chris J Cacciarelli | Registered representative | Jan 2023 (4y) | ||
| Christopher M. Liggins | Registered representative | Jan 2023 (4y) | ||
| James Michael Ortman | Registered representative | CFP CFA | Jan 2023 (4y) | |
| Michael Jason Kelley | Registered representative | Jan 2023 (4y) | ||
| Stephen Legrand Peterson West | Registered representative | Jan 2023 (4y) | ||
| Vittorio Valenti | Registered representative | Jan 2023 (4y) | ||
| Zhi Wen Su | Registered representative | Jan 2023 (4y) | ||
| April Kupper | Registered representative | CFA | Jan 2023 (4y) | |
| Courtney Harris | Registered representative | Jan 2023 (4y) | ||
| Christian Cadena | Registered representative | Jan 2023 (4y) | ||
| Gabriela Ceballos | Registered representative | Jan 2023 (4y) | ||
| Joshua Jogwe | Registered representative | Jan 2023 (4y) | ||
| Lou Chien Huang | Registered representative | Jan 2023 (4y) | ||
| Mary Warmbier | Registered representative | Jan 2023 (4y) | ||
| Abigail Elizabeth Fossaceca | Registered representative | CFP | Jan 2023 (4y) | |
| Alessandra Persefoni Koinoglou | Registered representative | Jan 2023 (4y) | ||
| Babatofunmi A Adejuyigbe | Registered representative | Jan 2023 (4y) | ||
| David W Lyon | Registered representative | Jan 2023 (4y) | ||
| Fernando Martins Diniz | Registered representative | Jan 2023 (4y) | ||
| Craig Morris | Registered representative | Jan 2023 (4y) | ||
| Danielle L Quarantello | Registered representative | Jan 2023 (4y) | ||
| Laura Elizabeth Ciullo | Registered representative | Jan 2023 (4y) | ||
| Linda Sweeten | Registered representative | Jan 2023 (4y) | ||
| Marc Daniel Karstaedt | Registered representative | Jan 2023 (4y) | ||
| Michael Jaysen Vazquez | Registered representative | Jan 2023 (4y) | ||
| Neha B Smith | Registered representative | Jan 2023 (4y) | ||
| Nicholas Hernandez | Registered representative | Jan 2023 (4y) | ||
| Parker Jaques | Registered representative | Jan 2023 (4y) | ||
| Philip Paden | Registered representative | Jan 2023 (4y) | ||
| Raymond Lin | Registered representative | Jan 2023 (4y) | ||
| Robert Postlewaite | Registered representative | Jan 2023 (4y) | ||
| Dylan Shea Birch | Registered representative | Jan 2023 (4y) | ||
| Mihaela Pruski | Registered representative | Jan 2023 (4y) | ||
| Raphael Silva Lacombe | Registered representative | Jan 2023 (4y) | ||
| Robert J Blair | Registered representative | CFP | Jan 2023 (4y) | |
| Eric Paba | Registered representative | Jan 2023 (4y) | ||
| Alexandra Hoopes Remmel | Registered representative | Jan 2023 (4y) | ||
| David Ian Garcia | Registered representative | CFP | Jan 2023 (4y) | |
| Erin Duffy Schlachter | Registered representative | Jan 2023 (4y) | ||
| Jacobo Almuina Tojo | Registered representative | Jan 2023 (4y) | ||
| Patrick Anthony Bonanno | Registered representative | Jan 2023 (4y) | ||
| Richard T Dorman | Registered representative | CFA | Jan 2023 (4y) | |
| Stephania Frech | Registered representative | Jan 2023 (4y) | ||
| Stephen Kyle Malek | Registered representative | Jan 2023 (4y) | ||
| Wendeline Dill | Registered representative | Jan 2023 (4y) | ||
| Nicholas R Anderson | Registered representative | Jan 2023 (4y) | ||
| Caress Ho King | Registered representative | Jan 2023 (4y) | ||
| Cristina Ciubancan | Registered representative | Jan 2023 (4y) | ||
| David James Wagner | Registered representative | Jan 2023 (4y) | ||
| Jose Viviano Banda | Registered representative | Jan 2023 (4y) | ||
| John B Beggans | Registered representative | CFA | Jan 2023 (4y) | |
| Joseph Plutsky | Registered representative | Jan 2023 (4y) | ||
| Kelly Bea Miller | Registered representative | CFA | Jan 2023 (4y) | |
| Luciano Silveira Di Claro | Registered representative | Jan 2023 (4y) | ||
| Michael G Campbell | Registered representative | Jan 2023 (4y) | ||
| Raul Saucedo Sanchez | Registered representative | Jan 2023 (4y) | ||
| Rick Starr | Registered representative | Jan 2023 (4y) | ||
| Sadaf Bassam | Registered representative | Jan 2023 (4y) | ||
| Tiffany Wenzel | Registered representative | Jan 2023 (4y) | ||
| Vinner Anderson Mendez | Registered representative | Jan 2023 (4y) | ||
| Allison Marie Besancon | Registered representative | Jan 2023 (4y) | ||
| Andrew Choi | Registered representative | Jan 2023 (4y) | ||
| Carlos Eduardo Cardenas | Registered representative | Jan 2023 (4y) | ||
| Eric M Bergson | Registered representative | CFA | Jan 2023 (4y) | |
| Elizabeth Donna Leykam | Registered representative | Jan 2023 (4y) | ||
| George A Hoang | Registered representative | Jan 2023 (4y) | ||
| Jessie Hsieh | Registered representative | Jan 2023 (4y) | ||
| Kyle Tierney | Registered representative | Jan 2023 (4y) | ||
| Stefano Lanza | Registered representative | Jan 2023 (4y) | ||
| Trisha A Chaney | Registered representative | Jan 2023 (4y) | ||
| Amy Tran | Registered representative | Jan 2023 (4y) | ||
| Christopher D. Kelley | Registered representative | Jan 2023 (4y) | ||
| Kaylee Marohl | Registered representative | Jan 2023 (4y) | ||
| Garrett M Schaeffer | Registered representative | Jan 2023 (4y) | ||
| Jeffrey Masato Tanaka | Registered representative | Jan 2023 (4y) | ||
| Justin Weisman | Registered representative | Jan 2023 (4y) | ||
| Kaled Rocha | Registered representative | Jan 2023 (4y) | ||
| Kolio Kolev | Registered representative | Jan 2023 (4y) | ||
| Timothy G. Barger | Registered representative | Jan 2023 (4y) | ||
| Ty Woodruff | Registered representative | Jan 2023 (4y) | ||
| Anthony Shia Vargo | Registered representative | Jan 2023 (4y) | ||
| Angelique Victoria Cruz | Registered representative | Jan 2023 (4y) | ||
| Bryar Newbary | Registered representative | Jan 2023 (4y) | ||
| Cynthia Carroll | Registered representative | Jan 2023 (4y) | ||
| David Song Deng | Registered representative | Jan 2023 (4y) | ||
| Edwin Boyzo | Registered representative | Jan 2023 (4y) | ||
| Olivia Mc Cormack | Registered representative | Jan 2023 (4y) | ||
| Sahid Parsard | Registered representative | Jan 2023 (4y) | ||
| Fernando A Remigio | Registered representative | Jan 2023 (4y) | ||
| Jhanio J. Miranda Rosales | Registered representative | Jan 2023 (4y) | ||
| Kimberly K Condon | Registered representative | Jan 2023 (4y) | ||
| Marcelo De Andrade Lourencao Freddi | Registered representative | Jan 2023 (4y) | ||
| Michael Jesus Pena | Registered representative | Jan 2023 (4y) | ||
| Purav Shah | Registered representative | Jan 2023 (4y) | ||
| Barry W Yerger | Registered representative | Jan 2023 (4y) | ||
| Camille Coonrod | Registered representative | Jan 2023 (4y) | ||
| Eglantine Courtiere | Registered representative | Jan 2023 (4y) | ||
| Nicholas Ivan Berman | Registered representative | Jan 2023 (4y) | ||
| Shimea Thompson | Registered representative | Jan 2023 (4y) | ||
| Douglas Rose | Registered representative | CFP | Feb 2023 (4y) | |
| Michael Naughton | Registered representative | Feb 2023 (4y) | ||
| Olivia Mogavero | Registered representative | Feb 2023 (4y) | ||
| Adrian Baker | Registered representative | Feb 2023 (3y) | ||
| Solomon Sun Chou | Registered representative | Feb 2023 (3y) | ||
| Sonja Faison | Registered representative | Feb 2023 (3y) | ||
| Daniel R. Halstead | Registered representative | Feb 2023 (3y) | ||
| Eric Michael Sullivan | Registered representative | Feb 2023 (3y) | ||
| Jean Manuel Vila Vilella | Registered representative | Feb 2023 (3y) | ||
| Kyle Joseph Piersol | Registered representative | Feb 2023 (3y) | ||
| Michael Reading Foster | Registered representative | Feb 2023 (3y) | ||
| Maureen Wilson | Registered representative | CFP | Feb 2023 (3y) | |
| Michael Chin | Registered representative | Feb 2023 (3y) | ||
| Mona Gautam Mohan | Registered representative | Feb 2023 (3y) | ||
| Rachel L Romanack | Registered representative | Feb 2023 (3y) | ||
| Rafi Mustafa Rizvi | Registered representative | Feb 2023 (3y) | ||
| Sara C. Peltier | Registered representative | Feb 2023 (3y) | ||
| Terence A Prokop | Registered representative | Feb 2023 (3y) | ||
| Aaron M. Axelrod | Registered representative | Feb 2023 (3y) | ||
| Carlos Alan Kilpatrick | Registered representative | Feb 2023 (3y) | ||
| Cristian Archaga | Registered representative | Feb 2023 (3y) | ||
| Evan Zarba | Registered representative | Feb 2023 (3y) | ||
| Jose Luis Rodriguez Arizpe | Registered representative | Feb 2023 (3y) | ||
| Kemar Bernard | Registered representative | Feb 2023 (3y) | ||
| Melissa Warren | Registered representative | Feb 2023 (3y) | ||
| Timothy Lee Strader | Registered representative | Feb 2023 (3y) | ||
| Candace D Falsetto | Registered representative | Feb 2023 (3y) | ||
| Cynthia A. Smedstad | Registered representative | Feb 2023 (3y) | ||
| Douglas Scott Jadis | Registered representative | Feb 2023 (3y) | ||
| Eric Zellweger | Registered representative | Feb 2023 (3y) | ||
| Hanh La | Registered representative | Feb 2023 (3y) | ||
| Hermann A. Gonzalez | Registered representative | Feb 2023 (3y) | ||
| Matthew Schwartz | Registered representative | Feb 2023 (3y) | ||
| Todd Jason Trusso | Registered representative | Feb 2023 (3y) | ||
| Andrew Robert Brown | Registered representative | Feb 2023 (3y) | ||
| Christopher J. Heiser | Registered representative | Feb 2023 (3y) | ||
| James Robert Heaney | Registered representative | Feb 2023 (3y) | ||
| Joshua L. Hall | Registered representative | Feb 2023 (3y) | ||
| Julie R. Occhiato | Registered representative | Feb 2023 (3y) | ||
| Hamza Akram | Registered representative | Feb 2023 (3y) | ||
| Justin Morello | Registered representative | Feb 2023 (3y) | ||
| Peyton Purcell Coleman | Registered representative | Feb 2023 (3y) | ||
| Ryan K Klein | Registered representative | Feb 2023 (3y) | ||
| Taisha Yunez | Registered representative | Feb 2023 (3y) | ||
| William Moss | Registered representative | Feb 2023 (3y) | ||
| Alex Stuart Kaiser | Registered representative | CFP | Feb 2023 (3y) | |
| Amanda Michelle Hiatt | Registered representative | Feb 2023 (3y) | ||
| Chad Everett Strong | Registered representative | Feb 2023 (3y) | ||
| Frances K Hermes | Registered representative | Feb 2023 (3y) | ||
| Joseph J. Staud | Registered representative | Feb 2023 (3y) | ||
| Mitchell Kurtis Doppelt | Registered representative | Feb 2023 (3y) | ||
| Carson Anne Lucas | Registered representative | Feb 2023 (3y) | ||
| Andrew Javier Gonzalez | Registered representative | Feb 2023 (3y) | ||
| Jesus Gabriel Chacin | Registered representative | Feb 2023 (3y) | ||
| Joseph A Olivares | Registered representative | Feb 2023 (3y) | ||
| Rachel Sophie Sanchez | Registered representative | Feb 2023 (3y) | ||
| Andrew Robert Phillips | Registered representative | Feb 2023 (3y) | ||
| Robert Antonio Rodriguez | Registered representative | Feb 2023 (3y) | ||
| Todd P Wentland | Registered representative | Feb 2023 (3y) | ||
| Brett Schneider | Registered representative | Feb 2023 (3y) | ||
| Dominic Wright | Registered representative | Feb 2023 (3y) | ||
| John Albert Ward | Registered representative | Feb 2023 (3y) | ||
| Rachel Freyre | Registered representative | Feb 2023 (3y) | ||
| Stephen Warren Herbert | Registered representative | Feb 2023 (3y) | ||
| William Benjamin Shapiro | Registered representative | Feb 2023 (3y) | ||
| Alice Rieckmann | Registered representative | Feb 2023 (3y) | ||
| Cassidy Craig Small | Registered representative | Feb 2023 (3y) | ||
| Jacob Descheneaux | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| Marcus Joseph Gavino | Registered representative | Feb 2023 (3y) | ||
| Miguel Salvador Flores | Registered representative | Feb 2023 (3y) | ||
| Michael J. Parry | Registered representative | Feb 2023 (3y) | ||
| Zachary M Luhr | Registered representative | Feb 2023 (3y) | ||
| Jorge F Jimenez | Registered representative | Feb 2023 (3y) | ||
| Tyler Jones | Registered representative | Feb 2023 (3y) | ||
| Arlyn Martinez | Registered representative | Feb 2023 (3y) | ||
| Connor Roll | Registered representative | Feb 2023 (3y) | ||
| Igor Pleshchuk | Registered representative | Feb 2023 (3y) | ||
| Ryan Nolan Daar | Registered representative | Feb 2023 (3y) | ||
| Sarah Pickens | Registered representative | Feb 2023 (3y) | ||
| Stephen Grillo | Registered representative | Feb 2023 (3y) | ||
| Cameron Joseph Barsoum | Registered representative | Feb 2023 (3y) | ||
| Jose Adolfo Acebras Alva | Registered representative | Feb 2023 (3y) | ||
| Joseph Estabillo | Registered representative | Feb 2023 (3y) | ||
| Juana Diez De Onate | Registered representative | Feb 2023 (3y) | ||
| Anne Elizabeth Harris | Registered representative | Feb 2023 (3y) | ||
| Dennis Michael Clapp | Registered representative | CFP | Feb 2023 (3y) | |
| Edward Duffy | Registered representative | Feb 2023 (3y) | ||
| Meghan Bailey Westervelt | Registered representative | Feb 2023 (3y) | ||
| Robert Michael John Tanner | Registered representative | Feb 2023 (3y) | ||
| Thuy Thanh Do | Registered representative | Feb 2023 (3y) | ||
| Brent Herbert | Registered representative | Feb 2023 (3y) | ||
| Christian Beecher | Registered representative | Feb 2023 (3y) | ||
| Jeremy A. Crum | Registered representative | Feb 2023 (3y) | ||
| Kelsey Marie Skorodziyevskiy | Registered representative | CFP | Feb 2023 (3y) | |
| Michael Saba | Registered representative | Feb 2023 (3y) | ||
| Owen Charles Waits | Registered representative | Feb 2023 (3y) | ||
| Sakshi Chaudhry | Registered representative | Feb 2023 (3y) | ||
| Stefano D'amato | Registered representative | Feb 2023 (3y) | ||
| Sylvia Korkor Aryee | Registered representative | Feb 2023 (3y) | ||
| Brian S. Linville | Registered representative | Feb 2023 (3y) | ||
| Alanah Simmons | Registered representative | Feb 2023 (3y) | ||
| Daniel Craig Wasser | Registered representative | Feb 2023 (3y) | ||
| Henry Adams | Registered representative | Feb 2023 (3y) | ||
| Janely Marin | Registered representative | Feb 2023 (3y) | ||
| Aamir Mansoor Hasanali | Registered representative | Mar 2023 (3y) | ||
| Christopher Vasquez | Registered representative | Mar 2023 (3y) | ||
| Catherine H Ferguson | Registered representative | Mar 2023 (3y) | ||
| Nicholas Gilligan | Registered representative | Mar 2023 (3y) | ||
| Ryan Arthur Cosola | Registered representative | Mar 2023 (3y) | ||
| Robert E Gleeson | Registered representative | Mar 2023 (3y) | ||
| Sarah Lucia Barbey | Registered representative | Mar 2023 (3y) | ||
| Swapna Uppalapati | Registered representative | Mar 2023 (3y) | ||
| Thao Nguyen | Registered representative | Mar 2023 (3y) | ||
| Daniel S Levine | Registered representative | Mar 2023 (3y) | ||
| Lorna G. Rein | Registered representative | Mar 2023 (3y) | ||
| Maxwell Gilbertson | Registered representative | Mar 2023 (3y) | ||
| Michael V Peterson | Registered representative | Mar 2023 (3y) | ||
| Sukhpreet Singh Sangha | Registered representative | Mar 2023 (3y) | ||
| Bryan Patrick Gately | Registered representative | Mar 2023 (3y) | ||
| Casey Smyth | Registered representative | Mar 2023 (3y) | ||
| Elizabeth Morgan Madison | Registered representative | CFP | Mar 2023 (3y) | |
| Hagop Harout Balabanian | Registered representative | Mar 2023 (3y) | ||
| James V Conlan | Registered representative | Mar 2023 (3y) | ||
| Jason Russell Williams | Registered representative | Mar 2023 (3y) | ||
| John S Hoover | Registered representative | CFP CFA | Mar 2023 (3y) | |
| Stephen R. Fernandes | Registered representative | Mar 2023 (3y) | ||
| Andrew P. Arnold | Registered representative | Mar 2023 (3y) | ||
| Brian Patrick Mcpartland | Registered representative | Mar 2023 (3y) | ||
| Joel West | Registered representative | Mar 2023 (3y) | ||
| Livia Mendes Mansur | Registered representative | Mar 2023 (3y) | ||
| Ryan Bearden | Registered representative | Mar 2023 (3y) | ||
| Stephen Walsh | Registered representative | Mar 2023 (3y) | ||
| Thomas Joseph Mackuse | Registered representative | Mar 2023 (3y) | ||
| Vertell Stinson | Registered representative | Mar 2023 (3y) | ||
| Zachary Silver | Registered representative | Mar 2023 (3y) | ||
| Billy Elmer | Registered representative | Mar 2023 (3y) | ||
| Dawn Marie Chaltraw Levy | Registered representative | Mar 2023 (3y) | ||
| Naomi Boateng | Registered representative | Mar 2023 (3y) | ||
| Daniel Kaufman | Registered representative | Mar 2023 (3y) | ||
| Ebrima Satang Touray | Registered representative | Mar 2023 (3y) | ||
| Juneil Lee | Registered representative | Mar 2023 (3y) | ||
| Kavitha Raghukanth | Registered representative | Mar 2023 (3y) | ||
| Kyle Croushore | Registered representative | Mar 2023 (3y) | ||
| Maria L. Arellano | Registered representative | Mar 2023 (3y) | ||
| Brendan M. Shepherd | Registered representative | Mar 2023 (3y) | ||
| Joshua Bloom | Registered representative | Mar 2023 (3y) | ||
| Taylor Hope Herring | Registered representative | Mar 2023 (3y) | ||
| Tyler Giese | Registered representative | Mar 2023 (3y) | ||
| De Nesha J Rodriguez | Registered representative | Mar 2023 (3y) | ||
| Joshua Watson | Registered representative | Mar 2023 (3y) | ||
| Katherine Elizabeth Mc Connaughy | Registered representative | Mar 2023 (3y) | ||
| Lauren Ivellisse Dumas | Registered representative | Mar 2023 (3y) | ||
| Regina Nuriyeva | Registered representative | Mar 2023 (3y) | ||
| Cesar Humberto Dextre Beteta | Registered representative | Mar 2023 (3y) | ||
| Danila Danesi | Registered representative | Mar 2023 (3y) | ||
| Dimitri Zogos | Registered representative | Mar 2023 (3y) | ||
| Edgar Guillermo Hernandez | Registered representative | Mar 2023 (3y) | ||
| Feng Liu | Registered representative | Mar 2023 (3y) | ||
| Maxwell Hampton | Registered representative | Mar 2023 (3y) | ||
| Megan Marie Viviano | Registered representative | Mar 2023 (3y) | ||
| Nirmal Patel | Registered representative | Mar 2023 (3y) | ||
| Scott Leland Mc Ginty | Registered representative | Mar 2023 (3y) | ||
| Brooke Katherine Reeb | Registered representative | Mar 2023 (3y) | ||
| Lanh Nguyen | Registered representative | Mar 2023 (3y) | ||
| Christien Bryant | Registered representative | Mar 2023 (3y) | ||
| Gregory Walsh | Registered representative | Mar 2023 (3y) | ||
| Johnny Man | Registered representative | Mar 2023 (3y) | ||
| Maninder Kaur Gill | Registered representative | Mar 2023 (3y) | ||
| Matthew Spellman | Registered representative | CFP | Mar 2023 (3y) | |
| Renato Obando | Registered representative | Mar 2023 (3y) | ||
| Alexander Smith | Registered representative | Mar 2023 (3y) | ||
| Andrea Loynaz Gendell | Registered representative | Mar 2023 (3y) | ||
| Julian D. Naiken | Registered representative | Mar 2023 (3y) | ||
| Madison Campbell | Registered representative | Mar 2023 (3y) | ||
| Matthew Arbucci | Registered representative | Mar 2023 (3y) | ||
| Torrec Sontiest Hawkins | Registered representative | Mar 2023 (3y) | ||
| Bradley Sznajder | Registered representative | Mar 2023 (3y) | ||
| Jesus A Cabrera | Registered representative | Mar 2023 (3y) | ||
| Nino Lekarczyk | Registered representative | Mar 2023 (3y) | ||
| Pedro Andres Fernandez | Registered representative | Mar 2023 (3y) | ||
| Samantha Pelligrino Mc Guire | Registered representative | Mar 2023 (3y) | ||
| Zachary Porter | Registered representative | Mar 2023 (3y) | ||
| Alexander Michael Brown | Registered representative | Mar 2023 (3y) | ||
| Andrew K Han | Registered representative | Mar 2023 (3y) | ||
| Bailey Madison Meade | Registered representative | Mar 2023 (3y) | ||
| Charlene Meizoso | Registered representative | Mar 2023 (3y) | ||
| Gaven Helring | Registered representative | Mar 2023 (3y) | ||
| Jamie Goris | Registered representative | Mar 2023 (3y) | ||
| Melinda Lee | Registered representative | Mar 2023 (3y) | ||
| Michelle Romo Rodriguez | Registered representative | Mar 2023 (3y) | ||
| Rory Michael Cohoon | Registered representative | Mar 2023 (3y) | ||
| Ryan Holloway Cox | Registered representative | Mar 2023 (3y) | ||
| Stacey Salwiesz | Registered representative | Mar 2023 (3y) | ||
| Stephen Council | Registered representative | Mar 2023 (3y) | ||
| Trevor Robert Wertheimer | Registered representative | Mar 2023 (3y) | ||
| Edgar Silva Cepeda | Registered representative | Mar 2023 (3y) | ||
| Eli Mercado | Registered representative | Mar 2023 (3y) | ||
| Kimberly Brooke Davis | Registered representative | Mar 2023 (3y) | ||
| Xexilia Barajas | Registered representative | CFP | Mar 2023 (3y) | |
| Alexandria M Szafranski | Registered representative | Mar 2023 (3y) | ||
| Ashley Matheis | Registered representative | Mar 2023 (3y) | ||
| Douglas Falconer Di Sesa | Registered representative | Mar 2023 (3y) | ||
| Pablo De La Llama | Registered representative | Mar 2023 (3y) | ||
| Angelica Louise Wolfe | Registered representative | Mar 2023 (3y) | ||
| Angelo Calderone | Registered representative | Mar 2023 (3y) | ||
| Benjamin Mc Callister | Registered representative | Mar 2023 (3y) | ||
| Jeremiah Matthew Jurevis | Registered representative | Mar 2023 (3y) | ||
| Martina Yorde Rincon | Registered representative | Mar 2023 (3y) | ||
| Sharon R. Shear | Registered representative | Mar 2023 (3y) | ||
| Xing Liu | Registered representative | Mar 2023 (3y) | ||
| Zelidhet Ocasio | Registered representative | Mar 2023 (3y) | ||
| Abdullah Hashmi | Registered representative | Mar 2023 (3y) | ||
| Alexander L King | Registered representative | Mar 2023 (3y) | ||
| Daniel Oliff Klein | Registered representative | Mar 2023 (3y) | ||
| Eugene Kim | Registered representative | Mar 2023 (3y) | ||
| Harrison William Katz | Registered representative | Mar 2023 (3y) | ||
| Jonathan Feldman | Registered representative | Mar 2023 (3y) | ||
| Lee Scott Bolnick | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Saori Dan | Registered representative | Mar 2023 (3y) | ||
| Zachary Mullaney | Registered representative | Mar 2023 (3y) | ||
| Carolin R Almonte | Registered representative | Mar 2023 (3y) | ||
| Chuan Yin | Registered representative | Mar 2023 (3y) | ||
| Dave Grimes | Registered representative | Mar 2023 (3y) | ||
| Derek A. Kraemer | Registered representative | Mar 2023 (3y) | ||
| Josue A. Jauregui | Registered representative | Mar 2023 (3y) | ||
| Kraig Vanatti | Registered representative | Mar 2023 (3y) | ||
| Paul Steve Ochoa | Registered representative | Mar 2023 (3y) | ||
| Gregory Leo Cattel | Registered representative | Mar 2023 (3y) | ||
| Keith M. Fiala | Registered representative | Mar 2023 (3y) | ||
| Matthew Phillip Webster Hare | Registered representative | CFA | Mar 2023 (3y) | |
| Simone Martins Melo | Registered representative | Mar 2023 (3y) | ||
| Yash Ajmeri | Registered representative | Mar 2023 (3y) | ||
| Eliyahu Ishakis | Registered representative | Mar 2023 (3y) | ||
| Justin Maidlow | Registered representative | Mar 2023 (3y) | ||
| Robert Stuart Jamison | Registered representative | Mar 2023 (3y) | ||
| Valentina Petrova | Registered representative | Mar 2023 (3y) | ||
| Ariel Samuel Shaltiel | Registered representative | Mar 2023 (3y) | ||
| Daniel Ryan King | Registered representative | Mar 2023 (3y) | ||
| Douglas Steven Bobrow | Registered representative | Mar 2023 (3y) | ||
| Flavia Cardozo | Registered representative | Mar 2023 (3y) | ||
| Gina Jamurath | Registered representative | Mar 2023 (3y) | ||
| Jared Greagan | Registered representative | Mar 2023 (3y) | ||
| Myron Damone Hill | Registered representative | Mar 2023 (3y) | ||
| Mark Agnew | Registered representative | CFP | Mar 2023 (3y) | |
| Ryan A Salinas | Registered representative | Mar 2023 (3y) | ||
| Brian Michael Duff | Registered representative | CFA | Mar 2023 (3y) | |
| Brian Mauthe | Registered representative | Mar 2023 (3y) | ||
| Bryan Rooney | Registered representative | Mar 2023 (3y) | ||
| Destiny Manns | Registered representative | Mar 2023 (3y) | ||
| Diego Jose Aparicio | Registered representative | Mar 2023 (3y) | ||
| Kylie E Jenkins | Registered representative | CFA | Mar 2023 (3y) | |
| Lucia V Lena | Registered representative | Mar 2023 (3y) | ||
| Michelle Correa | Registered representative | Mar 2023 (3y) | ||
| Michael Valentini | Registered representative | Mar 2023 (3y) | ||
| Patricia Ann Koble | Registered representative | Mar 2023 (3y) | ||
| Shuping Shen | Registered representative | Mar 2023 (3y) | ||
| Garret Collins | Registered representative | Apr 2023 (3y) | ||
| Pierce Faragasso | Registered representative | Apr 2023 (3y) | ||
| Ashley Jean Gaszak | Registered representative | Apr 2023 (3y) | ||
| Andres Alfonzo | Registered representative | Apr 2023 (3y) | ||
| Clayton Morris | Registered representative | Apr 2023 (3y) | ||
| Eileen Siok Ling Lim | Registered representative | Apr 2023 (3y) | ||
| Elizabeth Lesar | Registered representative | Apr 2023 (3y) | ||
| Esteban Muniz | Registered representative | Apr 2023 (3y) | ||
| Jessica Chang | Registered representative | Apr 2023 (3y) | ||
| Juliana Ramirez | Registered representative | Apr 2023 (3y) | ||
| Jason Arayata | Registered representative | Apr 2023 (3y) | ||
| Peter J. Frac | Registered representative | Apr 2023 (3y) | ||
| Reginald Boateng | Registered representative | Apr 2023 (3y) | ||
| Ryan Campbell | Registered representative | Apr 2023 (3y) | ||
| Shauna Kohanchi | Registered representative | Apr 2023 (3y) | ||
| Steven Moone | Registered representative | Apr 2023 (3y) | ||
| Tauheed Baukman | Registered representative | Apr 2023 (3y) | ||
| Alina Badretdinova | Registered representative | Apr 2023 (3y) | ||
| Adam Broughton | Registered representative | Apr 2023 (3y) | ||
| Andrew S. Ulland | Registered representative | Apr 2023 (3y) | ||
| Benjamin Oscar Brown | Registered representative | Apr 2023 (3y) | ||
| Brandon Kupfer | Registered representative | Apr 2023 (3y) | ||
| Daniel Alejandro Ramirez | Registered representative | Apr 2023 (3y) | ||
| Diago Mosqueira Villegas | Registered representative | Apr 2023 (3y) | ||
| Jordan Arthur | Registered representative | Apr 2023 (3y) | ||
| Nicholas Kollias | Registered representative | Apr 2023 (3y) | ||
| Rachel Ann Torres | Registered representative | Apr 2023 (3y) | ||
| William P Anderson | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Yves Moon | Registered representative | Apr 2023 (3y) | ||
| Zachary Chafitz | Registered representative | Apr 2023 (3y) | ||
| Annabelle Slater | Registered representative | Apr 2023 (3y) | ||
| Brian K. Jones | Registered representative | Apr 2023 (3y) | ||
| Eric Todd Gorman | Registered representative | Apr 2023 (3y) | ||
| Gorav Baidwan | Registered representative | Apr 2023 (3y) | ||
| Princess Roberts | Registered representative | Apr 2023 (3y) | ||
| Vince Agagnina | Registered representative | Apr 2023 (3y) | ||
| Bryan Carl Henrick | Registered representative | Apr 2023 (3y) | ||
| Joshua Ernest | Registered representative | Apr 2023 (3y) | ||
| Lauren Zakarian Cogswell | Registered representative | Apr 2023 (3y) | ||
| Mikaela Gaona | Registered representative | Apr 2023 (3y) | ||
| Nelson A. Armijos | Registered representative | Apr 2023 (3y) | ||
| Hugh Chapman | Registered representative | Apr 2023 (3y) | ||
| Jerome P Villella | Registered representative | Apr 2023 (3y) | ||
| Martina Munoz | Registered representative | Apr 2023 (3y) | ||
| Debra Delgiudice Hanaford | Registered representative | Apr 2023 (3y) | ||
| Kevin G. Rieger | Registered representative | Apr 2023 (3y) | ||
| Molly T. Piech | Registered representative | Apr 2023 (3y) | ||
| Brandi Hernandez Acevedo | Registered representative | Apr 2023 (3y) | ||
| Brandon Gene Baker | Registered representative | Apr 2023 (3y) | ||
| Brendan Ramusevic | Registered representative | CFP | Apr 2023 (3y) | |
| Eric Yamin | Registered representative | Apr 2023 (3y) | ||
| John Mc Near | Registered representative | Apr 2023 (3y) | ||
| Keith Caparelli | Registered representative | CFP | Apr 2023 (3y) | |
| Paul Lauster | Registered representative | Apr 2023 (3y) | ||
| Serena Di Bianco | Registered representative | Apr 2023 (3y) | ||
| Tammy Brooks Cisneros | Registered representative | Apr 2023 (3y) | ||
| Ailena Ashley Ray | Registered representative | Apr 2023 (3y) | ||
| Lillian Simone Bloomberg | Registered representative | Apr 2023 (3y) | ||
| Mitra Diana Ghadjar | Registered representative | Apr 2023 (3y) | ||
| Patricia Nicole Tolbert | Registered representative | Apr 2023 (3y) | ||
| Anthony Joseph Charles | Registered representative | Apr 2023 (3y) | ||
| Andres E. Ros | Registered representative | Apr 2023 (3y) | ||
| Kelly Joy Legaye | Registered representative | Apr 2023 (3y) | ||
| Lori Ann Mc Guinness | Registered representative | Apr 2023 (3y) | ||
| Arthur J. Andrews | Registered representative | Apr 2023 (3y) | ||
| Gina Frances Fochetta | Registered representative | Apr 2023 (3y) | ||
| Julian Meir Dahan | Registered representative | Apr 2023 (3y) | ||
| Liliya Leontyeva | Registered representative | Apr 2023 (3y) | ||
| Matthew Braxton | Registered representative | Apr 2023 (3y) | ||
| Adrian A Caldera | Registered representative | Apr 2023 (3y) | ||
| Aaron Vilinsky | Registered representative | Apr 2023 (3y) | ||
| Maria Luiza Bezerra | Registered representative | Apr 2023 (3y) | ||
| Parinaz Toohidlou | Registered representative | Apr 2023 (3y) | ||
| Sean Michael Gilligan | Registered representative | Apr 2023 (3y) | ||
| Suzana Teixeira Kovatch | Registered representative | CFA | Apr 2023 (3y) | |
| Douglas Krantz | Registered representative | Apr 2023 (3y) | ||
| Franklynn Kasel | Registered representative | Apr 2023 (3y) | ||
| Jacqueline Davis Centauro | Registered representative | Apr 2023 (3y) | ||
| Karen Sue Thrun | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Scott Andrew Meenan | Registered representative | Apr 2023 (3y) | ||
| Kandace M Lesher | Registered representative | Apr 2023 (3y) | ||
| Maureen L. O'donnell | Registered representative | Apr 2023 (3y) | ||
| Michael M. Raleigh | Registered representative | Apr 2023 (3y) | ||
| Antoine Rosa | Registered representative | Apr 2023 (3y) | ||
| Hope C Bellelo | Registered representative | Apr 2023 (3y) | ||
| Justin D Nelson | Registered representative | Apr 2023 (3y) | ||
| Ryan Joseph Travis | Registered representative | Apr 2023 (3y) | ||
| William Thomas Mcintyre | Registered representative | Apr 2023 (3y) | ||
| Grant Turner Busch | Registered representative | Apr 2023 (3y) | ||
| James Kanai | Registered representative | Apr 2023 (3y) | ||
| Sarah Kate Massey | Registered representative | Apr 2023 (3y) | ||
| Stephen Dalziel | Registered representative | Apr 2023 (3y) | ||
| Valerie Rivas | Registered representative | Apr 2023 (3y) | ||
| Vinod Kumar Singh | Registered representative | Apr 2023 (3y) | ||
| Andres Macias | Registered representative | Apr 2023 (3y) | ||
| Anthony Palmucci | Registered representative | Apr 2023 (3y) | ||
| Catherine Chase Kramer | Registered representative | Apr 2023 (3y) | ||
| Daniel Chang | Registered representative | CFP CFA | Apr 2023 (3y) | |
| Daniel Hamm | Registered representative | Apr 2023 (3y) | ||
| Joao Felipe De Avilez Demoro | Registered representative | Apr 2023 (3y) | ||
| Kathleen M Black | Registered representative | Apr 2023 (3y) | ||
| Lizbeth H Perez | Registered representative | Apr 2023 (3y) | ||
| Mehrdad Varzi | Registered representative | Apr 2023 (3y) | ||
| Michael Zamolo | Registered representative | CFP | Apr 2023 (3y) | |
| Mike Rubin | Registered representative | Apr 2023 (3y) | ||
| Mikhail M Konev | Registered representative | Apr 2023 (3y) | ||
| Nina Joy Rapaport | Registered representative | Apr 2023 (3y) | ||
| Patrick Gorand | Registered representative | Apr 2023 (3y) | ||
| Steven E Morgan | Registered representative | Apr 2023 (3y) | ||
| Wendi Lohmar | Registered representative | Apr 2023 (3y) | ||
| Yanira Rojas | Registered representative | Apr 2023 (3y) | ||
| Adam Naanaa | Registered representative | Apr 2023 (3y) | ||
| Beatriz Arroyo Barbosa Goulart | Registered representative | Apr 2023 (3y) | ||
| Elizabeth Ramge | Registered representative | Apr 2023 (3y) | ||
| Javier Ramirez | Registered representative | Apr 2023 (3y) | ||
| Patrick A Quinn | Registered representative | Apr 2023 (3y) | ||
| Sarah Hatch | Registered representative | Apr 2023 (3y) | ||
| Andrew Leith Kronenberg | Registered representative | Apr 2023 (3y) | ||
| Anthony J Martinez | Registered representative | Apr 2023 (3y) | ||
| Holly B. Hurley | Registered representative | Apr 2023 (3y) | ||
| Lucas J. Hiler | Registered representative | Apr 2023 (3y) | ||
| Thomas Haskell Mac Cowatt | Registered representative | Apr 2023 (3y) | ||
| Thomas Irving | Registered representative | Apr 2023 (3y) | ||
| Nicholas Jackson | Registered representative | Apr 2023 (3y) | ||
| Henry Valentine Becker | Registered representative | CFP | May 2023 (3y) | |
| Mathew Kraut | Registered representative | May 2023 (3y) | ||
| Arnold Javier Fernandez Fuentes | Registered representative | May 2023 (3y) | ||
| Daria Koroleva Burns | Registered representative | May 2023 (3y) | ||
| James M Aarsen | Registered representative | May 2023 (3y) | ||
| Julian Kim | Registered representative | May 2023 (3y) | ||
| Ricardo M Barragan | Registered representative | May 2023 (3y) | ||
| Timothy Robbins | Registered representative | May 2023 (3y) | ||
| Elizabeth M Schaab | Registered representative | May 2023 (3y) | ||
| Kevin Jezek | Registered representative | May 2023 (3y) | ||
| Oumar Diaby | Registered representative | May 2023 (3y) | ||
| Quenton Ford | Registered representative | May 2023 (3y) | ||
| Salomon Cazares | Registered representative | May 2023 (3y) | ||
| Elisabeth Buckingham Sampson | Registered representative | May 2023 (3y) | ||
| Jeremy Burnett | Registered representative | May 2023 (3y) | ||
| Jeremy Park | Registered representative | May 2023 (3y) | ||
| Mark Moroni | Registered representative | May 2023 (3y) | ||
| Sebastian Antonio Galarce | Registered representative | May 2023 (3y) | ||
| Brandon David Perdue | Registered representative | May 2023 (3y) | ||
| Charles J Campbell | Registered representative | May 2023 (3y) | ||
| Jennifer A. Kasun | Registered representative | May 2023 (3y) | ||
| Julia Brooke Garfinkle | Registered representative | May 2023 (3y) | ||
| Christina Alicia Deaver | Registered representative | May 2023 (3y) | ||
| William Alexander Santos | Registered representative | May 2023 (3y) | ||
| Brian Cama Stanley | Registered representative | May 2023 (3y) | ||
| Daryl Choi | Registered representative | May 2023 (3y) | ||
| Dhruv Rao | Registered representative | May 2023 (3y) | ||
| Drew Wilder | Registered representative | May 2023 (3y) | ||
| Iva Cuko | Registered representative | May 2023 (3y) | ||
| Jacob Morgan Shoup | Registered representative | May 2023 (3y) | ||
| Jonathan G Miller | Registered representative | May 2023 (3y) | ||
| Krystle Siobhan Pierce | Registered representative | May 2023 (3y) | ||
| Matthew Ryan Brewer | Registered representative | May 2023 (3y) | ||
| Rachel Stern | Registered representative | May 2023 (3y) | ||
| Robert S. Jones | Registered representative | May 2023 (3y) | ||
| Sitalakshmi Arumugam | Registered representative | May 2023 (3y) | ||
| Wendy Liebowitz | Registered representative | CFP | May 2023 (3y) | |
| William R. Whitworth | Registered representative | May 2023 (3y) | ||
| Gene Paul Serrell | Registered representative | May 2023 (3y) | ||
| Michael J. Valentin | Registered representative | May 2023 (3y) | ||
| Robert Eugene Langdon | Registered representative | May 2023 (3y) | ||
| Stuti Mahajan | Registered representative | May 2023 (3y) | ||
| Mike Reiss | Registered representative | May 2023 (3y) | ||
| Mohammad Asif Hassan Sheikh | Registered representative | May 2023 (3y) | ||
| Chun Hin Pui | Registered representative | May 2023 (3y) | ||
| Evan Scott Moretti | Registered representative | May 2023 (3y) | ||
| Edward Doran | Registered representative | May 2023 (3y) | ||
| Edward H. Arnold | Registered representative | CFP | May 2023 (3y) | |
| Jessica Lis | Registered representative | May 2023 (3y) | ||
| Katherine Furlong Meskell | Registered representative | May 2023 (3y) | ||
| Matthieu Charles Armstrong | Registered representative | May 2023 (3y) | ||
| Machelle Ann Reed | Registered representative | May 2023 (3y) | ||
| Nana Adae | Registered representative | May 2023 (3y) | ||
| Steve Fortilus | Registered representative | May 2023 (3y) | ||
| William Anthony Ryan | Registered representative | May 2023 (3y) | ||
| Zoumana Nala Berte | Registered representative | May 2023 (3y) | ||
| Brandon Lydick | Registered representative | CFA | May 2023 (3y) | |
| Matt T Duisen | Registered representative | May 2023 (3y) | ||
| Ritu Pawa | Registered representative | May 2023 (3y) | ||
| Stephen Hilles | Registered representative | May 2023 (3y) | ||
| Henry Bryant Ferris | Registered representative | May 2023 (3y) | ||
| Jason C. Golz | Registered representative | May 2023 (3y) | ||
| Kevin T Gulyas | Registered representative | May 2023 (3y) | ||
| Sandra M. Ferraguti | Registered representative | May 2023 (3y) | ||
| Tuong Vy Moats | Registered representative | May 2023 (3y) | ||
| Andrew D. Hayes | Registered representative | May 2023 (3y) | ||
| Ari J. Goldfine | Registered representative | May 2023 (3y) | ||
| Cailin Mallory Hooper | Registered representative | May 2023 (3y) | ||
| Evan A. Maroney | Registered representative | May 2023 (3y) | ||
| Iosua Alex Temneanu | Registered representative | May 2023 (3y) | ||
| Joseph R Everhart | Registered representative | May 2023 (3y) | ||
| Klint B Rhodes | Registered representative | May 2023 (3y) | ||
| Qingfeng Lin | Registered representative | May 2023 (3y) | ||
| Brendon Earl Dawson | Registered representative | May 2023 (3y) | ||
| Hannah Fortgang | Registered representative | May 2023 (3y) | ||
| Juan Francisco Martin | Registered representative | May 2023 (3y) | ||
| Patrick Gordon | Registered representative | May 2023 (3y) | ||
| Arathi Bezwada | Registered representative | May 2023 (3y) | ||
| Brian Pineiro | Registered representative | May 2023 (3y) | ||
| Charles James Rechtiene | Registered representative | May 2023 (3y) | ||
| Ernesto A. Martinez | Registered representative | May 2023 (3y) | ||
| Noor Ali Ismail | Registered representative | CFP | May 2023 (3y) | |
| Brian Keenan | Registered representative | May 2023 (3y) | ||
| Hunter Patrick Ricks | Registered representative | May 2023 (3y) | ||
| Harrison Howard | Registered representative | May 2023 (3y) | ||
| Kyle E. Hitchcock | Registered representative | May 2023 (3y) | ||
| Matthew Mc Donald | Registered representative | May 2023 (3y) | ||
| Michael Zito | Registered representative | May 2023 (3y) | ||
| Renee O Connor | Registered representative | May 2023 (3y) | ||
| Sebastian Davalos | Registered representative | May 2023 (3y) | ||
| Timothy Brian Hartnett | Registered representative | May 2023 (3y) | ||
| Whitney Wright Allen | Registered representative | May 2023 (3y) | ||
| William Mc Guinn | Registered representative | May 2023 (3y) | ||
| Zachary La Salvia | Registered representative | May 2023 (3y) | ||
| Monica Badia Rodarte | Registered representative | May 2023 (3y) | ||
| David Straub | Registered representative | May 2023 (3y) | ||
| Dayton Hoell | Registered representative | May 2023 (3y) | ||
| Giovany Giron | Registered representative | May 2023 (3y) | ||
| Jason Allen Egnew | Registered representative | May 2023 (3y) | ||
| Joseph Steven Dokken | Registered representative | May 2023 (3y) | ||
| James Homfeldt | Registered representative | May 2023 (3y) | ||
| Jason Sandolo | Registered representative | CFA | May 2023 (3y) | |
| Lydia Varga | Registered representative | May 2023 (3y) | ||
| Lauren N. Parisi | Registered representative | CFA | May 2023 (3y) | |
| Robert Albert Devautour | Registered representative | May 2023 (3y) | ||
| Vincent J Mc Guinness | Registered representative | May 2023 (3y) | ||
| David Andrew | Registered representative | May 2023 (3y) | ||
| Kyle M Bennett | Registered representative | May 2023 (3y) | ||
| Lawrence Richard Louzon | Registered representative | May 2023 (3y) | ||
| Scottie Bayles | Registered representative | May 2023 (3y) | ||
| Antonio F Carbone | Registered representative | May 2023 (3y) | ||
| Brittany Bossard | Registered representative | May 2023 (3y) | ||
| Daniel Brous | Registered representative | May 2023 (3y) | ||
| Daniel P Crooks | Registered representative | May 2023 (3y) | ||
| James M. Eustice | Registered representative | May 2023 (3y) | ||
| Philip James Baity | Registered representative | May 2023 (3y) | ||
| Adam M. Albert | Registered representative | May 2023 (3y) | ||
| Adonis Alberto Blanco Jimenez | Registered representative | May 2023 (3y) | ||
| Andrea F Kelble | Registered representative | CFA | May 2023 (3y) | |
| James Wiggins | Registered representative | May 2023 (3y) | ||
| Matthew A. Kirschbaum | Registered representative | May 2023 (3y) | ||
| Stefan Alexander Shrivastava | Registered representative | May 2023 (3y) | ||
| Jonathan J. Guida | Registered representative | May 2023 (3y) | ||
| Mohamed Aboulwafa | Registered representative | May 2023 (3y) | ||
| David Collier | Registered representative | May 2023 (3y) | ||
| Tye Mc Clure | Registered representative | May 2023 (3y) | ||
| Victor Adewunmi | Registered representative | May 2023 (3y) | ||
| Vilani Fernando Perera | Registered representative | May 2023 (3y) | ||
| Emily Park | Registered representative | May 2023 (3y) | ||
| Gabriela Mercedez Calderin | Registered representative | May 2023 (3y) | ||
| Harrison Wilkes Evans | Registered representative | May 2023 (3y) | ||
| Jose M Del Cid Pineda | Registered representative | May 2023 (3y) | ||
| Justin Baird | Registered representative | May 2023 (3y) | ||
| Liliana Burneo Brown | Registered representative | May 2023 (3y) | ||
| Marcel Brown | Registered representative | May 2023 (3y) | ||
| Matthew Wloch | Registered representative | May 2023 (3y) | ||
| Parker Garlock | Registered representative | May 2023 (3y) | ||
| Stephen P Hess | Registered representative | May 2023 (3y) | ||
| Zachary Blakemore | Registered representative | May 2023 (3y) | ||
| Abraham Gamez | Registered representative | CFP | Jun 2023 (3y) | |
| Eric Fuentes | Registered representative | Jun 2023 (3y) | ||
| Gregory Robert Watch | Registered representative | Jun 2023 (3y) | ||
| Jonathan David Adams | Registered representative | Jun 2023 (3y) | ||
| Lulu Xiong | Registered representative | Jun 2023 (3y) | ||
| Lyndon J Westerberg | Registered representative | CFA | Jun 2023 (3y) | |
| Matthew M. Roddy | Registered representative | Jun 2023 (3y) | ||
| Preston Joseph Pavlat | Registered representative | Jun 2023 (3y) | ||
| Rong Lu | Registered representative | Jun 2023 (3y) | ||
| Weijian Yu | Registered representative | Jun 2023 (3y) | ||
| Jennefer Christina Figuereo | Registered representative | Jun 2023 (3y) | ||
| Julia Mayol | Registered representative | Jun 2023 (3y) | ||
| Michael Kilduff | Registered representative | Jun 2023 (3y) | ||
| Nicholas Thompson | Registered representative | Jun 2023 (3y) | ||
| Steven Gallegos | Registered representative | Jun 2023 (3y) | ||
| Benjamin Garrett Price | Registered representative | Jun 2023 (3y) | ||
| Daydeon L Baron Galbavi | Registered representative | Jun 2023 (3y) | ||
| James Thomas Downham | Registered representative | Jun 2023 (3y) | ||
| John Montalvo | Registered representative | Jun 2023 (3y) | ||
| Alexander Schwarz | Registered representative | Jun 2023 (3y) | ||
| Alexis Carolina Martinez | Registered representative | Jun 2023 (3y) | ||
| Bradley Morgan Wellens | Registered representative | CFP | Jun 2023 (3y) | |
| Charalambos Ioannou Charalambous | Registered representative | Jun 2023 (3y) | ||
| James Mc Comb | Registered representative | Jun 2023 (3y) | ||
| James R. Cook | Registered representative | Jun 2023 (3y) | ||
| Jordan Christopher Butler | Registered representative | Jun 2023 (3y) | ||
| Nicholas Gianascoli | Registered representative | Jun 2023 (3y) | ||
| Tre Walton | Registered representative | Jun 2023 (3y) | ||
| Andrew Wayland | Registered representative | Jun 2023 (3y) | ||
| Brad Lovingood | Registered representative | Jun 2023 (3y) | ||
| Nathan J. Paulson | Registered representative | Jun 2023 (3y) | ||
| Ryan Istre | Registered representative | Jun 2023 (3y) | ||
| Shawn Michael Bates | Registered representative | Jun 2023 (3y) | ||
| Sarah E. Skeete | Registered representative | Jun 2023 (3y) | ||
| Brian H Mittelstaedt | Registered representative | Jun 2023 (3y) | ||
| Kaylee Lauren Abitz | Registered representative | Jun 2023 (3y) | ||
| Sarah Nolan Larson | Registered representative | Jun 2023 (3y) | ||
| Ben Stewart | Registered representative | Jun 2023 (3y) | ||
| Felicia B. Favorito | Registered representative | Jun 2023 (3y) | ||
| Huimin Lau | Registered representative | Jun 2023 (3y) | ||
| Joseph Spieczny | Registered representative | Jun 2023 (3y) | ||
| Kelli Kline Sarna | Registered representative | Jun 2023 (3y) | ||
| William M. Steinhafel | Registered representative | Jun 2023 (3y) | ||
| Courtney Heard Straus | Registered representative | CFA | Jun 2023 (3y) | |
| John Paxos | Registered representative | Jun 2023 (3y) | ||
| Kyle Schafer | Registered representative | Jun 2023 (3y) | ||
| Lesley Veronica Hill | Registered representative | Jun 2023 (3y) | ||
| Michal Daniel Walaszek | Registered representative | Jun 2023 (3y) | ||
| Surya Koushik Gopineedi | Registered representative | Jun 2023 (3y) | ||
| Wahid Abdul Haidari | Registered representative | Jun 2023 (3y) | ||
| Edward R. Kuzas | Registered representative | Jun 2023 (3y) | ||
| Jocelyn A. Caliel | Registered representative | Jun 2023 (3y) | ||
| Matthew Hanuska | Registered representative | Jun 2023 (3y) | ||
| Myron Kwong | Registered representative | Jun 2023 (3y) | ||
| Salvatore Spatola | Registered representative | Jun 2023 (3y) | ||
| Blake Neal Horner | Registered representative | Jun 2023 (3y) | ||
| Chris Jordan Hibbitts | Registered representative | Jun 2023 (3y) | ||
| John F. Ravara | Registered representative | Jun 2023 (3y) | ||
| Keith Wiley | Registered representative | CFA | Jun 2023 (3y) | |
| Natalie Michelle Staples | Registered representative | CFP | Jun 2023 (3y) | |
| William L. Braude | Registered representative | Jun 2023 (3y) | ||
| Brittany M. Russell | Registered representative | Jun 2023 (3y) | ||
| Christy Sebastian | Registered representative | Jun 2023 (3y) | ||
| Joyce Averna Horn | Registered representative | Jun 2023 (3y) | ||
| Julia Hyland Fox | Registered representative | Jun 2023 (3y) | ||
| Franklin Ewesiobi | Registered representative | Jun 2023 (3y) | ||
| Evan Kurtz | Registered representative | Jun 2023 (3y) | ||
| Joyce Said Ward | Registered representative | Jun 2023 (3y) | ||
| Benjamin Paul Raney | Registered representative | Jun 2023 (3y) | ||
| Candace Doverspike | Registered representative | Jun 2023 (3y) | ||
| Charles J. Reitemeyer | Registered representative | Jun 2023 (3y) | ||
| Daniel Walsh | Registered representative | CFP | Jun 2023 (3y) | |
| Deryl Reynolds | Registered representative | Jun 2023 (3y) | ||
| Fitzgerald Kenny Atwater | Registered representative | Jun 2023 (3y) | ||
| Rafael Aliaga | Registered representative | Jun 2023 (3y) | ||
| Charles A Bullard | Registered representative | Jun 2023 (3y) | ||
| David H. Hill | Registered representative | Jun 2023 (3y) | ||
| Gregg Jason Noyan | Registered representative | Jun 2023 (3y) | ||
| Courtney Michelle Acarregui Tavangaran | Registered representative | Jun 2023 (3y) | ||
| Danielle C. Wright | Registered representative | Jun 2023 (3y) | ||
| Nicolas D De Troye | Registered representative | Jun 2023 (3y) | ||
| Katarina Ivanovich Kern | Registered representative | Jun 2023 (3y) | ||
| Olivia Indelicato | Registered representative | Jun 2023 (3y) | ||
| Samuel Sokchoo Choi | Registered representative | Jun 2023 (3y) | ||
| Charles A Johnson | Registered representative | Jun 2023 (3y) | ||
| David Hussar | Registered representative | Jun 2023 (3y) | ||
| Eric Anderson | Registered representative | Jun 2023 (3y) | ||
| Ian T Macwood | Registered representative | Jun 2023 (3y) | ||
| Jacqueline Austell | Registered representative | Jun 2023 (3y) | ||
| James G Breaux | Registered representative | Jun 2023 (3y) | ||
| Renee Neria | Registered representative | Jun 2023 (3y) | ||
| Rosalinda Kalani | Registered representative | Jun 2023 (3y) | ||
| Samuel Wade Perry | Registered representative | Jun 2023 (3y) | ||
| Diana Yakshimamedova | Registered representative | Jun 2023 (3y) | ||
| Ihor Zbyshko | Registered representative | Jun 2023 (3y) | ||
| Christine Scalley | Registered representative | Jun 2023 (3y) | ||
| Patrick Ryan | Registered representative | Jun 2023 (3y) | ||
| Peter D. Kelly | Registered representative | Jun 2023 (3y) | ||
| Trevion Green | Registered representative | Jun 2023 (3y) | ||
| Marco Narvaez | Registered representative | Jun 2023 (3y) | ||
| Paul Lawrence Nolta | Registered representative | Jul 2023 (3y) | ||
| Andrea Gamez | Registered representative | Jul 2023 (3y) | ||
| Arthur Douglas Jackson | Registered representative | Jul 2023 (3y) | ||
| Adam Mischel | Registered representative | Jul 2023 (3y) | ||
| Beth A. Boyce | Registered representative | Jul 2023 (3y) | ||
| Darren Ray Smith | Registered representative | Jul 2023 (3y) | ||
| Katherine Ginsburg | Registered representative | Jul 2023 (3y) | ||
| Michel Melendez | Registered representative | Jul 2023 (3y) | ||
| Sherman Hasselstrom | Registered representative | Jul 2023 (3y) | ||
| Elizabeth G. Lenrow | Registered representative | Jul 2023 (3y) | ||
| Ariana V. Dean | Registered representative | Jul 2023 (3y) | ||
| David Ambriz | Registered representative | Jul 2023 (3y) | ||
| Jason Aaron Spilbeler | Registered representative | CFA | Jul 2023 (3y) | |
| Jacob Bryan Giesen | Registered representative | Jul 2023 (3y) | ||
| Kenneth Rodriguez | Registered representative | Jul 2023 (3y) | ||
| Max Ian Sobrano | Registered representative | Jul 2023 (3y) | ||
| Vanessa Siu Young | Registered representative | Jul 2023 (3y) | ||
| Alex Gaillard | Registered representative | Jul 2023 (3y) | ||
| Arthur Coates | Registered representative | Jul 2023 (3y) | ||
| Clayton Millen | Registered representative | Jul 2023 (3y) | ||
| Daniel J. Kirk | Registered representative | Jul 2023 (3y) | ||
| Jacob Berkowitz | Registered representative | Jul 2023 (3y) | ||
| Natalia Beatriz Torres Decarlo | Registered representative | Jul 2023 (3y) | ||
| Raymond Anthony Casillas | Registered representative | Jul 2023 (3y) | ||
| Alexander Sesi | Registered representative | Jul 2023 (3y) | ||
| David Reierson Livingston | Registered representative | Jul 2023 (3y) | ||
| Eric Medina | Registered representative | Jul 2023 (3y) | ||
| James Robert Horney | Registered representative | Jul 2023 (3y) | ||
| Jesus J Silva | Registered representative | Jul 2023 (3y) | ||
| Jory Michael Sandusky | Registered representative | Jul 2023 (3y) | ||
| Joseph Signorile | Registered representative | Jul 2023 (3y) | ||
| Anelia Anne Griffith | Registered representative | Jul 2023 (3y) | ||
| Anthony D. Nikic | Registered representative | Jul 2023 (3y) | ||
| Chenell Mc Bean | Registered representative | Jul 2023 (3y) | ||
| Daniel Joseph Drollinger | Registered representative | Jul 2023 (3y) | ||
| Eugenia Markov | Registered representative | Jul 2023 (3y) | ||
| Jake Prescott Coraggio | Registered representative | CFA | Jul 2023 (3y) | |
| Jared Markham | Registered representative | Jul 2023 (3y) | ||
| Jennifer Marie Mendoza | Registered representative | Jul 2023 (3y) | ||
| Marcel G. Laniado | Registered representative | CFA | Jul 2023 (3y) | |
| Patrick Browning | Registered representative | Jul 2023 (3y) | ||
| Charles Alvarez Zamorano | Registered representative | Jul 2023 (3y) | ||
| Sandy M. Davis | Registered representative | Jul 2023 (3y) | ||
| Ashford Fulmer | Registered representative | Jul 2023 (3y) | ||
| Cristian Biondi | Registered representative | Jul 2023 (3y) | ||
| David Morris Margolis | Registered representative | Jul 2023 (3y) | ||
| Joshua Wallace | Registered representative | Jul 2023 (3y) | ||
| Mark Mason Roberts | Registered representative | Jul 2023 (3y) | ||
| Matthew A. Norman | Registered representative | Jul 2023 (3y) | ||
| Ricardo Alberto Marrujo Mexia | Registered representative | Jul 2023 (3y) | ||
| Sohrab Abbas Zarasvand | Registered representative | Jul 2023 (3y) | ||
| Tyler Meeken | Registered representative | Jul 2023 (3y) | ||
| Alexis Wagner | Registered representative | Jul 2023 (3y) | ||
| Bolanle Oyesanya | Registered representative | Jul 2023 (3y) | ||
| Christian Noschese | Registered representative | Jul 2023 (3y) | ||
| Andy C Tembon | Registered representative | Jul 2023 (3y) | ||
| Ashley M Frazier | Registered representative | Jul 2023 (3y) | ||
| Christopher Ferrari | Registered representative | Jul 2023 (3y) | ||
| Elyssa N Kozak | Registered representative | Jul 2023 (3y) | ||
| Issa Kaleh | Registered representative | Jul 2023 (3y) | ||
| Ja Nelle De Mott Mattson | Registered representative | Jul 2023 (3y) | ||
| Jensen James Dansie | Registered representative | Jul 2023 (3y) | ||
| Pilar Macdonald Oppedisano | Registered representative | Jul 2023 (3y) | ||
| Peter J. Donchez | Registered representative | Jul 2023 (3y) | ||
| Mark M. Beatini | Registered representative | CFP | Jul 2023 (3y) | |
| Daniel Correia | Registered representative | Jul 2023 (3y) | ||
| Eric Lim | Registered representative | Jul 2023 (3y) | ||
| Felix Antonio Urena | Registered representative | Jul 2023 (3y) | ||
| Jayashree Balasubramanian | Registered representative | Jul 2023 (3y) | ||
| John T. Rubin | Registered representative | Jul 2023 (3y) | ||
| Kevin Palevsky | Registered representative | Jul 2023 (3y) | ||
| Meghan Elizabeth O'neill | Registered representative | Jul 2023 (3y) | ||
| Robert Di Napoli | Registered representative | Jul 2023 (3y) | ||
| Alenette Acuesta Opena | Registered representative | Jul 2023 (3y) | ||
| Caroline Marie O'brien | Registered representative | Jul 2023 (3y) | ||
| Christopher Derstine | Registered representative | Jul 2023 (3y) | ||
| Matthew Ryan Werther | Registered representative | Jul 2023 (3y) | ||
| Michael Graham | Registered representative | CFP CFA | Jul 2023 (3y) | |
| Nicholas Sorrillo | Registered representative | CFP | Jul 2023 (3y) | |
| Zachary Clyde Culver | Registered representative | Jul 2023 (3y) | ||
| Catherine T Cash | Registered representative | Jul 2023 (3y) | ||
| Jesse O Cooper | Registered representative | Jul 2023 (3y) | ||
| Kevin J. Hughes | Registered representative | Jul 2023 (3y) | ||
| Tarek Alabdullah | Registered representative | Jul 2023 (3y) | ||
| Adriana Rodriguez Brandt | Registered representative | Jul 2023 (3y) | ||
| Ashley Rae Brueckner | Registered representative | Jul 2023 (3y) | ||
| David James Deveau | Registered representative | Jul 2023 (3y) | ||
| Kyle Millar | Registered representative | Jul 2023 (3y) | ||
| Lana Kay Macrum | Registered representative | Jul 2023 (3y) | ||
| Nicholas Sullivan | Registered representative | Jul 2023 (3y) | ||
| Philip John Guarco | Registered representative | Jul 2023 (3y) | ||
| Berent Kowarick | Registered representative | Jul 2023 (3y) | ||
| Brittany Lorraine Urband | Registered representative | Jul 2023 (3y) | ||
| Debora Calles | Registered representative | Jul 2023 (3y) | ||
| Frederic Herbert Parke | Registered representative | Jul 2023 (3y) | ||
| Gil Hazan | Registered representative | Jul 2023 (3y) | ||
| Jay Edwin Siembieda | Registered representative | Jul 2023 (3y) | ||
| Jose D Guevara | Registered representative | Jul 2023 (3y) | ||
| Keri Deni Hawk | Registered representative | Jul 2023 (3y) | ||
| Nineve Benjamin | Registered representative | Jul 2023 (3y) | ||
| Anthony Trimarchi | Registered representative | Jul 2023 (3y) | ||
| Brian James Taylor | Registered representative | Jul 2023 (3y) | ||
| Daniel E. Dudemaine | Registered representative | Jul 2023 (3y) | ||
| David Hudson | Registered representative | Jul 2023 (3y) | ||
| James Walter Fyda | Registered representative | Jul 2023 (3y) | ||
| Shamarr T. Prentice | Registered representative | Jul 2023 (3y) | ||
| Angela Yu | Registered representative | Jul 2023 (3y) | ||
| Enrique Zamora | Registered representative | Jul 2023 (3y) | ||
| Gongju Baek | Registered representative | Jul 2023 (3y) | ||
| Jenny Melany Quimbayo | Registered representative | Jul 2023 (3y) | ||
| Monica Buckhout | Registered representative | Jul 2023 (3y) | ||
| Samantha A. Marino | Registered representative | Jul 2023 (3y) | ||
| Sterling Austin Smith | Registered representative | Jul 2023 (3y) | ||
| Zaman Ali | Registered representative | Jul 2023 (3y) | ||
| Bailey Smith | Registered representative | Jul 2023 (3y) | ||
| Christopher James Nolan | Registered representative | Jul 2023 (3y) | ||
| Debra S Dickerson | Registered representative | Jul 2023 (3y) | ||
| Lauren G. Maggio | Registered representative | Jul 2023 (3y) | ||
| Najma Haneef | Registered representative | Jul 2023 (3y) | ||
| Robert S. Holman | Registered representative | Jul 2023 (3y) | ||
| Robert Weinberg | Registered representative | Jul 2023 (3y) | ||
| Uday V Patel | Registered representative | Jul 2023 (3y) | ||
| Zachary Woolridge | Registered representative | Jul 2023 (3y) | ||
| Joyce Nee Chen | Registered representative | Jul 2023 (3y) | ||
| John G. Snyder | Registered representative | Jul 2023 (3y) | ||
| Breda Blake | Registered representative | Jul 2023 (3y) | ||
| Christopher J. Brandriff | Registered representative | Jul 2023 (3y) | ||
| David Marc Eides | Registered representative | Jul 2023 (3y) | ||
| Ingrida Veizaj | Registered representative | Jul 2023 (3y) | ||
| Ariel Slaton Hennessy | Registered representative | Jul 2023 (3y) | ||
| Andrew Charles Wittenberg | Registered representative | Jul 2023 (3y) | ||
| David T. Tieu | Registered representative | Jul 2023 (3y) | ||
| Lorna Nicol | Registered representative | Jul 2023 (3y) | ||
| Monica C Filpo | Registered representative | Jul 2023 (3y) | ||
| Omar Molina | Registered representative | Jul 2023 (3y) | ||
| Preston C. Came | Registered representative | CFP | Jul 2023 (3y) | |
| Sied Yousef Nasri | Registered representative | Jul 2023 (3y) | ||
| Stephen T Antosh | Registered representative | Jul 2023 (3y) | ||
| Bailey Webster | Registered representative | Aug 2023 (3y) | ||
| Devin J. Thomas | Registered representative | Aug 2023 (3y) | ||
| Fay Fatma Elling | Registered representative | Aug 2023 (3y) | ||
| Fernando Vizcaino | Registered representative | Aug 2023 (3y) | ||
| Jacob Baxter | Registered representative | Aug 2023 (3y) | ||
| Jose De Jesus Lopez Medel | Registered representative | Aug 2023 (3y) | ||
| Kyra Adela Gardner | Registered representative | Aug 2023 (3y) | ||
| Kerri Ma | Registered representative | Aug 2023 (3y) | ||
| Liedena Jacqueline Gonzalez | Registered representative | Aug 2023 (3y) | ||
| Rebecca Lee Thompson | Registered representative | Aug 2023 (3y) | ||
| Sean Antoine | Registered representative | Aug 2023 (3y) | ||
| Tomomi Arata Trudell | Registered representative | Aug 2023 (3y) | ||
| Albert J. Jennings | Registered representative | Aug 2023 (3y) | ||
| Austin Killough | Registered representative | Aug 2023 (3y) | ||
| Brett Ryan Bacon | Registered representative | Aug 2023 (3y) | ||
| Brian Basilio | Registered representative | Aug 2023 (3y) | ||
| Brian James Schreiber | Registered representative | Aug 2023 (3y) | ||
| Dominic Cesidio Eramo | Registered representative | Aug 2023 (3y) | ||
| Frank A Gomez | Registered representative | Aug 2023 (3y) | ||
| Gabriela Smith | Registered representative | Aug 2023 (3y) | ||
| Justin Robert Koroyan | Registered representative | Aug 2023 (3y) | ||
| Krystina Tamayo | Registered representative | Aug 2023 (3y) | ||
| Lauren Elizabeth Paine | Registered representative | Aug 2023 (3y) | ||
| Luis Antonio Jaime | Registered representative | Aug 2023 (3y) | ||
| Malcolm Johnson | Registered representative | Aug 2023 (3y) | ||
| Ryan Featherman | Registered representative | Aug 2023 (3y) | ||
| William Joseph Gradisek | Registered representative | CFA | Aug 2023 (3y) | |
| Zachary Benjamin Genn | Registered representative | Aug 2023 (3y) | ||
| Adrienne Lee | Registered representative | Aug 2023 (3y) | ||
| Berhanu Mekonnen | Registered representative | Aug 2023 (3y) | ||
| Caroline Bluestein | Registered representative | Aug 2023 (3y) | ||
| Daniel F Sivolella | Registered representative | CFA | Aug 2023 (3y) | |
| Daniel Cristiano | Registered representative | CFA | Aug 2023 (3y) | |
| Patrick D. Buss | Registered representative | Aug 2023 (3y) | ||
| Scott K Fogleman | Registered representative | Aug 2023 (3y) | ||
| Taylor Austin Lee | Registered representative | Aug 2023 (3y) | ||
| Laura Ellen Delahanty | Registered representative | Aug 2023 (3y) | ||
| Todd Brown | Registered representative | Aug 2023 (3y) | ||
| Christina Nichols Oelsner | Registered representative | Aug 2023 (3y) | ||
| Piers Cornelius | Registered representative | Aug 2023 (3y) | ||
| Chase Mc Greevey | Registered representative | Aug 2023 (3y) | ||
| Kenneth Michael Moore | Registered representative | Aug 2023 (3y) | ||
| Luke Daniel Morris | Registered representative | Aug 2023 (3y) | ||
| Mikhail Balakirskiy | Registered representative | Aug 2023 (3y) | ||
| Mindy Kate Mammen | Registered representative | Aug 2023 (3y) | ||
| Nathan David Dnistran | Registered representative | Aug 2023 (3y) | ||
| Rachel N Stockton | Registered representative | Aug 2023 (3y) | ||
| Chase Landon Bentley | Registered representative | Aug 2023 (3y) | ||
| Elizabeth Petersen Hoelle | Registered representative | Aug 2023 (3y) | ||
| Gurpreet Singh | Registered representative | Aug 2023 (3y) | ||
| Katharine Anne Myatt | Registered representative | Aug 2023 (3y) | ||
| Mark Cogdill | Registered representative | Aug 2023 (3y) | ||
| Robert James Eschweiler | Registered representative | Aug 2023 (3y) | ||
| Stephen Feinstein | Registered representative | Aug 2023 (3y) | ||
| Andrea Viviana Wiltfong | Registered representative | Aug 2023 (3y) | ||
| Ayesha Rinehart | Registered representative | Aug 2023 (3y) | ||
| Donovan J Strong | Registered representative | Aug 2023 (3y) | ||
| Dustin Ripley | Registered representative | Aug 2023 (3y) | ||
| James Michael Mcintosh | Registered representative | Aug 2023 (3y) | ||
| Renee Milyiori | Registered representative | CFP | Aug 2023 (3y) | |
| Ricardo A Molina | Registered representative | Aug 2023 (3y) | ||
| Scott Bowen | Registered representative | Aug 2023 (3y) | ||
| Selena Marie Williams | Registered representative | Aug 2023 (3y) | ||
| Abby Fitzgerald | Registered representative | Aug 2023 (3y) | ||
| Caroline Coen | Registered representative | Aug 2023 (3y) | ||
| Carolyn Hicks Trammell | Registered representative | Aug 2023 (3y) | ||
| David Aguilera | Registered representative | Aug 2023 (3y) | ||
| Joshua Brandon Wesley | Registered representative | Aug 2023 (3y) | ||
| Juan Fernando Munoz Ruiz | Registered representative | Aug 2023 (3y) | ||
| Leung Lee | Registered representative | Aug 2023 (3y) | ||
| Luis Eduardo Romero Meave | Registered representative | Aug 2023 (3y) | ||
| Robert T Massey | Registered representative | Aug 2023 (3y) | ||
| Xiude Chen | Registered representative | Aug 2023 (3y) | ||
| Katharine Swan Burrage Schmitt | Registered representative | Aug 2023 (3y) | ||
| Vincent Papetti | Registered representative | Aug 2023 (3y) | ||
| Alexandra Levitt Reach | Registered representative | Aug 2023 (3y) | ||
| Ashley Hough Milano | Registered representative | Aug 2023 (3y) | ||
| Candice Travis | Registered representative | Aug 2023 (3y) | ||
| Catarina Peres Valladao | Registered representative | Aug 2023 (3y) | ||
| Cesar Cornejo | Registered representative | Aug 2023 (3y) | ||
| Eric Matthew Shippy | Registered representative | Aug 2023 (3y) | ||
| Jacqueline Y Perrins | Registered representative | Aug 2023 (3y) | ||
| Jeremy Shih Chieh Sandoval Chen | Registered representative | Aug 2023 (3y) | ||
| John Burns | Registered representative | Aug 2023 (3y) | ||
| Katelyn Gatzke | Registered representative | Aug 2023 (3y) | ||
| Mateusz Kajetan Strojek | Registered representative | Aug 2023 (3y) | ||
| William Butler | Registered representative | Aug 2023 (3y) | ||
| Alan Joseph Day | Registered representative | Aug 2023 (3y) | ||
| Allen H Johnson | Registered representative | Aug 2023 (3y) | ||
| Allison K Roye | Registered representative | Aug 2023 (3y) | ||
| Benjamin David Klauder | Registered representative | Aug 2023 (3y) | ||
| Brian Horne | Registered representative | Aug 2023 (3y) | ||
| Dorjana Citozi | Registered representative | Aug 2023 (3y) | ||
| Jonathan W. Traester | Registered representative | Aug 2023 (3y) | ||
| Kimball Potter | Registered representative | Aug 2023 (3y) | ||
| Louis Michael Romeo | Registered representative | Aug 2023 (3y) | ||
| Rene Wien | Registered representative | Aug 2023 (3y) | ||
| Viha Vipulkumar Desai | Registered representative | Aug 2023 (3y) | ||
| Adam Krzyzewski | Registered representative | Aug 2023 (3y) | ||
| Anna Forest Whetzle Smiley | Registered representative | Aug 2023 (3y) | ||
| Camryn Ruth Mcginnis | Registered representative | Aug 2023 (3y) | ||
| Donna Paula Pavin | Registered representative | Aug 2023 (3y) | ||
| Jessica Kelton | Registered representative | CFP | Aug 2023 (3y) | |
| Theresa Dugan Hinkley | Registered representative | Aug 2023 (3y) | ||
| Beatriz Correa | Registered representative | Aug 2023 (3y) | ||
| Caleb Fournier | Registered representative | Aug 2023 (3y) | ||
| Daniel Augusto Solano Munoz | Registered representative | Aug 2023 (3y) | ||
| David R Regan | Registered representative | Aug 2023 (3y) | ||
| Stella May Larsen | Registered representative | Aug 2023 (3y) | ||
| Andrew Gavinet | Registered representative | Aug 2023 (3y) | ||
| Daniel Morales | Registered representative | Aug 2023 (3y) | ||
| Eric White | Registered representative | Aug 2023 (3y) | ||
| Geoffrey Hart | Registered representative | Aug 2023 (3y) | ||
| Laura Tonnessen | Registered representative | Aug 2023 (3y) | ||
| Louis Stephenson | Registered representative | Aug 2023 (3y) | ||
| Meg Shernisky | Registered representative | Aug 2023 (3y) | ||
| Timothy Augustine | Registered representative | Aug 2023 (3y) | ||
| Andrew Whitacre Smith | Registered representative | CFP CFA | Aug 2023 (3y) | |
| David Farrell Hills | Registered representative | Aug 2023 (3y) | ||
| David Andrew Kirtman | Registered representative | Aug 2023 (3y) | ||
| David Bookheimer | Registered representative | Aug 2023 (3y) | ||
| Emily Rosenbloom | Registered representative | Aug 2023 (3y) | ||
| Jimmy Tin Tang | Registered representative | Aug 2023 (3y) | ||
| Joey Jarvis | Registered representative | Aug 2023 (3y) | ||
| Maureen J. Pilato | Registered representative | CFP | Aug 2023 (3y) | |
| Oliver Gray | Registered representative | Aug 2023 (3y) | ||
| Riley Whitfield | Registered representative | Aug 2023 (3y) | ||
| Ryan Burnett | Registered representative | Aug 2023 (3y) | ||
| Theodore Richard Wharton | Registered representative | Aug 2023 (3y) | ||
| Adam Messick | Registered representative | Aug 2023 (3y) | ||
| Devin Barnes | Registered representative | Aug 2023 (3y) | ||
| Dia Khan | Registered representative | Aug 2023 (3y) | ||
| Heather Cruice | Registered representative | Aug 2023 (3y) | ||
| Javier Castellano | Registered representative | Aug 2023 (3y) | ||
| Justin Jones | Registered representative | Aug 2023 (3y) | ||
| Kathryn Wang Konrad | Registered representative | Aug 2023 (3y) | ||
| Peyton Pourciau | Registered representative | Aug 2023 (3y) | ||
| Richard Block | Registered representative | Aug 2023 (3y) | ||
| Angela Capron Deering | Registered representative | Aug 2023 (3y) | ||
| Alejandro Sepulveda Carrasco | Registered representative | Aug 2023 (3y) | ||
| Brian Dao | Registered representative | Aug 2023 (3y) | ||
| Chase M. Walian | Registered representative | Aug 2023 (3y) | ||
| Chenchu Vellore Srinivas | Registered representative | Aug 2023 (3y) | ||
| Jacob Jury | Registered representative | CFA | Aug 2023 (3y) | |
| Michael Angelo Bonilla | Registered representative | Aug 2023 (3y) | ||
| Olena Bracks | Registered representative | Aug 2023 (3y) | ||
| Paul R. Ray | Registered representative | Aug 2023 (3y) | ||
| Ryan Charles Fitzpatrick | Registered representative | Aug 2023 (3y) | ||
| Reed Hawken Cart | Registered representative | Aug 2023 (3y) | ||
| Shane Changook Kim | Registered representative | Aug 2023 (3y) | ||
| Yu Chen | Registered representative | Aug 2023 (3y) | ||
| Brooke Ellen Hutton | Registered representative | Aug 2023 (3y) | ||
| Chris Rezek | Registered representative | Aug 2023 (3y) | ||
| James Patrick Harding | Registered representative | CFA | Aug 2023 (3y) | |
| John Andres Hueter | Registered representative | Aug 2023 (3y) | ||
| Mariah Lynn Sawyer | Registered representative | Aug 2023 (3y) | ||
| Maribel Fernandez | Registered representative | Aug 2023 (3y) | ||
| Michael Greco | Registered representative | Aug 2023 (3y) | ||
| William Devin Morton | Registered representative | Aug 2023 (3y) | ||
| Abe Puerto | Registered representative | Aug 2023 (3y) | ||
| Alexander Christian Ginnerty | Registered representative | Aug 2023 (3y) | ||
| Andrew James Harlan | Registered representative | Aug 2023 (3y) | ||
| Alex Johnson | Registered representative | Aug 2023 (3y) | ||
| Bailey Lewis | Registered representative | Aug 2023 (3y) | ||
| Benjamin J. Brewster | Registered representative | Aug 2023 (3y) | ||
| Caleb Michael Wood | Registered representative | Aug 2023 (3y) | ||
| Caroline Elizabeth Kent | Registered representative | Aug 2023 (3y) | ||
| Charles Bardenheuer | Registered representative | Aug 2023 (3y) | ||
| Claire M. Powers | Registered representative | Aug 2023 (3y) | ||
| Emily Simon | Registered representative | Aug 2023 (3y) | ||
| Ethan Michael Yost | Registered representative | Aug 2023 (3y) | ||
| Ezra Rosado | Registered representative | Aug 2023 (3y) | ||
| Francesca Romero | Registered representative | Aug 2023 (3y) | ||
| Joshua Friedberg | Registered representative | Aug 2023 (3y) | ||
| Kelcie Elizabeth Engles | Registered representative | Aug 2023 (3y) | ||
| Lawrence Manis | Registered representative | Aug 2023 (3y) | ||
| Michael James Griffin | Registered representative | Aug 2023 (3y) | ||
| Mark De Nicolo | Registered representative | Aug 2023 (3y) | ||
| Nicholas Carlson | Registered representative | Aug 2023 (3y) | ||
| Ryan Anderson Selquist | Registered representative | Aug 2023 (3y) | ||
| Zachary Duncan Friend | Registered representative | Aug 2023 (3y) | ||
| Julia Derenusson Rauton | Registered representative | Aug 2023 (3y) | ||
| Lauren Maloney | Registered representative | Aug 2023 (3y) | ||
| Roy Dixon | Registered representative | Aug 2023 (3y) | ||
| Sydney Carnival | Registered representative | Aug 2023 (3y) | ||
| Christopher O'dell | Registered representative | Aug 2023 (3y) | ||
| David Hirschhorn | Registered representative | Aug 2023 (3y) | ||
| David J. Seidl | Registered representative | Aug 2023 (3y) | ||
| Dylan Cantz | Registered representative | Aug 2023 (3y) | ||
| Dylan M. Osimetha | Registered representative | Aug 2023 (3y) | ||
| Isabella Shaw | Registered representative | Aug 2023 (3y) | ||
| Jasmin White | Registered representative | Aug 2023 (3y) | ||
| Lara A. Bamberger | Registered representative | Aug 2023 (3y) | ||
| Liam Roy | Registered representative | Aug 2023 (3y) | ||
| Melba Abigail Rodriguez | Registered representative | Aug 2023 (3y) | ||
| Michael Garvey | Registered representative | CFP CFA | Aug 2023 (3y) | |
| Miles Jordan Weinberger | Registered representative | Aug 2023 (3y) | ||
| Richard Callaghan | Registered representative | Aug 2023 (3y) | ||
| Rustin A. Fiouzi | Registered representative | Aug 2023 (3y) | ||
| Sydnee Lubar | Registered representative | Aug 2023 (3y) | ||
| Tucker Reilly Watson | Registered representative | Aug 2023 (3y) | ||
| Afnaan Khan | Registered representative | Aug 2023 (3y) | ||
| Andrea Swanson | Registered representative | Aug 2023 (3y) | ||
| Iliana Paola Lozano | Registered representative | Aug 2023 (3y) | ||
| Alexandra Janelle Felberg | Registered representative | Aug 2023 (3y) | ||
| Andrew Joseph Burdsall | Registered representative | Aug 2023 (3y) | ||
| Brandon Keith Artis | Registered representative | Aug 2023 (3y) | ||
| Carlos Ramirez | Registered representative | Aug 2023 (3y) | ||
| Daniela Fortuna Salles Santos Mac | Registered representative | Aug 2023 (3y) | ||
| Domenic Saraceno | Registered representative | Aug 2023 (3y) | ||
| Helen Elizabeth Simpson Harid | Registered representative | Aug 2023 (3y) | ||
| Levi Francis Larson | Registered representative | Aug 2023 (3y) | ||
| Sean Muller | Registered representative | Aug 2023 (3y) | ||
| Thomas Collins Higgins | Registered representative | Aug 2023 (3y) | ||
| Edward Harrison Korth | Registered representative | CFP | Aug 2023 (3y) | |
| Erik H Gonzales | Registered representative | Aug 2023 (3y) | ||
| Ellen Sheldon | Registered representative | Aug 2023 (3y) | ||
| Graham P. Geis | Registered representative | Aug 2023 (3y) | ||
| Jack H Teale | Registered representative | Aug 2023 (3y) | ||
| Jorge Valcarcel | Registered representative | CFA | Aug 2023 (3y) | |
| Aiana Whitfield | Registered representative | Sep 2023 (3y) | ||
| Alexis Mary Bourdeau | Registered representative | Sep 2023 (3y) | ||
| Andrew H. Bond | Registered representative | Sep 2023 (3y) | ||
| Chloe Morris | Registered representative | Sep 2023 (3y) | ||
| Cindy Asano | Registered representative | Sep 2023 (3y) | ||
| Cyrus Keon Ansari | Registered representative | Sep 2023 (3y) | ||
| Elaina Marie Hull | Registered representative | Sep 2023 (3y) | ||
| Hugh Griffin Leahy | Registered representative | Sep 2023 (3y) | ||
| Richard E Grows | Registered representative | Sep 2023 (3y) | ||
| Shubham Wagh | Registered representative | Sep 2023 (3y) | ||
| Carter Eugene Bonecutter | Registered representative | Sep 2023 (3y) | ||
| Kamara Sanchez | Registered representative | Sep 2023 (3y) | ||
| Mohammad Ali | Registered representative | Sep 2023 (3y) | ||
| Riya Mukul Shah | Registered representative | Sep 2023 (3y) | ||
| Sarah Wittpenn | Registered representative | Sep 2023 (3y) | ||
| Serena Fred | Registered representative | Sep 2023 (3y) | ||
| Theodore Fisher Reese | Registered representative | Sep 2023 (3y) | ||
| Alexandra Isabel Cerda | Registered representative | Sep 2023 (3y) | ||
| Anna Banks | Registered representative | Sep 2023 (3y) | ||
| Bennett Ely | Registered representative | Sep 2023 (3y) | ||
| Conor Joseph Harty | Registered representative | Sep 2023 (3y) | ||
| Daniel Felipe Castro | Registered representative | Sep 2023 (3y) | ||
| Faith Grace Burton | Registered representative | Sep 2023 (3y) | ||
| Gonzalo Bravo | Registered representative | Sep 2023 (3y) | ||
| Jack Conway | Registered representative | Sep 2023 (3y) | ||
| Jacob W. Ahrberg | Registered representative | Sep 2023 (3y) | ||
| Kate Stengel | Registered representative | Sep 2023 (3y) | ||
| Mariana Pivatelli | Registered representative | Sep 2023 (3y) | ||
| Matthew James D'antoni | Registered representative | Sep 2023 (3y) | ||
| Matthew Kohn | Registered representative | Sep 2023 (3y) | ||
| Michael Anthony Samataro | Registered representative | Sep 2023 (3y) | ||
| Pietro M. Berghella | Registered representative | Sep 2023 (3y) | ||
| Richard Tyler Dietrich | Registered representative | Sep 2023 (3y) | ||
| Ross Mehl | Registered representative | Sep 2023 (3y) | ||
| Alexander George Piper | Registered representative | Sep 2023 (3y) | ||
| Ava Hook | Registered representative | Sep 2023 (3y) | ||
| Brian Gary Buckley | Registered representative | Sep 2023 (3y) | ||
| Brooke Michelle Roth | Registered representative | Sep 2023 (3y) | ||
| Dylan Michael Erdei | Registered representative | Sep 2023 (3y) | ||
| Jordan Whipple | Registered representative | Sep 2023 (3y) | ||
| Jorge Quezada | Registered representative | Sep 2023 (3y) | ||
| Michael Diiorio | Registered representative | Sep 2023 (3y) | ||
| Nathan Dustman | Registered representative | Sep 2023 (3y) | ||
| Nicholas Duepner | Registered representative | Sep 2023 (3y) | ||
| Ryan Francis Jendzejec | Registered representative | Sep 2023 (3y) | ||
| Strode Blanchard | Registered representative | Sep 2023 (3y) | ||
| Wen Long Hua | Registered representative | Sep 2023 (3y) | ||
| William Linville | Registered representative | Sep 2023 (3y) | ||
| Claire Roberts Durand | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Claudia Rea Lovell | Registered representative | Sep 2023 (3y) | ||
| Christian Andres Wing | Registered representative | Sep 2023 (3y) | ||
| Christopher Robert Agostino | Registered representative | Sep 2023 (3y) | ||
| Franz J. Merkendorfer | Registered representative | Sep 2023 (3y) | ||
| George L Buza | Registered representative | CFP | Sep 2023 (3y) | |
| James Barr | Registered representative | Sep 2023 (3y) | ||
| Joseph Beattie | Registered representative | Sep 2023 (3y) | ||
| Lissa Silva | Registered representative | Sep 2023 (3y) | ||
| Muqing Yue | Registered representative | CFP | Sep 2023 (3y) | |
| Nicholas Clay Stowe | Registered representative | Sep 2023 (3y) | ||
| Richard Scarpelli | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Tao Issabella Shaer | Registered representative | Sep 2023 (3y) | ||
| Uche Jonathan Ebereonwu | Registered representative | Sep 2023 (3y) | ||
| Will Ryan Harris | Registered representative | Sep 2023 (3y) | ||
| Xiaodan Zheng | Registered representative | Sep 2023 (3y) | ||
| Ane Mari Pintilie | Registered representative | Sep 2023 (3y) | ||
| Chelsea Wagers | Registered representative | Sep 2023 (3y) | ||
| Henry Certain | Registered representative | Sep 2023 (3y) | ||
| Jorge Luis Gonzalez | Registered representative | Sep 2023 (3y) | ||
| Michael Samy Nessim Morcos | Registered representative | Sep 2023 (3y) | ||
| Tyler Frazier | Registered representative | Sep 2023 (3y) | ||
| Andrew F Murray | Registered representative | Sep 2023 (3y) | ||
| Anthony Mariano Centineo | Registered representative | Sep 2023 (3y) | ||
| Cooper Pullin | Registered representative | Sep 2023 (3y) | ||
| Geoffrey Kiyoshi Foster | Registered representative | Sep 2023 (3y) | ||
| Liam Gormley | Registered representative | Sep 2023 (3y) | ||
| Matthew R. Fahmy | Registered representative | Sep 2023 (3y) | ||
| Miranda E Holmes | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Richard Joseph Nappi | Registered representative | Sep 2023 (3y) | ||
| Aidan Healy | Registered representative | Sep 2023 (3y) | ||
| Raymundo Othon Franco Galvez | Registered representative | Sep 2023 (3y) | ||
| Benjamin Stueck | Registered representative | Sep 2023 (3y) | ||
| Brandon Gill | Registered representative | Sep 2023 (3y) | ||
| Bruce W Addison | Registered representative | Sep 2023 (3y) | ||
| Diogo Draese | Registered representative | Sep 2023 (3y) | ||
| Jacob Brozon | Registered representative | Sep 2023 (3y) | ||
| Jaime Antonio Diaz | Registered representative | Sep 2023 (3y) | ||
| Louise Kim | Registered representative | Sep 2023 (3y) | ||
| Matthew Kent Atkins | Registered representative | Sep 2023 (3y) | ||
| Sebastian Andres Levy | Registered representative | Sep 2023 (3y) | ||
| Sophia Gallant | Registered representative | Sep 2023 (3y) | ||
| Sophia Wasserman | Registered representative | Sep 2023 (3y) | ||
| Wenjun Liu | Registered representative | Sep 2023 (3y) | ||
| Alexandra Gray Arp | Registered representative | Sep 2023 (3y) | ||
| Anna Hazelton | Registered representative | Sep 2023 (3y) | ||
| Hana Marie Murphy | Registered representative | Sep 2023 (3y) | ||
| Jennifer Crosby | Registered representative | Sep 2023 (3y) | ||
| Julia Cameron Howe | Registered representative | Sep 2023 (3y) | ||
| Kathan Manchanda | Registered representative | Sep 2023 (3y) | ||
| Seth Osborne | Registered representative | Sep 2023 (3y) | ||
| Alexander Lloyd Wilson | Registered representative | Sep 2023 (3y) | ||
| Carolyn Michelle Kuenz | Registered representative | Sep 2023 (3y) | ||
| Chase H. Camarda | Registered representative | Sep 2023 (3y) | ||
| Pamela L Bennett | Registered representative | Sep 2023 (3y) | ||
| Tyler Deegan | Registered representative | Sep 2023 (3y) | ||
| Tyree D. Floyd | Registered representative | CFP | Sep 2023 (3y) | |
| William C. Livingston | Registered representative | Sep 2023 (3y) | ||
| Adam Christopher Copp | Registered representative | Sep 2023 (3y) | ||
| David Schwartz | Registered representative | Sep 2023 (3y) | ||
| Donovon Tracy Toomer | Registered representative | Sep 2023 (3y) | ||
| Geoffrey Richard Stenger | Registered representative | Sep 2023 (3y) | ||
| Jeffrey Michael Crosby | Registered representative | Sep 2023 (3y) | ||
| Lilia Cabezas Johnson | Registered representative | Sep 2023 (3y) | ||
| Olive Siau New Goh | Registered representative | CFA | Sep 2023 (3y) | |
| Richard Dee Strasters | Registered representative | Sep 2023 (3y) | ||
| Cade Michael Sanders | Registered representative | Sep 2023 (3y) | ||
| Derrick P. Haynes | Registered representative | Sep 2023 (3y) | ||
| Isabella Elise Ganthier | Registered representative | Sep 2023 (3y) | ||
| Jonathan Barrios | Registered representative | Sep 2023 (3y) | ||
| Mark Skirbe | Registered representative | Sep 2023 (3y) | ||
| Sarah Markeson | Registered representative | Sep 2023 (3y) | ||
| Tyler C Bohannan | Registered representative | Sep 2023 (3y) | ||
| Fiyinfoluwa Oluwatomisin Esho | Registered representative | Sep 2023 (3y) | ||
| Alberto Salas | Registered representative | Sep 2023 (3y) | ||
| Atleena Jino | Registered representative | Sep 2023 (3y) | ||
| Jeremy Frank | Registered representative | Sep 2023 (3y) | ||
| Kevin Lewis | Registered representative | Sep 2023 (3y) | ||
| Ly Nguyen | Registered representative | Sep 2023 (3y) | ||
| Martin William Youmaran | Registered representative | Sep 2023 (3y) | ||
| Matthew G. Wilson | Registered representative | Sep 2023 (3y) | ||
| Nicole Yang | Registered representative | Sep 2023 (3y) | ||
| Byron Carver Athans | Registered representative | Sep 2023 (3y) | ||
| Blake William Allison | Registered representative | Sep 2023 (3y) | ||
| Desiree Victoria Yee Borland | Registered representative | Sep 2023 (3y) | ||
| Diandra Isabelle Weaver | Registered representative | Sep 2023 (3y) | ||
| Laura Michelle Pricer | Registered representative | Sep 2023 (3y) | ||
| Malika S. Coleman | Registered representative | Sep 2023 (3y) | ||
| Samuel Drever | Registered representative | Sep 2023 (3y) | ||
| Scott J. Penrod | Registered representative | Sep 2023 (3y) | ||
| Simona Solomos | Registered representative | Sep 2023 (3y) | ||
| Tyrese Packer | Registered representative | Sep 2023 (3y) | ||
| Daren Keith Lee | Registered representative | Sep 2023 (3y) | ||
| Frank J. Lee | Registered representative | CFA | Sep 2023 (3y) | |
| Maria Ganley | Registered representative | Sep 2023 (3y) | ||
| Matthew Goetz | Registered representative | Sep 2023 (3y) | ||
| Sarah Haley Noone | Registered representative | Sep 2023 (3y) | ||
| Ashley Owens | Registered representative | Sep 2023 (3y) | ||
| Justin Smith | Registered representative | Sep 2023 (3y) | ||
| Walker White Haynes | Registered representative | Sep 2023 (3y) | ||
| Dallas J. Wilson | Registered representative | Sep 2023 (3y) | ||
| Elise De Marias Bell | Registered representative | Sep 2023 (3y) | ||
| Jill Marie Scalisi | Registered representative | Sep 2023 (3y) | ||
| John Mark Davis | Registered representative | Sep 2023 (3y) | ||
| Samuel Gorovitz | Registered representative | Sep 2023 (3y) | ||
| Sawyer Swanson | Registered representative | Sep 2023 (3y) | ||
| Vanessa Lynn Grillo | Registered representative | Sep 2023 (3y) | ||
| Andrew James Brock | Registered representative | Sep 2023 (3y) | ||
| Dean Blass Miller | Registered representative | Sep 2023 (3y) | ||
| Jason Wang | Registered representative | Sep 2023 (3y) | ||
| Kelly Colwell Rogers | Registered representative | CFA | Sep 2023 (3y) | |
| Michelle Soares | Registered representative | Sep 2023 (3y) | ||
| Austin Tyler Gansky | Registered representative | Sep 2023 (3y) | ||
| Gregory Franzblau | Registered representative | Sep 2023 (3y) | ||
| Joel Mitchell | Registered representative | Sep 2023 (3y) | ||
| Jordan V. Aylesworth | Registered representative | Sep 2023 (3y) | ||
| Joseph Thomas Giaimo | Registered representative | Sep 2023 (3y) | ||
| Meng Zhang | Registered representative | Sep 2023 (3y) | ||
| Matthew Barrett | Registered representative | Sep 2023 (3y) | ||
| Michael W. Lau | Registered representative | Sep 2023 (3y) | ||
| Jonathan Eric Dans | Registered representative | Sep 2023 (3y) | ||
| Nicholas Vander Molen | Registered representative | Sep 2023 (3y) | ||
| Palvinder Mattu | Registered representative | Sep 2023 (3y) | ||
| Ricardo Montoya | Registered representative | Sep 2023 (3y) | ||
| Tanya Michelle Arreguin | Registered representative | Sep 2023 (3y) | ||
| Thomas Robert Dougherty | Registered representative | Sep 2023 (3y) | ||
| Arthur A Wexler | Registered representative | Sep 2023 (3y) | ||
| Bryan Allan Roytman | Registered representative | Sep 2023 (3y) | ||
| Catherine Mccool Leach | Registered representative | Sep 2023 (3y) | ||
| Charles Michael Anthony Winn | Registered representative | CFA | Sep 2023 (3y) | |
| Diana V Butler | Registered representative | Sep 2023 (3y) | ||
| Harry Rosenberg | Registered representative | Sep 2023 (3y) | ||
| James W. Salter | Registered representative | Sep 2023 (3y) | ||
| Julius Henry Scott | Registered representative | Sep 2023 (3y) | ||
| Kevin Chen | Registered representative | Sep 2023 (3y) | ||
| Kimberly L. Rose | Registered representative | Sep 2023 (3y) | ||
| Mark H. Hathaway | Registered representative | Sep 2023 (3y) | ||
| Marlind Balla | Registered representative | Sep 2023 (3y) | ||
| Michael J Peplansky | Registered representative | Sep 2023 (3y) | ||
| Natalie Krouth | Registered representative | Sep 2023 (3y) | ||
| Rhonda Singer | Registered representative | Sep 2023 (3y) | ||
| Shruti Gauba | Registered representative | Sep 2023 (3y) | ||
| Shirly Zhou | Registered representative | Sep 2023 (3y) | ||
| Stephen R. Hansen | Registered representative | CFP | Sep 2023 (3y) | |
| Zachary Pratt Remsen | Registered representative | Sep 2023 (3y) | ||
| Bradley Merrill Holman | Registered representative | Oct 2023 (3y) | ||
| Bryce J. Caldwell | Registered representative | Oct 2023 (3y) | ||
| Emily Elizabeth Oliver | Registered representative | Oct 2023 (3y) | ||
| Everdina Wilhelmina De Koning | Registered representative | Oct 2023 (3y) | ||
| Hayley Ann Koenigsberg | Registered representative | Oct 2023 (3y) | ||
| Igor Grubac | Registered representative | Oct 2023 (3y) | ||
| Jenna Leigh Epner | Registered representative | Oct 2023 (3y) | ||
| Kelly Renee Davis | Registered representative | Oct 2023 (3y) | ||
| Mc Kenna Wegner | Registered representative | Oct 2023 (3y) | ||
| David H. Cardiff | Registered representative | Oct 2023 (3y) | ||
| Katherine A Gallardo | Registered representative | Oct 2023 (3y) | ||
| Robert Park | Registered representative | Oct 2023 (3y) | ||
| Colin Davis Mac Kay | Registered representative | Oct 2023 (3y) | ||
| Decorius Delwan Allen | Registered representative | Oct 2023 (3y) | ||
| Doan N Trinh | Registered representative | Oct 2023 (3y) | ||
| Jake Burton | Registered representative | Oct 2023 (3y) | ||
| Juan C Lopez | Registered representative | Oct 2023 (3y) | ||
| Kieffer Christian Donnelly | Registered representative | Oct 2023 (3y) | ||
| Michael Olario | Registered representative | Oct 2023 (3y) | ||
| Olivia Strikowsky | Registered representative | Oct 2023 (3y) | ||
| Ruben G Torres | Registered representative | Oct 2023 (3y) | ||
| Thomas Schilling | Registered representative | Oct 2023 (3y) | ||
| Brandon Deon Graham | Registered representative | Oct 2023 (3y) | ||
| Christiana Ciaccio | Registered representative | Oct 2023 (3y) | ||
| Christopher Fisher | Registered representative | Oct 2023 (3y) | ||
| Gloria Liang Ray Chang | Registered representative | Oct 2023 (3y) | ||
| Guido Roberto Espinosa | Registered representative | Oct 2023 (3y) | ||
| Kemraj Dubbra | Registered representative | Oct 2023 (3y) | ||
| Amanda Ahles | Registered representative | Oct 2023 (3y) | ||
| Daniel Baker | Registered representative | Oct 2023 (3y) | ||
| Evan Janifer | Registered representative | CFP | Oct 2023 (3y) | |
| Joseph Michael Estrada | Registered representative | Oct 2023 (3y) | ||
| Julie Solomon Cotuno | Registered representative | Oct 2023 (3y) | ||
| John O'hara | Registered representative | Oct 2023 (3y) | ||
| Kevin Sung Kim | Registered representative | CFA | Oct 2023 (3y) | |
| Lade Kasim | Registered representative | Oct 2023 (3y) | ||
| Nashwan Bahoura | Registered representative | Oct 2023 (3y) | ||
| Nicholas Correia | Registered representative | Oct 2023 (3y) | ||
| Samuel Ray Velarde | Registered representative | Oct 2023 (3y) | ||
| Thomas Avanzato | Registered representative | Oct 2023 (3y) | ||
| Vivek Thayalan | Registered representative | Oct 2023 (3y) | ||
| Verdi J. Di Sesa | Registered representative | Oct 2023 (3y) | ||
| Andrew Graves Keller | Registered representative | Oct 2023 (3y) | ||
| Bruce Beerbower | Registered representative | Oct 2023 (3y) | ||
| Javier Eduardo Lopez | Registered representative | Oct 2023 (3y) | ||
| Jennifer Diana Aguirre | Registered representative | Oct 2023 (3y) | ||
| Lakena Cherise Belcher | Registered representative | Oct 2023 (3y) | ||
| Matthew L Tolen | Registered representative | Oct 2023 (3y) | ||
| Nicholas Wright | Registered representative | Oct 2023 (3y) | ||
| Philip Variano | Registered representative | CFP | Oct 2023 (3y) | |
| Alex Traynor Wells | Registered representative | Oct 2023 (3y) | ||
| Abel Luis Estraviz | Registered representative | Oct 2023 (3y) | ||
| Katelyn Wallace | Registered representative | Oct 2023 (3y) | ||
| Laureann Hinds | Registered representative | Oct 2023 (3y) | ||
| Olufunke Oyesola | Registered representative | Oct 2023 (3y) | ||
| Robert Michael Mcgraw | Registered representative | Oct 2023 (3y) | ||
| William Ryan Shreero | Registered representative | Oct 2023 (3y) | ||
| Abraham I Borenstein | Registered representative | Oct 2023 (3y) | ||
| Bennett Van Schouwen | Registered representative | Oct 2023 (3y) | ||
| Brenda Travaglini | Registered representative | Oct 2023 (3y) | ||
| Dario Pizzano | Registered representative | Oct 2023 (3y) | ||
| Joseph J Prorok | Registered representative | Oct 2023 (3y) | ||
| Lane Stephens | Registered representative | Oct 2023 (3y) | ||
| Lindsay Cruz | Registered representative | Oct 2023 (3y) | ||
| Makayla Deirdre Manoni | Registered representative | Oct 2023 (3y) | ||
| Maria De Los Angeles Rodriguez Velazquez | Registered representative | Oct 2023 (3y) | ||
| Mateusz Kosiek | Registered representative | Oct 2023 (3y) | ||
| Molly Meneely | Registered representative | Oct 2023 (3y) | ||
| Robert Anthony Nicastro | Registered representative | Oct 2023 (3y) | ||
| Rustam R Yamilov | Registered representative | Oct 2023 (3y) | ||
| Robert Gregory Pascale | Registered representative | Oct 2023 (3y) | ||
| Stephen Coyle | Registered representative | CFA | Oct 2023 (3y) | |
| Yevgeniya Rabinovich | Registered representative | Oct 2023 (3y) | ||
| Aaron R Nichols | Registered representative | Oct 2023 (3y) | ||
| Aldo Raymond Severson | Registered representative | CFP | Oct 2023 (3y) | |
| Alexis Armbrust | Registered representative | Oct 2023 (3y) | ||
| Andrew Vahab | Registered representative | CFP | Oct 2023 (3y) | |
| Daniel Gallagher | Registered representative | CFA | Oct 2023 (3y) | |
| Daniel J Bessey | Registered representative | Oct 2023 (3y) | ||
| Daniel L Wittekind | Registered representative | Oct 2023 (3y) | ||
| David Guthrie | Registered representative | Oct 2023 (3y) | ||
| David Stecker | Registered representative | CFP | Oct 2023 (3y) | |
| Dennis Murray | Registered representative | CFP | Oct 2023 (3y) | |
| Dino Marco Marraccini | Registered representative | Oct 2023 (3y) | ||
| Douglas Fiek | Registered representative | Oct 2023 (3y) | ||
| Evan Soff | Registered representative | Oct 2023 (3y) | ||
| John Matthew Grainda | Registered representative | Oct 2023 (3y) | ||
| Joseph Zambo | Registered representative | Oct 2023 (3y) | ||
| Karen G Mendoza | Registered representative | Oct 2023 (3y) | ||
| Kathleen A. Beck | Registered representative | Oct 2023 (3y) | ||
| Kelly Weis | Registered representative | Oct 2023 (3y) | ||
| Michael Corcoran | Registered representative | CFA | Oct 2023 (3y) | |
| Michael Kantor | Registered representative | Oct 2023 (3y) | ||
| Ryan Finneran | Registered representative | Oct 2023 (3y) | ||
| Samuel Hodgson | Registered representative | Oct 2023 (3y) | ||
| Steven M. Gallagher | Registered representative | Oct 2023 (3y) | ||
| Vincent Zappola | Registered representative | CFA | Oct 2023 (3y) | |
| Willy Rodriguez | Registered representative | Oct 2023 (3y) | ||
| Ameen Iraqi | Registered representative | Oct 2023 (3y) | ||
| Alex Brown | Registered representative | Oct 2023 (3y) | ||
| Grace Manchester | Registered representative | Oct 2023 (3y) | ||
| Kevin Richard Ng | Registered representative | Oct 2023 (3y) | ||
| Patrick M. Hartnett | Registered representative | Oct 2023 (3y) | ||
| Brandon Nicholas Kyle | Registered representative | Oct 2023 (3y) | ||
| Cole Carey | Registered representative | Oct 2023 (3y) | ||
| Matthew A. Mc Knight | Registered representative | Oct 2023 (3y) | ||
| Neggin Tavana Adams | Registered representative | Oct 2023 (3y) | ||
| Alexander Dunnavant | Registered representative | Oct 2023 (3y) | ||
| Kimberly Alice Coleman | Registered representative | Oct 2023 (3y) | ||
| Andreanna Crawford | Registered representative | Oct 2023 (3y) | ||
| Jordan Agudosi | Registered representative | Oct 2023 (3y) | ||
| Josue E. Flores | Registered representative | Oct 2023 (3y) | ||
| Stuart F Kern | Registered representative | Oct 2023 (3y) | ||
| Alessandro Paolocci | Registered representative | Oct 2023 (3y) | ||
| Brian John Pingree | Registered representative | Oct 2023 (3y) | ||
| Christopher Trifilio | Registered representative | Oct 2023 (3y) | ||
| George Philip Budz | Registered representative | Oct 2023 (3y) | ||
| Harrison James Patrick Steiner | Registered representative | Oct 2023 (3y) | ||
| Jake Jeffery Isaacson | Registered representative | Oct 2023 (3y) | ||
| Jonah Miles Wexler | Registered representative | Oct 2023 (3y) | ||
| Maria Mark | Registered representative | Oct 2023 (3y) | ||
| Mariah Griffith | Registered representative | Oct 2023 (3y) | ||
| Mauricio Arango | Registered representative | Oct 2023 (3y) | ||
| Nicole M Hutcheson | Registered representative | Oct 2023 (3y) | ||
| Ryan M. Casci | Registered representative | Oct 2023 (3y) | ||
| Stephen Lowery | Registered representative | Oct 2023 (3y) | ||
| Andrew Gerber | Registered representative | Oct 2023 (3y) | ||
| Deborah A. Goldberg | Registered representative | Oct 2023 (3y) | ||
| Steven P Sabatino | Registered representative | Oct 2023 (3y) | ||
| Zachary Daniel Grossbard | Registered representative | Oct 2023 (3y) | ||
| Brian Joseph Cloherty | Registered representative | Oct 2023 (3y) | ||
| Carrie B. Galloway | Registered representative | Oct 2023 (3y) | ||
| Christopher Roney Mc Bee | Registered representative | Oct 2023 (3y) | ||
| Jeanann M Lella | Registered representative | Oct 2023 (3y) | ||
| Nicole J. Anderson | Registered representative | Oct 2023 (3y) | ||
| Myles Thor Landau | Registered representative | Oct 2023 (3y) | ||
| Christian Walker Loeb | Registered representative | Oct 2023 (3y) | ||
| Harold Michael Izquierdo Macias | Registered representative | Oct 2023 (3y) | ||
| Jordan Jacquelene Wilde | Registered representative | Oct 2023 (3y) | ||
| Jason Turner | Registered representative | Oct 2023 (3y) | ||
| Erik Andersen | Registered representative | Oct 2023 (3y) | ||
| Ethan Leff | Registered representative | Oct 2023 (3y) | ||
| Gilmar Valencia | Registered representative | Oct 2023 (3y) | ||
| Leah Taylor | Registered representative | Oct 2023 (3y) | ||
| Matthew Babrick | Registered representative | Oct 2023 (3y) | ||
| Caitlin Barillo | Registered representative | Oct 2023 (3y) | ||
| Mauricio Loschi | Registered representative | Oct 2023 (3y) | ||
| Mikaila Renee Talentino | Registered representative | Oct 2023 (3y) | ||
| Heather Deacon | Registered representative | Oct 2023 (3y) | ||
| Iryna Mashkouskaya | Registered representative | Oct 2023 (3y) | ||
| Jason L Bunin | Registered representative | Oct 2023 (3y) | ||
| Jordan Sellers | Registered representative | Oct 2023 (3y) | ||
| Kyle A. Rashad | Registered representative | Oct 2023 (3y) | ||
| Matthew Stephen Iannone | Registered representative | Oct 2023 (3y) | ||
| Neil Koricanac | Registered representative | Oct 2023 (3y) | ||
| Nickolas Bollerud | Registered representative | Oct 2023 (3y) | ||
| Richard Quince Broderick | Registered representative | Oct 2023 (3y) | ||
| Sor Her | Registered representative | Oct 2023 (3y) | ||
| Cheryl Kuntz | Registered representative | Oct 2023 (3y) | ||
| Emily Smith Farris | Registered representative | Oct 2023 (3y) | ||
| John P Ver Bockel | Registered representative | Oct 2023 (3y) | ||
| Maureen Raihle | Registered representative | Oct 2023 (3y) | ||
| Nathaniel Clements | Registered representative | Oct 2023 (3y) | ||
| Rocky Willard Ludwick | Registered representative | Oct 2023 (3y) | ||
| Rasa Petrauskaite | Registered representative | Oct 2023 (3y) | ||
| Spencer Althoff | Registered representative | Oct 2023 (3y) | ||
| Tyler Sung Joon Park | Registered representative | Oct 2023 (3y) | ||
| Anthony York | Registered representative | Oct 2023 (3y) | ||
| Christopher T. Rhorer | Registered representative | Oct 2023 (3y) | ||
| Jared Woods | Registered representative | Oct 2023 (3y) | ||
| Saida Michelle Volpe | Registered representative | Oct 2023 (3y) | ||
| Zackary Cannata | Registered representative | Oct 2023 (3y) | ||
| Adam Richard Johnson | Registered representative | Oct 2023 (3y) | ||
| Enrique Kiko Salazar | Registered representative | Oct 2023 (3y) | ||
| Georgia Gardner | Registered representative | Oct 2023 (3y) | ||
| Juan Yammoul | Registered representative | Oct 2023 (3y) | ||
| Nestor Amaury Amador De Gracia | Registered representative | Oct 2023 (3y) | ||
| Vernon Charles Biggs | Registered representative | Oct 2023 (3y) | ||
| Cody Anderson | Registered representative | Nov 2023 (3y) | ||
| Corey Fortner | Registered representative | Nov 2023 (3y) | ||
| Ian G Dilts | Registered representative | Nov 2023 (3y) | ||
| Regan May Hasley | Registered representative | Nov 2023 (3y) | ||
| Scott D. Canuel | Registered representative | CFP CFA | Nov 2023 (3y) | |
| Wendell Eric Graham | Registered representative | Nov 2023 (3y) | ||
| Brian J. Strandquist | Registered representative | Nov 2023 (3y) | ||
| Christopher James Nay | Registered representative | Nov 2023 (3y) | ||
| Derek Ward | Registered representative | Nov 2023 (3y) | ||
| Ian Michael Hayes | Registered representative | Nov 2023 (3y) | ||
| Jessie Lynn Deaton | Registered representative | Nov 2023 (3y) | ||
| Rafael Rozenbojm Schott | Registered representative | Nov 2023 (3y) | ||
| Rene Henriksen | Registered representative | Nov 2023 (3y) | ||
| Timothy Verlan Andersen | Registered representative | Nov 2023 (3y) | ||
| Westin Kolpas | Registered representative | Nov 2023 (3y) | ||
| Aaron Jason Brown | Registered representative | Nov 2023 (3y) | ||
| Dienyung Sun | Registered representative | Nov 2023 (3y) | ||
| Richard Hilliard | Registered representative | Nov 2023 (3y) | ||
| Sabrina Zhangsiyu Yang | Registered representative | Nov 2023 (3y) | ||
| Samuel Franchi | Registered representative | Nov 2023 (3y) | ||
| Skyler Jesse Payne | Registered representative | Nov 2023 (3y) | ||
| Anna M. Ochoa | Registered representative | Nov 2023 (3y) | ||
| Chao Peng Feng | Registered representative | Nov 2023 (3y) | ||
| James Lewis Mosley | Registered representative | Nov 2023 (3y) | ||
| Mark C. Marcelo | Registered representative | Nov 2023 (3y) | ||
| Molly Margaret Gaffney | Registered representative | Nov 2023 (3y) | ||
| Nicholas Yeend | Registered representative | Nov 2023 (3y) | ||
| Ryan Danley | Registered representative | Nov 2023 (3y) | ||
| Sofia Yasmeen Kandoussi | Registered representative | Nov 2023 (3y) | ||
| Tuckerman Bartlett Crater | Registered representative | Nov 2023 (3y) | ||
| Valentine Roberts | Registered representative | Nov 2023 (3y) | ||
| Alphonse Janvier | Registered representative | Nov 2023 (3y) | ||
| Andrew J Gnapp | Registered representative | Nov 2023 (3y) | ||
| Angie Brinkley | Registered representative | Nov 2023 (3y) | ||
| Carrie Lynne Fielder | Registered representative | Nov 2023 (3y) | ||
| Chloe Lewis | Registered representative | Nov 2023 (3y) | ||
| Donna Jean Helm Morris | Registered representative | Nov 2023 (3y) | ||
| Indu Sharma | Registered representative | Nov 2023 (3y) | ||
| Jarrod Wayne Tackett | Registered representative | Nov 2023 (3y) | ||
| Lambros C Konstantellos | Registered representative | CFP | Nov 2023 (3y) | |
| Makoto Usui | Registered representative | Nov 2023 (3y) | ||
| Marcela Plasencia Renteria | Registered representative | Nov 2023 (3y) | ||
| Margaret F. Guffin | Registered representative | Nov 2023 (3y) | ||
| Samuel Chastain | Registered representative | Nov 2023 (3y) | ||
| Todd Duncan | Registered representative | CFA | Nov 2023 (3y) | |
| Jesus Garza | Registered representative | Nov 2023 (3y) | ||
| Katherine Z. Cunyas Torres | Registered representative | Nov 2023 (3y) | ||
| Lila Verity Stoddard | Registered representative | Nov 2023 (3y) | ||
| Marni N Widen | Registered representative | Nov 2023 (3y) | ||
| Regina Haig Monroe | Registered representative | Nov 2023 (3y) | ||
| Sara M Rubiano | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Keith Rogoff | Registered representative | Nov 2023 (3y) | ||
| Jack Breiman | Registered representative | Nov 2023 (3y) | ||
| Jason P Brown | Registered representative | Nov 2023 (3y) | ||
| Phoebe Solms | Registered representative | Nov 2023 (3y) | ||
| Quinn Alexander Alberty | Registered representative | Nov 2023 (3y) | ||
| Steven Beylis | Registered representative | Nov 2023 (3y) | ||
| Gabriel A Vargas | Registered representative | Nov 2023 (3y) | ||
| Sean G. Higgins | Registered representative | Nov 2023 (3y) | ||
| Sophie Ilana Bruskof | Registered representative | Nov 2023 (3y) | ||
| Tsehay Asfaw | Registered representative | Nov 2023 (3y) | ||
| Vachel Pennebaker | Registered representative | Nov 2023 (3y) | ||
| Allan Gramonte | Registered representative | Nov 2023 (3y) | ||
| Armela Xhellima | Registered representative | Nov 2023 (3y) | ||
| Brandon White | Registered representative | CFP | Nov 2023 (3y) | |
| Brent D Anderson | Registered representative | Nov 2023 (3y) | ||
| Frank Iacovano | Registered representative | Nov 2023 (3y) | ||
| Jed Wyatt Gore | Registered representative | Nov 2023 (3y) | ||
| Jacob B Schneider | Registered representative | Nov 2023 (3y) | ||
| Juan Moreira | Registered representative | Nov 2023 (3y) | ||
| Junior Castellanos | Registered representative | Nov 2023 (3y) | ||
| Kerolos Yousef | Registered representative | Nov 2023 (3y) | ||
| Lorna Louie | Registered representative | Nov 2023 (3y) | ||
| Ryan Turner Kozack | Registered representative | Nov 2023 (3y) | ||
| Simon Markowitz | Registered representative | Nov 2023 (3y) | ||
| Andrew Slotnick | Registered representative | Nov 2023 (3y) | ||
| Binu Abraham | Registered representative | Nov 2023 (3y) | ||
| Christie A. Keenan | Registered representative | Nov 2023 (3y) | ||
| Dylan Forche | Registered representative | Nov 2023 (3y) | ||
| Jason Caldwell | Registered representative | Nov 2023 (3y) | ||
| Jaycee Campuzano | Registered representative | Nov 2023 (3y) | ||
| Jonathan Andrew Strelec | Registered representative | CFA | Nov 2023 (3y) | |
| James G Ryan | Registered representative | Nov 2023 (3y) | ||
| Madalena Piedmonte | Registered representative | Nov 2023 (3y) | ||
| Nia Marie Priest | Registered representative | Nov 2023 (3y) | ||
| Tales Foryta Jacoski | Registered representative | Nov 2023 (3y) | ||
| Tod Lebeda | Registered representative | Nov 2023 (3y) | ||
| David Shane Finley | Registered representative | Nov 2023 (3y) | ||
| James Ku | Registered representative | Nov 2023 (3y) | ||
| Matthew E. Quinlan | Registered representative | Nov 2023 (3y) | ||
| Amoree Michalek | Registered representative | Nov 2023 (3y) | ||
| Chloe Amelia Farrick | Registered representative | Nov 2023 (3y) | ||
| Carleton Wesley Mc Donald | Registered representative | Nov 2023 (3y) | ||
| Colette Lanphier | Registered representative | CFP | Nov 2023 (3y) | |
| Kyle Steven Klosowicz | Registered representative | Nov 2023 (3y) | ||
| Nicolas Tamayo Gomez | Registered representative | Nov 2023 (3y) | ||
| Nicole Ryan Rose | Registered representative | Nov 2023 (3y) | ||
| Abhijeet Nair | Registered representative | Nov 2023 (3y) | ||
| Ana Freay | Registered representative | Nov 2023 (3y) | ||
| Britton M. Leone | Registered representative | Nov 2023 (3y) | ||
| Daniel Francisco Gonzalez | Registered representative | Nov 2023 (3y) | ||
| Gerardo Santangelo | Registered representative | Nov 2023 (3y) | ||
| James Cruise | Registered representative | Nov 2023 (3y) | ||
| Justin Carpenito | Registered representative | Nov 2023 (3y) | ||
| Kyle John Stringer | Registered representative | Nov 2023 (3y) | ||
| Alexander Harrison Shelburne | Registered representative | Nov 2023 (3y) | ||
| Aubrey Rosenthal | Registered representative | Nov 2023 (3y) | ||
| Adam C Hirsch | Registered representative | Nov 2023 (3y) | ||
| Brendan J York | Registered representative | Nov 2023 (3y) | ||
| Bret Baker | Registered representative | Nov 2023 (3y) | ||
| Carter Slayton Boehm | Registered representative | Nov 2023 (3y) | ||
| Charles F Curtis | Registered representative | CFA | Nov 2023 (3y) | |
| Clarke Leaverton | Registered representative | Nov 2023 (3y) | ||
| Connor Fitzgerald | Registered representative | Nov 2023 (3y) | ||
| Conor Gerald Woods | Registered representative | Nov 2023 (3y) | ||
| David Kenny | Registered representative | Nov 2023 (3y) | ||
| Dominic Rene Gastelum | Registered representative | Nov 2023 (3y) | ||
| Ellen Reid Hagan | Registered representative | Nov 2023 (3y) | ||
| Emily Story | Registered representative | Nov 2023 (3y) | ||
| Gary Ryan Leaverton | Registered representative | CFA | Nov 2023 (3y) | |
| Henry Edward Winslett | Registered representative | Nov 2023 (3y) | ||
| James M Lawless | Registered representative | CFP | Nov 2023 (3y) | |
| Jeffrey Atwood | Registered representative | Nov 2023 (3y) | ||
| Johann M Tampinco | Registered representative | Nov 2023 (3y) | ||
| John F Schork | Registered representative | CFP | Nov 2023 (3y) | |
| Julian Alexander Pena | Registered representative | Nov 2023 (3y) | ||
| Julie Ar Shank | Registered representative | Nov 2023 (3y) | ||
| Kathleen A Lee | Registered representative | Nov 2023 (3y) | ||
| Kellen Mac Donald | Registered representative | Nov 2023 (3y) | ||
| Kimberly Scharff | Registered representative | Nov 2023 (3y) | ||
| Lilta Talavat | Registered representative | Nov 2023 (3y) | ||
| Lisa Ann Paraizo Smith | Registered representative | Nov 2023 (3y) | ||
| Marisa L Mc Callum | Registered representative | Nov 2023 (3y) | ||
| Mary Mc Wade | Registered representative | Nov 2023 (3y) | ||
| Mikah M Mc Cudden | Registered representative | Nov 2023 (3y) | ||
| Monica R Sanna | Registered representative | Nov 2023 (3y) | ||
| Nancy F Romero Ramirez | Registered representative | Nov 2023 (3y) | ||
| Natalie Flerx | Registered representative | Nov 2023 (3y) | ||
| Phillip Gilbert | Registered representative | CFP | Nov 2023 (3y) | |
| Ramya Sreepathi | Registered representative | Nov 2023 (3y) | ||
| Ryan P Graff | Registered representative | Nov 2023 (3y) | ||
| Sara E Ragosta | Registered representative | Nov 2023 (3y) | ||
| Sonia Lee | Registered representative | Nov 2023 (3y) | ||
| Steven Soja | Registered representative | Nov 2023 (3y) | ||
| Allen Chen | Registered representative | Nov 2023 (3y) | ||
| Andrew S Phillips | Registered representative | Nov 2023 (3y) | ||
| Bradley Paul Deluca | Registered representative | Nov 2023 (3y) | ||
| Brian Hussey | Registered representative | Nov 2023 (3y) | ||
| Christina G Verzino | Registered representative | Nov 2023 (3y) | ||
| Gregory James Webster | Registered representative | Nov 2023 (3y) | ||
| James Atwood | Registered representative | Nov 2023 (3y) | ||
| Jamie M Taylor | Registered representative | Nov 2023 (3y) | ||
| Lauren Holmes | Registered representative | Nov 2023 (3y) | ||
| Marie E Selby | Registered representative | Nov 2023 (3y) | ||
| Michelle L Alfano | Registered representative | CFP | Nov 2023 (3y) | |
| Oliver Louis Sun | Registered representative | CFP | Nov 2023 (3y) | |
| Ryan Arthur Jones | Registered representative | Nov 2023 (3y) | ||
| Ronald Weckbacher | Registered representative | Nov 2023 (3y) | ||
| Sarah Jesica Salgado | Registered representative | Nov 2023 (3y) | ||
| Spencer R Strahan | Registered representative | Nov 2023 (3y) | ||
| Stephen M Stabile | Registered representative | Nov 2023 (3y) | ||
| Tanya Anderson | Registered representative | Nov 2023 (3y) | ||
| Zachary Calahan | Registered representative | Nov 2023 (3y) | ||
| Andrew Wakefield Young | Registered representative | Nov 2023 (3y) | ||
| Anthony Custodio | Registered representative | CFA | Nov 2023 (3y) | |
| Aubrey Tarpley | Registered representative | Nov 2023 (3y) | ||
| Charles Radcliffe | Registered representative | Nov 2023 (3y) | ||
| Charles Rodgers | Registered representative | CFA | Nov 2023 (3y) | |
| Cynthia Cougoule | Registered representative | Nov 2023 (3y) | ||
| Daniel Olin Jennings | Registered representative | Nov 2023 (3y) | ||
| Giulia Panzeri | Registered representative | Nov 2023 (3y) | ||
| Hannah Forney | Registered representative | CFP | Nov 2023 (3y) | |
| Jamie Wright | Registered representative | Nov 2023 (3y) | ||
| Jeffrey W Greene | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Yandle | Registered representative | Nov 2023 (3y) | ||
| Katherine Ryan | Registered representative | Nov 2023 (3y) | ||
| Laura K Aeschliman | Registered representative | CFP | Nov 2023 (3y) | |
| Laurel H Norris | Registered representative | Nov 2023 (3y) | ||
| Maureen Mc Nally | Registered representative | Nov 2023 (3y) | ||
| Patrick K. Batac | Registered representative | Nov 2023 (3y) | ||
| Riki Rachel Brewster | Registered representative | Nov 2023 (3y) | ||
| Sandra Lynn Spencer Florczyk | Registered representative | Nov 2023 (3y) | ||
| Seamus Mc Elearney | Registered representative | Nov 2023 (3y) | ||
| Theresa Rutledge | Registered representative | CFP | Nov 2023 (3y) | |
| Vincent J. Rago | Registered representative | Nov 2023 (3y) | ||
| Walker Allen Lowes | Registered representative | Nov 2023 (3y) | ||
| Wendi Hao | Registered representative | Nov 2023 (3y) | ||
| Brad Hare | Registered representative | Nov 2023 (3y) | ||
| Scott E Price | Registered representative | Nov 2023 (3y) | ||
| Zachery Daniel | Registered representative | Nov 2023 (3y) | ||
| Emory Ford | Registered representative | Nov 2023 (3y) | ||
| Sneha Neela Mahajan | Registered representative | CFP | Nov 2023 (3y) | |
| Joel Drescher | Registered representative | Nov 2023 (3y) | ||
| Jonathan A. Schwartz | Registered representative | Nov 2023 (3y) | ||
| Michael C Morrone | Registered representative | Nov 2023 (3y) | ||
| Monica Quirante Morales | Registered representative | Nov 2023 (3y) | ||
| Rebecca Decesaro | Registered representative | Nov 2023 (3y) | ||
| Sean J Lucke | Registered representative | Nov 2023 (3y) | ||
| Cassandra Solari | Registered representative | Nov 2023 (3y) | ||
| Christopher Pegg | Registered representative | CFP | Nov 2023 (3y) | |
| Eric J. Volges | Registered representative | Nov 2023 (3y) | ||
| Frank Nicholas Constantino | Registered representative | Nov 2023 (3y) | ||
| Robert Beyer | Registered representative | Nov 2023 (3y) | ||
| Salvatore Sferruzza | Registered representative | Nov 2023 (3y) | ||
| Savannah Hufendick | Registered representative | Nov 2023 (3y) | ||
| Zijia Ye | Registered representative | Nov 2023 (3y) | ||
| Carlos F. Rodriguez | Registered representative | Nov 2023 (3y) | ||
| Christopher Conway | Registered representative | Nov 2023 (3y) | ||
| Kara Leventis | Registered representative | Nov 2023 (3y) | ||
| Paul Antal | Registered representative | Nov 2023 (3y) | ||
| Rick Reissman | Registered representative | Nov 2023 (3y) | ||
| Stephen Blake Price | Registered representative | Nov 2023 (3y) | ||
| Sabrina Batista | Registered representative | Nov 2023 (3y) | ||
| Walter Phillip Schlaepfer | Registered representative | Nov 2023 (3y) | ||
| Adam R. Monical | Registered representative | Nov 2023 (3y) | ||
| Alejandro Gomez | Registered representative | Nov 2023 (3y) | ||
| Jeffrey S. Nist | Registered representative | Nov 2023 (3y) | ||
| Kyle Adam Ratz | Registered representative | CFP | Nov 2023 (3y) | |
| Roland Solomon Jones | Registered representative | Nov 2023 (3y) | ||
| Wilson J. Azer | Registered representative | Nov 2023 (3y) | ||
| Donald Dixon Travis | Registered representative | Dec 2023 (3y) | ||
| Gabriela De Oliveira | Registered representative | Dec 2023 (3y) | ||
| Margot Brunette | Registered representative | Dec 2023 (3y) | ||
| Adrienne Rudkin | Registered representative | Dec 2023 (3y) | ||
| Aneel Qaiser | Registered representative | Dec 2023 (3y) | ||
| Andrew Ciampa | Registered representative | Dec 2023 (3y) | ||
| Asanka De Alwis | Registered representative | Dec 2023 (3y) | ||
| Daniel Bradshaw | Registered representative | CFP | Dec 2023 (3y) | |
| John M. Iannaco | Registered representative | Dec 2023 (3y) | ||
| Karin Chu | Registered representative | Dec 2023 (3y) | ||
| Nicholas Fanneron | Registered representative | Dec 2023 (3y) | ||
| Tiffany Marie Raines | Registered representative | Dec 2023 (3y) | ||
| Travis D Washington | Registered representative | Dec 2023 (3y) | ||
| Waheed Ahmed | Registered representative | Dec 2023 (3y) | ||
| Xiaoxi Zhang | Registered representative | Dec 2023 (3y) | ||
| Arnold Elia Cassuto | Registered representative | Dec 2023 (3y) | ||
| Hilary Gene Hatton | Registered representative | Dec 2023 (3y) | ||
| Julia Mcneill Ackerman | Registered representative | Dec 2023 (3y) | ||
| James William Gibney | Registered representative | Dec 2023 (3y) | ||
| Kelly Ann Anderson | Registered representative | Dec 2023 (3y) | ||
| Matthew Telona | Registered representative | Dec 2023 (3y) | ||
| Roxana Villafane Beggs | Registered representative | Dec 2023 (3y) | ||
| Saara Sondej | Registered representative | Dec 2023 (3y) | ||
| Benedict O. Obaze | Registered representative | Dec 2023 (3y) | ||
| Deunta Sirjuan Hicks | Registered representative | Dec 2023 (3y) | ||
| David Johnson | Registered representative | Dec 2023 (3y) | ||
| Juan Carlos Chong | Registered representative | Dec 2023 (3y) | ||
| Katherine F Bruck | Registered representative | Dec 2023 (3y) | ||
| Lauren Katharina West | Registered representative | CFP | Dec 2023 (3y) | |
| Matthew Fillion | Registered representative | Dec 2023 (3y) | ||
| Nicholas Maddern | Registered representative | Dec 2023 (3y) | ||
| William Price Williamson Hancock | Registered representative | CFP | Dec 2023 (3y) | |
| Jason Christopher Mueller | Registered representative | Dec 2023 (3y) | ||
| Richard Louis Suarez | Registered representative | Dec 2023 (3y) | ||
| Cecil Anthony Shepherd | Registered representative | Dec 2023 (3y) | ||
| Jacob L Biedenback | Registered representative | Dec 2023 (3y) | ||
| Jessica M Pacheco | Registered representative | Dec 2023 (3y) | ||
| Mehmed Mark Markasevic | Registered representative | Dec 2023 (3y) | ||
| Riquelmi G Rodriguez | Registered representative | Dec 2023 (3y) | ||
| Robin Thomas | Registered representative | Dec 2023 (3y) | ||
| Samuel Waldron | Registered representative | Dec 2023 (3y) | ||
| Luke Persico | Registered representative | Dec 2023 (3y) | ||
| Arturo J. Fentanes | Registered representative | Dec 2023 (3y) | ||
| Ashaben Patel | Registered representative | Dec 2023 (3y) | ||
| Corey Spence | Registered representative | Dec 2023 (3y) | ||
| Coty J. Dolan | Registered representative | Dec 2023 (3y) | ||
| Gracielle Sajor Zanial | Registered representative | Dec 2023 (3y) | ||
| George Jose Torres | Registered representative | Dec 2023 (3y) | ||
| Gregory Bryan Leifel | Registered representative | Dec 2023 (3y) | ||
| Jose Francisco Verde Chuecos | Registered representative | Dec 2023 (3y) | ||
| Louis Joseph Londino | Registered representative | Dec 2023 (3y) | ||
| Mei Ang Zheng | Registered representative | Dec 2023 (3y) | ||
| Roberto Vasquez | Registered representative | Dec 2023 (3y) | ||
| Rocky Kassim | Registered representative | Dec 2023 (3y) | ||
| Christopher B. Kary | Registered representative | Dec 2023 (3y) | ||
| Fatima Malgapo Molina | Registered representative | Dec 2023 (3y) | ||
| Gevin L. Robertson | Registered representative | Dec 2023 (3y) | ||
| James Lopez | Registered representative | Dec 2023 (3y) | ||
| Joel Shilling | Registered representative | Dec 2023 (3y) | ||
| Michael Eisenstadt | Registered representative | Dec 2023 (3y) | ||
| Taylor Merritt Wallis | Registered representative | Dec 2023 (3y) | ||
| Konstantinos Splagounias | Registered representative | Dec 2023 (3y) | ||
| Leigha Jackson | Registered representative | Dec 2023 (3y) | ||
| Lucius Hamilton | Registered representative | CFP | Dec 2023 (3y) | |
| Nicholas B. Petri | Registered representative | Dec 2023 (3y) | ||
| Natasha Newman | Registered representative | Dec 2023 (3y) | ||
| Nicole A. Elliott | Registered representative | Dec 2023 (3y) | ||
| Chelsea Y Ng | Registered representative | Dec 2023 (3y) | ||
| Josiah Wilson | Registered representative | Dec 2023 (3y) | ||
| Michael John Birkhofer | Registered representative | Dec 2023 (3y) | ||
| Marcelo Jose Buitrago | Registered representative | Dec 2023 (3y) | ||
| Andrea Hendon | Registered representative | Dec 2023 (3y) | ||
| Galo Andres Revelo | Registered representative | Dec 2023 (3y) | ||
| John F. Kane | Registered representative | Dec 2023 (3y) | ||
| Kyle Brandstetter | Registered representative | Dec 2023 (3y) | ||
| Lynnette K Hanes | Registered representative | Dec 2023 (3y) | ||
| Nicholas Paul Perez | Registered representative | Dec 2023 (3y) | ||
| Roger Marsden Smith | Registered representative | Dec 2023 (3y) | ||
| Tyler Robert Bush | Registered representative | Dec 2023 (3y) | ||
| Danning Wang | Registered representative | Dec 2023 (3y) | ||
| Johnathon Soria | Registered representative | Dec 2023 (3y) | ||
| Jorge Ernesto Ceballos | Registered representative | Dec 2023 (3y) | ||
| Mark Daniel James | Registered representative | Dec 2023 (3y) | ||
| Matthew Allan Tipple | Registered representative | Dec 2023 (3y) | ||
| Maureen B. Kerr | Registered representative | Dec 2023 (3y) | ||
| Robert A. Pinkney | Registered representative | Dec 2023 (3y) | ||
| Steven Tamborra | Registered representative | Dec 2023 (3y) | ||
| Whitney M. Trimble | Registered representative | Dec 2023 (3y) | ||
| Christina Leung | Registered representative | Dec 2023 (3y) | ||
| Daniel Shindelbower | Registered representative | Dec 2023 (3y) | ||
| Daniel Sorger | Registered representative | Dec 2023 (3y) | ||
| Ioana Soran Martin | Registered representative | Dec 2023 (3y) | ||
| John Helme Dunn | Registered representative | Dec 2023 (3y) | ||
| Martin Albanese | Registered representative | Dec 2023 (3y) | ||
| Michael Don Lopez | Registered representative | Dec 2023 (3y) | ||
| Daniel B Rambo | Registered representative | Dec 2023 (3y) | ||
| Daniel Gerard Halchak | Registered representative | Dec 2023 (3y) | ||
| Daniela Sandoval Schouest | Registered representative | Dec 2023 (3y) | ||
| Edoardo De Vassimon Castelli | Registered representative | Dec 2023 (3y) | ||
| Jason B. Hofmann | Registered representative | Dec 2023 (3y) | ||
| Kevin C. Ward | Registered representative | Dec 2023 (3y) | ||
| Mary C Casey | Registered representative | Dec 2023 (3y) | ||
| Robert Schloer | Registered representative | Dec 2023 (3y) | ||
| Stephanie Luo | Registered representative | Dec 2023 (3y) | ||
| Jeremiah Christian Samuel | Registered representative | Jan 2024 (3y) | ||
| Joao Pedro Gayola Barros | Registered representative | Jan 2024 (3y) | ||
| Kevin Crabb | Registered representative | Jan 2024 (3y) | ||
| Pradeep Devaki Ravi | Registered representative | Jan 2024 (3y) | ||
| Susanamaria D Hernandez Lucero | Registered representative | Jan 2024 (3y) | ||
| Vincent Arrunategui | Registered representative | Jan 2024 (3y) | ||
| Marykate Marie Mc Ginley | Registered representative | Jan 2024 (3y) | ||
| Aryn Nelson | Registered representative | Jan 2024 (3y) | ||
| Carlos H Cruz Martinez | Registered representative | Jan 2024 (3y) | ||
| Ella Winters | Registered representative | Jan 2024 (3y) | ||
| John Canales | Registered representative | Jan 2024 (3y) | ||
| Kaylin Klinger | Registered representative | CFP CFA | Jan 2024 (3y) | |
| Mingxiu Hao | Registered representative | Jan 2024 (3y) | ||
| Robert Gunter Lowe | Registered representative | CFP CFA | Jan 2024 (3y) | |
| Stephen Derek Brand | Registered representative | Jan 2024 (3y) | ||
| Tennyson Fauver | Registered representative | Jan 2024 (3y) | ||
| Dinorah C. Sanchez | Registered representative | Jan 2024 (3y) | ||
| Jonathon Stark | Registered representative | CFA | Jan 2024 (3y) | |
| Mahmoud Lokman | Registered representative | Jan 2024 (3y) | ||
| Barrington Leonard Minnis | Registered representative | Jan 2024 (3y) | ||
| David Jonathan Howe | Registered representative | Jan 2024 (3y) | ||
| Dominique Necesito Reyes | Registered representative | Jan 2024 (3y) | ||
| Iain O'connor | Registered representative | Jan 2024 (3y) | ||
| Ian Alonso Lowe | Registered representative | Jan 2024 (3y) | ||
| Ivan Castaneda Valle | Registered representative | Jan 2024 (3y) | ||
| Marco Pasquali | Registered representative | Jan 2024 (3y) | ||
| Thomas J. Dings | Registered representative | Jan 2024 (3y) | ||
| Lydia E. Kerr | Registered representative | Jan 2024 (3y) | ||
| Michael John Barbarula | Registered representative | Jan 2024 (3y) | ||
| Alanna Loukas | Registered representative | Jan 2024 (3y) | ||
| Andrew Beytagh | Registered representative | Jan 2024 (3y) | ||
| Fredric T. Walls | Registered representative | Jan 2024 (3y) | ||
| Gina Messina | Registered representative | Jan 2024 (3y) | ||
| James G Dempsey | Registered representative | Jan 2024 (3y) | ||
| Tim I Finnegan | Registered representative | Jan 2024 (3y) | ||
| Taishaun M. Johnson | Registered representative | Jan 2024 (3y) | ||
| Timothy M Mc Naney | Registered representative | CFP | Jan 2024 (3y) | |
| Yousef Younis | Registered representative | Jan 2024 (3y) | ||
| Anna Ferguson | Registered representative | Jan 2024 (3y) | ||
| Carolina Theresa Hernandez | Registered representative | Jan 2024 (3y) | ||
| Daniel J Curtin | Registered representative | Jan 2024 (3y) | ||
| Eliza Rosenblatt | Registered representative | Jan 2024 (3y) | ||
| Jose Guadalupe Leon | Registered representative | Jan 2024 (3y) | ||
| Zachary Dylan Holzer | Registered representative | Jan 2024 (3y) | ||
| Caryn Lynell Corbin | Registered representative | Jan 2024 (3y) | ||
| Christopher Enger | Registered representative | Jan 2024 (3y) | ||
| Daniel Joseph Battista | Registered representative | CFA | Jan 2024 (3y) | |
| Derek Stump | Registered representative | Jan 2024 (3y) | ||
| Dora L Valles | Registered representative | Jan 2024 (3y) | ||
| Jason Seth Payne | Registered representative | CFA | Jan 2024 (3y) | |
| Leonel A Jacquez Bojorquez | Registered representative | Jan 2024 (3y) | ||
| Orville C. Davy | Registered representative | Jan 2024 (3y) | ||
| Ron Evins Robinson | Registered representative | Jan 2024 (3y) | ||
| Shweta Ravindra Kumar Verma | Registered representative | Jan 2024 (3y) | ||
| Adrian Jan Kula | Registered representative | Jan 2024 (3y) | ||
| Alvin Yen Jack Lai | Registered representative | Jan 2024 (3y) | ||
| Brian K Nourbash | Registered representative | Jan 2024 (3y) | ||
| Cheryl King | Registered representative | Jan 2024 (3y) | ||
| Elyanna E. Rivas | Registered representative | Jan 2024 (3y) | ||
| Javier Vilarchao | Registered representative | Jan 2024 (3y) | ||
| Kyle Ferguson | Registered representative | Jan 2024 (3y) | ||
| Mark Edward Masloob | Registered representative | Jan 2024 (3y) | ||
| Robert Lovitt | Registered representative | Jan 2024 (3y) | ||
| Alexander Fowler | Registered representative | Jan 2024 (3y) | ||
| Bonnie Leibowitz | Registered representative | CFP | Jan 2024 (3y) | |
| Bruno Mendes | Registered representative | Jan 2024 (3y) | ||
| Daniel B Schepe | Registered representative | Jan 2024 (3y) | ||
| Devon M Porpora | Registered representative | Jan 2024 (3y) | ||
| Frances Abrevaya Jones | Registered representative | Jan 2024 (3y) | ||
| James Lennon | Registered representative | Jan 2024 (3y) | ||
| Joseph Tummolo | Registered representative | Jan 2024 (3y) | ||
| Scott G Weber | Registered representative | Jan 2024 (3y) | ||
| Zachary Murray | Registered representative | Jan 2024 (3y) | ||
| Mo W Kahlun | Registered representative | Jan 2024 (3y) | ||
| Alexander P Hendricks | Registered representative | Jan 2024 (3y) | ||
| Heather Swartzell | Registered representative | Jan 2024 (3y) | ||
| Hector Miron | Registered representative | Jan 2024 (3y) | ||
| Jamya Berkley | Registered representative | Jan 2024 (3y) | ||
| Kristina Jakstys | Registered representative | Jan 2024 (3y) | ||
| Russell Bernard Baldrick | Registered representative | Jan 2024 (3y) | ||
| Andrea Borgioli | Registered representative | Jan 2024 (3y) | ||
| Alec Feinstein | Registered representative | Jan 2024 (3y) | ||
| Allison Short | Registered representative | Jan 2024 (3y) | ||
| Avery Barth | Registered representative | Jan 2024 (3y) | ||
| Calvin Ying Zhao | Registered representative | CFP | Jan 2024 (3y) | |
| Cesar G. Delgado Hinojos | Registered representative | Jan 2024 (3y) | ||
| Clifford Young | Registered representative | Jan 2024 (3y) | ||
| Diane Bienke | Registered representative | CFP | Jan 2024 (3y) | |
| Edward Rice | Registered representative | Jan 2024 (3y) | ||
| Elizabeth Corder | Registered representative | Jan 2024 (3y) | ||
| Gregory Steven Argyres | Registered representative | Jan 2024 (3y) | ||
| J. Joseph Lally | Registered representative | Jan 2024 (3y) | ||
| John Breckenridge Barnes | Registered representative | Jan 2024 (3y) | ||
| Joseph Patrick Lally | Registered representative | Jan 2024 (3y) | ||
| James P Fletcher | Registered representative | CFA | Jan 2024 (3y) | |
| Jared Abraham Goldman | Registered representative | Jan 2024 (3y) | ||
| Krishnaa Ghosh | Registered representative | Jan 2024 (3y) | ||
| Liela Figleaf | Registered representative | Jan 2024 (3y) | ||
| Monica Dee Beeson | Registered representative | Jan 2024 (3y) | ||
| Matthew Lozano | Registered representative | Jan 2024 (3y) | ||
| Naidia Dowou | Registered representative | CFP | Jan 2024 (3y) | |
| Peter Brotherton | Registered representative | Jan 2024 (3y) | ||
| Ronald Ty Brown | Registered representative | Jan 2024 (3y) | ||
| Sanah Chung | Registered representative | Jan 2024 (3y) | ||
| Samuel Thomas Fulmer | Registered representative | Jan 2024 (3y) | ||
| Soheb Masani | Registered representative | Jan 2024 (3y) | ||
| Stacy L Allred | Registered representative | CFP | Jan 2024 (3y) | |
| Timothy Andrew Argyres | Registered representative | CFP | Jan 2024 (3y) | |
| Vito Gioiello | Registered representative | CFA | Jan 2024 (3y) | |
| William W Strabley | Registered representative | Jan 2024 (3y) | ||
| Brian Kelleher | Registered representative | CFP | Jan 2024 (3y) | |
| Brian Nixon | Registered representative | Jan 2024 (3y) | ||
| Catherine Young Jackson | Registered representative | CFA | Jan 2024 (3y) | |
| Cyrill J Rousseau | Registered representative | Jan 2024 (3y) | ||
| Christina Wolfe | Registered representative | Jan 2024 (3y) | ||
| Crista Tucker | Registered representative | Jan 2024 (3y) | ||
| Derek Mohamed | Registered representative | Jan 2024 (3y) | ||
| Dominic Anthony Bruno | Registered representative | Jan 2024 (3y) | ||
| Dorothy Margaret Clyne | Registered representative | Jan 2024 (3y) | ||
| Douglas J Feliciano | Registered representative | CFP | Jan 2024 (3y) | |
| Gregg G. Panski | Registered representative | Jan 2024 (3y) | ||
| Gregory C Shevlin | Registered representative | Jan 2024 (3y) | ||
| Heather D Subran Marsh | Registered representative | Jan 2024 (3y) | ||
| James Scott Morehouse | Registered representative | Jan 2024 (3y) | ||
| Justin Ross Merola | Registered representative | Jan 2024 (3y) | ||
| Jennifer Schulman | Registered representative | Jan 2024 (3y) | ||
| Jessica Huang | Registered representative | Jan 2024 (3y) | ||
| Justin Sr Tipp | Registered representative | CFP | Jan 2024 (3y) | |
| Kevin F Douglas | Registered representative | Jan 2024 (3y) | ||
| Marci Ann Rosenfeld | Registered representative | Jan 2024 (3y) | ||
| Maxwell Douglas Peckler | Registered representative | Jan 2024 (3y) | ||
| Peter Gutierrez | Registered representative | Jan 2024 (3y) | ||
| Stephen Greene | Registered representative | Jan 2024 (3y) | ||
| Brian T Chinn | Registered representative | CFP | Jan 2024 (3y) | |
| Emily B Tofel | Registered representative | Jan 2024 (3y) | ||
| John P. Mc Donough | Registered representative | Jan 2024 (3y) | ||
| Leanne Marie Gallotta | Registered representative | Jan 2024 (3y) | ||
| Molli Salomon | Registered representative | Jan 2024 (3y) | ||
| Ryan James Stolz | Registered representative | Jan 2024 (3y) | ||
| Stephanie Mc Guire Lyman | Registered representative | Jan 2024 (3y) | ||
| Alejandro Ramirez | Registered representative | Jan 2024 (3y) | ||
| Anny F Garcia | Registered representative | Jan 2024 (3y) | ||
| Brendan Matthew Cronin | Registered representative | Jan 2024 (3y) | ||
| Felipe Bellini | Registered representative | Jan 2024 (3y) | ||
| Hilary S Yu | Registered representative | Jan 2024 (3y) | ||
| James Keiron Donovan | Registered representative | Jan 2024 (3y) | ||
| Janet Sweeney | Registered representative | Jan 2024 (3y) | ||
| John Wuest | Registered representative | Jan 2024 (3y) | ||
| Kevin Benton Parrish | Registered representative | Jan 2024 (3y) | ||
| Kristen Mariko Hirano | Registered representative | Jan 2024 (3y) | ||
| Lauren Muller Clark | Registered representative | Jan 2024 (3y) | ||
| Mary Jane D Reyes | Registered representative | Jan 2024 (3y) | ||
| Michelle Gonzalez | Registered representative | Jan 2024 (3y) | ||
| Ngai Pham | Registered representative | Jan 2024 (3y) | ||
| Priyanka Sheth | Registered representative | Jan 2024 (3y) | ||
| Bennett Buffalo | Registered representative | Jan 2024 (3y) | ||
| Brian Johnson | Registered representative | Jan 2024 (3y) | ||
| Brittany C. Prevo | Registered representative | Jan 2024 (3y) | ||
| Emily Greten | Registered representative | Jan 2024 (3y) | ||
| Jeremy Lee Mcchesney | Registered representative | CFP | Jan 2024 (3y) | |
| John Paul Tomassetti | Registered representative | Jan 2024 (3y) | ||
| Lauren Mc Partland | Registered representative | Jan 2024 (3y) | ||
| Mark Dee Truvillion | Registered representative | Jan 2024 (3y) | ||
| Mark Dugo | Registered representative | Jan 2024 (3y) | ||
| Mark T. Davino | Registered representative | CFA | Jan 2024 (3y) | |
| Nicholas Vincent Scibelli | Registered representative | Jan 2024 (3y) | ||
| Patrick Wilson | Registered representative | Jan 2024 (3y) | ||
| Ritchey Howe | Registered representative | Jan 2024 (3y) | ||
| Sam C Schoner | Registered representative | Jan 2024 (3y) | ||
| Thomas Slowinski | Registered representative | Jan 2024 (3y) | ||
| Christine Wintrode Maksimow | Registered representative | Jan 2024 (3y) | ||
| Kimborah Rashel Speir | Registered representative | Jan 2024 (3y) | ||
| Kristen Hawkins Yakel | Registered representative | Jan 2024 (3y) | ||
| Paula Marie Dolan | Registered representative | Jan 2024 (3y) | ||
| William Graham | Registered representative | Jan 2024 (3y) | ||
| Aalok Patel | Registered representative | Jan 2024 (3y) | ||
| Frank Salensky | Registered representative | Jan 2024 (3y) | ||
| John Mcwilliams Howell | Registered representative | Jan 2024 (3y) | ||
| Madeline Mc Carthy | Registered representative | Jan 2024 (3y) | ||
| Rory Patrick Doyle | Registered representative | Jan 2024 (3y) | ||
| Andrew Wallace | Registered representative | Jan 2024 (3y) | ||
| Anthony Collard | Registered representative | Jan 2024 (3y) | ||
| Calvin Lee Faison | Registered representative | Jan 2024 (3y) | ||
| Gina G Costello | Registered representative | Jan 2024 (3y) | ||
| Paolo Pontecorvi | Registered representative | Jan 2024 (3y) | ||
| Terra Dawn Brown | Registered representative | Jan 2024 (3y) | ||
| Thomas Joseph Lacaria | Registered representative | Jan 2024 (3y) | ||
| Alexis M. Heim | Registered representative | Jan 2024 (3y) | ||
| John Joseph Hanley | Registered representative | Jan 2024 (3y) | ||
| Timothy Schwarz | Registered representative | Jan 2024 (3y) | ||
| Bruce Joseph Lutomski | Registered representative | Jan 2024 (3y) | ||
| Caroline Seaton Norcross | Registered representative | Jan 2024 (3y) | ||
| Leland Mindnich | Registered representative | Jan 2024 (3y) | ||
| Noreen Bishop Hill | Registered representative | Jan 2024 (3y) | ||
| Qianshen Zhou | Registered representative | Jan 2024 (3y) | ||
| Samuel Lyons | Registered representative | Jan 2024 (3y) | ||
| Anne Sophie Marie Noret | Registered representative | CFA | Jan 2024 (3y) | |
| Christina Jane Carroll | Registered representative | Jan 2024 (3y) | ||
| Keith Walter Macey | Registered representative | Jan 2024 (3y) | ||
| Marian Younan | Registered representative | Jan 2024 (3y) | ||
| Miguel Lazarte | Registered representative | Jan 2024 (3y) | ||
| Nicholas Patrick Poshek | Registered representative | Jan 2024 (3y) | ||
| Rochelle Schaeffer | Registered representative | Jan 2024 (3y) | ||
| Tonino Terranova | Registered representative | Jan 2024 (3y) | ||
| Brendan Wilmot Wells | Registered representative | Feb 2024 (3y) | ||
| Benjamin Paul Yannuzzi | Registered representative | Feb 2024 (3y) | ||
| Hayley Danielle Assael | Registered representative | CFP | Feb 2024 (3y) | |
| Kyle John Haley | Registered representative | Feb 2024 (3y) | ||
| Andrew Grabato | Registered representative | CFP | Feb 2024 (2y) | |
| Benjamin Frick | Registered representative | Feb 2024 (2y) | ||
| Brad Lee Marker | Registered representative | Feb 2024 (2y) | ||
| Chawki John El Dahr | Registered representative | Feb 2024 (2y) | ||
| Cynthia Hwang | Registered representative | Feb 2024 (2y) | ||
| Jessica Rushing | Registered representative | Feb 2024 (2y) | ||
| Kai N Hsu | Registered representative | Feb 2024 (2y) | ||
| Kelvin Savage | Registered representative | CFP CFA | Feb 2024 (2y) | |
| Layan Talia Chokr | Registered representative | Feb 2024 (2y) | ||
| Preston M Kern | Registered representative | CFP CFA | Feb 2024 (2y) | |
| Allison Fast Harrington | Registered representative | Feb 2024 (2y) | ||
| Anthony Lewis | Registered representative | Feb 2024 (2y) | ||
| Brandon Sholtis | Registered representative | Feb 2024 (2y) | ||
| Cole Benjamin Hahn | Registered representative | Feb 2024 (2y) | ||
| Derek Maleh | Registered representative | Feb 2024 (2y) | ||
| Emily G Varnis | Registered representative | Feb 2024 (2y) | ||
| Filippo Petrini | Registered representative | Feb 2024 (2y) | ||
| Jessica Daczo | Registered representative | Feb 2024 (2y) | ||
| Mark A. Luperini | Registered representative | Feb 2024 (2y) | ||
| Matthew B. Kmetz | Registered representative | Feb 2024 (2y) | ||
| Matthew Marcin | Registered representative | CFA | Feb 2024 (2y) | |
| Nirmala Persaud | Registered representative | Feb 2024 (2y) | ||
| Paul A Kersell | Registered representative | Feb 2024 (2y) | ||
| Robert Arvizu | Registered representative | Feb 2024 (2y) | ||
| Tejal Shah | Registered representative | Feb 2024 (2y) | ||
| Charles Gerard Schwartzel | Registered representative | CFA | Feb 2024 (2y) | |
| Daniel Goldshtein | Registered representative | Feb 2024 (2y) | ||
| Di Wu | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Mohammadi | Registered representative | Feb 2024 (2y) | ||
| Jerold Marc Matherne | Registered representative | CFP | Feb 2024 (2y) | |
| Jason Ross Berger | Registered representative | Feb 2024 (2y) | ||
| Justin Luke Leonard | Registered representative | Feb 2024 (2y) | ||
| Luke N Herber | Registered representative | Feb 2024 (2y) | ||
| Rudolph Phillip Ramelli | Registered representative | CFP | Feb 2024 (2y) | |
| Anthony James Argy | Registered representative | Feb 2024 (2y) | ||
| Alexandria Nguyen Kuwamoto | Registered representative | Feb 2024 (2y) | ||
| Anthony J. Riscili | Registered representative | Feb 2024 (2y) | ||
| Claire Jenn Di Placido | Registered representative | Feb 2024 (2y) | ||
| James Schuyler Vander Laan | Registered representative | Feb 2024 (2y) | ||
| Jonathan Mark Fairbrother | Registered representative | Feb 2024 (2y) | ||
| Katerina L Howard | Registered representative | Feb 2024 (2y) | ||
| Kyle Dowman | Registered representative | Feb 2024 (2y) | ||
| Michael William Miller | Registered representative | CFP | Feb 2024 (2y) | |
| Maria Ernestina Castillo | Registered representative | Feb 2024 (2y) | ||
| Stephanie Perez | Registered representative | Feb 2024 (2y) | ||
| Diego Menendez | Registered representative | Feb 2024 (2y) | ||
| Maya Greenfield | Registered representative | Feb 2024 (2y) | ||
| Xiaoran Yuan | Registered representative | Feb 2024 (2y) | ||
| Andres Faouen | Registered representative | Feb 2024 (2y) | ||
| David M. Reynolds | Registered representative | Feb 2024 (2y) | ||
| Jackson Denue | Registered representative | Feb 2024 (2y) | ||
| Joseph B Markovich | Registered representative | Feb 2024 (2y) | ||
| Katherine Ester Lingle | Registered representative | Feb 2024 (2y) | ||
| Matthew Seitz | Registered representative | Feb 2024 (2y) | ||
| Rocio P. Gonzales | Registered representative | Feb 2024 (2y) | ||
| Taylor Ayers | Registered representative | Feb 2024 (2y) | ||
| Benoit Jean D Ugeux | Registered representative | Feb 2024 (2y) | ||
| Bevin Landry Jung | Registered representative | Feb 2024 (2y) | ||
| Fred Carini | Registered representative | Feb 2024 (2y) | ||
| Harry Varon | Registered representative | Feb 2024 (2y) | ||
| James Michael Baxter Soldati | Registered representative | Feb 2024 (2y) | ||
| Lauren Matthiesen | Registered representative | Feb 2024 (2y) | ||
| Matthew Thomas Jones | Registered representative | Feb 2024 (2y) | ||
| Paige Ford | Registered representative | Feb 2024 (2y) | ||
| Sarah Kohart | Registered representative | Feb 2024 (2y) | ||
| Angela Marie Mattione | Registered representative | Feb 2024 (2y) | ||
| Andres Edward Cervantes | Registered representative | Feb 2024 (2y) | ||
| Blake David Emerson | Registered representative | Feb 2024 (2y) | ||
| Brittany Scott | Registered representative | Feb 2024 (2y) | ||
| Catherine Bradley O'connell | Registered representative | CFP | Feb 2024 (2y) | |
| Connor Hayes Mckinney | Registered representative | CFA | Feb 2024 (2y) | |
| Catherine G Hunt | Registered representative | Feb 2024 (2y) | ||
| Christian Rodriguez | Registered representative | Feb 2024 (2y) | ||
| Danielle Metson Juda | Registered representative | Feb 2024 (2y) | ||
| Errol Jonas Rhoden | Registered representative | Feb 2024 (2y) | ||
| Jason Daniel Meshberg | Registered representative | Feb 2024 (2y) | ||
| Joseph Stephen Ciliak | Registered representative | CFA | Feb 2024 (2y) | |
| Jackie J. Emerick | Registered representative | Feb 2024 (2y) | ||
| Jared Weinman | Registered representative | Feb 2024 (2y) | ||
| Jeffrey O Kuhlman | Registered representative | CFA | Feb 2024 (2y) | |
| Jorge Salas | Registered representative | Feb 2024 (2y) | ||
| Kaitlin M. Maguire | Registered representative | Feb 2024 (2y) | ||
| Luis Ramos | Registered representative | Feb 2024 (2y) | ||
| Marshall Bernstein Donner | Registered representative | Feb 2024 (2y) | ||
| Marguerite O'brien | Registered representative | Feb 2024 (2y) | ||
| Molly Mc Clung Edwards | Registered representative | CFP | Feb 2024 (2y) | |
| Natasha Krupp | Registered representative | Feb 2024 (2y) | ||
| Patrick R Hollinger | Registered representative | CFA | Feb 2024 (2y) | |
| Timothy Garvey Ellis | Registered representative | Feb 2024 (2y) | ||
| Carolyn Bell | Registered representative | Feb 2024 (2y) | ||
| Daniel Marc Solomon | Registered representative | CFA | Feb 2024 (2y) | |
| Eugenio Jorge Riquelme Mendez | Registered representative | Feb 2024 (2y) | ||
| Erin Pavlopoulos | Registered representative | Feb 2024 (2y) | ||
| Fredrerick Escobar | Registered representative | Feb 2024 (2y) | ||
| Robert Baker | Registered representative | CFP | Feb 2024 (2y) | |
| Sarah Emily Boyd | Registered representative | Feb 2024 (2y) | ||
| Sutton Robert Fisher | Registered representative | Feb 2024 (2y) | ||
| Andrew G. Ivers | Registered representative | CFP | Feb 2024 (2y) | |
| Benjamin Judah Loube Pearson | Registered representative | Feb 2024 (2y) | ||
| Denet Victor Christopher | Registered representative | Feb 2024 (2y) | ||
| Jason Riley | Registered representative | Feb 2024 (2y) | ||
| Mary Montgomery | Registered representative | Feb 2024 (2y) | ||
| Michael Donohue | Registered representative | Feb 2024 (2y) | ||
| Michael Montevago | Registered representative | Feb 2024 (2y) | ||
| Peter Browning Dolan | Registered representative | Feb 2024 (2y) | ||
| Ray Sorrentini | Registered representative | Feb 2024 (2y) | ||
| Samuel Hansen Quinn | Registered representative | Feb 2024 (2y) | ||
| Tucker D Erdmann | Registered representative | Feb 2024 (2y) | ||
| Alfredo Castillo | Registered representative | Feb 2024 (2y) | ||
| Anne Marie Quinn O'connor | Registered representative | Feb 2024 (2y) | ||
| Christopher J. Gribble | Registered representative | Feb 2024 (2y) | ||
| Diana Alexandra Thomas | Registered representative | Feb 2024 (2y) | ||
| Eric Ian Greenberg | Registered representative | Feb 2024 (2y) | ||
| Elizabeth Yoss | Registered representative | Feb 2024 (2y) | ||
| Umbreen N Kazmi | Registered representative | Feb 2024 (2y) | ||
| Samuel Alexander Haverstick | Registered representative | Feb 2024 (2y) | ||
| Damjan Djuric | Registered representative | Feb 2024 (2y) | ||
| Peter Albert Glover | Registered representative | Feb 2024 (2y) | ||
| Alexandria Leigh Hodge | Registered representative | Feb 2024 (2y) | ||
| Carolyn Landis Briganti | Registered representative | Feb 2024 (2y) | ||
| Christopher Robertson Mcnerney | Registered representative | Feb 2024 (2y) | ||
| Catesby Ware Palmer | Registered representative | Feb 2024 (2y) | ||
| Daniel Forman | Registered representative | Feb 2024 (2y) | ||
| Maryann Romano | Registered representative | Feb 2024 (2y) | ||
| Neesha Khanna | Registered representative | Feb 2024 (2y) | ||
| Rodney Pierresaint | Registered representative | Feb 2024 (2y) | ||
| Andrew Mitchell | Registered representative | Feb 2024 (2y) | ||
| Chelsea Elizabeth Heins | Registered representative | Feb 2024 (2y) | ||
| Elizabeth King | Registered representative | Feb 2024 (2y) | ||
| Gregory C. Sperrazza | Registered representative | Feb 2024 (2y) | ||
| Guilherme Barbosa | Registered representative | Feb 2024 (2y) | ||
| Nikola Vukadinovic | Registered representative | Feb 2024 (2y) | ||
| Randy Martinez | Registered representative | Feb 2024 (2y) | ||
| Alexia L Ball | Registered representative | Feb 2024 (2y) | ||
| Brian Mc Call | Registered representative | Feb 2024 (2y) | ||
| Edward Charles Tarbutton | Registered representative | Feb 2024 (2y) | ||
| Emmett Mc Conville | Registered representative | Feb 2024 (2y) | ||
| John Wetzel | Registered representative | Feb 2024 (2y) | ||
| Nicholas William Harris | Registered representative | Feb 2024 (2y) | ||
| Nicole Stansell | Registered representative | Feb 2024 (2y) | ||
| Nicola M Ostrum | Registered representative | Feb 2024 (2y) | ||
| Pierre Van Wayenberge | Registered representative | Feb 2024 (2y) | ||
| Rachel Stanbery Meyer | Registered representative | Feb 2024 (2y) | ||
| Robert Joseph Diehl | Registered representative | CFA | Feb 2024 (2y) | |
| Winne Wang | Registered representative | Feb 2024 (2y) | ||
| Andrew Thomas Gough | Registered representative | Feb 2024 (2y) | ||
| Ashley Marlenga Herbst | Registered representative | Feb 2024 (2y) | ||
| Andrew J. Serkes | Registered representative | Feb 2024 (2y) | ||
| Coleman Peters Younger | Registered representative | Feb 2024 (2y) | ||
| Caitlin Barry Finley | Registered representative | Feb 2024 (2y) | ||
| Catherine Mc Inerney | Registered representative | Feb 2024 (2y) | ||
| Gabrielle Brenn | Registered representative | Feb 2024 (2y) | ||
| John Patrick Cruikshank | Registered representative | Feb 2024 (2y) | ||
| Jonathan Dan Holmes | Registered representative | Feb 2024 (2y) | ||
| Kevin Scott Benesh | Registered representative | Feb 2024 (2y) | ||
| Lucy Samuel | Registered representative | Feb 2024 (2y) | ||
| Madison Elizabeth Lauderback | Registered representative | Feb 2024 (2y) | ||
| Marie Borland | Registered representative | Feb 2024 (2y) | ||
| Raul Sandoval | Registered representative | Feb 2024 (2y) | ||
| John Thomas Aughinbaugh | Registered representative | Feb 2024 (2y) | ||
| Luke Matthew Nederveld | Registered representative | Feb 2024 (2y) | ||
| Alex Edward Wind | Registered representative | Feb 2024 (2y) | ||
| Aidan P. Borguet | Registered representative | Feb 2024 (2y) | ||
| Anna Rapp | Registered representative | Feb 2024 (2y) | ||
| Christopher John Mathieu | Registered representative | Feb 2024 (2y) | ||
| Christopher Vance Wieland | Registered representative | Feb 2024 (2y) | ||
| David Hartmeier | Registered representative | Feb 2024 (2y) | ||
| Ellen Whelton Morton | Registered representative | Feb 2024 (2y) | ||
| Giacomo Mecagni | Registered representative | Feb 2024 (2y) | ||
| John Robert Liess | Registered representative | Feb 2024 (2y) | ||
| John Sterling Dana | Registered representative | Feb 2024 (2y) | ||
| Jonathan Bruce Pueschel | Registered representative | Feb 2024 (2y) | ||
| Justin Lynn Smith | Registered representative | Feb 2024 (2y) | ||
| Jennifer Green | Registered representative | CFP | Feb 2024 (2y) | |
| Kelley Harrison Saros | Registered representative | Feb 2024 (2y) | ||
| Kelly Brusalis | Registered representative | Feb 2024 (2y) | ||
| Lauren M Castillo | Registered representative | Feb 2024 (2y) | ||
| Marshall B Barnett | Registered representative | Feb 2024 (2y) | ||
| Morgan Anthony Truscott | Registered representative | Feb 2024 (2y) | ||
| Mark B. Lewis | Registered representative | Feb 2024 (2y) | ||
| Michael Pagliuco | Registered representative | Feb 2024 (2y) | ||
| Ryan Mc Mahon | Registered representative | Feb 2024 (2y) | ||
| Sean Taylor Millington | Registered representative | Feb 2024 (2y) | ||
| Seth Gusow | Registered representative | Feb 2024 (2y) | ||
| Zachary Michael Aldieri | Registered representative | Feb 2024 (2y) | ||
| Alain Carrazana | Registered representative | Feb 2024 (2y) | ||
| Anton Roland Gougeon | Registered representative | Feb 2024 (2y) | ||
| Benjamin Krich | Registered representative | Feb 2024 (2y) | ||
| Charles Thomas Cooper | Registered representative | Feb 2024 (2y) | ||
| Craig A Nichols | Registered representative | Feb 2024 (2y) | ||
| Emilio Antonio Velazquez | Registered representative | Feb 2024 (2y) | ||
| Faith E. Schumacher | Registered representative | Feb 2024 (2y) | ||
| Gideon J Derr | Registered representative | Feb 2024 (2y) | ||
| Harrison Lee Schoenhaut | Registered representative | Feb 2024 (2y) | ||
| Jake Martin Masso | Registered representative | Feb 2024 (2y) | ||
| James H Barton | Registered representative | Feb 2024 (2y) | ||
| Jia Hui Wei | Registered representative | Feb 2024 (2y) | ||
| John Killen | Registered representative | Feb 2024 (2y) | ||
| Keri Mcbride Maccoll | Registered representative | Feb 2024 (2y) | ||
| Michelle Newall | Registered representative | Feb 2024 (2y) | ||
| Matthew Anthony Taormina | Registered representative | Feb 2024 (2y) | ||
| Matthew K Mc Kee | Registered representative | Feb 2024 (2y) | ||
| Michael Dennison | Registered representative | Feb 2024 (2y) | ||
| Monica Sotomayor | Registered representative | Feb 2024 (2y) | ||
| Thomas D. Selquist | Registered representative | Feb 2024 (2y) | ||
| William Chader | Registered representative | Feb 2024 (2y) | ||
| Alessandro Colitto | Registered representative | Feb 2024 (2y) | ||
| Deborah A Kennedy | Registered representative | Feb 2024 (2y) | ||
| Garret St. Louis | Registered representative | Feb 2024 (2y) | ||
| Jonathan Andrew Panik | Registered representative | Feb 2024 (2y) | ||
| Jack Michael Gray | Registered representative | Feb 2024 (2y) | ||
| Jose Alberto Suastez | Registered representative | Feb 2024 (2y) | ||
| Martin Burson Rossen | Registered representative | Feb 2024 (2y) | ||
| Michael David Pages | Registered representative | Feb 2024 (2y) | ||
| Rhonda Elizabeth Potter | Registered representative | CFP | Feb 2024 (2y) | |
| Akeem Andallah Walcott | Registered representative | Feb 2024 (2y) | ||
| Ana G De Pina | Registered representative | Feb 2024 (2y) | ||
| Austin M. Barr | Registered representative | Feb 2024 (2y) | ||
| Colin B Koch | Registered representative | Feb 2024 (2y) | ||
| Corley Chandler | Registered representative | Feb 2024 (2y) | ||
| Daniel T Ausman | Registered representative | Feb 2024 (2y) | ||
| Fabian Gil | Registered representative | Feb 2024 (2y) | ||
| Jacob John Mascari | Registered representative | Feb 2024 (2y) | ||
| Jason Mangione | Registered representative | Feb 2024 (2y) | ||
| John P. Kelly | Registered representative | Feb 2024 (2y) | ||
| Marc Olivier Pouey | Registered representative | Feb 2024 (2y) | ||
| Matthew Alden Phelps | Registered representative | Feb 2024 (2y) | ||
| Matthew Scott Duncan | Registered representative | Feb 2024 (2y) | ||
| Matthew Morris | Registered representative | Feb 2024 (2y) | ||
| Schuyler Christian Azzolin | Registered representative | Feb 2024 (2y) | ||
| Sarah Mc Carron Burns | Registered representative | Feb 2024 (2y) | ||
| Todd W. Dahlstrom | Registered representative | Feb 2024 (2y) | ||
| Vishal K. Khosla | Registered representative | Feb 2024 (2y) | ||
| Anthony David Becker | Registered representative | Mar 2024 (2y) | ||
| Brian Christopher Weigand | Registered representative | CFA | Mar 2024 (2y) | |
| Chad Lawrence Escobedo | Registered representative | Mar 2024 (2y) | ||
| Charles E Mc Calla | Registered representative | Mar 2024 (2y) | ||
| David Sternasty | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Miele Wurster | Registered representative | Mar 2024 (2y) | ||
| Elizabeth E. Rahn | Registered representative | Mar 2024 (2y) | ||
| Francis Ahmed | Registered representative | Mar 2024 (2y) | ||
| G. Patrick Fox | Registered representative | Mar 2024 (2y) | ||
| Gustavo Rodriguez | Registered representative | Mar 2024 (2y) | ||
| Jeramey Joseph Lynch | Registered representative | Mar 2024 (2y) | ||
| John Mathai | Registered representative | Mar 2024 (2y) | ||
| John T Walsh | Registered representative | Mar 2024 (2y) | ||
| Kenneth Alan Freelund | Registered representative | Mar 2024 (2y) | ||
| Kurtis Lee Belongea | Registered representative | Mar 2024 (2y) | ||
| Naftali N. Yusufov | Registered representative | Mar 2024 (2y) | ||
| Thomas Gregory Hamby | Registered representative | Mar 2024 (2y) | ||
| Van Curtis Shell | Registered representative | Mar 2024 (2y) | ||
| Tanner Curley | Registered representative | Mar 2024 (2y) | ||
| Harold C Eylward | Registered representative | Mar 2024 (2y) | ||
| Adam Ambrogio | Registered representative | Mar 2024 (2y) | ||
| Alin Goryoka | Registered representative | Mar 2024 (2y) | ||
| Daniel Patrick Kohnen | Registered representative | Mar 2024 (2y) | ||
| Dylan Kyle Rhodus | Registered representative | Mar 2024 (2y) | ||
| Grace Frances Ngai | Registered representative | Mar 2024 (2y) | ||
| Grafton Orlando Ifill | Registered representative | Mar 2024 (2y) | ||
| Hamid Derbani | Registered representative | Mar 2024 (2y) | ||
| Hunter De Haven | Registered representative | Mar 2024 (2y) | ||
| Jonathan Parris | Registered representative | Mar 2024 (2y) | ||
| John Lockwood | Registered representative | Mar 2024 (2y) | ||
| John Mathias Frueh Schmitz | Registered representative | Mar 2024 (2y) | ||
| Lauren Kuczek | Registered representative | Mar 2024 (2y) | ||
| Mark Adam Sanders | Registered representative | Mar 2024 (2y) | ||
| Paul Kisslinger | Registered representative | Mar 2024 (2y) | ||
| Paige Kathryn Hawley | Registered representative | Mar 2024 (2y) | ||
| Peter B Wilson | Registered representative | Mar 2024 (2y) | ||
| Quinn E. Dolan | Registered representative | Mar 2024 (2y) | ||
| Robert Blanch | Registered representative | Mar 2024 (2y) | ||
| Safa Saeed | Registered representative | Mar 2024 (2y) | ||
| Stephen Joseph Borriello | Registered representative | Mar 2024 (2y) | ||
| Ariana Bedrossian | Registered representative | Mar 2024 (2y) | ||
| Charlotte Mary Burnett | Registered representative | Mar 2024 (2y) | ||
| Chayden H Tibbitts | Registered representative | Mar 2024 (2y) | ||
| Deroop Ramtahal | Registered representative | Mar 2024 (2y) | ||
| Devon Becker | Registered representative | CFA | Mar 2024 (2y) | |
| Justin E Weible | Registered representative | Mar 2024 (2y) | ||
| Karla Patricia Butler | Registered representative | Mar 2024 (2y) | ||
| Kyle Catanzano | Registered representative | Mar 2024 (2y) | ||
| Lauren E Sahlfeld | Registered representative | Mar 2024 (2y) | ||
| Michael Cullen | Registered representative | Mar 2024 (2y) | ||
| Nathaniel Edman Siens | Registered representative | Mar 2024 (2y) | ||
| Rodney Kenneth Jones | Registered representative | Mar 2024 (2y) | ||
| Rob Graham | Registered representative | Mar 2024 (2y) | ||
| Adriana Trujillo | Registered representative | Mar 2024 (2y) | ||
| Alejandro Munoz | Registered representative | Mar 2024 (2y) | ||
| Melissa Marie Burt | Registered representative | Mar 2024 (2y) | ||
| Michael F Groves | Registered representative | Mar 2024 (2y) | ||
| Myky Tran | Registered representative | Mar 2024 (2y) | ||
| Nicholas Quinn | Registered representative | Mar 2024 (2y) | ||
| Thompson Smith | Registered representative | Mar 2024 (2y) | ||
| Winslow Nathaniel Wheeler | Registered representative | Mar 2024 (2y) | ||
| Brian Edward Gonzalez | Registered representative | Mar 2024 (2y) | ||
| Cullen Jay Green | Registered representative | Mar 2024 (2y) | ||
| David Michael Follett | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Ann White | Registered representative | Mar 2024 (2y) | ||
| Edgar L. Jackson | Registered representative | Mar 2024 (2y) | ||
| Emiliana Blessing | Registered representative | Mar 2024 (2y) | ||
| Gregorio Dominguez | Registered representative | Mar 2024 (2y) | ||
| Jimmy Szeto | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Thomas Brannigan | Registered representative | Mar 2024 (2y) | ||
| Manuel Ceja | Registered representative | Mar 2024 (2y) | ||
| Mitchell R. Saltzstein | Registered representative | Mar 2024 (2y) | ||
| William L. Brawley | Registered representative | Mar 2024 (2y) | ||
| Alan So | Registered representative | Mar 2024 (2y) | ||
| Alfred Chu | Registered representative | Mar 2024 (2y) | ||
| Allison Mc Adam | Registered representative | Mar 2024 (2y) | ||
| Amanda Jean Rosinski | Registered representative | Mar 2024 (2y) | ||
| Amanda Ricchiuti | Registered representative | Mar 2024 (2y) | ||
| Andrew Bach | Registered representative | Mar 2024 (2y) | ||
| Charles William Eppes | Registered representative | Mar 2024 (2y) | ||
| Christina E Dwyer | Registered representative | Mar 2024 (2y) | ||
| Christopher Justin Salloum | Registered representative | Mar 2024 (2y) | ||
| Christopher Michael Cassi | Registered representative | Mar 2024 (2y) | ||
| Christopher Ornelas | Registered representative | CFP | Mar 2024 (2y) | |
| Cyndi Gutierrez | Registered representative | Mar 2024 (2y) | ||
| Deevana Kumar Palazzolo | Registered representative | Mar 2024 (2y) | ||
| David Anthony Thomas | Registered representative | Mar 2024 (2y) | ||
| David Tyler Merritt | Registered representative | Mar 2024 (2y) | ||
| Elias Daya Hodges | Registered representative | Mar 2024 (2y) | ||
| Emma Francis Soderquist | Registered representative | Mar 2024 (2y) | ||
| Elizabeth A Sundheim | Registered representative | Mar 2024 (2y) | ||
| Gavin Hilder | Registered representative | Mar 2024 (2y) | ||
| Gloria Infante | Registered representative | Mar 2024 (2y) | ||
| Jacqueline Lazerus | Registered representative | Mar 2024 (2y) | ||
| John Michael Cunningham | Registered representative | Mar 2024 (2y) | ||
| Joseph L Co | Registered representative | Mar 2024 (2y) | ||
| Kelli Michelle Putnam | Registered representative | Mar 2024 (2y) | ||
| Laura Benfatti Davis | Registered representative | Mar 2024 (2y) | ||
| Lauren Xouleis | Registered representative | Mar 2024 (2y) | ||
| Mary Jane Volfson | Registered representative | Mar 2024 (2y) | ||
| Nhi Nguyen | Registered representative | Mar 2024 (2y) | ||
| Nicholas John Civitello | Registered representative | Mar 2024 (2y) | ||
| Oleg Zubarev | Registered representative | Mar 2024 (2y) | ||
| Ravy Ly | Registered representative | Mar 2024 (2y) | ||
| Roman Korkmazsky | Registered representative | Mar 2024 (2y) | ||
| Ryan Swoyer | Registered representative | Mar 2024 (2y) | ||
| Sarah Wieczorek | Registered representative | Mar 2024 (2y) | ||
| Scott Misson | Registered representative | Mar 2024 (2y) | ||
| Jason Aaron Levin | Registered representative | Mar 2024 (2y) | ||
| Omar Peguero Hernandez | Registered representative | Mar 2024 (2y) | ||
| Angelica Vergara | Registered representative | Mar 2024 (2y) | ||
| Brandon Alan Fried | Registered representative | Mar 2024 (2y) | ||
| Chad Anthony Delk | Registered representative | Mar 2024 (2y) | ||
| Colin J Wetherill | Registered representative | Mar 2024 (2y) | ||
| Daniel Brendle Reid | Registered representative | Mar 2024 (2y) | ||
| Hunter Chisholm | Registered representative | Mar 2024 (2y) | ||
| Jonathan England | Registered representative | Mar 2024 (2y) | ||
| Mary Elisabeth Plowden | Registered representative | Mar 2024 (2y) | ||
| Michael Benjamin Hirschfeld | Registered representative | Mar 2024 (2y) | ||
| Morris D Bossen | Registered representative | Mar 2024 (2y) | ||
| Priya Anna Wad Fagan | Registered representative | Mar 2024 (2y) | ||
| Richard Cleveland Corcoran | Registered representative | Mar 2024 (2y) | ||
| Sergio Gomez Castilla | Registered representative | Mar 2024 (2y) | ||
| Susan M Heidere | Registered representative | Mar 2024 (2y) | ||
| Thomas John Hall | Registered representative | Mar 2024 (2y) | ||
| William Christopher Sinclair | Registered representative | Mar 2024 (2y) | ||
| Alvaro Zavala | Registered representative | Mar 2024 (2y) | ||
| Gary Rzucidlo | Registered representative | Mar 2024 (2y) | ||
| Hernan Perez | Registered representative | Mar 2024 (2y) | ||
| James Whittaker Ryan | Registered representative | Mar 2024 (2y) | ||
| Joseph Raymond Cermola | Registered representative | Mar 2024 (2y) | ||
| John O. Stoll | Registered representative | Mar 2024 (2y) | ||
| Jonathan E. Bonin | Registered representative | Mar 2024 (2y) | ||
| Leilah N Diong | Registered representative | Mar 2024 (2y) | ||
| Michael Francesco Geraci | Registered representative | Mar 2024 (2y) | ||
| Patrick Reed | Registered representative | Mar 2024 (2y) | ||
| Ryan Michael Lino | Registered representative | Mar 2024 (2y) | ||
| Raechel M. Owen | Registered representative | Mar 2024 (2y) | ||
| Robert M. Gryfinski | Registered representative | Mar 2024 (2y) | ||
| Sarah Ma | Registered representative | Mar 2024 (2y) | ||
| Shelby Sterling | Registered representative | Mar 2024 (2y) | ||
| Allison Marie Westmoreland | Registered representative | Mar 2024 (2y) | ||
| Brisly Arleth Alonso Ali | Registered representative | Mar 2024 (2y) | ||
| Charles Leitch | Registered representative | Mar 2024 (2y) | ||
| Christopher Power | Registered representative | Mar 2024 (2y) | ||
| Daniel Joseph White | Registered representative | Mar 2024 (2y) | ||
| Elyse Dawn Fragata | Registered representative | Mar 2024 (2y) | ||
| Evan Richardson | Registered representative | Mar 2024 (2y) | ||
| Joshua Sariol | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Bridge | Registered representative | Mar 2024 (2y) | ||
| John Robert Borum | Registered representative | CFP | Mar 2024 (2y) | |
| Justin Drew Anisimow | Registered representative | Mar 2024 (2y) | ||
| Justin R. King | Registered representative | Mar 2024 (2y) | ||
| Katie Hollingshead Hallen | Registered representative | Mar 2024 (2y) | ||
| Kevin Robert Brown Crosby | Registered representative | Mar 2024 (2y) | ||
| Leonard John Achenbach | Registered representative | Mar 2024 (2y) | ||
| Lorenzo Horvath | Registered representative | Mar 2024 (2y) | ||
| Madeline Lipp Class | Registered representative | Mar 2024 (2y) | ||
| Nancy Malamed | Registered representative | Mar 2024 (2y) | ||
| Noah Marks | Registered representative | Mar 2024 (2y) | ||
| Paige Richards | Registered representative | Mar 2024 (2y) | ||
| Paul Schiller | Registered representative | Mar 2024 (2y) | ||
| Daniel Antonio Paiz | Registered representative | Mar 2024 (2y) | ||
| Ignacio Rodriguez | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Michael Bonilla | Registered representative | Mar 2024 (2y) | ||
| Joseph William Bigda | Registered representative | Mar 2024 (2y) | ||
| Jairo Johnathan Silva | Registered representative | Mar 2024 (2y) | ||
| John Christopher Smith | Registered representative | Mar 2024 (2y) | ||
| Katrina Leigh Jensen | Registered representative | Mar 2024 (2y) | ||
| Kieran Locke | Registered representative | Mar 2024 (2y) | ||
| Mikail Peer | Registered representative | Mar 2024 (2y) | ||
| Natasa Zivak | Registered representative | Mar 2024 (2y) | ||
| Reginald Loy Blake | Registered representative | Mar 2024 (2y) | ||
| Thomas Gardner | Registered representative | Mar 2024 (2y) | ||
| Atri Bhalla | Registered representative | Mar 2024 (2y) | ||
| Brady Dean Fausnaught | Registered representative | Mar 2024 (2y) | ||
| Carson Tj Schmick | Registered representative | Mar 2024 (2y) | ||
| Carter Kauth | Registered representative | Mar 2024 (2y) | ||
| Christopher John Celusta | Registered representative | Mar 2024 (2y) | ||
| Douglas F Palumbo | Registered representative | Mar 2024 (2y) | ||
| Erica Goltra | Registered representative | Mar 2024 (2y) | ||
| Gina Andersen | Registered representative | Mar 2024 (2y) | ||
| Heshan S. Wanigasekera | Registered representative | Mar 2024 (2y) | ||
| Jesse David Markman | Registered representative | Mar 2024 (2y) | ||
| Kevin M. Conwell | Registered representative | Mar 2024 (2y) | ||
| Mark Allen Malone | Registered representative | Mar 2024 (2y) | ||
| Mark D Sullivan | Registered representative | Mar 2024 (2y) | ||
| Meghan M Kiley | Registered representative | Mar 2024 (2y) | ||
| Melissa Hughes | Registered representative | Mar 2024 (2y) | ||
| Michael A Affigne | Registered representative | Mar 2024 (2y) | ||
| Nathaniel Joya Ticman | Registered representative | Mar 2024 (2y) | ||
| Stephen Wright | Registered representative | Mar 2024 (2y) | ||
| Tin Nguyen | Registered representative | Mar 2024 (2y) | ||
| Max Alexander Weisman | Registered representative | Mar 2024 (2y) | ||
| Alston Edwards White | Registered representative | Mar 2024 (2y) | ||
| Charles R. Black | Registered representative | Mar 2024 (2y) | ||
| Christopher Harrington David Cooper | Registered representative | Mar 2024 (2y) | ||
| Christopher Lee | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Lailer | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Shaheen | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Hood | Registered representative | Mar 2024 (2y) | ||
| John Mc Michael | Registered representative | Mar 2024 (2y) | ||
| Matthew Steven Vamvakis | Registered representative | Mar 2024 (2y) | ||
| Mohamed Hussein Zeitoun | Registered representative | Mar 2024 (2y) | ||
| Robert Patrick Daniels Kerr | Registered representative | Mar 2024 (2y) | ||
| Robert A Keller | Registered representative | Mar 2024 (2y) | ||
| Alexander D Condon | Registered representative | Mar 2024 (2y) | ||
| Alexandra Mc Quade | Registered representative | Mar 2024 (2y) | ||
| Aparna Sarma | Registered representative | Mar 2024 (2y) | ||
| Brooklyn Rose Taylor | Registered representative | Mar 2024 (2y) | ||
| Cameron Jury | Registered representative | Mar 2024 (2y) | ||
| Elizabeth K Martinson | Registered representative | Mar 2024 (2y) | ||
| Elizabeth L Gearhardt | Registered representative | Mar 2024 (2y) | ||
| Elizabeth Monroe Meeker Jensen | Registered representative | Mar 2024 (2y) | ||
| Ian E Hirschfield | Registered representative | Mar 2024 (2y) | ||
| Jason Willyard | Registered representative | Mar 2024 (2y) | ||
| Kelly Ann Spengler | Registered representative | Mar 2024 (2y) | ||
| Kevin Wolf | Registered representative | Mar 2024 (2y) | ||
| Mack H Portnoy | Registered representative | Mar 2024 (2y) | ||
| Matthew F. Gasparro | Registered representative | Mar 2024 (2y) | ||
| Matthew G. Mercer | Registered representative | Mar 2024 (2y) | ||
| Matthew Rizner | Registered representative | Mar 2024 (2y) | ||
| Robert Anthony Snyder | Registered representative | Mar 2024 (2y) | ||
| Shana M. Daniels | Registered representative | Mar 2024 (2y) | ||
| Susannah Straton Killen | Registered representative | Mar 2024 (2y) | ||
| Yan Jiang | Registered representative | Mar 2024 (2y) | ||
| Brian J. Mc Glynn | Registered representative | Mar 2024 (2y) | ||
| Charley A. Ford | Registered representative | Mar 2024 (2y) | ||
| Douglas A Lutin | Registered representative | Mar 2024 (2y) | ||
| Eileen Marie Kurth | Registered representative | Mar 2024 (2y) | ||
| Fabio M Lindia | Registered representative | Mar 2024 (2y) | ||
| Janet Feldstein Mc Killop | Registered representative | Mar 2024 (2y) | ||
| Jonathan Rozen | Registered representative | Mar 2024 (2y) | ||
| Kayla E. Kerr | Registered representative | Mar 2024 (2y) | ||
| Lindsey Jones | Registered representative | Mar 2024 (2y) | ||
| Marcia Mead Miller | Registered representative | Mar 2024 (2y) | ||
| Matthew Lewis | Registered representative | Mar 2024 (2y) | ||
| Sean Michael Racz | Registered representative | Mar 2024 (2y) | ||
| Samuel Lucas | Registered representative | Mar 2024 (2y) | ||
| Serop Kupelian | Registered representative | Mar 2024 (2y) | ||
| Alex Howard Goone | Registered representative | Mar 2024 (2y) | ||
| Alex Michael Hickman | Registered representative | Mar 2024 (2y) | ||
| Ana M Pinel | Registered representative | Mar 2024 (2y) | ||
| Andrew Shipley | Registered representative | CFA | Mar 2024 (2y) | |
| Angus Augustus Wynne | Registered representative | Mar 2024 (2y) | ||
| Benjamin H Shapiro | Registered representative | Mar 2024 (2y) | ||
| Bryce S Mohelnitzky | Registered representative | Mar 2024 (2y) | ||
| Catherine G Fix | Registered representative | Mar 2024 (2y) | ||
| Christina Paragamian | Registered representative | Mar 2024 (2y) | ||
| Daniel Raymond Galovich | Registered representative | Mar 2024 (2y) | ||
| David Robert Fitzgerald | Registered representative | Mar 2024 (2y) | ||
| Gabriel Faunce | Registered representative | Mar 2024 (2y) | ||
| Hemali Dassani | Registered representative | Mar 2024 (2y) | ||
| Hailey Ng | Registered representative | Mar 2024 (2y) | ||
| John Wesley Marsh | Registered representative | Mar 2024 (2y) | ||
| Joseph Michael Kaufman | Registered representative | Mar 2024 (2y) | ||
| James Edward Griffin | Registered representative | Mar 2024 (2y) | ||
| Kristine Charbonneau O'keefe | Registered representative | Mar 2024 (2y) | ||
| Kaitlyn D Winn | Registered representative | CFP | Mar 2024 (2y) | |
| Leonard Scott Thomlison | Registered representative | CFP | Mar 2024 (2y) | |
| Michael Joseph Leiden | Registered representative | Mar 2024 (2y) | ||
| Matt Ellis | Registered representative | Mar 2024 (2y) | ||
| Michael Yeung | Registered representative | Mar 2024 (2y) | ||
| Olutade Adegboyega Olulade | Registered representative | Mar 2024 (2y) | ||
| Ryan Alexander Valdez | Registered representative | Mar 2024 (2y) | ||
| Robin Kopeikin | Registered representative | CFA | Mar 2024 (2y) | |
| Robin Yoshimura | Registered representative | CFA | Mar 2024 (2y) | |
| Sebastian Komuda | Registered representative | Mar 2024 (2y) | ||
| Sergio Alejandro Jimenez | Registered representative | Mar 2024 (2y) | ||
| Simeon Balev | Registered representative | Mar 2024 (2y) | ||
| Travis Damon | Registered representative | CFP | Mar 2024 (2y) | |
| Timothy J Distler | Registered representative | Mar 2024 (2y) | ||
| Trevor Christian Faulk | Registered representative | Mar 2024 (2y) | ||
| Alanna Elizabeth Noor | Registered representative | Mar 2024 (2y) | ||
| Alex Furlong | Registered representative | Mar 2024 (2y) | ||
| Andrew Knox Thompson | Registered representative | Mar 2024 (2y) | ||
| Adam M. Wise | Registered representative | Mar 2024 (2y) | ||
| Alexander George Aristides | Registered representative | Mar 2024 (2y) | ||
| Alexander Reed Bryce Katz | Registered representative | Mar 2024 (2y) | ||
| Brett W Berry | Registered representative | CFA | Mar 2024 (2y) | |
| Daniel John Cappello | Registered representative | Mar 2024 (2y) | ||
| Emily Taylor Horan | Registered representative | Mar 2024 (2y) | ||
| Flynn O'hara Govern | Registered representative | Mar 2024 (2y) | ||
| German Ulises Valladares Alvarenga | Registered representative | Mar 2024 (2y) | ||
| Harold Louis Reinstein | Registered representative | CFP | Mar 2024 (2y) | |
| Hassan S Akhtar | Registered representative | Mar 2024 (2y) | ||
| Jonathan Lindsay Warkentin | Registered representative | Mar 2024 (2y) | ||
| Joseph L. Bonavita | Registered representative | Mar 2024 (2y) | ||
| Kevin Leyendecker | Registered representative | Mar 2024 (2y) | ||
| Matthew Charles Miller | Registered representative | Mar 2024 (2y) | ||
| Myles Andrew Koven | Registered representative | Mar 2024 (2y) | ||
| Milka L Micic | Registered representative | Mar 2024 (2y) | ||
| Patricia J. Owens | Registered representative | Mar 2024 (2y) | ||
| Shawn P. Quigg | Registered representative | Mar 2024 (2y) | ||
| Travis Romeo | Registered representative | Mar 2024 (2y) | ||
| Yazmin Flores | Registered representative | Mar 2024 (2y) | ||
| Elliot D. Donahue | Registered representative | Mar 2024 (2y) | ||
| Charlie Da Vee | Registered representative | CFP | Mar 2024 (2y) | |
| Christian Daniel Mendyk | Registered representative | Mar 2024 (2y) | ||
| Darrell A Clayton | Registered representative | Mar 2024 (2y) | ||
| Fiqri Dine | Registered representative | Mar 2024 (2y) | ||
| Kristen Marie Cobb | Registered representative | Mar 2024 (2y) | ||
| Katherine Elizabeth Brody | Registered representative | Mar 2024 (2y) | ||
| Luke P Murphy | Registered representative | Mar 2024 (2y) | ||
| Regan Jameson Sweeney | Registered representative | Mar 2024 (2y) | ||
| Ricky W Chang | Registered representative | Mar 2024 (2y) | ||
| Scott Morgenthaler | Registered representative | Mar 2024 (2y) | ||
| Timothy V. O'connor | Registered representative | Mar 2024 (2y) | ||
| Allison Teddi Krause | Registered representative | Mar 2024 (2y) | ||
| Andrew S Gibson | Registered representative | Mar 2024 (2y) | ||
| Chelsea Rae Crowder Luke | Registered representative | Mar 2024 (2y) | ||
| Christopher Inzerilla | Registered representative | Mar 2024 (2y) | ||
| Connor Holman | Registered representative | Mar 2024 (2y) | ||
| Daryn Dominick Decesare | Registered representative | Mar 2024 (2y) | ||
| Damian Lance Kimmons | Registered representative | Mar 2024 (2y) | ||
| David Munoz | Registered representative | Mar 2024 (2y) | ||
| Deonna J. Mc Williams | Registered representative | Mar 2024 (2y) | ||
| Dominique Brenea Jordan | Registered representative | Mar 2024 (2y) | ||
| Ed Wentzheimer | Registered representative | Mar 2024 (2y) | ||
| Garrett Custer Barner | Registered representative | Mar 2024 (2y) | ||
| Glade Morley | Registered representative | Mar 2024 (2y) | ||
| Gregory A Carafello | Registered representative | Mar 2024 (2y) | ||
| Heath Garrett Tameris | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Rozenberg | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Scott Miller | Registered representative | Mar 2024 (2y) | ||
| John Charles Mcnamee | Registered representative | Mar 2024 (2y) | ||
| Jason C Anderson | Registered representative | Mar 2024 (2y) | ||
| Jason E Tinsley | Registered representative | Mar 2024 (2y) | ||
| Jeanna Marie Pipitone | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Schottenstein | Registered representative | Mar 2024 (2y) | ||
| Jonathan David Ebberhart | Registered representative | Mar 2024 (2y) | ||
| Joselyn Garcia | Registered representative | Mar 2024 (2y) | ||
| Joseph O'malley | Registered representative | Mar 2024 (2y) | ||
| Keith Webster | Registered representative | Mar 2024 (2y) | ||
| Letitia A Sison | Registered representative | Mar 2024 (2y) | ||
| Lucas M Newman | Registered representative | Mar 2024 (2y) | ||
| Mark Beach | Registered representative | Mar 2024 (2y) | ||
| Matthew L Hall | Registered representative | Mar 2024 (2y) | ||
| Nathaniel Arthur Palmer | Registered representative | Mar 2024 (2y) | ||
| Nolan Yale Gelman | Registered representative | Mar 2024 (2y) | ||
| Nasser Abdulkariem | Registered representative | Mar 2024 (2y) | ||
| Nicholas Charles Jirasek | Registered representative | Mar 2024 (2y) | ||
| Nolan R Chumbley | Registered representative | Mar 2024 (2y) | ||
| Olivia Ogden Olinde | Registered representative | Mar 2024 (2y) | ||
| Pascale Hainline | Registered representative | Mar 2024 (2y) | ||
| Peter G Welch | Registered representative | Mar 2024 (2y) | ||
| Reynolds Ospina | Registered representative | Mar 2024 (2y) | ||
| Richard Jason Dupont | Registered representative | Mar 2024 (2y) | ||
| Sean Johnston | Registered representative | Mar 2024 (2y) | ||
| Stuart Wechsler | Registered representative | Mar 2024 (2y) | ||
| Brian D O'connell | Registered representative | Mar 2024 (2y) | ||
| Brian M Mc Namee | Registered representative | Mar 2024 (2y) | ||
| Charles Wham | Registered representative | Mar 2024 (2y) | ||
| Christina A Egkan | Registered representative | Mar 2024 (2y) | ||
| Eric Chan | Registered representative | Mar 2024 (2y) | ||
| Eric W Rosener | Registered representative | Mar 2024 (2y) | ||
| Elia J Malick | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Powell Bailey | Registered representative | Mar 2024 (2y) | ||
| John Philipps Stuart | Registered representative | Mar 2024 (2y) | ||
| Jean Peter Mirto | Registered representative | Mar 2024 (2y) | ||
| John Eric Plym | Registered representative | Mar 2024 (2y) | ||
| Kevin Aussenheimer | Registered representative | Mar 2024 (2y) | ||
| Kirsten Anderson | Registered representative | Mar 2024 (2y) | ||
| Madeline Casey Kirby | Registered representative | Mar 2024 (2y) | ||
| Marcus Ranallo | Registered representative | Mar 2024 (2y) | ||
| Matthew Spencer Watkins | Registered representative | Mar 2024 (2y) | ||
| Michael Ryan Sisler | Registered representative | Mar 2024 (2y) | ||
| Matthew S Protzmann | Registered representative | Mar 2024 (2y) | ||
| Michael J Ostby | Registered representative | Mar 2024 (2y) | ||
| Michael M. Dewey | Registered representative | Mar 2024 (2y) | ||
| Michael Zazzara | Registered representative | Mar 2024 (2y) | ||
| Nicholas Wilkie | Registered representative | Mar 2024 (2y) | ||
| Robert P. Pruett | Registered representative | Mar 2024 (2y) | ||
| Seema Shrivastav | Registered representative | Mar 2024 (2y) | ||
| Sarah Garrity | Registered representative | Mar 2024 (2y) | ||
| Sherod Malik Jamal Davis | Registered representative | Mar 2024 (2y) | ||
| Toryalai Kakar | Registered representative | Mar 2024 (2y) | ||
| Thomas Richard Mury | Registered representative | Mar 2024 (2y) | ||
| Valene Samuels | Registered representative | Mar 2024 (2y) | ||
| Woo Joo Han | Registered representative | Mar 2024 (2y) | ||
| Yolla S. Kairouz | Registered representative | Mar 2024 (2y) | ||
| Annamarie Djelevic | Registered representative | Mar 2024 (2y) | ||
| Adonis Martinez | Registered representative | Mar 2024 (2y) | ||
| Austin Butler | Registered representative | Mar 2024 (2y) | ||
| Cathy Liu | Registered representative | Mar 2024 (2y) | ||
| Diana C. Verity | Registered representative | Mar 2024 (2y) | ||
| Ellie Boldenow Bjorklund | Registered representative | Mar 2024 (2y) | ||
| Gavin W. Atkinson | Registered representative | Mar 2024 (2y) | ||
| James William Zooberg | Registered representative | Mar 2024 (2y) | ||
| Jamie Lee Umberger | Registered representative | Mar 2024 (2y) | ||
| Jeffrey Michael Diefenthaler | Registered representative | Mar 2024 (2y) | ||
| John R Canning | Registered representative | Mar 2024 (2y) | ||
| Jason S. Donehue | Registered representative | Mar 2024 (2y) | ||
| Jonathan M Spira | Registered representative | Mar 2024 (2y) | ||
| Jordan S Naft | Registered representative | Mar 2024 (2y) | ||
| Keith L. Rolland | Registered representative | CFP | Mar 2024 (2y) | |
| Mark Eric Olsen | Registered representative | Mar 2024 (2y) | ||
| Matthew Patrick Schaab | Registered representative | Mar 2024 (2y) | ||
| Michael Herman | Registered representative | Mar 2024 (2y) | ||
| Michael Matthews | Registered representative | Mar 2024 (2y) | ||
| Timothy James Hawkins | Registered representative | Mar 2024 (2y) | ||
| Timothy Batten | Registered representative | Mar 2024 (2y) | ||
| Vincent Volpe | Registered representative | Mar 2024 (2y) | ||
| Zachary M. Langevin | Registered representative | Mar 2024 (2y) | ||
| Ashton William Peebles | Registered representative | Mar 2024 (2y) | ||
| Adam M. Brunner | Registered representative | Mar 2024 (2y) | ||
| Ani Manukyan | Registered representative | Mar 2024 (2y) | ||
| Brian Daniel Bialek | Registered representative | Mar 2024 (2y) | ||
| Chadd C. Kirk | Registered representative | Mar 2024 (2y) | ||
| Daniel Zigman | Registered representative | Mar 2024 (2y) | ||
| David De Vinney | Registered representative | Mar 2024 (2y) | ||
| Derek B. Thornhill | Registered representative | Mar 2024 (2y) | ||
| Eddie Reyes | Registered representative | Mar 2024 (2y) | ||
| Jennifer J Stillman | Registered representative | Mar 2024 (2y) | ||
| John T Smallwood | Registered representative | CFP | Mar 2024 (2y) | |
| Matthew Harold Mcandrew | Registered representative | Mar 2024 (2y) | ||
| Matthew Murray | Registered representative | Mar 2024 (2y) | ||
| Michael O'brien | Registered representative | Mar 2024 (2y) | ||
| Peter Page Federer | Registered representative | Mar 2024 (2y) | ||
| Richard Laval | Registered representative | Mar 2024 (2y) | ||
| Sean James Henderson | Registered representative | Mar 2024 (2y) | ||
| Sean J. Whitsitt | Registered representative | Mar 2024 (2y) | ||
| Sean Mc Clenaghan | Registered representative | Mar 2024 (2y) | ||
| Steve J. Hayward | Registered representative | Mar 2024 (2y) | ||
| Tahir Adatia | Registered representative | Mar 2024 (2y) | ||
| Trevon Darren Fraser | Registered representative | Mar 2024 (2y) | ||
| Timothy W Reid | Registered representative | Mar 2024 (2y) | ||
| Tony L Crisp | Registered representative | Mar 2024 (2y) | ||
| Tracy Nunziati | Registered representative | Mar 2024 (2y) | ||
| William Dibrell Armistead | Registered representative | Mar 2024 (2y) | ||
| William Francis Dramis | Registered representative | Mar 2024 (2y) | ||
| William Michael Stricker | Registered representative | Mar 2024 (2y) | ||
| Zachary Jeffery Romanovsky | Registered representative | Mar 2024 (2y) | ||
| Zach Felton | Registered representative | Mar 2024 (2y) | ||
| John T. Berry | Registered representative | Mar 2024 (2y) | ||
| Andrew Michael Leleck | Registered representative | Apr 2024 (2y) | ||
| Bruce James Robb | Registered representative | Apr 2024 (2y) | ||
| Barry C Berman | Registered representative | Apr 2024 (2y) | ||
| Benjamin Tyler Grasso | Registered representative | Apr 2024 (2y) | ||
| Brian S. Fletcher | Registered representative | Apr 2024 (2y) | ||
| Caleb S Dawkins | Registered representative | Apr 2024 (2y) | ||
| David Jack Beebe | Registered representative | Apr 2024 (2y) | ||
| Emma Ruth Lock | Registered representative | Apr 2024 (2y) | ||
| Harold Calderon | Registered representative | Apr 2024 (2y) | ||
| Joshua E Navarro | Registered representative | Apr 2024 (2y) | ||
| Kara R. Gallagher | Registered representative | Apr 2024 (2y) | ||
| Marc Edward Seaverson | Registered representative | Apr 2024 (2y) | ||
| Patrick Hunt Schuler | Registered representative | Apr 2024 (2y) | ||
| Ryan R Jones | Registered representative | CFP | Apr 2024 (2y) | |
| Sachin Singh | Registered representative | Apr 2024 (2y) | ||
| Steven Jake Wignall | Registered representative | Apr 2024 (2y) | ||
| Vera Dedaj | Registered representative | Apr 2024 (2y) | ||
| William Colbert Heming | Registered representative | Apr 2024 (2y) | ||
| Yosafe A. Gola | Registered representative | Apr 2024 (2y) | ||
| Bernardo Ramirez | Registered representative | Apr 2024 (2y) | ||
| Courtney Bogle Longley | Registered representative | Apr 2024 (2y) | ||
| Daniel Jayson | Registered representative | Apr 2024 (2y) | ||
| Daniel Anthony Arce | Registered representative | Apr 2024 (2y) | ||
| Esteban Amaya | Registered representative | Apr 2024 (2y) | ||
| Fiona Fraser Risom | Registered representative | Apr 2024 (2y) | ||
| James Bass | Registered representative | Apr 2024 (2y) | ||
| Jeremy C. Barber | Registered representative | Apr 2024 (2y) | ||
| Joseph Michael Rendon | Registered representative | Apr 2024 (2y) | ||
| Kirk Sweeney | Registered representative | Apr 2024 (2y) | ||
| Mouhamadou Lamine Sane | Registered representative | Apr 2024 (2y) | ||
| Malin R Adams | Registered representative | Apr 2024 (2y) | ||
| Sean P Scrudato | Registered representative | Apr 2024 (2y) | ||
| Vania Michelle Freund | Registered representative | Apr 2024 (2y) | ||
| Carlos Guerrero | Registered representative | Apr 2024 (2y) | ||
| Devin Kazmer | Registered representative | Apr 2024 (2y) | ||
| Douglas Scott Sinclair | Registered representative | Apr 2024 (2y) | ||
| Gina Francesca Di Grandi | Registered representative | Apr 2024 (2y) | ||
| Joshua R. Salo | Registered representative | Apr 2024 (2y) | ||
| Kimberly Ann Ferry | Registered representative | CFP | Apr 2024 (2y) | |
| Marcus Joel Mainord | Registered representative | CFA | Apr 2024 (2y) | |
| Michael Wray | Registered representative | CFA | Apr 2024 (2y) | |
| Nozomi Laughy | Registered representative | Apr 2024 (2y) | ||
| Nicholas Maderis | Registered representative | Apr 2024 (2y) | ||
| Richard J. Grunder | Registered representative | Apr 2024 (2y) | ||
| Ronald Olivieri | Registered representative | Apr 2024 (2y) | ||
| Shawn Elliott Whitmore | Registered representative | Apr 2024 (2y) | ||
| Varcity W Kariuki | Registered representative | CFA | Apr 2024 (2y) | |
| Carol S Olson | Registered representative | Apr 2024 (2y) | ||
| Claudine D. Isaac | Registered representative | Apr 2024 (2y) | ||
| Frederick Neal Gram | Registered representative | Apr 2024 (2y) | ||
| James Patrick Fourie | Registered representative | Apr 2024 (2y) | ||
| Jose Antonio Cerda | Registered representative | Apr 2024 (2y) | ||
| Kathrine Wunderli Bastian | Registered representative | Apr 2024 (2y) | ||
| Kristen Knight | Registered representative | Apr 2024 (2y) | ||
| Lindsey E Frogge | Registered representative | Apr 2024 (2y) | ||
| Michael Ansman | Registered representative | Apr 2024 (2y) | ||
| Michael Nelson | Registered representative | CFP | Apr 2024 (2y) | |
| Michael Ray Rapay | Registered representative | Apr 2024 (2y) | ||
| Nathan Gregory Fletcher | Registered representative | Apr 2024 (2y) | ||
| Richard M Ciraco | Registered representative | Apr 2024 (2y) | ||
| Wilmington Kenneth Games | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Adrian Jones | Registered representative | Apr 2024 (2y) | ||
| Alfred Anton Bunge | Registered representative | Apr 2024 (2y) | ||
| Blair Thomas Henning | Registered representative | Apr 2024 (2y) | ||
| Barin De La Torre | Registered representative | Apr 2024 (2y) | ||
| Brandon Phillip Cheeks | Registered representative | Apr 2024 (2y) | ||
| Catherine Claire Buckley | Registered representative | Apr 2024 (2y) | ||
| Craig Cohen | Registered representative | Apr 2024 (2y) | ||
| Erik Wilkowski | Registered representative | Apr 2024 (2y) | ||
| Ewa Marie Dostal | Registered representative | Apr 2024 (2y) | ||
| Glenn A Turano | Registered representative | Apr 2024 (2y) | ||
| Jamal Fontenot | Registered representative | Apr 2024 (2y) | ||
| Kim Ngan Anaya | Registered representative | Apr 2024 (2y) | ||
| Peter Gannon Kealy | Registered representative | Apr 2024 (2y) | ||
| Steven William Frigo | Registered representative | Apr 2024 (2y) | ||
| Tracy L Maeter | Registered representative | Apr 2024 (2y) | ||
| Vu Nguyen | Registered representative | Apr 2024 (2y) | ||
| Lorenzo Smith | Registered representative | Apr 2024 (2y) | ||
| Michael Thomas Meade | Registered representative | Apr 2024 (2y) | ||
| Amanda Rousseau | Registered representative | Apr 2024 (2y) | ||
| Bruce Schuyler Tanous | Registered representative | Apr 2024 (2y) | ||
| Curtis Andrew Allen | Registered representative | Apr 2024 (2y) | ||
| Christiane Pereira Dolabella Duarte | Registered representative | Apr 2024 (2y) | ||
| Creston Willis Pickell | Registered representative | Apr 2024 (2y) | ||
| Dillan Thomas Keck | Registered representative | Apr 2024 (2y) | ||
| Donald Irwin | Registered representative | Apr 2024 (2y) | ||
| Daiana Szef | Registered representative | Apr 2024 (2y) | ||
| Eric Paul Hothem | Registered representative | Apr 2024 (2y) | ||
| Erik Merchant | Registered representative | Apr 2024 (2y) | ||
| Frances Ann Lummis | Registered representative | Apr 2024 (2y) | ||
| Gavin Johnson | Registered representative | Apr 2024 (2y) | ||
| Gerardo Jesus Espinosa | Registered representative | Apr 2024 (2y) | ||
| Inas Corty | Registered representative | Apr 2024 (2y) | ||
| Issaga D Sokhna | Registered representative | Apr 2024 (2y) | ||
| James T. O'donnell | Registered representative | Apr 2024 (2y) | ||
| Jasmine C. Abouzied | Registered representative | Apr 2024 (2y) | ||
| John Paul Patracuolla | Registered representative | Apr 2024 (2y) | ||
| Kamuzu Ngwazi Russell Saunders | Registered representative | Apr 2024 (2y) | ||
| Kevin Arthur Whitworth Sheard | Registered representative | Apr 2024 (2y) | ||
| Kristen Griffin | Registered representative | Apr 2024 (2y) | ||
| Landon D. Marshall | Registered representative | Apr 2024 (2y) | ||
| Lyndsey Catherine Toce | Registered representative | Apr 2024 (2y) | ||
| Michael Luis Flores | Registered representative | Apr 2024 (2y) | ||
| Mustafa Bhola | Registered representative | Apr 2024 (2y) | ||
| Marco A. Soto | Registered representative | Apr 2024 (2y) | ||
| Mareyam N Sattarpour | Registered representative | Apr 2024 (2y) | ||
| Matthew Lombardi | Registered representative | Apr 2024 (2y) | ||
| Meredith Moshier | Registered representative | Apr 2024 (2y) | ||
| Michael Silvestri | Registered representative | Apr 2024 (2y) | ||
| Paul Thomas Quinn | Registered representative | Apr 2024 (2y) | ||
| Peter Sarsby | Registered representative | Apr 2024 (2y) | ||
| Sean Paul Hogan | Registered representative | Apr 2024 (2y) | ||
| Sebastian Ficht | Registered representative | Apr 2024 (2y) | ||
| Wilson J Braun | Registered representative | Apr 2024 (2y) | ||
| Alyssa Leona Schenker | Registered representative | Apr 2024 (2y) | ||
| Alvaro Morales | Registered representative | Apr 2024 (2y) | ||
| Chad Laurence Cohen | Registered representative | CFP | Apr 2024 (2y) | |
| Catherine Evans | Registered representative | CFP | Apr 2024 (2y) | |
| David Schulman | Registered representative | CFP | Apr 2024 (2y) | |
| Don G Banks | Registered representative | Apr 2024 (2y) | ||
| Evan David Schmidt | Registered representative | Apr 2024 (2y) | ||
| George Fuchs | Registered representative | CFP | Apr 2024 (2y) | |
| Gustavo A. Diaz | Registered representative | Apr 2024 (2y) | ||
| Kevin Ta | Registered representative | Apr 2024 (2y) | ||
| Katherine Suk Ka Yau | Registered representative | Apr 2024 (2y) | ||
| Kevin O'connell | Registered representative | CFP | Apr 2024 (2y) | |
| Mary E. Kowarick | Registered representative | Apr 2024 (2y) | ||
| Michelle Martin Gill | Registered representative | Apr 2024 (2y) | ||
| Patricia Berenger | Registered representative | Apr 2024 (2y) | ||
| Paul Y Emata | Registered representative | CFP CFA | Apr 2024 (2y) | |
| Reilly Nicole Gerlach | Registered representative | Apr 2024 (2y) | ||
| Shanna Colette Ramsey | Registered representative | Apr 2024 (2y) | ||
| Sonya Oliver | Registered representative | CFA | Apr 2024 (2y) | |
| Thao Thi Atanasov | Registered representative | Apr 2024 (2y) | ||
| Alexander A Zeidan | Registered representative | Apr 2024 (2y) | ||
| Briara Dunkley Lindsey | Registered representative | Apr 2024 (2y) | ||
| Cesar Stanley Martinez | Registered representative | Apr 2024 (2y) | ||
| Courtney Cohen Garson | Registered representative | Apr 2024 (2y) | ||
| Daniel Justin Eng | Registered representative | Apr 2024 (2y) | ||
| Ian S. Manahan | Registered representative | Apr 2024 (2y) | ||
| Jackline Rollins | Registered representative | Apr 2024 (2y) | ||
| Jamie E. Poulos | Registered representative | Apr 2024 (2y) | ||
| Jason P. Bowman | Registered representative | Apr 2024 (2y) | ||
| Kevin Fitzpatrick | Registered representative | Apr 2024 (2y) | ||
| Nyree Walker | Registered representative | Apr 2024 (2y) | ||
| Sarah Hardenbergh | Registered representative | Apr 2024 (2y) | ||
| Timothy Thomas Bonk | Registered representative | Apr 2024 (2y) | ||
| Adam Cachero | Registered representative | Apr 2024 (2y) | ||
| Joshua Robinson | Registered representative | Apr 2024 (2y) | ||
| Lauren Zuckerman | Registered representative | Apr 2024 (2y) | ||
| Patrick Sweeney | Registered representative | Apr 2024 (2y) | ||
| Josephine Belle Hoberman | Registered representative | Apr 2024 (2y) | ||
| Gavin Noble | Registered representative | Apr 2024 (2y) | ||
| Malak Santini | Registered representative | Apr 2024 (2y) | ||
| Prentiss C Burt | Registered representative | Apr 2024 (2y) | ||
| Ryan Mc Grath | Registered representative | Apr 2024 (2y) | ||
| Adam Martin Morris | Registered representative | Apr 2024 (2y) | ||
| Dewayne Neron Washington | Registered representative | Apr 2024 (2y) | ||
| Daniel Sirota | Registered representative | Apr 2024 (2y) | ||
| Elliot Weissman | Registered representative | Apr 2024 (2y) | ||
| Francisco G Lopez | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Thomas Bradke | Registered representative | Apr 2024 (2y) | ||
| Jacob D Rios | Registered representative | Apr 2024 (2y) | ||
| Radhika Mehta | Registered representative | Apr 2024 (2y) | ||
| Rafael I. Montilla | Registered representative | Apr 2024 (2y) | ||
| Robert G Richmond | Registered representative | Apr 2024 (2y) | ||
| Ryan Witt | Registered representative | Apr 2024 (2y) | ||
| Arment Merovci | Registered representative | Apr 2024 (2y) | ||
| Christina Tuzza | Registered representative | Apr 2024 (2y) | ||
| Evan Frazier | Registered representative | Apr 2024 (2y) | ||
| Jenna Grippo | Registered representative | Apr 2024 (2y) | ||
| Jessica Katelyn Neumann | Registered representative | Apr 2024 (2y) | ||
| John Roberts | Registered representative | Apr 2024 (2y) | ||
| Mark Gregory Sherman | Registered representative | Apr 2024 (2y) | ||
| Michael Schanna | Registered representative | Apr 2024 (2y) | ||
| Tess Buenaventura | Registered representative | Apr 2024 (2y) | ||
| Bradley P. Saunders | Registered representative | Apr 2024 (2y) | ||
| Emmanuel Nyasha Machamire | Registered representative | Apr 2024 (2y) | ||
| Eric Mai | Registered representative | Apr 2024 (2y) | ||
| Marianella Campagna | Registered representative | Apr 2024 (2y) | ||
| Michael Mahon | Registered representative | Apr 2024 (2y) | ||
| Nicholas Sudik | Registered representative | Apr 2024 (2y) | ||
| William G Abrams | Registered representative | Apr 2024 (2y) | ||
| Alexandra L Early | Registered representative | Apr 2024 (2y) | ||
| Christine M Lanni | Registered representative | Apr 2024 (2y) | ||
| Jarrett K. Baade | Registered representative | Apr 2024 (2y) | ||
| Rosanna Giugliano Shreve | Registered representative | Apr 2024 (2y) | ||
| Seth Brandon Kourpas | Registered representative | Apr 2024 (2y) | ||
| Andrew Elvy | Registered representative | Apr 2024 (2y) | ||
| Blake Lindquist | Registered representative | Apr 2024 (2y) | ||
| Emily Warner | Registered representative | Apr 2024 (2y) | ||
| John Cooper Haake | Registered representative | Apr 2024 (2y) | ||
| Kathryn Thomas | Registered representative | Apr 2024 (2y) | ||
| Kimberly J Hinson | Registered representative | Apr 2024 (2y) | ||
| Vincent Salvatore Tracy | Registered representative | Apr 2024 (2y) | ||
| Annika Cail | Registered representative | Apr 2024 (2y) | ||
| Guannan He | Registered representative | Apr 2024 (2y) | ||
| Jingyuan Cao | Registered representative | Apr 2024 (2y) | ||
| Jose Fernando Galan | Registered representative | Apr 2024 (2y) | ||
| Lawrence Johnson | Registered representative | Apr 2024 (2y) | ||
| Lubna Nia Washington | Registered representative | Apr 2024 (2y) | ||
| Nizar Merhi | Registered representative | Apr 2024 (2y) | ||
| Raul M Blanco | Registered representative | Apr 2024 (2y) | ||
| Vincenzo Domenico Malizia | Registered representative | Apr 2024 (2y) | ||
| Brandon P. Moritz | Registered representative | Apr 2024 (2y) | ||
| Bryan Brache | Registered representative | Apr 2024 (2y) | ||
| Ho Kyung Andrew Jung | Registered representative | Apr 2024 (2y) | ||
| Jinglang Wei | Registered representative | CFP | Apr 2024 (2y) | |
| Margaret L Seo | Registered representative | Apr 2024 (2y) | ||
| Michael Valderrama | Registered representative | Apr 2024 (2y) | ||
| Morgan Lange | Registered representative | Apr 2024 (2y) | ||
| Oleksii Bulinskyi | Registered representative | Apr 2024 (2y) | ||
| Scott Braese Travers | Registered representative | Apr 2024 (2y) | ||
| Jacob Michael Certner | Registered representative | Apr 2024 (2y) | ||
| John Mitchell Gillis | Registered representative | Apr 2024 (2y) | ||
| Jonathan M. Gleason | Registered representative | Apr 2024 (2y) | ||
| Joseph Gorel | Registered representative | Apr 2024 (2y) | ||
| Marisa Acosta | Registered representative | Apr 2024 (2y) | ||
| Matthew Stephen Livak | Registered representative | Apr 2024 (2y) | ||
| Rachel S Breindel | Registered representative | Apr 2024 (2y) | ||
| Sara Davidson | Registered representative | Apr 2024 (2y) | ||
| Tyler Nguyen | Registered representative | Apr 2024 (2y) | ||
| Adam Andrew Routledge | Registered representative | Apr 2024 (2y) | ||
| Brendan Geiger | Registered representative | Apr 2024 (2y) | ||
| Kevin Dempsey | Registered representative | Apr 2024 (2y) | ||
| Zachary L. Lichlyter | Registered representative | Apr 2024 (2y) | ||
| John A. Caldwell | Registered representative | Apr 2024 (2y) | ||
| Jonathan Orazio Godoy | Registered representative | Apr 2024 (2y) | ||
| Kristin Mackenzie Daly | Registered representative | Apr 2024 (2y) | ||
| Lili Huang | Registered representative | Apr 2024 (2y) | ||
| Luke Mc Intyre | Registered representative | Apr 2024 (2y) | ||
| Matthew Goodspeed | Registered representative | Apr 2024 (2y) | ||
| Samantha Dohman | Registered representative | Apr 2024 (2y) | ||
| Solenn Seguillon | Registered representative | Apr 2024 (2y) | ||
| Wallace E Lee | Registered representative | Apr 2024 (2y) | ||
| Blair Langstroth | Registered representative | Apr 2024 (2y) | ||
| Bob Austrian | Registered representative | Apr 2024 (2y) | ||
| Cillian Tyrrell | Registered representative | Apr 2024 (2y) | ||
| James Vincent Padula | Registered representative | Apr 2024 (2y) | ||
| Kevin M O'brien | Registered representative | Apr 2024 (2y) | ||
| Michael J. Leone | Registered representative | Apr 2024 (2y) | ||
| Ryan Dees | Registered representative | Apr 2024 (2y) | ||
| Scott Pluschau | Registered representative | Apr 2024 (2y) | ||
| Victor Arruda Rosenshteyn | Registered representative | Apr 2024 (2y) | ||
| Yingzhi Xi | Registered representative | Apr 2024 (2y) | ||
| Corinne E Maloney | Registered representative | May 2024 (2y) | ||
| Emily R Dupoux | Registered representative | May 2024 (2y) | ||
| Jhana Rae Cole | Registered representative | May 2024 (2y) | ||
| Andrew Karczewski | Registered representative | May 2024 (2y) | ||
| Karen L. Scotti | Registered representative | May 2024 (2y) | ||
| Thomas Edwin Queen | Registered representative | May 2024 (2y) | ||
| Andrew Bonelli | Registered representative | May 2024 (2y) | ||
| Andrew L. Huseby | Registered representative | May 2024 (2y) | ||
| Caitlin M Walker | Registered representative | May 2024 (2y) | ||
| Gavriel Unger | Registered representative | May 2024 (2y) | ||
| Renee Filler Brisbois | Registered representative | May 2024 (2y) | ||
| Olivia Leigh Mccalla | Registered representative | May 2024 (2y) | ||
| Alina Madalina Mihai | Registered representative | May 2024 (2y) | ||
| James Peter Feketie | Registered representative | May 2024 (2y) | ||
| Julia Hanh Ngo | Registered representative | May 2024 (2y) | ||
| Luis Quiroga | Registered representative | May 2024 (2y) | ||
| Matthew Carter | Registered representative | May 2024 (2y) | ||
| Robert Perez | Registered representative | May 2024 (2y) | ||
| Ryan M. Hunt | Registered representative | May 2024 (2y) | ||
| Timothy O Howell | Registered representative | May 2024 (2y) | ||
| Zhi Yang James Chao | Registered representative | May 2024 (2y) | ||
| Avtandil Surmava | Registered representative | May 2024 (2y) | ||
| Chester D Yu | Registered representative | May 2024 (2y) | ||
| David Aponte | Registered representative | May 2024 (2y) | ||
| Hannah Y. Mirza | Registered representative | May 2024 (2y) | ||
| Jacob Aaron Zarzecki | Registered representative | May 2024 (2y) | ||
| Joel Nesbitt | Registered representative | May 2024 (2y) | ||
| Matthew J Van Dyne | Registered representative | May 2024 (2y) | ||
| Maureen A Flanagan | Registered representative | CFA | May 2024 (2y) | |
| Devin Soriano | Registered representative | May 2024 (2y) | ||
| Daniel G. Maldonado | Registered representative | May 2024 (2y) | ||
| Elizabeth Gotimer Record | Registered representative | May 2024 (2y) | ||
| Eunmi Ahmed | Registered representative | May 2024 (2y) | ||
| Harley Avery | Registered representative | May 2024 (2y) | ||
| Jason Weese | Registered representative | May 2024 (2y) | ||
| Molly M Morgan | Registered representative | May 2024 (2y) | ||
| Valerie Benmoussa | Registered representative | May 2024 (2y) | ||
| Clarissa Adoree Locke | Registered representative | May 2024 (2y) | ||
| Daniel Sebastian Pozo | Registered representative | May 2024 (2y) | ||
| Enrichamel Banas | Registered representative | May 2024 (2y) | ||
| Lilly Zoltak | Registered representative | May 2024 (2y) | ||
| Mariela Palacios | Registered representative | May 2024 (2y) | ||
| Nicole L. Stuart | Registered representative | May 2024 (2y) | ||
| Amanda Marie Grayson | Registered representative | May 2024 (2y) | ||
| Christian Calderon | Registered representative | May 2024 (2y) | ||
| Drew Sapede | Registered representative | May 2024 (2y) | ||
| Elmer Josue Chavez | Registered representative | May 2024 (2y) | ||
| Eric Andrew Gray | Registered representative | May 2024 (2y) | ||
| Irma Deluna | Registered representative | May 2024 (2y) | ||
| John Melquiades Martinez | Registered representative | May 2024 (2y) | ||
| Lance Matthew Polverini | Registered representative | May 2024 (2y) | ||
| Mark Sopcik | Registered representative | May 2024 (2y) | ||
| Michael Harty | Registered representative | May 2024 (2y) | ||
| Michelle Blackmer | Registered representative | May 2024 (2y) | ||
| Rye Alley | Registered representative | May 2024 (2y) | ||
| Zachary T. Cummings | Registered representative | May 2024 (2y) | ||
| Christopher Michael Cooper | Registered representative | May 2024 (2y) | ||
| Ethan Brooker | Registered representative | May 2024 (2y) | ||
| Ha An Nguyen | Registered representative | May 2024 (2y) | ||
| Hunter B. Sprankle | Registered representative | May 2024 (2y) | ||
| James E Akers | Registered representative | May 2024 (2y) | ||
| Margaret Ellen Betten | Registered representative | May 2024 (2y) | ||
| Michael Schmeling | Registered representative | May 2024 (2y) | ||
| Nicholas Dwayne Ingram | Registered representative | May 2024 (2y) | ||
| Reginald C. Lumpkins | Registered representative | May 2024 (2y) | ||
| Sophie Margaret Sheehan | Registered representative | May 2024 (2y) | ||
| Sheldon Eric Robinette | Registered representative | May 2024 (2y) | ||
| Steven Merrill | Registered representative | May 2024 (2y) | ||
| William Jannicelli | Registered representative | May 2024 (2y) | ||
| Amanda Jane Kreutzer | Registered representative | May 2024 (2y) | ||
| David Loeb | Registered representative | May 2024 (2y) | ||
| Emily Pina | Registered representative | May 2024 (2y) | ||
| Hassan Lamei | Registered representative | May 2024 (2y) | ||
| Katheryn S Stoll | Registered representative | May 2024 (2y) | ||
| Kevin Burke | Registered representative | May 2024 (2y) | ||
| Kyle Honor | Registered representative | May 2024 (2y) | ||
| Mikel Alex Kamphues | Registered representative | May 2024 (2y) | ||
| Nicolas Brandon Mendez | Registered representative | May 2024 (2y) | ||
| Nicholas Graviano | Registered representative | May 2024 (2y) | ||
| Piyapontha Chatarachanwong | Registered representative | May 2024 (2y) | ||
| Anne Gotwals Peartree | Registered representative | May 2024 (2y) | ||
| James Sheehan | Registered representative | May 2024 (2y) | ||
| Julio Javier Delgado | Registered representative | May 2024 (2y) | ||
| Kyle Montano | Registered representative | May 2024 (2y) | ||
| Monica G Dicenso | Registered representative | May 2024 (2y) | ||
| Patrick Erhart | Registered representative | May 2024 (2y) | ||
| Anne Miller Sylvester | Registered representative | May 2024 (2y) | ||
| Benjamin Dustin Adams | Registered representative | May 2024 (2y) | ||
| Branden E. Joe | Registered representative | May 2024 (2y) | ||
| Jessica Marshall De Kertanguy | Registered representative | May 2024 (2y) | ||
| Sarah H Peck | Registered representative | May 2024 (2y) | ||
| Kevin Bast | Registered representative | May 2024 (2y) | ||
| Bruce J. Trant | Registered representative | May 2024 (2y) | ||
| Jiaze Li | Registered representative | May 2024 (2y) | ||
| John Patrick Donovan | Registered representative | May 2024 (2y) | ||
| Juan Martin Gonzalez Acosta | Registered representative | May 2024 (2y) | ||
| Jun Chen | Registered representative | May 2024 (2y) | ||
| Michael J. Emmons | Registered representative | May 2024 (2y) | ||
| Nicholas Alfred Pisciotti | Registered representative | May 2024 (2y) | ||
| Peter G. De Maria | Registered representative | May 2024 (2y) | ||
| Roxanne Porter | Registered representative | May 2024 (2y) | ||
| Stig Niclas Mellody | Registered representative | May 2024 (2y) | ||
| Timothy Sheehan | Registered representative | May 2024 (2y) | ||
| Johnnie Lee | Registered representative | May 2024 (2y) | ||
| Jonathan A Colby | Registered representative | May 2024 (2y) | ||
| Katherine Noonan | Registered representative | May 2024 (2y) | ||
| Kevin Nghia Truong | Registered representative | May 2024 (2y) | ||
| Alexandra Lawson | Registered representative | CFA | May 2024 (2y) | |
| Angelo Magoulas | Registered representative | May 2024 (2y) | ||
| Armando Garcia | Registered representative | May 2024 (2y) | ||
| Chaminda Mahawela | Registered representative | May 2024 (2y) | ||
| Francis W Mc Laughlin | Registered representative | May 2024 (2y) | ||
| Jairo Sotomayor | Registered representative | May 2024 (2y) | ||
| Jamie Lavin Buzzard | Registered representative | May 2024 (2y) | ||
| Kalidou Bocoum | Registered representative | May 2024 (2y) | ||
| Kelly S. Chavez Laprade | Registered representative | May 2024 (2y) | ||
| Laura Ann Driver | Registered representative | May 2024 (2y) | ||
| Pedro Henrique Rocha | Registered representative | May 2024 (2y) | ||
| Sapheria Smith | Registered representative | May 2024 (2y) | ||
| Stephanie L Degen | Registered representative | May 2024 (2y) | ||
| Dajah Cherise Mitchell | Registered representative | May 2024 (2y) | ||
| Emily Marguerite Sheridan | Registered representative | May 2024 (2y) | ||
| Eugene Mendoza | Registered representative | May 2024 (2y) | ||
| Felipe A Angeles | Registered representative | May 2024 (2y) | ||
| Glenn H Di Vincenzo | Registered representative | May 2024 (2y) | ||
| Rachel Solarsh | Registered representative | May 2024 (2y) | ||
| Troy M Broadbent | Registered representative | May 2024 (2y) | ||
| Anne Pennebaker Orand | Registered representative | May 2024 (2y) | ||
| Erica Sigholz | Registered representative | May 2024 (2y) | ||
| Iva Kordes | Registered representative | May 2024 (2y) | ||
| Joshua George | Registered representative | May 2024 (2y) | ||
| Julian Walter | Registered representative | May 2024 (2y) | ||
| Kelly R Nyquist | Registered representative | May 2024 (2y) | ||
| Monica Isabel Franco Colinet | Registered representative | May 2024 (2y) | ||
| Philip E Ardelean | Registered representative | May 2024 (2y) | ||
| Steven David Franco | Registered representative | May 2024 (2y) | ||
| Terry Webb | Registered representative | May 2024 (2y) | ||
| Carsen Sanchez | Registered representative | May 2024 (2y) | ||
| Heather Ann Morris | Registered representative | May 2024 (2y) | ||
| Lori Kahn | Registered representative | May 2024 (2y) | ||
| Travis N Leatherman | Registered representative | May 2024 (2y) | ||
| William W Hartshorne | Registered representative | May 2024 (2y) | ||
| Daniel Ward Johnson | Registered representative | May 2024 (2y) | ||
| Marc Adam Selanikio | Registered representative | May 2024 (2y) | ||
| Nicolas R Gentin | Registered representative | May 2024 (2y) | ||
| Stephen Sumner | Registered representative | May 2024 (2y) | ||
| Andrew T Guidice | Registered representative | May 2024 (2y) | ||
| Brad Waitrovich | Registered representative | May 2024 (2y) | ||
| Brian J Mulholand | Registered representative | May 2024 (2y) | ||
| Dorothy J Dembowski | Registered representative | May 2024 (2y) | ||
| Ghazal Barjesteh | Registered representative | May 2024 (2y) | ||
| Jacklin Youssef | Registered representative | May 2024 (2y) | ||
| Jacob Anthony Green | Registered representative | May 2024 (2y) | ||
| Jennifer Sockolov Ross | Registered representative | May 2024 (2y) | ||
| Lisa B Siegel | Registered representative | Personal Financial Specialist | May 2024 (2y) | |
| Michael H Martini | Registered representative | May 2024 (2y) | ||
| Noah E Fox | Registered representative | CFA | May 2024 (2y) | |
| Sandy H Bayne | Registered representative | May 2024 (2y) | ||
| Vivian Loy | Registered representative | CFP | May 2024 (2y) | |
| Carleigh Haron Brinkley | Registered representative | May 2024 (2y) | ||
| David A Weitgenant | Registered representative | May 2024 (2y) | ||
| Juvillee J Piccicacco | Registered representative | May 2024 (2y) | ||
| Melissa Hall | Registered representative | May 2024 (2y) | ||
| Mia Camilla Strickland | Registered representative | May 2024 (2y) | ||
| Patricia Jasmin Piceno Mendez | Registered representative | May 2024 (2y) | ||
| Sergio Tirado | Registered representative | May 2024 (2y) | ||
| Monica R. Steele | Registered representative | Jun 2024 (2y) | ||
| Abbas Ali Mohammed | Registered representative | Jun 2024 (2y) | ||
| Abigail Bryte Benvenuti | Registered representative | Jun 2024 (2y) | ||
| Caroline Connolly Sheridan | Registered representative | Jun 2024 (2y) | ||
| John Elliott | Registered representative | Jun 2024 (2y) | ||
| Stephanie Schrader | Registered representative | Jun 2024 (2y) | ||
| Stephen Billowitch | Registered representative | Jun 2024 (2y) | ||
| Brian Phi Nguyen | Registered representative | Jun 2024 (2y) | ||
| Caitlin Chan | Registered representative | Jun 2024 (2y) | ||
| Franklin Lewis Klein | Registered representative | Jun 2024 (2y) | ||
| Ismael Morales | Registered representative | Jun 2024 (2y) | ||
| Jacob Lawrence Vincent Saliba | Registered representative | Jun 2024 (2y) | ||
| Mark Henderson | Registered representative | Jun 2024 (2y) | ||
| Mary A. Ryan | Registered representative | Jun 2024 (2y) | ||
| Michael Hatten | Registered representative | Jun 2024 (2y) | ||
| Priya Raju | Registered representative | Jun 2024 (2y) | ||
| Quinton Bennett | Registered representative | Jun 2024 (2y) | ||
| Stephanie Hortencia Rosa Santos | Registered representative | Jun 2024 (2y) | ||
| Frank De Andrea | Registered representative | Jun 2024 (2y) | ||
| Jessica Faye Rappold | Registered representative | Jun 2024 (2y) | ||
| Jesteffer Annichiarico | Registered representative | Jun 2024 (2y) | ||
| Mary Duncan | Registered representative | Jun 2024 (2y) | ||
| Patricio Ortiz | Registered representative | Jun 2024 (2y) | ||
| Steve Wolf | Registered representative | Jun 2024 (2y) | ||
| Tadeh Grigorian | Registered representative | Jun 2024 (2y) | ||
| Christopher Baudhuin | Registered representative | Jun 2024 (2y) | ||
| David Robidoux | Registered representative | Jun 2024 (2y) | ||
| Justin Keating | Registered representative | Jun 2024 (2y) | ||
| Michael Campione | Registered representative | Jun 2024 (2y) | ||
| Quinn Conlisk | Registered representative | Jun 2024 (2y) | ||
| Skye Taber | Registered representative | Jun 2024 (2y) | ||
| Scott Price | Registered representative | Jun 2024 (2y) | ||
| Silas William Spengler | Registered representative | Jun 2024 (2y) | ||
| Tiffany Sanders Roland | Registered representative | Jun 2024 (2y) | ||
| Jake Francis Fierro | Registered representative | Jun 2024 (2y) | ||
| Kristin Stuckey | Registered representative | Jun 2024 (2y) | ||
| Laura Marie Dore | Registered representative | Jun 2024 (2y) | ||
| Rakesh Ravani | Registered representative | Jun 2024 (2y) | ||
| Adam Mazzaro | Registered representative | Jun 2024 (2y) | ||
| Brennen Weaver Lewis Duke | Registered representative | Jun 2024 (2y) | ||
| Jorge Giovanni Remotti | Registered representative | Jun 2024 (2y) | ||
| Kyle Nielsen | Registered representative | Jun 2024 (2y) | ||
| William Bartlett | Registered representative | Jun 2024 (2y) | ||
| Daniel Vigne | Registered representative | CFP | Jun 2024 (2y) | |
| Jack Garrett West | Registered representative | Jun 2024 (2y) | ||
| Kurt Otto Tech | Registered representative | Jun 2024 (2y) | ||
| Nico Paoletti | Registered representative | Jun 2024 (2y) | ||
| Torrie Padilla | Registered representative | Jun 2024 (2y) | ||
| Dennis William Shook | Registered representative | Jun 2024 (2y) | ||
| James M. Necker | Registered representative | Jun 2024 (2y) | ||
| Matt Dispensa | Registered representative | Jun 2024 (2y) | ||
| Jeffrey Wang | Registered representative | Jun 2024 (2y) | ||
| Marissa Gaspari | Registered representative | Jun 2024 (2y) | ||
| Stephen Carey | Registered representative | Jun 2024 (2y) | ||
| Anthony Nicoletta | Registered representative | Jun 2024 (2y) | ||
| David Hall | Registered representative | Jun 2024 (2y) | ||
| David R. Gulman | Registered representative | Jun 2024 (2y) | ||
| James P. Klausman | Registered representative | Jun 2024 (2y) | ||
| Michelle Kamrany | Registered representative | Jun 2024 (2y) | ||
| Shaun Craig Lehrer | Registered representative | Jun 2024 (2y) | ||
| Arezoo Agharezakashi | Registered representative | Jun 2024 (2y) | ||
| Connie F Liberto Alvarez | Registered representative | CFP | Jun 2024 (2y) | |
| Luis Serrato | Registered representative | Jun 2024 (2y) | ||
| Margaret Liu | Registered representative | Jun 2024 (2y) | ||
| Nathan Wiesenfeld | Registered representative | Jun 2024 (2y) | ||
| Sylvia Marta Jakubowski | Registered representative | Jun 2024 (2y) | ||
| Timothy R. Guididas | Registered representative | Jun 2024 (2y) | ||
| Bajram Elezaj | Registered representative | Jun 2024 (2y) | ||
| Carissa M. Alexander | Registered representative | Jun 2024 (2y) | ||
| Christian Kubosh | Registered representative | Jun 2024 (2y) | ||
| Janelle Marie Burns | Registered representative | Jun 2024 (2y) | ||
| Peter J. Wilson | Registered representative | Jun 2024 (2y) | ||
| Russell Jordan Stemple | Registered representative | Jun 2024 (2y) | ||
| Ryan Keefer | Registered representative | Jun 2024 (2y) | ||
| Zachary Donald Curtis | Registered representative | CFP | Jun 2024 (2y) | |
| Benjamin C. Richards | Registered representative | Jun 2024 (2y) | ||
| Caroline Farish Sievers | Registered representative | CFA | Jun 2024 (2y) | |
| Maximilian Grutschus | Registered representative | Jun 2024 (2y) | ||
| Oscar A Subuyuc Xil | Registered representative | Jun 2024 (2y) | ||
| Rongxia Zhu | Registered representative | Jun 2024 (2y) | ||
| Charley A. Borek | Registered representative | Jun 2024 (2y) | ||
| Fabio Dorrejo | Registered representative | Jun 2024 (2y) | ||
| Gonzalo Villasenor | Registered representative | Jun 2024 (2y) | ||
| Jason Li Howard | Registered representative | Jun 2024 (2y) | ||
| Jared D Rawson | Registered representative | Jun 2024 (2y) | ||
| Lileana Berenice Pena | Registered representative | Jun 2024 (2y) | ||
| Lennox Edward Hamilton Stuart | Registered representative | Jun 2024 (2y) | ||
| Nicholas Hofmann | Registered representative | Jun 2024 (2y) | ||
| Sarah Cattan | Registered representative | Jun 2024 (2y) | ||
| Amy Zachery | Registered representative | Jun 2024 (2y) | ||
| Andrew Currin Katz | Registered representative | Jun 2024 (2y) | ||
| Anna Lam | Registered representative | Jun 2024 (2y) | ||
| Anna Rose Johnson | Registered representative | Jun 2024 (2y) | ||
| Brandon Jones | Registered representative | Jun 2024 (2y) | ||
| George Caviedes | Registered representative | Jun 2024 (2y) | ||
| Ravi Patel | Registered representative | Jun 2024 (2y) | ||
| Rebecca A Picazo | Registered representative | Jun 2024 (2y) | ||
| Stacy Eller | Registered representative | Jun 2024 (2y) | ||
| Yasser Aristides Logrono | Registered representative | Jun 2024 (2y) | ||
| Connor Lenartowicz | Registered representative | Jun 2024 (2y) | ||
| Garrett Hanson | Registered representative | Jun 2024 (2y) | ||
| John Yun Ho | Registered representative | Jun 2024 (2y) | ||
| Rachel Bailey Dalton | Registered representative | Jun 2024 (2y) | ||
| Alex John Valentine | Registered representative | Jun 2024 (2y) | ||
| Andrew Mc Connell | Registered representative | Jun 2024 (2y) | ||
| Hyojoo Ryu | Registered representative | Jun 2024 (2y) | ||
| Michael King | Registered representative | Jun 2024 (2y) | ||
| Widneliz Morales De Jesus | Registered representative | Jun 2024 (2y) | ||
| Christopher De Ment | Registered representative | Jun 2024 (2y) | ||
| Dylan Nobuhara | Registered representative | Jun 2024 (2y) | ||
| Dylan Waldman | Registered representative | Jun 2024 (2y) | ||
| Elena Rocanelli Veale | Registered representative | CFP | Jun 2024 (2y) | |
| Jesus E Oquendo | Registered representative | Jun 2024 (2y) | ||
| Juan Jose Sandoval Leon | Registered representative | Jun 2024 (2y) | ||
| Julita Anna Koziol | Registered representative | Jun 2024 (2y) | ||
| Matt Flaks | Registered representative | Jun 2024 (2y) | ||
| Michael Nelson | Registered representative | Jun 2024 (2y) | ||
| Asaduz Jaman Niloy | Registered representative | Jun 2024 (2y) | ||
| Evelyn Garcia | Registered representative | Jun 2024 (2y) | ||
| Edward F Rich | Registered representative | Jun 2024 (2y) | ||
| Heman Colby Ward | Registered representative | CFA | Jun 2024 (2y) | |
| Paul Inzerillo | Registered representative | Jun 2024 (2y) | ||
| Claire A Lea Howarth | Registered representative | Jul 2024 (2y) | ||
| Dylan Plaster | Registered representative | Jul 2024 (2y) | ||
| John Jungki Koh | Registered representative | CFP | Jul 2024 (2y) | |
| Ku Hei Mo | Registered representative | Jul 2024 (2y) | ||
| Matthew William Allen | Registered representative | Jul 2024 (2y) | ||
| Marcus Scheer | Registered representative | Jul 2024 (2y) | ||
| Monalisa Maldonado | Registered representative | Jul 2024 (2y) | ||
| Olgers Hasanaj | Registered representative | Jul 2024 (2y) | ||
| Peter Mitrakos | Registered representative | Jul 2024 (2y) | ||
| Sean P. Henry | Registered representative | Jul 2024 (2y) | ||
| Shaurya Singh Chauhan | Registered representative | Jul 2024 (2y) | ||
| Arman Arneja | Registered representative | Jul 2024 (2y) | ||
| James Ray Foshee | Registered representative | Jul 2024 (2y) | ||
| Kevin James Arsenault | Registered representative | Jul 2024 (2y) | ||
| Liam O'rourke | Registered representative | Jul 2024 (2y) | ||
| Mia Chai Maginn | Registered representative | Jul 2024 (2y) | ||
| Stephen Bergman | Registered representative | CFA | Jul 2024 (2y) | |
| Brian Cary Russell | Registered representative | Jul 2024 (2y) | ||
| Hassan Jaber | Registered representative | Jul 2024 (2y) | ||
| Jennifer R. Pyle Suafo'a | Registered representative | Jul 2024 (2y) | ||
| Nathaniel Ross Woodward | Registered representative | Jul 2024 (2y) | ||
| Naja Davis | Registered representative | Jul 2024 (2y) | ||
| Ryan P Jost | Registered representative | Jul 2024 (2y) | ||
| Saroj Taengkaew | Registered representative | Jul 2024 (2y) | ||
| Yuan Yuan Katelyn Li | Registered representative | Jul 2024 (2y) | ||
| Veronica Elizabeth Silva | Registered representative | Jul 2024 (2y) | ||
| Brandon Tripodi | Registered representative | Jul 2024 (2y) | ||
| Camilla Rab | Registered representative | Jul 2024 (2y) | ||
| Edward Wess | Registered representative | Jul 2024 (2y) | ||
| Juan Vargas | Registered representative | Jul 2024 (2y) | ||
| Vlad Balyuk | Registered representative | Jul 2024 (2y) | ||
| Harold Troy Victor Durbin | Registered representative | Jul 2024 (2y) | ||
| Kristine M Augenthaler | Registered representative | Jul 2024 (2y) | ||
| Michael David Ramsey | Registered representative | Jul 2024 (2y) | ||
| Nikita Robert Kuznetsov | Registered representative | Jul 2024 (2y) | ||
| Armine Alvandi | Registered representative | Jul 2024 (2y) | ||
| Maria Fernanda Vargas | Registered representative | Jul 2024 (2y) | ||
| Matthew J. Greiner | Registered representative | Jul 2024 (2y) | ||
| Trang Minh Hoang | Registered representative | Jul 2024 (2y) | ||
| Le Rome Ball | Registered representative | Jul 2024 (2y) | ||
| Lene N Thompson | Registered representative | Jul 2024 (2y) | ||
| Teresa Stewart | Registered representative | Jul 2024 (2y) | ||
| Vincent James Viveros | Registered representative | Jul 2024 (2y) | ||
| Ezra Barnehama | Registered representative | Jul 2024 (2y) | ||
| Zachary Jacob Bezella | Registered representative | Jul 2024 (2y) | ||
| Anthony Carucci | Registered representative | Jul 2024 (2y) | ||
| Celine G Seker | Registered representative | Jul 2024 (2y) | ||
| Kennedy Copeland Wilson | Registered representative | Jul 2024 (2y) | ||
| Lindsay Ann Adamson | Registered representative | Jul 2024 (2y) | ||
| Michael Mavredakis | Registered representative | Jul 2024 (2y) | ||
| Yuhsin Tseng | Registered representative | Jul 2024 (2y) | ||
| Antonio Alexandro Coria | Registered representative | Jul 2024 (2y) | ||
| Derrick Ma | Registered representative | Jul 2024 (2y) | ||
| Kirsten T Benedict | Registered representative | Jul 2024 (2y) | ||
| Ronak Vinod Raman | Registered representative | Jul 2024 (2y) | ||
| Jeffrey Gottfried | Registered representative | Jul 2024 (2y) | ||
| Matthew Nutter | Registered representative | Jul 2024 (2y) | ||
| Nathan Stewart | Registered representative | Jul 2024 (2y) | ||
| Seth Ryan Williamson | Registered representative | Jul 2024 (2y) | ||
| Valery Bendayan Ostfeld | Registered representative | Jul 2024 (2y) | ||
| Anthony Armando Alvarez | Registered representative | Jul 2024 (2y) | ||
| Brian Emmett Williams | Registered representative | Jul 2024 (2y) | ||
| Mac Arthur Morrison | Registered representative | Jul 2024 (2y) | ||
| Michelle Slinn | Registered representative | Jul 2024 (2y) | ||
| Nina Madeline Harper | Registered representative | Jul 2024 (2y) | ||
| Amit Shrestha | Registered representative | Jul 2024 (2y) | ||
| Alda Ribeiro Repetto | Registered representative | Jul 2024 (2y) | ||
| Anamaria Bello | Registered representative | Jul 2024 (2y) | ||
| Dilun Wu Cross | Registered representative | Jul 2024 (2y) | ||
| Luciana Puggina | Registered representative | Jul 2024 (2y) | ||
| Rozaliya B Tsaneva | Registered representative | Jul 2024 (2y) | ||
| Alexander Michael Silberman | Registered representative | Jul 2024 (2y) | ||
| Andrew A. Arce | Registered representative | Jul 2024 (2y) | ||
| Anne Hawley | Registered representative | Jul 2024 (2y) | ||
| Chad L Karpoff | Registered representative | Jul 2024 (2y) | ||
| Dalton Kazimoto | Registered representative | Jul 2024 (2y) | ||
| Erik Bencomo | Registered representative | CFP | Jul 2024 (2y) | |
| Fabio Costa Corradini | Registered representative | Jul 2024 (2y) | ||
| Jeffrey Scott Ferraro | Registered representative | Jul 2024 (2y) | ||
| Janice Mercado Ponce | Registered representative | Jul 2024 (2y) | ||
| Melissa Rosa | Registered representative | Jul 2024 (2y) | ||
| Michael D. Lighten | Registered representative | Jul 2024 (2y) | ||
| Parker Millington | Registered representative | Jul 2024 (2y) | ||
| Paul Kaleo Bastio | Registered representative | Jul 2024 (2y) | ||
| Terry L Woodard | Registered representative | Jul 2024 (2y) | ||
| Thomas P. Walsh | Registered representative | CFP | Jul 2024 (2y) | |
| Rachael K. Wildes | Registered representative | Jul 2024 (2y) | ||
| Veronica Thuy Vu | Registered representative | Jul 2024 (2y) | ||
| Brandon Roth | Registered representative | Jul 2024 (2y) | ||
| Dennis Mitchel Johnson | Registered representative | Jul 2024 (2y) | ||
| Dax Brook | Registered representative | Jul 2024 (2y) | ||
| Sergio Gorno | Registered representative | Jul 2024 (2y) | ||
| Caleb White | Registered representative | Jul 2024 (2y) | ||
| John Michael Joseph Boger | Registered representative | Jul 2024 (2y) | ||
| Rhea Dhamija | Registered representative | Jul 2024 (2y) | ||
| Sean Tonni | Registered representative | Jul 2024 (2y) | ||
| Yury Menbaev | Registered representative | CFP | Jul 2024 (2y) | |
| Anton Andriushchenko | Registered representative | Jul 2024 (2y) | ||
| Garrick Gomez | Registered representative | Jul 2024 (2y) | ||
| Inhoi Koo | Registered representative | Jul 2024 (2y) | ||
| Michael Tondo | Registered representative | Jul 2024 (2y) | ||
| Paul Linn | Registered representative | Jul 2024 (2y) | ||
| Ralph Andrew Gandy | Registered representative | Jul 2024 (2y) | ||
| Syndra Chuqian Feng | Registered representative | Jul 2024 (2y) | ||
| Jahaira Zorrilla | Registered representative | Jul 2024 (2y) | ||
| Marx Kevin Nuval | Registered representative | Jul 2024 (2y) | ||
| Michael R Wilcox | Registered representative | CFP | Jul 2024 (2y) | |
| Desha Diane Perez | Registered representative | Jul 2024 (2y) | ||
| Erik Knutson | Registered representative | Jul 2024 (2y) | ||
| Joaquin Padilla Carlos | Registered representative | Jul 2024 (2y) | ||
| Jordan D. Hennessey | Registered representative | Jul 2024 (2y) | ||
| Kenneth Duhadway | Registered representative | Jul 2024 (2y) | ||
| Kevin J Barrow | Registered representative | Jul 2024 (2y) | ||
| Michael Eugene Ayers | Registered representative | Jul 2024 (2y) | ||
| Shuyuan Wang | Registered representative | Jul 2024 (2y) | ||
| Sean Fischer | Registered representative | Jul 2024 (2y) | ||
| Whalter A Ponce | Registered representative | Jul 2024 (2y) | ||
| Elizabeth Olesker | Registered representative | Jul 2024 (2y) | ||
| Anthony J Vetter | Registered representative | Jul 2024 (2y) | ||
| Christian Pinglo | Registered representative | Jul 2024 (2y) | ||
| Gurgen Tigran Terlemezian | Registered representative | Jul 2024 (2y) | ||
| Justin Forman | Registered representative | Jul 2024 (2y) | ||
| Karina Mejia | Registered representative | Jul 2024 (2y) | ||
| Nicholas Musci | Registered representative | Jul 2024 (2y) | ||
| Rachel Elizabeth Feifer | Registered representative | Jul 2024 (2y) | ||
| Saeed Dehghany | Registered representative | Jul 2024 (2y) | ||
| Heather G Webster | Registered representative | Jul 2024 (2y) | ||
| Boris Reyzelman | Registered representative | Jul 2024 (2y) | ||
| Chris Leader | Registered representative | Jul 2024 (2y) | ||
| Dennis K Bacon | Registered representative | Jul 2024 (2y) | ||
| Edwin Contreras | Registered representative | Jul 2024 (2y) | ||
| Glenn Mc Mahon | Registered representative | Jul 2024 (2y) | ||
| Hannah Ramos | Registered representative | Jul 2024 (2y) | ||
| Kalena Teufel | Registered representative | Jul 2024 (2y) | ||
| Michael Jay Matchett | Registered representative | Jul 2024 (2y) | ||
| William Jefferson Woody | Registered representative | Jul 2024 (2y) | ||
| Michal Robert Pieczonka | Registered representative | Aug 2024 (2y) | ||
| Grace Elizabeth Platt | Registered representative | Aug 2024 (2y) | ||
| Maureen A. Gallagher | Registered representative | Aug 2024 (2y) | ||
| Nicholas Alexander Ulloa | Registered representative | Aug 2024 (2y) | ||
| Stephanie Johnson | Registered representative | Aug 2024 (2y) | ||
| Tennyson Zhu | Registered representative | Aug 2024 (2y) | ||
| Timothy Filipi Cahyadi | Registered representative | Aug 2024 (2y) | ||
| Bolun Ma | Registered representative | Aug 2024 (2y) | ||
| Bradley Adams | Registered representative | Aug 2024 (2y) | ||
| David Findley | Registered representative | Aug 2024 (2y) | ||
| Edward Gowing | Registered representative | Aug 2024 (2y) | ||
| Jack Santini | Registered representative | Aug 2024 (2y) | ||
| Jorge Bernabe Fierro | Registered representative | Aug 2024 (2y) | ||
| Derick Roselli | Registered representative | Aug 2024 (2y) | ||
| Gayane Rubyan | Registered representative | Aug 2024 (2y) | ||
| Jason M. Garden | Registered representative | Aug 2024 (2y) | ||
| Meghan Elizabeth Gallagher | Registered representative | Aug 2024 (2y) | ||
| Pablo Sandoval | Registered representative | Aug 2024 (2y) | ||
| Anthony Bonura | Registered representative | Aug 2024 (2y) | ||
| Eric Olson | Registered representative | CFP | Aug 2024 (2y) | |
| Jennifer Cohen Richardson | Registered representative | Aug 2024 (2y) | ||
| Katherine Chen | Registered representative | Aug 2024 (2y) | ||
| Matthew E Trainor | Registered representative | Aug 2024 (2y) | ||
| Nua Anthony Dushaj | Registered representative | Aug 2024 (2y) | ||
| Moe M. El Turkey | Registered representative | Aug 2024 (2y) | ||
| Carrie Schlichter | Registered representative | Aug 2024 (2y) | ||
| Ronnie Kenneth Barton | Registered representative | Aug 2024 (2y) | ||
| Mitra Mehta Murthy | Registered representative | Aug 2024 (2y) | ||
| Enas Jaradat | Registered representative | Aug 2024 (2y) | ||
| Gloria Rodriguez | Registered representative | Aug 2024 (2y) | ||
| Sophia R. Gerhards | Registered representative | Aug 2024 (2y) | ||
| Spencer Davies | Registered representative | Aug 2024 (2y) | ||
| William Stone Morrison | Registered representative | Aug 2024 (2y) | ||
| Zachary O. Bishop | Registered representative | Aug 2024 (2y) | ||
| Alan J Lovi | Registered representative | Aug 2024 (2y) | ||
| Jose Alonso Pujol | Registered representative | Aug 2024 (2y) | ||
| Mcclaran Hayes | Registered representative | Aug 2024 (2y) | ||
| Morgan Smith Conry | Registered representative | Aug 2024 (2y) | ||
| Nicole Holderman Steinwedell | Registered representative | CFP | Aug 2024 (2y) | |
| Sophia Lucille Nipp | Registered representative | Aug 2024 (2y) | ||
| William Jonse Hughes | Registered representative | Aug 2024 (2y) | ||
| Amber Oliver | Registered representative | Aug 2024 (2y) | ||
| Dharamhet Khangura | Registered representative | Aug 2024 (2y) | ||
| Marcelo Sepulveda | Registered representative | Aug 2024 (2y) | ||
| Nicholas T. Barney | Registered representative | Aug 2024 (2y) | ||
| Allison Fay Novak | Registered representative | Aug 2024 (2y) | ||
| Erik J Sulzbach | Registered representative | Aug 2024 (2y) | ||
| Nicholas Rj Suarez | Registered representative | CFP | Aug 2024 (2y) | |
| Rachel Long | Registered representative | Aug 2024 (2y) | ||
| Robert P Baynard | Registered representative | Aug 2024 (2y) | ||
| Tanner Isaacs | Registered representative | Aug 2024 (2y) | ||
| Tessa Schiffers | Registered representative | Aug 2024 (2y) | ||
| Ying Gao | Registered representative | Aug 2024 (2y) | ||
| James Daniel Roberts | Registered representative | Aug 2024 (2y) | ||
| Jeremy M Friedman | Registered representative | Aug 2024 (2y) | ||
| Spencer Erdman | Registered representative | Aug 2024 (2y) | ||
| Timothy Martin | Registered representative | Aug 2024 (2y) | ||
| Aidan Vincent Donnelly | Registered representative | Aug 2024 (2y) | ||
| Cindy C Mueller | Registered representative | Aug 2024 (2y) | ||
| David Todd Walker | Registered representative | Aug 2024 (2y) | ||
| Eric Radcliffe | Registered representative | Aug 2024 (2y) | ||
| Jessica Costa | Registered representative | Aug 2024 (2y) | ||
| Jessica Duffett Decker | Registered representative | CFP | Aug 2024 (2y) | |
| Jianbin Li | Registered representative | Aug 2024 (2y) | ||
| Kevin Gaspard | Registered representative | Aug 2024 (2y) | ||
| Matthew Carl Davella | Registered representative | CFP | Aug 2024 (2y) | |
| Michael Duane Hettinger | Registered representative | Aug 2024 (2y) | ||
| Mohammad Khalil | Registered representative | Aug 2024 (2y) | ||
| Ryan Gravelin | Registered representative | Aug 2024 (2y) | ||
| Timothy Kwong | Registered representative | Aug 2024 (2y) | ||
| Victor Diaz | Registered representative | Aug 2024 (2y) | ||
| Annie Rodriguez | Registered representative | Aug 2024 (2y) | ||
| Heerawattie Naomi Persaud | Registered representative | Aug 2024 (2y) | ||
| Keegan Redman Cohen | Registered representative | Aug 2024 (2y) | ||
| Nicholas Kaldis | Registered representative | Aug 2024 (2y) | ||
| Olga Pankratova | Registered representative | Aug 2024 (2y) | ||
| Christopher Murray | Registered representative | Aug 2024 (2y) | ||
| Daniel Casale | Registered representative | Aug 2024 (2y) | ||
| John Niko Rivera | Registered representative | Aug 2024 (2y) | ||
| Joseph Andrew Crema | Registered representative | Aug 2024 (2y) | ||
| Justin Tafoya | Registered representative | Aug 2024 (2y) | ||
| Marco Lopez | Registered representative | Aug 2024 (2y) | ||
| Matthew Kolber | Registered representative | CFP | Aug 2024 (2y) | |
| Ann Jalene Barlow | Registered representative | CFP | Aug 2024 (2y) | |
| Elise Kiya | Registered representative | Aug 2024 (2y) | ||
| John Natoli | Registered representative | Aug 2024 (2y) | ||
| Rameez Shad | Registered representative | Aug 2024 (2y) | ||
| Sarde Miles | Registered representative | Aug 2024 (2y) | ||
| Sean Tyler Martin | Registered representative | Aug 2024 (2y) | ||
| Sean W. Lyon | Registered representative | Aug 2024 (2y) | ||
| Amanda Chantelle Reese | Registered representative | Aug 2024 (2y) | ||
| Brian Keith King | Registered representative | Aug 2024 (2y) | ||
| Beau Gutierrez | Registered representative | Aug 2024 (2y) | ||
| Jeremy Jason Brown | Registered representative | Aug 2024 (2y) | ||
| Jianming Zang | Registered representative | Aug 2024 (2y) | ||
| Joseph Gross | Registered representative | Aug 2024 (2y) | ||
| Lorenzo Ceniceros | Registered representative | Aug 2024 (2y) | ||
| Robert Keefer | Registered representative | Aug 2024 (2y) | ||
| Aidan Teahan | Registered representative | Aug 2024 (2y) | ||
| Alex Tuttle | Registered representative | Aug 2024 (2y) | ||
| Marcello Pesce | Registered representative | Aug 2024 (2y) | ||
| Alexander Linton | Registered representative | Aug 2024 (2y) | ||
| Francisco De La Camara | Registered representative | Aug 2024 (2y) | ||
| Jaime Moreno | Registered representative | Aug 2024 (2y) | ||
| Matthew J. Golden | Registered representative | Aug 2024 (2y) | ||
| Max William That | Registered representative | Aug 2024 (2y) | ||
| Rohit Pupalla | Registered representative | Aug 2024 (2y) | ||
| Valricia Roshell Mccloud | Registered representative | Aug 2024 (2y) | ||
| Wilson Adubasim | Registered representative | Aug 2024 (2y) | ||
| Yumi Moon | Registered representative | Aug 2024 (2y) | ||
| Anthony Goebel Gentry | Registered representative | Aug 2024 (2y) | ||
| Andrew Eisel | Registered representative | Aug 2024 (2y) | ||
| Jingnan He | Registered representative | Aug 2024 (2y) | ||
| Jordan Murray | Registered representative | Aug 2024 (2y) | ||
| Joseph Daniel Robertson | Registered representative | Aug 2024 (2y) | ||
| Julian Marquez | Registered representative | Aug 2024 (2y) | ||
| Kaitlyn Radmall | Registered representative | Aug 2024 (2y) | ||
| Laura Cayton | Registered representative | Aug 2024 (2y) | ||
| Nick Compton | Registered representative | Aug 2024 (2y) | ||
| Omar Garcia | Registered representative | Aug 2024 (2y) | ||
| Timothy James O'mara | Registered representative | CFA | Aug 2024 (2y) | |
| Catherine Slocum | Registered representative | Aug 2024 (2y) | ||
| John Webster | Registered representative | Aug 2024 (2y) | ||
| Griffin Patrick Wagner | Registered representative | Sep 2024 (2y) | ||
| Lucia Maclean | Registered representative | Sep 2024 (2y) | ||
| Maria Bapis | Registered representative | Sep 2024 (2y) | ||
| Michael Wiess | Registered representative | Sep 2024 (2y) | ||
| Sami Assaf | Registered representative | Sep 2024 (2y) | ||
| Seloni Daryanani | Registered representative | Sep 2024 (2y) | ||
| Adedire Abimbola Fakorede | Registered representative | Sep 2024 (2y) | ||
| Christopher Jacob Delgado | Registered representative | Sep 2024 (2y) | ||
| Gregory Tully | Registered representative | Sep 2024 (2y) | ||
| Henry Kelleher Woodward | Registered representative | Sep 2024 (2y) | ||
| Johnathan David Baker | Registered representative | Sep 2024 (2y) | ||
| Michael P Schwartz | Registered representative | Sep 2024 (2y) | ||
| Priscilla Eunbi Woo | Registered representative | Sep 2024 (2y) | ||
| Salem Demis Alemayehu | Registered representative | Sep 2024 (2y) | ||
| Soo Jeong Heo | Registered representative | Sep 2024 (2y) | ||
| Stevan Stanisic | Registered representative | Sep 2024 (2y) | ||
| Akash Patel | Registered representative | Sep 2024 (2y) | ||
| Caitlin Gilmour | Registered representative | Sep 2024 (2y) | ||
| Caleb Cummings Dise | Registered representative | Sep 2024 (2y) | ||
| Caroline Hinton Mc Arthur | Registered representative | Sep 2024 (2y) | ||
| Charles E. Gadsden | Registered representative | Sep 2024 (2y) | ||
| Christine Heilmann | Registered representative | Sep 2024 (2y) | ||
| Daniel C Maldonado | Registered representative | Sep 2024 (2y) | ||
| David Echeverri | Registered representative | Sep 2024 (2y) | ||
| Eric Kim | Registered representative | Sep 2024 (2y) | ||
| Hayden Lawrence | Registered representative | Sep 2024 (2y) | ||
| Henrique Pontes Saad | Registered representative | Sep 2024 (2y) | ||
| James Ryan Roselle | Registered representative | Sep 2024 (2y) | ||
| Joseph Fiocca | Registered representative | Sep 2024 (2y) | ||
| Michael Cohen | Registered representative | Sep 2024 (2y) | ||
| Sergio Gutierrez | Registered representative | Sep 2024 (2y) | ||
| Troy Shandell Bonner | Registered representative | Sep 2024 (2y) | ||
| Virginia Hope Baldwin | Registered representative | Sep 2024 (2y) | ||
| Aidan William Cassidy | Registered representative | Sep 2024 (2y) | ||
| Alejandra Gomez Perez | Registered representative | Sep 2024 (2y) | ||
| Alexander Angelo Lambros | Registered representative | Sep 2024 (2y) | ||
| Alyse S Cok | Registered representative | Sep 2024 (2y) | ||
| Ananth Puduvalli | Registered representative | Sep 2024 (2y) | ||
| Augusto Ricardo Simons Arango | Registered representative | Sep 2024 (2y) | ||
| Brayden Kowalski | Registered representative | Sep 2024 (2y) | ||
| Brooke Moran Avedisian | Registered representative | Sep 2024 (2y) | ||
| Charles Connor Laird | Registered representative | Sep 2024 (2y) | ||
| Drake Lorenzo Wertlieb | Registered representative | Sep 2024 (2y) | ||
| Ellie K. Bednarz | Registered representative | Sep 2024 (2y) | ||
| Finnian David Gaudreau | Registered representative | Sep 2024 (2y) | ||
| Garrett Mc Auliffe | Registered representative | Sep 2024 (2y) | ||
| Jacob Plotkin | Registered representative | Sep 2024 (2y) | ||
| James Lukas Haugen | Registered representative | Sep 2024 (2y) | ||
| Javier Guillermo Zedan | Registered representative | Sep 2024 (2y) | ||
| Jennifer Elaine Bailey | Registered representative | Sep 2024 (2y) | ||
| Jessica Grace Martorelli | Registered representative | Sep 2024 (2y) | ||
| John Michael Tonda | Registered representative | Sep 2024 (2y) | ||
| Jonathan Leo Martin | Registered representative | Sep 2024 (2y) | ||
| Joseph Perry | Registered representative | Sep 2024 (2y) | ||
| Julia Bordeaux | Registered representative | Sep 2024 (2y) | ||
| Lauren Bobowski | Registered representative | Sep 2024 (2y) | ||
| Livia De Luca Almeida | Registered representative | Sep 2024 (2y) | ||
| Margo Alice Magidson | Registered representative | Sep 2024 (2y) | ||
| Mary Grace Pidgeon | Registered representative | Sep 2024 (2y) | ||
| Mason Strickland Adams | Registered representative | Sep 2024 (2y) | ||
| Nikiya Harris | Registered representative | Sep 2024 (2y) | ||
| Nicholas Andrew Kalenik | Registered representative | Sep 2024 (2y) | ||
| Nicholas Lalli | Registered representative | Sep 2024 (2y) | ||
| Norma Alejandra Arroyo Bravo | Registered representative | Sep 2024 (2y) | ||
| Olivia Fox | Registered representative | Sep 2024 (2y) | ||
| Olivia Moore | Registered representative | Sep 2024 (2y) | ||
| Orson Aosi Lin | Registered representative | Sep 2024 (2y) | ||
| Rachel Isabelle Brown | Registered representative | Sep 2024 (2y) | ||
| Reeva Sachdev | Registered representative | Sep 2024 (2y) | ||
| Ryan Fishburn | Registered representative | Sep 2024 (2y) | ||
| Ryan Matthew Mc Farland | Registered representative | Sep 2024 (2y) | ||
| Shirley Jane Leung | Registered representative | CFP CFA | Sep 2024 (2y) | |
| Taylor Kopan | Registered representative | Sep 2024 (2y) | ||
| Teresa Ping Liu | Registered representative | Sep 2024 (2y) | ||
| Thomas Bulow | Registered representative | Sep 2024 (2y) | ||
| Thomas Novak | Registered representative | Sep 2024 (2y) | ||
| Vrishin Sundaram | Registered representative | Sep 2024 (2y) | ||
| Will Marston | Registered representative | Sep 2024 (2y) | ||
| Alexander Durant | Registered representative | Sep 2024 (2y) | ||
| Adam David Gaddy | Registered representative | Sep 2024 (2y) | ||
| Alana Hill | Registered representative | Sep 2024 (2y) | ||
| Alden David Abshire | Registered representative | Sep 2024 (2y) | ||
| Alexis Ishmael | Registered representative | Sep 2024 (2y) | ||
| Alysse Greenberg | Registered representative | Sep 2024 (2y) | ||
| Amy Nicole Pearson | Registered representative | Sep 2024 (2y) | ||
| Andie Berman | Registered representative | Sep 2024 (2y) | ||
| Anna Mikel Evans | Registered representative | Sep 2024 (2y) | ||
| Anton Glazko | Registered representative | Sep 2024 (2y) | ||
| Arman Banan | Registered representative | Sep 2024 (2y) | ||
| Ashton Isabella Benfield | Registered representative | Sep 2024 (2y) | ||
| Austin W. Cox | Registered representative | Sep 2024 (2y) | ||
| Ava C. Turner | Registered representative | Sep 2024 (2y) | ||
| Avery Renee Thompson | Registered representative | Sep 2024 (2y) | ||
| Blake Garret Georg | Registered representative | Sep 2024 (2y) | ||
| Blake James Spiller | Registered representative | Sep 2024 (2y) | ||
| Brianna Sami Amireh | Registered representative | Sep 2024 (2y) | ||
| Chase Crockett | Registered representative | Sep 2024 (2y) | ||
| Cole Dominic Verrico | Registered representative | Sep 2024 (2y) | ||
| Caleb C. Ostler | Registered representative | Sep 2024 (2y) | ||
| Camila Ginorio Perez | Registered representative | Sep 2024 (2y) | ||
| Caroline M. Andreen | Registered representative | Sep 2024 (2y) | ||
| Charles James Schenk | Registered representative | Sep 2024 (2y) | ||
| Christopher J. Zack | Registered representative | Sep 2024 (2y) | ||
| Cole A. Gabbai | Registered representative | Sep 2024 (2y) | ||
| Constantin Zodl | Registered representative | Sep 2024 (2y) | ||
| Cora J. Gilbert | Registered representative | Sep 2024 (2y) | ||
| Dylan Dotan | Registered representative | Sep 2024 (2y) | ||
| Emma Wang | Registered representative | Sep 2024 (2y) | ||
| Evan Johnson | Registered representative | Sep 2024 (2y) | ||
| Everett William Johnson | Registered representative | Sep 2024 (2y) | ||
| Gabriel Asher Stulce | Registered representative | Sep 2024 (2y) | ||
| George Lawrence Pieper | Registered representative | Sep 2024 (2y) | ||
| Gisselle Karina Arias | Registered representative | Sep 2024 (2y) | ||
| Grayson Craddock Hill | Registered representative | Sep 2024 (2y) | ||
| Gregory J. Sullivan | Registered representative | Sep 2024 (2y) | ||
| Hannah Fernandez | Registered representative | Sep 2024 (2y) | ||
| Helen Ann Peterson | Registered representative | Sep 2024 (2y) | ||
| Hyrum Chen | Registered representative | Sep 2024 (2y) | ||
| Jack T. Byers | Registered representative | Sep 2024 (2y) | ||
| Jajanai Imani Stradford | Registered representative | Sep 2024 (2y) | ||
| Jenny Hua | Registered representative | Sep 2024 (2y) | ||
| John Sanders Sewell | Registered representative | Sep 2024 (2y) | ||
| Jose Antonio Pulido | Registered representative | Sep 2024 (2y) | ||
| Joshua Tetteh | Registered representative | Sep 2024 (2y) | ||
| Kathryn Kerry Cameron | Registered representative | Sep 2024 (2y) | ||
| Katherine Muscatello | Registered representative | Sep 2024 (2y) | ||
| Kenneth Heikes | Registered representative | Sep 2024 (2y) | ||
| Kevin L. Lam | Registered representative | Sep 2024 (2y) | ||
| Laila Raful | Registered representative | Sep 2024 (2y) | ||
| Lauren Michelle Nettels | Registered representative | Sep 2024 (2y) | ||
| Logan Kern | Registered representative | Sep 2024 (2y) | ||
| Luke Griffin | Registered representative | Sep 2024 (2y) | ||
| Luke J. Davis | Registered representative | Sep 2024 (2y) | ||
| Maximilian B. Gieseman | Registered representative | Sep 2024 (2y) | ||
| Michael Trifaro | Registered representative | Sep 2024 (2y) | ||
| Michaela Keefe | Registered representative | Sep 2024 (2y) | ||
| Nirmala Narine | Registered representative | Sep 2024 (2y) | ||
| Neil S. Singh | Registered representative | Sep 2024 (2y) | ||
| Nicholas A. Sivo | Registered representative | Sep 2024 (2y) | ||
| Nicolas Leret | Registered representative | Sep 2024 (2y) | ||
| Nolan Patrick Danus | Registered representative | Sep 2024 (2y) | ||
| Paige Alexandra Theobald | Registered representative | Sep 2024 (2y) | ||
| Peirce William Kenney | Registered representative | Sep 2024 (2y) | ||
| Raphael Jimenez | Registered representative | Sep 2024 (2y) | ||
| Ryan Hake | Registered representative | Sep 2024 (2y) | ||
| Samantha Grace Goldsmith | Registered representative | Sep 2024 (2y) | ||
| Shefali Sangappa | Registered representative | Sep 2024 (2y) | ||
| Skylar Hayes Momsen | Registered representative | Sep 2024 (2y) | ||
| Sofia Ballesteros | Registered representative | Sep 2024 (2y) | ||
| Sohan Reddy Guduru | Registered representative | Sep 2024 (2y) | ||
| Tranell Christine Hatfield | Registered representative | Sep 2024 (2y) | ||
| Telmo Zamarbide | Registered representative | Sep 2024 (2y) | ||
| Thomas Nesan | Registered representative | Sep 2024 (2y) | ||
| Victoria Nastasi | Registered representative | Sep 2024 (2y) | ||
| Vincenzo Tomas Montelisciani | Registered representative | Sep 2024 (2y) | ||
| Zachary T. Konvolinka | Registered representative | Sep 2024 (2y) | ||
| Gerard A. Marretta | Registered representative | Sep 2024 (2y) | ||
| Jared B. Moreida | Registered representative | Sep 2024 (2y) | ||
| Nicholas Hoge | Registered representative | Sep 2024 (2y) | ||
| Nolan Shay | Registered representative | Sep 2024 (2y) | ||
| Aviel Kaplan | Registered representative | Sep 2024 (2y) | ||
| Abraham Jaimes | Registered representative | Sep 2024 (2y) | ||
| Alex Benjamin Weber | Registered representative | Sep 2024 (2y) | ||
| Alex J. Bahary | Registered representative | Sep 2024 (2y) | ||
| Alexander C. Browne | Registered representative | Sep 2024 (2y) | ||
| Ali Abdel Saheb | Registered representative | Sep 2024 (2y) | ||
| Ana Sofia Goldstein Toscano | Registered representative | Sep 2024 (2y) | ||
| Anthony Mason Moreno | Registered representative | Sep 2024 (2y) | ||
| Araya Dhiensiri | Registered representative | Sep 2024 (2y) | ||
| Ashwin Ramesh | Registered representative | Sep 2024 (2y) | ||
| Brennan Patrick Kujawa | Registered representative | Sep 2024 (2y) | ||
| Brianna Wishengrad | Registered representative | Sep 2024 (2y) | ||
| Christian Odish | Registered representative | Sep 2024 (2y) | ||
| Clara Josephine Lynch | Registered representative | Sep 2024 (2y) | ||
| Daisy I. Patrick | Registered representative | Sep 2024 (2y) | ||
| David Cesario | Registered representative | Sep 2024 (2y) | ||
| Esther Seely | Registered representative | Sep 2024 (2y) | ||
| Gianna Palli | Registered representative | Sep 2024 (2y) | ||
| Giuliana La Porta | Registered representative | Sep 2024 (2y) | ||
| Grace M Comas | Registered representative | Sep 2024 (2y) | ||
| Grey Sunderland | Registered representative | Sep 2024 (2y) | ||
| Jessica Elizabeth Niemeyer | Registered representative | Sep 2024 (2y) | ||
| Joel Morris | Registered representative | Sep 2024 (2y) | ||
| John Michael Bulgarelli | Registered representative | Sep 2024 (2y) | ||
| Jordan Mc Murray | Registered representative | Sep 2024 (2y) | ||
| Jose Anthony Ray Casarez | Registered representative | Sep 2024 (2y) | ||
| Joseph Guy Farese | Registered representative | Sep 2024 (2y) | ||
| Joseph Hollerbach | Registered representative | Sep 2024 (2y) | ||
| Justin T. Fraser | Registered representative | Sep 2024 (2y) | ||
| Kyle Joseph Junda | Registered representative | Sep 2024 (2y) | ||
| Kyle J. Hoerr | Registered representative | Sep 2024 (2y) | ||
| Luke Chenault | Registered representative | Sep 2024 (2y) | ||
| Margaret Leigh Graves | Registered representative | Sep 2024 (2y) | ||
| Meghana Padmanabhan | Registered representative | Sep 2024 (2y) | ||
| Mia Hessel | Registered representative | Sep 2024 (2y) | ||
| Michael Grossi | Registered representative | Sep 2024 (2y) | ||
| Parker Hoelscher | Registered representative | Sep 2024 (2y) | ||
| Reagan Lapeyre | Registered representative | Sep 2024 (2y) | ||
| Rachel Perry | Registered representative | Sep 2024 (2y) | ||
| Robert Wadsworth | Registered representative | Sep 2024 (2y) | ||
| Sabrina Sims Gordon | Registered representative | Sep 2024 (2y) | ||
| Shane Schwarz | Registered representative | Sep 2024 (2y) | ||
| Willis A Allen | Registered representative | Sep 2024 (2y) | ||
| Yiming Cai | Registered representative | Sep 2024 (2y) | ||
| Anuj Singh | Registered representative | Sep 2024 (2y) | ||
| Christopher Troy Lankheet | Registered representative | Sep 2024 (2y) | ||
| Jake Matysek | Registered representative | Sep 2024 (2y) | ||
| Martin Milton Fornella Landa | Registered representative | Sep 2024 (2y) | ||
| Zahari Nikolov Daskalov | Registered representative | Sep 2024 (2y) | ||
| Enrique Petrie | Registered representative | Sep 2024 (2y) | ||
| Jeffrey James Keady | Registered representative | CFA | Sep 2024 (2y) | |
| Joshua Bailey | Registered representative | Sep 2024 (2y) | ||
| Nathan Kamprath | Registered representative | Sep 2024 (2y) | ||
| Pelayo Rodriguez San Pedro Garci | Registered representative | Sep 2024 (2y) | ||
| Andrew James Cushnie | Registered representative | Sep 2024 (2y) | ||
| Angela Williams | Registered representative | Sep 2024 (2y) | ||
| Arcacia Biggers | Registered representative | Sep 2024 (2y) | ||
| Candelario Valdivia | Registered representative | Sep 2024 (2y) | ||
| Frederick Michael Bender | Registered representative | Sep 2024 (2y) | ||
| Jared Escamilla | Registered representative | Sep 2024 (2y) | ||
| Maria Fernanda Mendes De Mello E Silva | Registered representative | Sep 2024 (2y) | ||
| Matthew R. Coughlin | Registered representative | Sep 2024 (2y) | ||
| Meghan Martin | Registered representative | Sep 2024 (2y) | ||
| Troy Michael Moody | Registered representative | Sep 2024 (2y) | ||
| Jackson Aguilar | Registered representative | Sep 2024 (2y) | ||
| Josemaria Hernandez | Registered representative | Sep 2024 (2y) | ||
| Juan Arango | Registered representative | Sep 2024 (2y) | ||
| Matthew Nordahl | Registered representative | Sep 2024 (2y) | ||
| Tommaso De Nardo | Registered representative | Sep 2024 (2y) | ||
| Vincent G Franceschi | Registered representative | Sep 2024 (2y) | ||
| Zachary Eugene | Registered representative | Sep 2024 (2y) | ||
| Yang Zhong | Registered representative | Sep 2024 (2y) | ||
| Christopher Blake O'neill | Registered representative | Sep 2024 (2y) | ||
| Denise L Fountain | Registered representative | Sep 2024 (2y) | ||
| Jack Krause | Registered representative | Sep 2024 (2y) | ||
| Jacob Carr | Registered representative | Sep 2024 (2y) | ||
| Keegan R. Ryan | Registered representative | Sep 2024 (2y) | ||
| Leticia Saucedo Morales | Registered representative | Sep 2024 (2y) | ||
| Marco A. Nunez | Registered representative | Sep 2024 (2y) | ||
| Michael David Lopes | Registered representative | Sep 2024 (2y) | ||
| Natalia Oliver | Registered representative | Sep 2024 (2y) | ||
| Shivani Desai | Registered representative | Sep 2024 (2y) | ||
| Teo Vicente Gomez Cruchaga | Registered representative | Sep 2024 (2y) | ||
| Tyler Horvitz | Registered representative | Sep 2024 (2y) | ||
| Tyler P Smillie | Registered representative | CFP | Sep 2024 (2y) | |
| Fatima E Calvillo Ortiz | Registered representative | Sep 2024 (2y) | ||
| Katerina Lukenberg | Registered representative | Sep 2024 (2y) | ||
| Kyle Broin | Registered representative | Sep 2024 (2y) | ||
| Lana Xiao | Registered representative | CFP | Sep 2024 (2y) | |
| Shane Jarrett | Registered representative | Sep 2024 (2y) | ||
| Simon H Maynard | Registered representative | CFP | Sep 2024 (2y) | |
| Valentina Herrera Castano | Registered representative | Sep 2024 (2y) | ||
| Devinder Singh | Registered representative | Sep 2024 (2y) | ||
| Gabriel Dias | Registered representative | Sep 2024 (2y) | ||
| Marko Vukovic | Registered representative | Sep 2024 (2y) | ||
| Natalie Malik | Registered representative | Sep 2024 (2y) | ||
| Robert Darnell Williams | Registered representative | Sep 2024 (2y) | ||
| Saul Marcelo Tufino Escalante | Registered representative | Sep 2024 (2y) | ||
| Thomas Martin Black | Registered representative | Sep 2024 (2y) | ||
| William Mc Dermott Smith | Registered representative | Sep 2024 (2y) | ||
| Ezra S. Ladenheim | Registered representative | Sep 2024 (2y) | ||
| Frank Pellegrino | Registered representative | Sep 2024 (2y) | ||
| Geoffrey Ross Marks | Registered representative | Sep 2024 (2y) | ||
| Genesis Sosa | Registered representative | Sep 2024 (2y) | ||
| Jonathan Hickox Young | Registered representative | Sep 2024 (2y) | ||
| Jorge Herrera | Registered representative | Sep 2024 (2y) | ||
| Samuel W. Tillotson | Registered representative | Sep 2024 (2y) | ||
| Alec J. Keller | Registered representative | Sep 2024 (2y) | ||
| Brian John Singer | Registered representative | Sep 2024 (2y) | ||
| Hannah Elizabeth Murphy | Registered representative | Sep 2024 (2y) | ||
| Jie Ji | Registered representative | Sep 2024 (2y) | ||
| Liz Nowicki Sitchin | Registered representative | Sep 2024 (2y) | ||
| Nathan Mchugh | Registered representative | Sep 2024 (2y) | ||
| Sara Sarwat Casanova | Registered representative | Sep 2024 (2y) | ||
| Wesley Raymond Kemme | Registered representative | Sep 2024 (2y) | ||
| Andrea Renee Clark | Registered representative | Sep 2024 (2y) | ||
| Christian Allen Kenney | Registered representative | Sep 2024 (2y) | ||
| Joel Simaie | Registered representative | Sep 2024 (2y) | ||
| Shamari Watkins | Registered representative | Sep 2024 (2y) | ||
| Akeem Williams | Registered representative | Sep 2024 (2y) | ||
| Edgar Martinez | Registered representative | Sep 2024 (2y) | ||
| Francisco Zapata Fernandez | Registered representative | Sep 2024 (2y) | ||
| Jon Pettry | Registered representative | Sep 2024 (2y) | ||
| Marcus Thompson | Registered representative | Sep 2024 (2y) | ||
| Nnamdi A. Drew | Registered representative | Sep 2024 (2y) | ||
| Wafaa E Farag | Registered representative | Sep 2024 (2y) | ||
| Alyssa Ann Lee | Registered representative | Sep 2024 (2y) | ||
| Devin O'neal | Registered representative | Sep 2024 (2y) | ||
| Daniel R. Silfer | Registered representative | Sep 2024 (2y) | ||
| Guillermo Camacho | Registered representative | Sep 2024 (2y) | ||
| Marvin Regalado | Registered representative | Sep 2024 (2y) | ||
| Matthew W. Donovan | Registered representative | Sep 2024 (2y) | ||
| Adam Witte | Registered representative | Sep 2024 (2y) | ||
| Alan Moises Lerner Guenun | Registered representative | Sep 2024 (2y) | ||
| Anabelle Oldham | Registered representative | Sep 2024 (2y) | ||
| Andrew J Casella | Registered representative | Sep 2024 (2y) | ||
| Benjamin Backus | Registered representative | Sep 2024 (2y) | ||
| Calvin Nguyen | Registered representative | Sep 2024 (2y) | ||
| Diana Socorro Diaz Valles | Registered representative | Sep 2024 (2y) | ||
| Donna M. Dougan | Registered representative | Sep 2024 (2y) | ||
| Jessica Lauren Owens | Registered representative | Sep 2024 (2y) | ||
| Jose Leon Padilla | Registered representative | Sep 2024 (2y) | ||
| John J. Wilson | Registered representative | Sep 2024 (2y) | ||
| Kristine Mary Rooney Granger | Registered representative | Sep 2024 (2y) | ||
| Kell Mc Kinley Hermetz | Registered representative | Sep 2024 (2y) | ||
| Luisa Cecilia Paltin Zhingri | Registered representative | Sep 2024 (2y) | ||
| Maddie A Roberts | Registered representative | Sep 2024 (2y) | ||
| Michael D. Thomas | Registered representative | Sep 2024 (2y) | ||
| Michael Robert Marasco | Registered representative | Sep 2024 (2y) | ||
| Michele Borsa Martinez | Registered representative | Sep 2024 (2y) | ||
| Rosario Vargas | Registered representative | Sep 2024 (2y) | ||
| Raul Antonio Arguello | Registered representative | Sep 2024 (2y) | ||
| Richard Huber | Registered representative | CFP | Sep 2024 (2y) | |
| Victoria S. Villodas | Registered representative | Sep 2024 (2y) | ||
| Yui Chak Ryan Chow | Registered representative | Sep 2024 (2y) | ||
| Zachary Holmes | Registered representative | Sep 2024 (2y) | ||
| Alexander S. Nisle | Registered representative | Sep 2024 (2y) | ||
| Brian T. Clarke | Registered representative | Sep 2024 (2y) | ||
| Christine Amanda Persaud | Registered representative | Sep 2024 (2y) | ||
| Edward Lee Jones | Registered representative | Sep 2024 (2y) | ||
| Justin Meir Haim | Registered representative | Sep 2024 (2y) | ||
| Rajinder Saini | Registered representative | Sep 2024 (2y) | ||
| Von Eugene Brady | Registered representative | Sep 2024 (2y) | ||
| Anne Black | Registered representative | Sep 2024 (2y) | ||
| Brooks Green | Registered representative | Sep 2024 (2y) | ||
| Carlos Eduardo Hernandez | Registered representative | Sep 2024 (2y) | ||
| Danielle Masin | Registered representative | Sep 2024 (2y) | ||
| Emir Bajrovic | Registered representative | Sep 2024 (2y) | ||
| Guillermo Cornejo | Registered representative | Sep 2024 (2y) | ||
| Janis Valens | Registered representative | Sep 2024 (2y) | ||
| Kaitlin Thomas | Registered representative | Sep 2024 (2y) | ||
| Kathryn Carroll | Registered representative | Sep 2024 (2y) | ||
| Manpreet Kaur | Registered representative | Sep 2024 (2y) | ||
| Matthew Mc Veigh | Registered representative | Sep 2024 (2y) | ||
| Nathan Lennox Harlow | Registered representative | Sep 2024 (2y) | ||
| Nicholas Lee Kakavas | Registered representative | Sep 2024 (2y) | ||
| Ricardo Adam Rodriguez | Registered representative | Sep 2024 (2y) | ||
| Rodolfo Cooper | Registered representative | Sep 2024 (2y) | ||
| Samantha Mansour | Registered representative | Sep 2024 (2y) | ||
| Serge Permyakoff | Registered representative | Sep 2024 (2y) | ||
| Winston Chen | Registered representative | Sep 2024 (2y) | ||
| William Harrington | Registered representative | Sep 2024 (2y) | ||
| Zachary Parreira | Registered representative | Sep 2024 (2y) | ||
| Gabriela Interiano Henriquez | Registered representative | Oct 2024 (2y) | ||
| Gizo Abuladze | Registered representative | Oct 2024 (2y) | ||
| Joon Choi | Registered representative | Oct 2024 (2y) | ||
| Justin Mourning | Registered representative | CFP | Oct 2024 (2y) | |
| Lindsay Cressy Owens | Registered representative | Oct 2024 (2y) | ||
| Madeleine Hara | Registered representative | Oct 2024 (2y) | ||
| Mark Warnken | Registered representative | Oct 2024 (2y) | ||
| Minh Quang Le | Registered representative | Oct 2024 (2y) | ||
| Thomas M. Branca | Registered representative | Oct 2024 (2y) | ||
| Zhongqi Zhang | Registered representative | Oct 2024 (2y) | ||
| Andy Gao | Registered representative | Oct 2024 (2y) | ||
| Austin Mayhew | Registered representative | Oct 2024 (2y) | ||
| Bryn Felitto | Registered representative | Oct 2024 (2y) | ||
| Lola Davis | Registered representative | Oct 2024 (2y) | ||
| Michelle Catherine Ritter | Registered representative | Oct 2024 (2y) | ||
| Mariano Kis | Registered representative | Oct 2024 (2y) | ||
| Marnie Steen | Registered representative | Oct 2024 (2y) | ||
| Osnerlee Desulme | Registered representative | Oct 2024 (2y) | ||
| Tingting Chen | Registered representative | Oct 2024 (2y) | ||
| Arjun Kumar | Registered representative | Oct 2024 (2y) | ||
| Charlotte De Martini | Registered representative | Oct 2024 (2y) | ||
| Eric Lawrence Freeman | Registered representative | Oct 2024 (2y) | ||
| Joel Soltero | Registered representative | Oct 2024 (2y) | ||
| Karina Datwani | Registered representative | Oct 2024 (2y) | ||
| Kerri L. Washington | Registered representative | Oct 2024 (2y) | ||
| Marcelino Talavera | Registered representative | Oct 2024 (2y) | ||
| Ryan Hunter | Registered representative | CFP | Oct 2024 (2y) | |
| Thomas Philip Veronese | Registered representative | Oct 2024 (2y) | ||
| Lionel Lafontaine Alcidor | Registered representative | Oct 2024 (2y) | ||
| Miguel A. Toribio | Registered representative | Oct 2024 (2y) | ||
| Paul Trobiani | Registered representative | Oct 2024 (2y) | ||
| Noah Robert Joseph Francis | Registered representative | Oct 2024 (2y) | ||
| Ana Luisa Muchacho | Registered representative | Oct 2024 (2y) | ||
| Andrew J. Minhas | Registered representative | Oct 2024 (2y) | ||
| Bautista Carrillo Alume | Registered representative | Oct 2024 (2y) | ||
| Eduardo Edrisis Peralta Medina | Registered representative | Oct 2024 (2y) | ||
| Gentian Fairman | Registered representative | Oct 2024 (2y) | ||
| Jesus Cabrera Galindo | Registered representative | Oct 2024 (2y) | ||
| Lindsey Grace Jones | Registered representative | Oct 2024 (2y) | ||
| Mia Salin | Registered representative | Oct 2024 (2y) | ||
| Michael Grodzki | Registered representative | Oct 2024 (2y) | ||
| Nathalie Leclef | Registered representative | Oct 2024 (2y) | ||
| Nicholas Bryan | Registered representative | Oct 2024 (2y) | ||
| Ronald G Mc Gann | Registered representative | Oct 2024 (2y) | ||
| Sydney Weiner | Registered representative | Oct 2024 (2y) | ||
| Ethan Joon Park | Registered representative | Oct 2024 (2y) | ||
| Giuseppe Marcone | Registered representative | Oct 2024 (2y) | ||
| Mary O. Boesen | Registered representative | Oct 2024 (2y) | ||
| Matthew Fischman | Registered representative | Oct 2024 (2y) | ||
| Patrick James Nellis | Registered representative | Oct 2024 (2y) | ||
| Sarah Hershenhorn | Registered representative | Oct 2024 (2y) | ||
| Bruna Bonilha Villa Dalla | Registered representative | Oct 2024 (2y) | ||
| Connor Cody Pastoor | Registered representative | Oct 2024 (2y) | ||
| Gabriel Peter Katselnik | Registered representative | Oct 2024 (2y) | ||
| Guillermo D. Amaya | Registered representative | Oct 2024 (2y) | ||
| Luke Milone | Registered representative | Oct 2024 (2y) | ||
| Andrei Bobleaga | Registered representative | Oct 2024 (2y) | ||
| Andrey Pashayan | Registered representative | Oct 2024 (2y) | ||
| Ashley Amber Siler | Registered representative | Oct 2024 (2y) | ||
| Aurelien Malcom Cadet | Registered representative | Oct 2024 (2y) | ||
| Frank Joseph Leonardi | Registered representative | Oct 2024 (2y) | ||
| Jacob Douglas Smith | Registered representative | Oct 2024 (2y) | ||
| James Grieco | Registered representative | Oct 2024 (2y) | ||
| Justin A Pena | Registered representative | Oct 2024 (2y) | ||
| Anthony Sanchez Rodriguez Lee | Registered representative | Oct 2024 (2y) | ||
| Aspasia Iosifellis | Registered representative | Oct 2024 (2y) | ||
| Emma Koren Villamater | Registered representative | Oct 2024 (2y) | ||
| Hongling Sun Goslin | Registered representative | Oct 2024 (2y) | ||
| Jacob C. Hetzel | Registered representative | Oct 2024 (2y) | ||
| Madison Grady | Registered representative | Oct 2024 (2y) | ||
| Anna Elizabeth Sieron | Registered representative | Oct 2024 (2y) | ||
| Austin Grossman | Registered representative | Oct 2024 (2y) | ||
| Gaige Cameron Northrup | Registered representative | Oct 2024 (2y) | ||
| Giana Daswani | Registered representative | Oct 2024 (2y) | ||
| Jarrett Douglas Psencik | Registered representative | Oct 2024 (2y) | ||
| Matthew Cinque | Registered representative | Oct 2024 (2y) | ||
| Sara Kutscher | Registered representative | Oct 2024 (2y) | ||
| Alyssa Luna | Registered representative | Oct 2024 (2y) | ||
| Ana Paola De La Parra Goldbaum | Registered representative | Oct 2024 (2y) | ||
| Camille M Raffenne | Registered representative | Oct 2024 (2y) | ||
| Carlyn Florio | Registered representative | Oct 2024 (2y) | ||
| Erika Disador | Registered representative | Oct 2024 (2y) | ||
| Evelyn Mei | Registered representative | Oct 2024 (2y) | ||
| Felix A. Valdes | Registered representative | Oct 2024 (2y) | ||
| Geoffrey Ryan Knotwell | Registered representative | Oct 2024 (2y) | ||
| Molly Barloco | Registered representative | Oct 2024 (2y) | ||
| Nicholas J. Ostaszewski | Registered representative | Oct 2024 (2y) | ||
| Nicholas P L'archevesque | Registered representative | Oct 2024 (2y) | ||
| Timothy W. Corwin | Registered representative | Oct 2024 (2y) | ||
| Yaqi Li | Registered representative | Oct 2024 (2y) | ||
| Armen Terhakopian | Registered representative | Oct 2024 (2y) | ||
| Brandon Mattinen | Registered representative | Oct 2024 (2y) | ||
| Ellen Bruno | Registered representative | Oct 2024 (2y) | ||
| Ian Broderick | Registered representative | Oct 2024 (2y) | ||
| Ireti Bodunde | Registered representative | Oct 2024 (2y) | ||
| Irwin Yamada | Registered representative | Oct 2024 (2y) | ||
| James D Vasquez | Registered representative | Oct 2024 (2y) | ||
| Katelyn Michele Hannington | Registered representative | Oct 2024 (2y) | ||
| Kevin Anderson | Registered representative | Oct 2024 (2y) | ||
| Matthew H. Johnson | Registered representative | Oct 2024 (2y) | ||
| Matthew Nicholas Davidson | Registered representative | Oct 2024 (2y) | ||
| Nicole R Ponthieux | Registered representative | Oct 2024 (2y) | ||
| Qiling Zeng Ruley | Registered representative | Oct 2024 (2y) | ||
| Roland Salazar | Registered representative | Oct 2024 (2y) | ||
| David Winters | Registered representative | Oct 2024 (2y) | ||
| Jessica Lyn Duncan | Registered representative | Oct 2024 (2y) | ||
| Stuart Christopher Burden | Registered representative | Oct 2024 (2y) | ||
| Christian Novoa | Registered representative | Oct 2024 (2y) | ||
| Dana Michelle Winters | Registered representative | Oct 2024 (2y) | ||
| Edugie Jennifer Ekuase | Registered representative | Oct 2024 (2y) | ||
| Jonathan Hernandez | Registered representative | Oct 2024 (2y) | ||
| Nataly Zhunio | Registered representative | Oct 2024 (2y) | ||
| Yisroel Yonah Schwartz | Registered representative | Oct 2024 (2y) | ||
| Troy Hoecker | Registered representative | Oct 2024 (2y) | ||
| Benjamin Millen Sklar | Registered representative | Oct 2024 (2y) | ||
| Carolyn M. Cardell | Registered representative | Oct 2024 (2y) | ||
| Catherine Collins | Registered representative | Oct 2024 (2y) | ||
| Lauren Binder | Registered representative | Oct 2024 (2y) | ||
| Richard Fitzgerald | Registered representative | Oct 2024 (2y) | ||
| Sean Michael Dickes | Registered representative | Oct 2024 (2y) | ||
| Yen Hoang Weng | Registered representative | Oct 2024 (2y) | ||
| Allen Christopher Klippel | Registered representative | Oct 2024 (2y) | ||
| Ashley Williams | Registered representative | Oct 2024 (2y) | ||
| David Olcomendy | Registered representative | Oct 2024 (2y) | ||
| Kristopher Shepherd | Registered representative | Oct 2024 (2y) | ||
| Mariah Cassandra Delgadillo | Registered representative | Oct 2024 (2y) | ||
| Mikala Alexandra Michael | Registered representative | Oct 2024 (2y) | ||
| Russell L Thomas | Registered representative | Oct 2024 (2y) | ||
| Zrinka Dekic | Registered representative | Oct 2024 (2y) | ||
| Carol A. Patrick | Registered representative | Oct 2024 (2y) | ||
| Cathan Michael Wilkins | Registered representative | Oct 2024 (2y) | ||
| Cyprus T. Williams | Registered representative | Oct 2024 (2y) | ||
| Eric Poli | Registered representative | Oct 2024 (2y) | ||
| Ezra Edward Schaffer | Registered representative | Oct 2024 (2y) | ||
| Jeimy L Rodriguez | Registered representative | Oct 2024 (2y) | ||
| Jennifer Sherwood | Registered representative | Oct 2024 (2y) | ||
| Joyce Wright | Registered representative | Oct 2024 (2y) | ||
| Karielle Saranae Cyrus | Registered representative | Oct 2024 (2y) | ||
| Karon Du Val Blue | Registered representative | Oct 2024 (2y) | ||
| Michael H Anki | Registered representative | Oct 2024 (2y) | ||
| Seth R. Rothman | Registered representative | Oct 2024 (2y) | ||
| Sung Soo Park | Registered representative | Oct 2024 (2y) | ||
| Arthur H. Siu | Registered representative | Oct 2024 (2y) | ||
| Justin Silberman | Registered representative | Oct 2024 (2y) | ||
| Lisa Sofie Kuhlenbeck | Registered representative | Oct 2024 (2y) | ||
| Andrew John Montero | Registered representative | Oct 2024 (2y) | ||
| Corey J. Doyle | Registered representative | Oct 2024 (2y) | ||
| Deanna Aghai Yazdy | Registered representative | Oct 2024 (2y) | ||
| Jonathan Huerta | Registered representative | Oct 2024 (2y) | ||
| Keith Anthony Mirra | Registered representative | Oct 2024 (2y) | ||
| Katie Jihyun Choi | Registered representative | Oct 2024 (2y) | ||
| Mohanad Aabed | Registered representative | Oct 2024 (2y) | ||
| Meredith Conroy | Registered representative | Oct 2024 (2y) | ||
| Michael R. Duckworth | Registered representative | Oct 2024 (2y) | ||
| Nicholas G. Lupi | Registered representative | Oct 2024 (2y) | ||
| Wei Meng | Registered representative | Oct 2024 (2y) | ||
| Emily Puebla | Registered representative | Oct 2024 (2y) | ||
| Brandon M. Myers | Registered representative | CFP | Oct 2024 (2y) | |
| Christina Nazareno | Registered representative | Oct 2024 (2y) | ||
| Carlos Ricardo | Registered representative | Oct 2024 (2y) | ||
| Jamal Seale | Registered representative | Oct 2024 (2y) | ||
| Jonathon Alicea | Registered representative | Oct 2024 (2y) | ||
| Kyle Foster Klaus | Registered representative | Oct 2024 (2y) | ||
| Melany Vargas | Registered representative | Oct 2024 (2y) | ||
| Nicolas Jose Perez Cotapos | Registered representative | Oct 2024 (2y) | ||
| Shawn Etienne Roberts | Registered representative | Oct 2024 (2y) | ||
| Yasmeen Darwiche | Registered representative | Oct 2024 (2y) | ||
| Matthew Daniel Wasp | Registered representative | Oct 2024 (2y) | ||
| Nicole Taylor Mulligan | Registered representative | Oct 2024 (2y) | ||
| Peter John Hernandez | Registered representative | Oct 2024 (2y) | ||
| Ryan C Kates | Registered representative | Oct 2024 (2y) | ||
| Ashu Bharara | Registered representative | Oct 2024 (2y) | ||
| Ashley G. Hall | Registered representative | Oct 2024 (2y) | ||
| Conor Friedle | Registered representative | Oct 2024 (2y) | ||
| Joseph De La Rosa | Registered representative | Oct 2024 (2y) | ||
| Pierce D. Fongheiser | Registered representative | Oct 2024 (2y) | ||
| Conor Lyons | Registered representative | Nov 2024 (2y) | ||
| Danielle C Prigge | Registered representative | Nov 2024 (2y) | ||
| Rosheen Majella Ashtiani | Registered representative | Nov 2024 (2y) | ||
| Yusuf Bhaimeah | Registered representative | Nov 2024 (2y) | ||
| Barry Fielding | Registered representative | Nov 2024 (2y) | ||
| Nicholas Woitach | Registered representative | Nov 2024 (2y) | ||
| Dylan Nelson | Registered representative | Nov 2024 (2y) | ||
| Ashley Helrich | Registered representative | Nov 2024 (2y) | ||
| Jamie J Hills | Registered representative | Nov 2024 (2y) | ||
| Nathan Hartman | Registered representative | Nov 2024 (2y) | ||
| Nathaniel Wayne Sizer | Registered representative | Nov 2024 (2y) | ||
| Samuel Veytser | Registered representative | Nov 2024 (2y) | ||
| Anthony Paul Mccaleb Edwards | Registered representative | Nov 2024 (2y) | ||
| Alejandro Medina Kennedy | Registered representative | Nov 2024 (2y) | ||
| Chrislord Pierre | Registered representative | Nov 2024 (2y) | ||
| Gregory Keith Murphy | Registered representative | Nov 2024 (2y) | ||
| Natalie Beaini | Registered representative | Nov 2024 (2y) | ||
| Nicholas E. Marvan | Registered representative | Nov 2024 (2y) | ||
| Paul Steven Cohen | Registered representative | Nov 2024 (2y) | ||
| Samantha Downey | Registered representative | Nov 2024 (2y) | ||
| Shaun Perakovic | Registered representative | Nov 2024 (2y) | ||
| Shereene Welsh Aitcheson | Registered representative | Nov 2024 (2y) | ||
| Tyler Smith | Registered representative | Nov 2024 (2y) | ||
| Adolfo David Valencia | Registered representative | Nov 2024 (2y) | ||
| Lillian Caroline Crocker | Registered representative | Nov 2024 (2y) | ||
| Michael Carner | Registered representative | Nov 2024 (2y) | ||
| Javier Semeria | Registered representative | Nov 2024 (2y) | ||
| Nancy Scordo | Registered representative | Nov 2024 (2y) | ||
| Sean Tracy Wiser | Registered representative | Nov 2024 (2y) | ||
| Mason Azose | Registered representative | Nov 2024 (2y) | ||
| Adriana Henriquez | Registered representative | Nov 2024 (2y) | ||
| Chloe Azar | Registered representative | Nov 2024 (2y) | ||
| Ibrahim Joshua Bah | Registered representative | Nov 2024 (2y) | ||
| Janet Hibson | Registered representative | Nov 2024 (2y) | ||
| Lindsey Noel Pettis | Registered representative | Nov 2024 (2y) | ||
| Maria Kyriakopoulos | Registered representative | Nov 2024 (2y) | ||
| Melissa Sayori Mendes Yasunaka | Registered representative | Nov 2024 (2y) | ||
| Stuti Mundada | Registered representative | Nov 2024 (2y) | ||
| Tadiwa Juanita Mujokoto | Registered representative | Nov 2024 (2y) | ||
| Vy T Dang | Registered representative | Nov 2024 (2y) | ||
| Anabela Puyana | Registered representative | Nov 2024 (2y) | ||
| Brandon Tyler Vance | Registered representative | Nov 2024 (2y) | ||
| Brendan Campbell | Registered representative | Nov 2024 (2y) | ||
| Conrad Gotzian | Registered representative | Nov 2024 (2y) | ||
| Francisco Clouthier | Registered representative | Nov 2024 (2y) | ||
| Genevieve Isabelle Arias | Registered representative | Nov 2024 (2y) | ||
| Meghan Elizabeth Thornton | Registered representative | Nov 2024 (2y) | ||
| Mackenze James Hayes | Registered representative | Nov 2024 (2y) | ||
| Mary Ann Luczak | Registered representative | Nov 2024 (2y) | ||
| Micaela Del Rosario Elias Pajuelo | Registered representative | Nov 2024 (2y) | ||
| Robert Mahoney | Registered representative | Nov 2024 (2y) | ||
| Thomas H Li | Registered representative | Nov 2024 (2y) | ||
| Kevin Paul | Registered representative | Nov 2024 (2y) | ||
| Maya Awada | Registered representative | Nov 2024 (2y) | ||
| Tarek El Mehelmy | Registered representative | Nov 2024 (2y) | ||
| Thomas P. Murray | Registered representative | Nov 2024 (2y) | ||
| Brian Wibert | Registered representative | Nov 2024 (2y) | ||
| Bruce Alvarado | Registered representative | Nov 2024 (2y) | ||
| Douglas Hancock | Registered representative | Nov 2024 (2y) | ||
| Geoffrey Waite | Registered representative | Nov 2024 (2y) | ||
| Jay R. Boswell | Registered representative | Nov 2024 (2y) | ||
| Mason Mc Evers | Registered representative | Nov 2024 (2y) | ||
| Tomas Watson | Registered representative | Nov 2024 (2y) | ||
| William Bermel | Registered representative | Nov 2024 (2y) | ||
| Arturo Granell Heras | Registered representative | Nov 2024 (2y) | ||
| Alexis Davitashvili | Registered representative | Nov 2024 (2y) | ||
| Ben Bramley | Registered representative | Nov 2024 (2y) | ||
| Grace Mabie | Registered representative | Nov 2024 (2y) | ||
| Jack Robert Burns | Registered representative | Nov 2024 (2y) | ||
| Martyna Piazza | Registered representative | Nov 2024 (2y) | ||
| Raul Guadalupe Barcenes | Registered representative | Nov 2024 (2y) | ||
| Travis Alan Catalani | Registered representative | Nov 2024 (2y) | ||
| Brandon Baenke | Registered representative | Nov 2024 (2y) | ||
| Harrison Spellman | Registered representative | Nov 2024 (2y) | ||
| Ilka Kapedani | Registered representative | Nov 2024 (2y) | ||
| Jordan S Haynes | Registered representative | Nov 2024 (2y) | ||
| Priyash Mahesh Jain | Registered representative | Nov 2024 (2y) | ||
| Alex Richard Picou | Registered representative | Nov 2024 (2y) | ||
| Abigail Leah Fox | Registered representative | Nov 2024 (2y) | ||
| Joseph Sterner | Registered representative | Nov 2024 (2y) | ||
| Matthew Meska | Registered representative | Nov 2024 (2y) | ||
| Primo Marco Santos | Registered representative | Nov 2024 (2y) | ||
| Simon H. Moon | Registered representative | Nov 2024 (2y) | ||
| Spencer Yves Gomes | Registered representative | Nov 2024 (2y) | ||
| Anthony Mc Intosh | Registered representative | Nov 2024 (2y) | ||
| Courtney Katherine Melvin | Registered representative | Nov 2024 (2y) | ||
| Larry L Stoner | Registered representative | Nov 2024 (2y) | ||
| Zachery James Meynard | Registered representative | Nov 2024 (2y) | ||
| Andres Cordero | Registered representative | Nov 2024 (2y) | ||
| Donald Ray Vick | Registered representative | Nov 2024 (2y) | ||
| Neil Amish Desai | Registered representative | Nov 2024 (2y) | ||
| Benjamin Marion Woodall | Registered representative | Nov 2024 (2y) | ||
| Carla Harroz | Registered representative | Nov 2024 (2y) | ||
| Giuseppe Barone | Registered representative | Nov 2024 (2y) | ||
| Martin Bulnes Errazuriz | Registered representative | Nov 2024 (2y) | ||
| Patrick Harrington | Registered representative | CFP | Nov 2024 (2y) | |
| Coulter T Bostick | Registered representative | Nov 2024 (2y) | ||
| Alberto Bernardez | Registered representative | Nov 2024 (2y) | ||
| Alexander Espinosa | Registered representative | Nov 2024 (2y) | ||
| Brooke Devon Gronich | Registered representative | Nov 2024 (2y) | ||
| Drew Richard Kennedy | Registered representative | Nov 2024 (2y) | ||
| Jaron Michael Kloap | Registered representative | Nov 2024 (2y) | ||
| Mai Nguyen | Registered representative | Nov 2024 (2y) | ||
| Sydney Dolores Konuch | Registered representative | Nov 2024 (2y) | ||
| Casey Robert Cremen | Registered representative | Nov 2024 (2y) | ||
| Courtney Quinlan | Registered representative | Nov 2024 (2y) | ||
| Dean A.C. Parham | Registered representative | Nov 2024 (2y) | ||
| Holly Matthew Hamana | Registered representative | Nov 2024 (2y) | ||
| Jonathan Montalto | Registered representative | Nov 2024 (2y) | ||
| Juan A Marin | Registered representative | Nov 2024 (2y) | ||
| Kevin W Hui | Registered representative | Nov 2024 (2y) | ||
| Louise Roof | Registered representative | Nov 2024 (2y) | ||
| Marcus Hirt | Registered representative | Nov 2024 (2y) | ||
| Robert Madison Stearns | Registered representative | Nov 2024 (2y) | ||
| Thomas Antonio Martinez | Registered representative | Nov 2024 (2y) | ||
| Zachary Marini | Registered representative | Nov 2024 (2y) | ||
| Cristian Barrera | Registered representative | Nov 2024 (2y) | ||
| John Harold Mc Gann | Registered representative | Nov 2024 (2y) | ||
| Portrait Coutrelle Plair | Registered representative | Nov 2024 (2y) | ||
| Roxana Alinda Nelson | Registered representative | Nov 2024 (2y) | ||
| Adrienne Terena Borchers | Registered representative | Nov 2024 (2y) | ||
| Achraf Chikar | Registered representative | Nov 2024 (2y) | ||
| Jennifer Anne Gethins | Registered representative | Nov 2024 (2y) | ||
| Anthony Nguyen | Registered representative | Dec 2024 (2y) | ||
| Daniel A Perry | Registered representative | Dec 2024 (2y) | ||
| Michael V Iandoli | Registered representative | Dec 2024 (2y) | ||
| Krupali Patel | Registered representative | Dec 2024 (2y) | ||
| Kolby Abruzzino | Registered representative | CFP | Dec 2024 (2y) | |
| Randy Dee Howe | Registered representative | Dec 2024 (2y) | ||
| Stephanie Crystal Oropeza | Registered representative | Dec 2024 (2y) | ||
| Alejandro Josue Sanchez | Registered representative | Dec 2024 (2y) | ||
| Anallely Sofia Madrigal Morfin | Registered representative | Dec 2024 (2y) | ||
| Anthony J Silvio | Registered representative | Dec 2024 (2y) | ||
| Ariel Armando Sinchi | Registered representative | Dec 2024 (2y) | ||
| Francisco Micheletti Garcia Goicoec | Registered representative | Dec 2024 (2y) | ||
| Kyle Nicholas Martin | Registered representative | Dec 2024 (2y) | ||
| Patrick Harten Arregui | Registered representative | Dec 2024 (2y) | ||
| Skylar J Thompson | Registered representative | Dec 2024 (2y) | ||
| William Pegram | Registered representative | Dec 2024 (2y) | ||
| Justin Nolan Hannah | Registered representative | Dec 2024 (2y) | ||
| Korie Lynch | Registered representative | Dec 2024 (2y) | ||
| Kyle Von Der Linde | Registered representative | Dec 2024 (2y) | ||
| Madison Watson | Registered representative | Dec 2024 (2y) | ||
| Rachael Alexander | Registered representative | Dec 2024 (2y) | ||
| Vivian Tran | Registered representative | Dec 2024 (2y) | ||
| Aaron Rowan | Registered representative | Dec 2024 (2y) | ||
| Huy Dang | Registered representative | Dec 2024 (2y) | ||
| Luis Raul Ortiz Marin | Registered representative | Dec 2024 (2y) | ||
| Oksana Kravchuk | Registered representative | Dec 2024 (2y) | ||
| Christian M Sosnowski | Registered representative | Dec 2024 (2y) | ||
| Zachary M. Padberg | Registered representative | Dec 2024 (2y) | ||
| Andrew Lau | Registered representative | Dec 2024 (2y) | ||
| Joseph Reina | Registered representative | CFP | Dec 2024 (2y) | |
| Katelyn Dang | Registered representative | Dec 2024 (2y) | ||
| Kevin M. Mc Crorie | Registered representative | Dec 2024 (2y) | ||
| Kylee Renee Buffinet | Registered representative | Dec 2024 (2y) | ||
| Aurelio Ascenzo Del Rio | Registered representative | Dec 2024 (2y) | ||
| Ethan Sullivan | Registered representative | Dec 2024 (2y) | ||
| Grant Goldstein | Registered representative | Dec 2024 (2y) | ||
| Heather Elizabeth Henderson | Registered representative | Dec 2024 (2y) | ||
| James Angelopoulos | Registered representative | Dec 2024 (2y) | ||
| Katy Xia | Registered representative | Dec 2024 (2y) | ||
| Stephanie Marie Jackson | Registered representative | Dec 2024 (2y) | ||
| Tonya K. Henry | Registered representative | Dec 2024 (2y) | ||
| Andrew David Secker | Registered representative | Dec 2024 (2y) | ||
| Edward Reilly Nix | Registered representative | Dec 2024 (2y) | ||
| Rebecca Scott | Registered representative | Dec 2024 (2y) | ||
| Seth Lehr | Registered representative | Dec 2024 (2y) | ||
| Jeffrey Allen Reynolds | Registered representative | Dec 2024 (2y) | ||
| James Benjamin Peter Reid | Registered representative | Dec 2024 (2y) | ||
| Lori M Clarke Romano | Registered representative | Dec 2024 (2y) | ||
| Tian Gao | Registered representative | Dec 2024 (2y) | ||
| Alex Scheel | Registered representative | CFP | Dec 2024 (2y) | |
| Anna Soave | Registered representative | Dec 2024 (2y) | ||
| Cole John Stedman | Registered representative | Dec 2024 (2y) | ||
| David A. Wirt | Registered representative | Dec 2024 (2y) | ||
| Mingyi Wang Llodrat | Registered representative | Dec 2024 (2y) | ||
| Valdemaras Raizys | Registered representative | Dec 2024 (2y) | ||
| Blanca Smith | Registered representative | Dec 2024 (2y) | ||
| Braden Pearlstein | Registered representative | Dec 2024 (2y) | ||
| Brian Paul De Leon | Registered representative | Dec 2024 (2y) | ||
| Katherine Murphy | Registered representative | Dec 2024 (2y) | ||
| Steven Michael Berry | Registered representative | Dec 2024 (2y) | ||
| Christopher Kemp Thrower | Registered representative | Dec 2024 (2y) | ||
| Scott Logan Fish | Registered representative | Dec 2024 (2y) | ||
| Alexander Cook | Registered representative | Dec 2024 (2y) | ||
| Luis Fernandez De Santaella | Registered representative | Dec 2024 (2y) | ||
| Florencia Melissa Crespo Mondula | Registered representative | Dec 2024 (2y) | ||
| Ganithri Navoda Wickramasinghe | Registered representative | Dec 2024 (2y) | ||
| Kevin Hao Xiong | Registered representative | Dec 2024 (2y) | ||
| Laura Grace Mcgrath | Registered representative | Dec 2024 (2y) | ||
| Peter Coughlin | Registered representative | Dec 2024 (2y) | ||
| Phaby Utomo | Registered representative | CFP CFA | Dec 2024 (2y) | |
| Philip Volpe | Registered representative | Dec 2024 (2y) | ||
| Vito Conigliaro | Registered representative | Dec 2024 (2y) | ||
| Hrachia Sahakyan | Registered representative | Dec 2024 (2y) | ||
| Kevin Edward Ockwood | Registered representative | Dec 2024 (2y) | ||
| Jacqueline A Adams | Registered representative | Dec 2024 (2y) | ||
| Bahram K. Sabet | Registered representative | Dec 2024 (2y) | ||
| John Malarney | Registered representative | Dec 2024 (2y) | ||
| Joseph Michael Shelly | Registered representative | Dec 2024 (2y) | ||
| Katherine M Scardello | Registered representative | Dec 2024 (2y) | ||
| Nicholas Anderson | Registered representative | Dec 2024 (2y) | ||
| Whitney Braun | Registered representative | Dec 2024 (2y) | ||
| Ying Hu | Registered representative | Dec 2024 (2y) | ||
| Pablo Clemente Colella Stifano | Registered representative | Dec 2024 (2y) | ||
| Heather P Anderson | Registered representative | Dec 2024 (2y) | ||
| Patrick Mangini | Registered representative | Dec 2024 (2y) | ||
| Joseph K Lopresti | Registered representative | Jan 2025 (2y) | ||
| Marcelo Quadros | Registered representative | Jan 2025 (2y) | ||
| Melissa D. Cardenas | Registered representative | Jan 2025 (2y) | ||
| Rosalie Haglund | Registered representative | CFP | Jan 2025 (2y) | |
| Cristina Spatacian | Registered representative | Jan 2025 (2y) | ||
| Danielle Lucienne Fink | Registered representative | Jan 2025 (2y) | ||
| Henry Iloanya | Registered representative | Jan 2025 (2y) | ||
| Neal Allen Seaborn | Registered representative | Jan 2025 (2y) | ||
| Rishi Vyas | Registered representative | Jan 2025 (2y) | ||
| Braxton James Ransaw | Registered representative | Jan 2025 (2y) | ||
| Roger Jiacheng Wei | Registered representative | Jan 2025 (2y) | ||
| Amir Nikezic | Registered representative | Jan 2025 (2y) | ||
| Benjamin Haren | Registered representative | Jan 2025 (2y) | ||
| Cameron Hunt | Registered representative | Jan 2025 (2y) | ||
| Elizabeth Kolshak | Registered representative | Jan 2025 (2y) | ||
| Ryan Steven Lightfoot | Registered representative | Jan 2025 (2y) | ||
| Sebastian Villegas | Registered representative | Jan 2025 (2y) | ||
| Andrew S. Luehs | Registered representative | Jan 2025 (2y) | ||
| Benjamin Harris | Registered representative | Jan 2025 (2y) | ||
| Hunter Safaya Trusty | Registered representative | Jan 2025 (2y) | ||
| Kyryl Sholominskyy | Registered representative | Jan 2025 (2y) | ||
| Kyle Ackourey | Registered representative | Jan 2025 (2y) | ||
| Mark Gutierrez | Registered representative | Jan 2025 (2y) | ||
| Adam Antekeier | Registered representative | Jan 2025 (2y) | ||
| Alma Sehovic | Registered representative | Jan 2025 (2y) | ||
| Charles Chris Koules | Registered representative | Jan 2025 (2y) | ||
| Kamran Richard | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Kimberlee Danielle Chiccarine | Registered representative | Jan 2025 (2y) | ||
| Mrugesh H Shah | Registered representative | Jan 2025 (2y) | ||
| Manuel Alejandro Aguirre Echevarria | Registered representative | Jan 2025 (2y) | ||
| Steven Marroquin | Registered representative | Jan 2025 (2y) | ||
| Austin Mascorro | Registered representative | Jan 2025 (2y) | ||
| Eric D. Hood | Registered representative | Jan 2025 (2y) | ||
| James Atkinson | Registered representative | Jan 2025 (2y) | ||
| Jason Louis Solano | Registered representative | Jan 2025 (2y) | ||
| Jorge Jesus Valdes | Registered representative | Jan 2025 (2y) | ||
| Matthew Thomas Dolan | Registered representative | Jan 2025 (2y) | ||
| Meredith Long | Registered representative | Jan 2025 (2y) | ||
| Timothy Aaron Sterling | Registered representative | Jan 2025 (2y) | ||
| Tricia Yu | Registered representative | Jan 2025 (2y) | ||
| Xiaodi Wang | Registered representative | Jan 2025 (2y) | ||
| Yubi Li | Registered representative | Jan 2025 (2y) | ||
| Andrew Thomas Munger | Registered representative | Jan 2025 (2y) | ||
| Abigail Swanton | Registered representative | Jan 2025 (2y) | ||
| Franz Berdugo | Registered representative | Jan 2025 (2y) | ||
| Garrett Freysinger | Registered representative | Jan 2025 (2y) | ||
| John Blue | Registered representative | Jan 2025 (2y) | ||
| Kyung Kun Choi | Registered representative | Jan 2025 (2y) | ||
| Nilly Alsaid | Registered representative | Jan 2025 (2y) | ||
| Ryan Weaver | Registered representative | Jan 2025 (2y) | ||
| Andi Berzani | Registered representative | Jan 2025 (2y) | ||
| Anwar Almond | Registered representative | Jan 2025 (2y) | ||
| Brianna Mc Coy | Registered representative | Jan 2025 (2y) | ||
| Bryan Christopher Lee | Registered representative | Jan 2025 (2y) | ||
| Dolly Heang Meas Cooper | Registered representative | Jan 2025 (2y) | ||
| Erica Mosca | Registered representative | Jan 2025 (2y) | ||
| Barbara Lynn Marsh | Registered representative | Jan 2025 (2y) | ||
| Blake Mistler | Registered representative | Jan 2025 (2y) | ||
| Gary Anderson | Registered representative | Jan 2025 (2y) | ||
| Gillian Ebanks Knowles | Registered representative | Jan 2025 (2y) | ||
| Danubio A. Malo | Registered representative | Jan 2025 (2y) | ||
| Esther Lee | Registered representative | Jan 2025 (2y) | ||
| Kamiar Vossoughi | Registered representative | CFP CFA | Jan 2025 (2y) | |
| Naysan Vahdat | Registered representative | Jan 2025 (2y) | ||
| Claudia Elena Vasquez Martinez | Registered representative | Jan 2025 (2y) | ||
| Giulio Andre Gilardi Vega | Registered representative | Jan 2025 (2y) | ||
| Kyle Delicata | Registered representative | Jan 2025 (2y) | ||
| Tyler Dyson | Registered representative | Jan 2025 (2y) | ||
| Alexander Mrkalj | Registered representative | Jan 2025 (2y) | ||
| Dontrelle Inman | Registered representative | Jan 2025 (2y) | ||
| Joseph D'agostino | Registered representative | Jan 2025 (2y) | ||
| Kirtan Patel | Registered representative | Jan 2025 (2y) | ||
| Ryan Naki | Registered representative | Jan 2025 (2y) | ||
| Christopher Gallousis | Registered representative | Jan 2025 (2y) | ||
| Gary Hirschy | Registered representative | Jan 2025 (2y) | ||
| John Maxwell Mc Grath | Registered representative | Jan 2025 (2y) | ||
| Karina Mendes Amaral | Registered representative | Jan 2025 (2y) | ||
| Michael Taylor Priest | Registered representative | Jan 2025 (2y) | ||
| Navdeep Singh | Registered representative | Jan 2025 (2y) | ||
| Nicholas Mc Creary | Registered representative | Jan 2025 (2y) | ||
| Ryan Zywotko | Registered representative | CFA | Jan 2025 (2y) | |
| Saverio Nicholas Galati | Registered representative | Jan 2025 (2y) | ||
| Vera B Revolledo | Registered representative | Jan 2025 (2y) | ||
| Anthony Jay Magalong | Registered representative | Jan 2025 (2y) | ||
| Alexis Elizabeth Stiemsma | Registered representative | Jan 2025 (2y) | ||
| Christian Morales | Registered representative | Jan 2025 (2y) | ||
| Daniel Chapman | Registered representative | CFP | Jan 2025 (2y) | |
| Jacoby Black Tucker | Registered representative | Jan 2025 (2y) | ||
| Sam Chouli | Registered representative | Jan 2025 (2y) | ||
| Elizabeth Frances Payton | Registered representative | Jan 2025 (2y) | ||
| Fabrizio Andres Brito Accurso | Registered representative | Jan 2025 (2y) | ||
| James D. Gothers | Registered representative | Jan 2025 (2y) | ||
| Jay Duy Duc Do | Registered representative | Jan 2025 (2y) | ||
| Johnny Carl Fenley | Registered representative | CFA | Jan 2025 (2y) | |
| Karen De La Rea Lee | Registered representative | Jan 2025 (2y) | ||
| Peter C Schimmel | Registered representative | Jan 2025 (2y) | ||
| Syed H. Hussain | Registered representative | Jan 2025 (2y) | ||
| Tiffany Melisa Garcia | Registered representative | Jan 2025 (2y) | ||
| Peyton Michelle Childress | Registered representative | Jan 2025 (2y) | ||
| Phuong N. Hammer | Registered representative | Jan 2025 (2y) | ||
| Amelia Smith | Registered representative | Jan 2025 (2y) | ||
| Brian Garza | Registered representative | Jan 2025 (2y) | ||
| Debbie Van Gaale | Registered representative | Jan 2025 (2y) | ||
| Justin Mitchell | Registered representative | Jan 2025 (2y) | ||
| Alejandro Banuet | Registered representative | Jan 2025 (2y) | ||
| Crystal Lynn Polovina | Registered representative | Jan 2025 (2y) | ||
| Gaganpreet Sohi | Registered representative | Jan 2025 (2y) | ||
| Jacob Fitzjarrell | Registered representative | Jan 2025 (2y) | ||
| Richard Anthony Chase | Registered representative | Jan 2025 (2y) | ||
| Saba Addison Solomon | Registered representative | Jan 2025 (2y) | ||
| Clare Sarah Skillman | Registered representative | Jan 2025 (2y) | ||
| Erion Manohasa | Registered representative | Jan 2025 (2y) | ||
| Joel G. Gray | Registered representative | Jan 2025 (2y) | ||
| Michael Simon Ayat | Registered representative | Jan 2025 (2y) | ||
| Nathaniel J Beckles | Registered representative | Jan 2025 (2y) | ||
| Daniel W. Grisham | Registered representative | Jan 2025 (2y) | ||
| Jacob Weintraub | Registered representative | Jan 2025 (2y) | ||
| Marquez Jamaal Parnell | Registered representative | Jan 2025 (2y) | ||
| Peter Rios | Registered representative | Jan 2025 (2y) | ||
| Christopher Dirksmeier | Registered representative | Jan 2025 (2y) | ||
| Michael Charles Shea | Registered representative | Jan 2025 (2y) | ||
| Paige Rexrode | Registered representative | Jan 2025 (2y) | ||
| Richard Carlos Valenzuela | Registered representative | Jan 2025 (2y) | ||
| Tyree Davis | Registered representative | Jan 2025 (2y) | ||
| William Talbott | Registered representative | Jan 2025 (2y) | ||
| Danielle Mulroy | Registered representative | Feb 2025 (1y) | ||
| Alberto Munoz | Registered representative | Feb 2025 (1y) | ||
| David Robert Canizares | Registered representative | Feb 2025 (1y) | ||
| Drew Yezbak | Registered representative | Feb 2025 (1y) | ||
| Ishawn Yajnik | Registered representative | Feb 2025 (1y) | ||
| Joshua Robert Allen | Registered representative | Feb 2025 (1y) | ||
| Jerry Luis Collado | Registered representative | Feb 2025 (1y) | ||
| Julia V. Gaw | Registered representative | Feb 2025 (1y) | ||
| Maxwell Galbraith | Registered representative | Feb 2025 (1y) | ||
| Noah Stancampiano | Registered representative | Feb 2025 (1y) | ||
| Robert Hirt | Registered representative | Feb 2025 (1y) | ||
| Ramiro Herrera | Registered representative | Feb 2025 (1y) | ||
| Ana Dominee Del Rosario | Registered representative | Feb 2025 (1y) | ||
| Brennon Paik | Registered representative | Feb 2025 (1y) | ||
| Drew A. Bailey | Registered representative | Feb 2025 (1y) | ||
| Lindsay Hill | Registered representative | Feb 2025 (1y) | ||
| Paul Thomas Duffy | Registered representative | Feb 2025 (1y) | ||
| Zoubir Belkacemi | Registered representative | Feb 2025 (1y) | ||
| Jonathan Stiever | Registered representative | Feb 2025 (1y) | ||
| Maikel Cotrina | Registered representative | Feb 2025 (1y) | ||
| Amanda Maggard | Registered representative | Feb 2025 (1y) | ||
| Andrew Hoffstein | Registered representative | Feb 2025 (1y) | ||
| Bashkim Ben Qosja | Registered representative | Feb 2025 (1y) | ||
| Bradly Davis Bourg | Registered representative | Feb 2025 (1y) | ||
| Drew Smith | Registered representative | Feb 2025 (1y) | ||
| Irene Olson | Registered representative | Feb 2025 (1y) | ||
| John M. Hoskins | Registered representative | Feb 2025 (1y) | ||
| Lauren Hilary Husney | Registered representative | Feb 2025 (1y) | ||
| Adaoyibo Nkemakonam Varchola | Registered representative | Feb 2025 (1y) | ||
| Eduardo Pulido Mata | Registered representative | Feb 2025 (1y) | ||
| Huong Jenny Thien Do | Registered representative | Feb 2025 (1y) | ||
| Joachim Daniel Terzi | Registered representative | Feb 2025 (1y) | ||
| Kathryn House | Registered representative | Feb 2025 (1y) | ||
| Troy Swaner | Registered representative | Feb 2025 (1y) | ||
| Dean Louis Castaldo | Registered representative | Feb 2025 (1y) | ||
| Malini D Murali | Registered representative | Feb 2025 (1y) | ||
| Adriana Mena | Registered representative | Feb 2025 (1y) | ||
| Benjamin Robert Blotner | Registered representative | Feb 2025 (1y) | ||
| Carissa Jackson | Registered representative | Feb 2025 (1y) | ||
| Cristina Marie Clark | Registered representative | Feb 2025 (1y) | ||
| Kevin R Walker | Registered representative | Feb 2025 (1y) | ||
| Luis Pineda | Registered representative | Feb 2025 (1y) | ||
| Ali Z Alavi | Registered representative | Feb 2025 (1y) | ||
| Aris Cuka | Registered representative | Feb 2025 (1y) | ||
| Arnaldo Martinez | Registered representative | Feb 2025 (1y) | ||
| Bonnie Yeh | Registered representative | Feb 2025 (1y) | ||
| Bryan Michael Dockter | Registered representative | Feb 2025 (1y) | ||
| Fernando Pepper Costa | Registered representative | Feb 2025 (1y) | ||
| Jordan Shane Mc Cain | Registered representative | Feb 2025 (1y) | ||
| Kenya Paredes | Registered representative | Feb 2025 (1y) | ||
| Nikolaos Balis | Registered representative | Feb 2025 (1y) | ||
| Ori Terletski | Registered representative | Feb 2025 (1y) | ||
| Peter Julian Davies | Registered representative | Feb 2025 (1y) | ||
| Ricardo E. Molina | Registered representative | Feb 2025 (1y) | ||
| Alberto Hurtado | Registered representative | Feb 2025 (1y) | ||
| Kyle Moncol | Registered representative | Feb 2025 (1y) | ||
| Theresa Daly | Registered representative | Feb 2025 (1y) | ||
| Garv Gianchetta | Registered representative | Feb 2025 (1y) | ||
| Bob Joseph Lincoln | Registered representative | Feb 2025 (1y) | ||
| Nicholas Stankes | Registered representative | Feb 2025 (1y) | ||
| Marko Vasic | Registered representative | Feb 2025 (1y) | ||
| Anthony Santelli | Registered representative | Feb 2025 (1y) | ||
| Hansford Matthew Sasser | Registered representative | Feb 2025 (1y) | ||
| Pablo E. Serrano | Registered representative | Feb 2025 (1y) | ||
| Henryk Rawner | Registered representative | Feb 2025 (1y) | ||
| Michael T. O'brien | Registered representative | Feb 2025 (1y) | ||
| Samuel George Messerly | Registered representative | Feb 2025 (1y) | ||
| Aaron A. Tokh | Registered representative | Feb 2025 (1y) | ||
| Cara Mc Phillips | Registered representative | Feb 2025 (1y) | ||
| Jacob Betz | Registered representative | Feb 2025 (1y) | ||
| John Ryan Maki | Registered representative | Feb 2025 (1y) | ||
| Justin Norwood | Registered representative | Feb 2025 (1y) | ||
| Mergin Shehu | Registered representative | Feb 2025 (1y) | ||
| Nate Torres | Registered representative | Feb 2025 (1y) | ||
| Pedro Jiho Choo | Registered representative | Feb 2025 (1y) | ||
| Sandeep Merneedi | Registered representative | Feb 2025 (1y) | ||
| Shaliza Kara | Registered representative | Feb 2025 (1y) | ||
| Raha Azari | Registered representative | Feb 2025 (1y) | ||
| Zack Lampkin | Registered representative | Feb 2025 (1y) | ||
| David Gach | Registered representative | Feb 2025 (1y) | ||
| Austin Mistry | Registered representative | Feb 2025 (1y) | ||
| Carl Cheng | Registered representative | Feb 2025 (1y) | ||
| Christopher Huynh | Registered representative | Feb 2025 (1y) | ||
| Jessica S Lagares | Registered representative | Feb 2025 (1y) | ||
| Emiliano De Riquer | Registered representative | Feb 2025 (1y) | ||
| Jeffrey Burke | Registered representative | CFA | Feb 2025 (1y) | |
| Marques Williams | Registered representative | Feb 2025 (1y) | ||
| Nazmul Alam | Registered representative | Feb 2025 (1y) | ||
| Pedram Peter Honari | Registered representative | Feb 2025 (1y) | ||
| Amy Hauke | Registered representative | Feb 2025 (1y) | ||
| Andrew Charles Ely | Registered representative | Feb 2025 (1y) | ||
| Ismael Castro | Registered representative | Feb 2025 (1y) | ||
| John M. Ford | Registered representative | Feb 2025 (1y) | ||
| Sean Flaherty | Registered representative | Feb 2025 (1y) | ||
| David A. Walker | Registered representative | Feb 2025 (1y) | ||
| Nicholas Meyer | Registered representative | Feb 2025 (1y) | ||
| Steven James Tidwell | Registered representative | Feb 2025 (1y) | ||
| Brian N Tucker | Registered representative | Feb 2025 (1y) | ||
| Cameron Ladd | Registered representative | Feb 2025 (1y) | ||
| Daniel Wilbur | Registered representative | Feb 2025 (1y) | ||
| Paul Ray Swiatkowski | Registered representative | Feb 2025 (1y) | ||
| Terrence Mc Manus | Registered representative | Feb 2025 (1y) | ||
| Tiffany Taline Tufenkjian | Registered representative | Feb 2025 (1y) | ||
| Veronica Brunetti | Registered representative | Feb 2025 (1y) | ||
| Corey Hammond | Registered representative | Mar 2025 (1y) | ||
| Jack Reid | Registered representative | Mar 2025 (1y) | ||
| Joe Sandoval | Registered representative | Mar 2025 (1y) | ||
| Jorge Enrique Hoyos | Registered representative | Mar 2025 (1y) | ||
| Joseph Velazquez | Registered representative | Mar 2025 (1y) | ||
| Patrice M O'malley | Registered representative | Mar 2025 (1y) | ||
| Tejal Navnit Patel | Registered representative | Mar 2025 (1y) | ||
| Todd Priest | Registered representative | Mar 2025 (1y) | ||
| Afarin Haidari Kahkesh | Registered representative | Mar 2025 (1y) | ||
| Andrew Werkheiser | Registered representative | Mar 2025 (1y) | ||
| Evelina Fitzgerald | Registered representative | Mar 2025 (1y) | ||
| Jason Seeger | Registered representative | Mar 2025 (1y) | ||
| Latianlet Julius Zalla | Registered representative | Mar 2025 (1y) | ||
| Lily Hollis | Registered representative | Mar 2025 (1y) | ||
| Christopher Baron Deleon | Registered representative | Mar 2025 (1y) | ||
| David Longo | Registered representative | Mar 2025 (1y) | ||
| Derrick Jennings | Registered representative | Mar 2025 (1y) | ||
| Peter Salvatore Corvi | Registered representative | Mar 2025 (1y) | ||
| Florencia Manero | Registered representative | Mar 2025 (1y) | ||
| Felipe Cao Lavignolle | Registered representative | Mar 2025 (1y) | ||
| Jose Maria Fornasari | Registered representative | Mar 2025 (1y) | ||
| Martin S. Gross | Registered representative | Mar 2025 (1y) | ||
| Michael Francis Herrera Giglio | Registered representative | Mar 2025 (1y) | ||
| Shah Sohaib Ahmed | Registered representative | Mar 2025 (1y) | ||
| Tedi Esmat Darbroudi | Registered representative | Mar 2025 (1y) | ||
| Yun Doreen Ge | Registered representative | Mar 2025 (1y) | ||
| Ali A Saghafi | Registered representative | Mar 2025 (1y) | ||
| Alec A. Wyse Garcia | Registered representative | Mar 2025 (1y) | ||
| Alexander Emerson Archer | Registered representative | Mar 2025 (1y) | ||
| Andrew Michael Misenko | Registered representative | Mar 2025 (1y) | ||
| Daniel W. Pontonio | Registered representative | Mar 2025 (1y) | ||
| Joseph James Coniglio | Registered representative | Mar 2025 (1y) | ||
| Wesley A. Billings | Registered representative | Mar 2025 (1y) | ||
| Brian Jack Oosterhouse | Registered representative | Mar 2025 (1y) | ||
| Tomas Vasquez | Registered representative | Mar 2025 (1y) | ||
| Yi Yang | Registered representative | Mar 2025 (1y) | ||
| Ivan Munoz | Registered representative | Mar 2025 (1y) | ||
| Philippe Mattias Quaresma Krepel | Registered representative | Mar 2025 (1y) | ||
| Raphael Mazen Salim | Registered representative | Mar 2025 (1y) | ||
| Robert Marasa | Registered representative | Mar 2025 (1y) | ||
| Ryan Michael O'connor | Registered representative | Mar 2025 (1y) | ||
| Thomas Buchanan Hood | Registered representative | Mar 2025 (1y) | ||
| Wendy Chen | Registered representative | CFA | Mar 2025 (1y) | |
| William L Johnson | Registered representative | Mar 2025 (1y) | ||
| Jasdeep S Walia | Registered representative | Mar 2025 (1y) | ||
| Jeffery Alan Scott | Registered representative | Mar 2025 (1y) | ||
| Teresa Grubman | Registered representative | Mar 2025 (1y) | ||
| Zixue Fan Soskin | Registered representative | Mar 2025 (1y) | ||
| Ce Shi | Registered representative | Mar 2025 (1y) | ||
| Eri Sierra | Registered representative | Mar 2025 (1y) | ||
| Ezakeil Cox | Registered representative | Mar 2025 (1y) | ||
| Gabrielle Allegra Foti | Registered representative | Mar 2025 (1y) | ||
| Kaleb Kemper | Registered representative | Mar 2025 (1y) | ||
| Kenneth Farmer | Registered representative | Mar 2025 (1y) | ||
| Kristen Carithers | Registered representative | Mar 2025 (1y) | ||
| Michael D. Lamb | Registered representative | Mar 2025 (1y) | ||
| Mohammed Zaidi | Registered representative | Mar 2025 (1y) | ||
| Raysel Rojas | Registered representative | Mar 2025 (1y) | ||
| Judith Ann Keating | Registered representative | Mar 2025 (1y) | ||
| Jose Sanlley | Registered representative | Mar 2025 (1y) | ||
| Matthew Lloyd Lockwood | Registered representative | Mar 2025 (1y) | ||
| Casey L. Dow | Registered representative | Mar 2025 (1y) | ||
| Thomas Joseph Burke | Registered representative | Mar 2025 (1y) | ||
| Xiaoqing Yan | Registered representative | Mar 2025 (1y) | ||
| Beniamino Mazzella | Registered representative | Mar 2025 (1y) | ||
| Blake O Neal | Registered representative | Mar 2025 (1y) | ||
| Colin M. Millard | Registered representative | Mar 2025 (1y) | ||
| Dana Angelo Torres | Registered representative | Mar 2025 (1y) | ||
| Eyad S. Ayesh | Registered representative | Mar 2025 (1y) | ||
| Gregory J Price | Registered representative | Mar 2025 (1y) | ||
| Jacob Miller | Registered representative | Mar 2025 (1y) | ||
| Lauren Michele Hebert | Registered representative | Mar 2025 (1y) | ||
| Roogens Desire | Registered representative | Mar 2025 (1y) | ||
| Timothy Adkins | Registered representative | Mar 2025 (1y) | ||
| Benjamin Geiger | Registered representative | Mar 2025 (1y) | ||
| Connor Seymour | Registered representative | Mar 2025 (1y) | ||
| Daniel Nava | Registered representative | Mar 2025 (1y) | ||
| Jolie Houghtaling | Registered representative | Mar 2025 (1y) | ||
| Karl Jean Baptiste | Registered representative | Mar 2025 (1y) | ||
| Lynette Dahiana Garcia | Registered representative | Mar 2025 (1y) | ||
| Olga Lanzetta | Registered representative | Mar 2025 (1y) | ||
| Robert A. Schutzius | Registered representative | Mar 2025 (1y) | ||
| Stevens Derozier | Registered representative | Mar 2025 (1y) | ||
| Yen K Phuong | Registered representative | Mar 2025 (1y) | ||
| Claudio Goncalves | Registered representative | Mar 2025 (1y) | ||
| Christopher Merrifield | Registered representative | Mar 2025 (1y) | ||
| Christopher William Curcio | Registered representative | Mar 2025 (1y) | ||
| Deepa Venkatachalam | Registered representative | Mar 2025 (1y) | ||
| Ernesto Ortega | Registered representative | Mar 2025 (1y) | ||
| Francisco Baixauli | Registered representative | Mar 2025 (1y) | ||
| Leonardo Ryan | Registered representative | Mar 2025 (1y) | ||
| Lindsay Kolek | Registered representative | Mar 2025 (1y) | ||
| Antonio Fernandez | Registered representative | Mar 2025 (1y) | ||
| Elias Chamoun | Registered representative | Mar 2025 (1y) | ||
| Jelani Gandy | Registered representative | Mar 2025 (1y) | ||
| Carolina Dean | Registered representative | Mar 2025 (1y) | ||
| Eric Yum | Registered representative | Mar 2025 (1y) | ||
| Hyoun Bae | Registered representative | Mar 2025 (1y) | ||
| Laura Gabriela Montealegre | Registered representative | Mar 2025 (1y) | ||
| Payton Taylor Whalen | Registered representative | Mar 2025 (1y) | ||
| Clarissa L. Thatcher | Registered representative | Mar 2025 (1y) | ||
| Alexander Schultz | Registered representative | Mar 2025 (1y) | ||
| Asif Akand | Registered representative | Mar 2025 (1y) | ||
| Elizabeth Carole Leon | Registered representative | Mar 2025 (1y) | ||
| Michael Polignone | Registered representative | Mar 2025 (1y) | ||
| Nancy Catherine Unrath | Registered representative | Mar 2025 (1y) | ||
| Francisco Carlos Maia | Registered representative | Mar 2025 (1y) | ||
| Hang Nguyen | Registered representative | Mar 2025 (1y) | ||
| Jason Klein | Registered representative | CFP | Mar 2025 (1y) | |
| Joshua Brucker | Registered representative | Mar 2025 (1y) | ||
| Matthew Grossbard | Registered representative | Mar 2025 (1y) | ||
| Michael R. Jover | Registered representative | Mar 2025 (1y) | ||
| Nathan Lowe | Registered representative | Mar 2025 (1y) | ||
| Sai Puli | Registered representative | Mar 2025 (1y) | ||
| Sonny James Neville | Registered representative | Mar 2025 (1y) | ||
| Steven K. Williams | Registered representative | Mar 2025 (1y) | ||
| Steven Ray Dunmire | Registered representative | Mar 2025 (1y) | ||
| Zachary R. Pumphrey | Registered representative | Mar 2025 (1y) | ||
| Caitlin Bernatt | Registered representative | Mar 2025 (1y) | ||
| Gabriel Salas | Registered representative | Mar 2025 (1y) | ||
| Nazli Avanesian | Registered representative | Mar 2025 (1y) | ||
| Richard C. Schmidt | Registered representative | Mar 2025 (1y) | ||
| Sean M. Myers | Registered representative | CFP | Mar 2025 (1y) | |
| Brandon Blank | Registered representative | Mar 2025 (1y) | ||
| Christian Toomey | Registered representative | Mar 2025 (1y) | ||
| David J. Errick | Registered representative | Mar 2025 (1y) | ||
| Matthew Tymstra | Registered representative | Mar 2025 (1y) | ||
| Ryan Krist | Registered representative | Mar 2025 (1y) | ||
| Alisha Holt | Registered representative | Mar 2025 (1y) | ||
| Dante Myers | Registered representative | Mar 2025 (1y) | ||
| Desze Adams | Registered representative | Mar 2025 (1y) | ||
| Eric Wilkins | Registered representative | Mar 2025 (1y) | ||
| Isabella Cascavita | Registered representative | Mar 2025 (1y) | ||
| Jacey Lynn Moreau | Registered representative | Mar 2025 (1y) | ||
| Maria Jose Martinez | Registered representative | Mar 2025 (1y) | ||
| Ocean Strayhand | Registered representative | Mar 2025 (1y) | ||
| Peter Michael Aiello | Registered representative | CFP | Mar 2025 (1y) | |
| Roy Toufic Issa | Registered representative | Mar 2025 (1y) | ||
| Sydney Freedman | Registered representative | Mar 2025 (1y) | ||
| William Drake Lovelady | Registered representative | Mar 2025 (1y) | ||
| Andrew Joseph Garner | Registered representative | Mar 2025 (1y) | ||
| Antonio F. Lopez Torrero | Registered representative | Mar 2025 (1y) | ||
| Charles Bohovich | Registered representative | Mar 2025 (1y) | ||
| Eduardo Raz Guzman | Registered representative | Mar 2025 (1y) | ||
| Jacob Brown | Registered representative | Mar 2025 (1y) | ||
| Luis A Edwards | Registered representative | Mar 2025 (1y) | ||
| Ortal Katz | Registered representative | Mar 2025 (1y) | ||
| Ryley William Marker | Registered representative | Mar 2025 (1y) | ||
| Byron Blaine | Registered representative | Apr 2025 (1y) | ||
| Chunyan Liu | Registered representative | Apr 2025 (1y) | ||
| Jason Wang | Registered representative | Apr 2025 (1y) | ||
| Anna Crabs | Registered representative | Apr 2025 (1y) | ||
| Myles Williams | Registered representative | Apr 2025 (1y) | ||
| Patrick Grant | Registered representative | Apr 2025 (1y) | ||
| Beatriz Helena Gutierrez Malaver | Registered representative | Apr 2025 (1y) | ||
| Cameron M. Ledbetter | Registered representative | Apr 2025 (1y) | ||
| Mashal Aziz | Registered representative | Apr 2025 (1y) | ||
| Quyen Cao | Registered representative | Apr 2025 (1y) | ||
| Gentry Steven Burt | Registered representative | Apr 2025 (1y) | ||
| Haneul Lee | Registered representative | Apr 2025 (1y) | ||
| Kevin Lee Vigil | Registered representative | Apr 2025 (1y) | ||
| Nicholas Starosta | Registered representative | Apr 2025 (1y) | ||
| Zachary W. Hieb | Registered representative | Apr 2025 (1y) | ||
| Michael Bernardin Martineau | Registered representative | Apr 2025 (1y) | ||
| Michael Andrew Mireles | Registered representative | Apr 2025 (1y) | ||
| Roger Park | Registered representative | Apr 2025 (1y) | ||
| Adriana Shkreli | Registered representative | Apr 2025 (1y) | ||
| Alberto Puentes | Registered representative | Apr 2025 (1y) | ||
| Connor G Flynn | Registered representative | Apr 2025 (1y) | ||
| Davida Shlomo | Registered representative | Apr 2025 (1y) | ||
| Erin Erdoes | Registered representative | Apr 2025 (1y) | ||
| Joaquin Mardueno Browning | Registered representative | Apr 2025 (1y) | ||
| Luis Enrique Soto | Registered representative | Apr 2025 (1y) | ||
| Oscar Angeles Ocana | Registered representative | Apr 2025 (1y) | ||
| Tea Meshvildishvili | Registered representative | Apr 2025 (1y) | ||
| Edoardo Bassi | Registered representative | Apr 2025 (1y) | ||
| Jewmanna Mehasen | Registered representative | Apr 2025 (1y) | ||
| Juan Enrique Gaytan | Registered representative | Apr 2025 (1y) | ||
| Nader Shafti | Registered representative | Apr 2025 (1y) | ||
| Nicholas Margiotta | Registered representative | Apr 2025 (1y) | ||
| Dwayne Migel Reid | Registered representative | Apr 2025 (1y) | ||
| Kamal Sadi | Registered representative | Apr 2025 (1y) | ||
| Maria Palacio | Registered representative | Apr 2025 (1y) | ||
| Adoracion Medina | Registered representative | Apr 2025 (1y) | ||
| Alexander Jean Mary | Registered representative | Apr 2025 (1y) | ||
| David Ha | Registered representative | Apr 2025 (1y) | ||
| Joseph Mellino | Registered representative | Apr 2025 (1y) | ||
| Logan T Petre | Registered representative | Apr 2025 (1y) | ||
| Michael Ramirez | Registered representative | Apr 2025 (1y) | ||
| Timon J. Sun | Registered representative | Apr 2025 (1y) | ||
| Liam Jackson | Registered representative | Apr 2025 (1y) | ||
| Angela D. Bentley | Registered representative | Apr 2025 (1y) | ||
| Anton Panov | Registered representative | Apr 2025 (1y) | ||
| Austin Gilbert | Registered representative | Apr 2025 (1y) | ||
| Daniel Igartua | Registered representative | Apr 2025 (1y) | ||
| David Koki | Registered representative | Apr 2025 (1y) | ||
| George M. Scafidi | Registered representative | Apr 2025 (1y) | ||
| Matthew Kim | Registered representative | Apr 2025 (1y) | ||
| Alejandro Bolivar | Registered representative | Apr 2025 (1y) | ||
| Bryan Thomas Catalano | Registered representative | Apr 2025 (1y) | ||
| Jennifer M Davis Papa | Registered representative | Apr 2025 (1y) | ||
| John Cao | Registered representative | Apr 2025 (1y) | ||
| Ruben S Blanco | Registered representative | Apr 2025 (1y) | ||
| Alexander Artur | Registered representative | Apr 2025 (1y) | ||
| Veronica Annette Martinez | Registered representative | Apr 2025 (1y) | ||
| Brandon Dinsmore | Registered representative | Apr 2025 (1y) | ||
| Brianna Gonzalez | Registered representative | Apr 2025 (1y) | ||
| Cameron Barnett | Registered representative | Apr 2025 (1y) | ||
| Jeremy Wynes | Registered representative | CFP | Apr 2025 (1y) | |
| Roy Eddy Meyer | Registered representative | Apr 2025 (1y) | ||
| Albert Jaboo | Registered representative | Apr 2025 (1y) | ||
| Andrew De Jesus | Registered representative | Apr 2025 (1y) | ||
| Brady Mims | Registered representative | Apr 2025 (1y) | ||
| Douglas Hafemann | Registered representative | Apr 2025 (1y) | ||
| Sherman Ethan Quanbeck | Registered representative | Apr 2025 (1y) | ||
| Akinwale Adebayo | Registered representative | Apr 2025 (1y) | ||
| Cody De Groot | Registered representative | Apr 2025 (1y) | ||
| Dustin J Dornbusch | Registered representative | Apr 2025 (1y) | ||
| Heather Brook Huff | Registered representative | Apr 2025 (1y) | ||
| Alexander Todd Pliskin | Registered representative | Apr 2025 (1y) | ||
| Esteban Sarmiento | Registered representative | Apr 2025 (1y) | ||
| Giovanni Beneduci | Registered representative | Apr 2025 (1y) | ||
| Jorge Cordova | Registered representative | Apr 2025 (1y) | ||
| Matthew J. Lemaster | Registered representative | Apr 2025 (1y) | ||
| Ryan M Groce | Registered representative | Apr 2025 (1y) | ||
| Steven Patrick Flatley | Registered representative | Apr 2025 (1y) | ||
| Tate Kopulos | Registered representative | Apr 2025 (1y) | ||
| Tyler Sissingh Brooks | Registered representative | Apr 2025 (1y) | ||
| William Zuluaga | Registered representative | Apr 2025 (1y) | ||
| Alexander Dean | Registered representative | Apr 2025 (1y) | ||
| Anthony Monaco | Registered representative | Apr 2025 (1y) | ||
| Lorenza Galvis | Registered representative | Apr 2025 (1y) | ||
| Nancy Manzo | Registered representative | Apr 2025 (1y) | ||
| Paul Earl Du Bord | Registered representative | Apr 2025 (1y) | ||
| Peter Steven Donahue | Registered representative | Apr 2025 (1y) | ||
| Stephen Abdella | Registered representative | Apr 2025 (1y) | ||
| Steven Blake Jenkins | Registered representative | Apr 2025 (1y) | ||
| Antonella Siari | Registered representative | Apr 2025 (1y) | ||
| Ariel Canales | Registered representative | Apr 2025 (1y) | ||
| Brandi C Critchett | Registered representative | Apr 2025 (1y) | ||
| Franisha Loranne Mootz | Registered representative | Apr 2025 (1y) | ||
| Lisvet Yasly Villanueva Rosas | Registered representative | Apr 2025 (1y) | ||
| Ryan Kimes | Registered representative | CFP | Apr 2025 (1y) | |
| Stephen H. Jones | Registered representative | Apr 2025 (1y) | ||
| Timothy Gregory Honan | Registered representative | Apr 2025 (1y) | ||
| Vytas Balciunas | Registered representative | Apr 2025 (1y) | ||
| Yisel Reyes | Registered representative | Apr 2025 (1y) | ||
| Alex Meyers | Registered representative | Apr 2025 (1y) | ||
| Derek L. James | Registered representative | Apr 2025 (1y) | ||
| Dwain Jefferson | Registered representative | Apr 2025 (1y) | ||
| Luis Hernandez | Registered representative | Apr 2025 (1y) | ||
| Albert Yeh | Registered representative | Apr 2025 (1y) | ||
| Alexander Zebrowski | Registered representative | Apr 2025 (1y) | ||
| Ayden Vay Kenkel | Registered representative | Apr 2025 (1y) | ||
| Darin Tavadia | Registered representative | Apr 2025 (1y) | ||
| Olivia Webers | Registered representative | Apr 2025 (1y) | ||
| Rohit Jayanthi | Registered representative | Apr 2025 (1y) | ||
| Amrik Singh | Registered representative | Apr 2025 (1y) | ||
| Brendan Michael O'leary | Registered representative | Apr 2025 (1y) | ||
| Katie Layne Duckworth | Registered representative | Apr 2025 (1y) | ||
| Samuel Fuentes Carmona | Registered representative | Apr 2025 (1y) | ||
| Teresa Ellen Chadha | Registered representative | Apr 2025 (1y) | ||
| Ahmad Sajjad Stanikzai | Registered representative | Apr 2025 (1y) | ||
| Diva Kathleen Sharp | Registered representative | Apr 2025 (1y) | ||
| Drew Vasquez | Registered representative | Apr 2025 (1y) | ||
| Joshua Honaker | Registered representative | Apr 2025 (1y) | ||
| Marlon E. Somersall | Registered representative | Apr 2025 (1y) | ||
| Matthew Kempinski | Registered representative | Apr 2025 (1y) | ||
| Ryan Charles Pearman | Registered representative | Apr 2025 (1y) | ||
| Tucker J. Ford | Registered representative | Apr 2025 (1y) | ||
| William Collis | Registered representative | Apr 2025 (1y) | ||
| Audelina Munoz | Registered representative | May 2025 (1y) | ||
| Courtney Hurt | Registered representative | May 2025 (1y) | ||
| Dallas Peeples | Registered representative | May 2025 (1y) | ||
| Daniel Cruz | Registered representative | May 2025 (1y) | ||
| Melissa L. Robinson | Registered representative | May 2025 (1y) | ||
| Rustin Williams | Registered representative | May 2025 (1y) | ||
| Benjamin Raymond Rogers | Registered representative | May 2025 (1y) | ||
| Christopher J. Kuhner | Registered representative | May 2025 (1y) | ||
| Daniel Dale Sarratt | Registered representative | May 2025 (1y) | ||
| Elford Smith Morgan | Registered representative | May 2025 (1y) | ||
| Isabella Rahman | Registered representative | May 2025 (1y) | ||
| Joseph Reyes | Registered representative | May 2025 (1y) | ||
| Olivier Thomas Bernardini | Registered representative | CFP | May 2025 (1y) | |
| Manvir Singh | Registered representative | May 2025 (1y) | ||
| Salvatore La Marca | Registered representative | May 2025 (1y) | ||
| Christopher Roberts Dovale | Registered representative | May 2025 (1y) | ||
| Kevin William Yee | Registered representative | May 2025 (1y) | ||
| Matthew D. Hewitt | Registered representative | May 2025 (1y) | ||
| Stefan Nathen Webster | Registered representative | May 2025 (1y) | ||
| Zain Asif | Registered representative | May 2025 (1y) | ||
| Angel Barra | Registered representative | May 2025 (1y) | ||
| Brandon Berletti | Registered representative | May 2025 (1y) | ||
| Hunter James Harting | Registered representative | May 2025 (1y) | ||
| Joshua M. Underwood | Registered representative | May 2025 (1y) | ||
| Laura C Repel | Registered representative | May 2025 (1y) | ||
| Santiago Robledo | Registered representative | May 2025 (1y) | ||
| Toben Julian Torres | Registered representative | May 2025 (1y) | ||
| Ashley Louise Darr | Registered representative | May 2025 (1y) | ||
| Charles Louis Belz | Registered representative | May 2025 (1y) | ||
| Gerald Gordon Hazel | Registered representative | May 2025 (1y) | ||
| John Ryuichi Uyeki | Registered representative | May 2025 (1y) | ||
| Jonathan Tudor | Registered representative | May 2025 (1y) | ||
| Victor Taylor Caron | Registered representative | May 2025 (1y) | ||
| William Clayton Payne | Registered representative | May 2025 (1y) | ||
| Adedoyin Obasanya | Registered representative | May 2025 (1y) | ||
| Alex N. Kuthe | Registered representative | May 2025 (1y) | ||
| Curtis Appleton | Registered representative | May 2025 (1y) | ||
| Jeremy E Smith | Registered representative | May 2025 (1y) | ||
| Jonathan Isaac Roitman | Registered representative | May 2025 (1y) | ||
| Kerry Hanifin | Registered representative | May 2025 (1y) | ||
| Monique Nunez De Albuquerque | Registered representative | May 2025 (1y) | ||
| Matthew John Aguana | Registered representative | May 2025 (1y) | ||
| Matthew K Horton | Registered representative | May 2025 (1y) | ||
| Santiago Villegas Suta | Registered representative | May 2025 (1y) | ||
| Jeremy Cooper | Registered representative | May 2025 (1y) | ||
| Kyle Toshio Foley | Registered representative | May 2025 (1y) | ||
| Terrill A Smith | Registered representative | May 2025 (1y) | ||
| Timothy Ebsary | Registered representative | May 2025 (1y) | ||
| Ana Maria Del Valle | Registered representative | May 2025 (1y) | ||
| Grace Mc Namara | Registered representative | May 2025 (1y) | ||
| Alex Pineda | Registered representative | May 2025 (1y) | ||
| Allison Ross | Registered representative | May 2025 (1y) | ||
| Charity Rose Atkinson | Registered representative | May 2025 (1y) | ||
| Christian Hernandez | Registered representative | May 2025 (1y) | ||
| Israel S. Nazari | Registered representative | May 2025 (1y) | ||
| James M. Bennett | Registered representative | May 2025 (1y) | ||
| Rajesh M. Bhanshali | Registered representative | May 2025 (1y) | ||
| Ruben E Munoz | Registered representative | May 2025 (1y) | ||
| Sarah Diaz | Registered representative | May 2025 (1y) | ||
| Hiu Tin Stanley Chan | Registered representative | May 2025 (1y) | ||
| Irene Bryant | Registered representative | May 2025 (1y) | ||
| Jeremy Pullin | Registered representative | May 2025 (1y) | ||
| Kevin Gerard Grady | Registered representative | May 2025 (1y) | ||
| Lin Zhou | Registered representative | May 2025 (1y) | ||
| Jacob Carvin | Registered representative | May 2025 (1y) | ||
| Joseph Michael Mendes | Registered representative | May 2025 (1y) | ||
| Kehinde O Akingboju | Registered representative | May 2025 (1y) | ||
| Jesus Miguel Zamora Lechuga | Registered representative | May 2025 (1y) | ||
| John Scheuble | Registered representative | May 2025 (1y) | ||
| Jesse L Masear | Registered representative | May 2025 (1y) | ||
| Marshall Collin Haney | Registered representative | May 2025 (1y) | ||
| Nicolas Switzer | Registered representative | May 2025 (1y) | ||
| Jeronimo Azcarraga | Registered representative | May 2025 (1y) | ||
| Ahmad Hojatnia | Registered representative | May 2025 (1y) | ||
| Braeden Garrett Eubanks | Registered representative | May 2025 (1y) | ||
| Jacob Robert Wayne Duckett | Registered representative | May 2025 (1y) | ||
| Julia Petra Dominguez | Registered representative | May 2025 (1y) | ||
| Juliana Salazar Rojas | Registered representative | May 2025 (1y) | ||
| Nicolette Weyer | Registered representative | May 2025 (1y) | ||
| Pelham Staples | Registered representative | May 2025 (1y) | ||
| Christopher W Malone | Registered representative | May 2025 (1y) | ||
| Fernando Tizon | Registered representative | May 2025 (1y) | ||
| Karina Vega Gonzalez | Registered representative | May 2025 (1y) | ||
| Kate Driscoll | Registered representative | May 2025 (1y) | ||
| Lauren Schwede | Registered representative | May 2025 (1y) | ||
| Louis Bartuzik | Registered representative | May 2025 (1y) | ||
| Michael Abboud | Registered representative | May 2025 (1y) | ||
| Michael Cina | Registered representative | May 2025 (1y) | ||
| Michael Moody | Registered representative | May 2025 (1y) | ||
| Nicole L. Cutcher | Registered representative | May 2025 (1y) | ||
| Tanner Joseph Mitchell | Registered representative | May 2025 (1y) | ||
| Vivian Rentas | Registered representative | May 2025 (1y) | ||
| Victor Escutia | Registered representative | May 2025 (1y) | ||
| Andrew Steven Woudwyk | Registered representative | May 2025 (1y) | ||
| Guneet Gill | Registered representative | May 2025 (1y) | ||
| Henry Kieneker | Registered representative | May 2025 (1y) | ||
| Joshua Park | Registered representative | May 2025 (1y) | ||
| Kevin Ozbay | Registered representative | May 2025 (1y) | ||
| Kyle Germann | Registered representative | May 2025 (1y) | ||
| Maximilian Kesner | Registered representative | May 2025 (1y) | ||
| Maya Fawaz | Registered representative | May 2025 (1y) | ||
| Salvador Rodriguez | Registered representative | May 2025 (1y) | ||
| William Beardmore | Registered representative | May 2025 (1y) | ||
| Alejandra Escobedo | Registered representative | May 2025 (1y) | ||
| Adrian Karl Curran | Registered representative | May 2025 (1y) | ||
| Alwin Wen | Registered representative | May 2025 (1y) | ||
| Conor Delaney | Registered representative | May 2025 (1y) | ||
| Darren Williams | Registered representative | May 2025 (1y) | ||
| Dwight House | Registered representative | May 2025 (1y) | ||
| Eddie R. Garris | Registered representative | May 2025 (1y) | ||
| Eric Lull | Registered representative | May 2025 (1y) | ||
| Kevin Mc Nair | Registered representative | May 2025 (1y) | ||
| Marc Phillipe Mongeon | Registered representative | May 2025 (1y) | ||
| Pierce Brock Placer | Registered representative | May 2025 (1y) | ||
| Shevin A. Cirucci | Registered representative | May 2025 (1y) | ||
| Derek Oliphant | Registered representative | May 2025 (1y) | ||
| Imani Tate | Registered representative | May 2025 (1y) | ||
| Joseph Louis Foret | Registered representative | May 2025 (1y) | ||
| Lucas B. Meadors | Registered representative | May 2025 (1y) | ||
| Michael Steese | Registered representative | May 2025 (1y) | ||
| Alison J. Cardozo | Registered representative | May 2025 (1y) | ||
| Matthew Joseph Wojczynski | Registered representative | May 2025 (1y) | ||
| Alexis Limon Padilla | Registered representative | May 2025 (1y) | ||
| Jace Meade Slater | Registered representative | May 2025 (1y) | ||
| Jaxon Sterling Day | Registered representative | May 2025 (1y) | ||
| Jonathan Linares | Registered representative | May 2025 (1y) | ||
| Kevin Christopher Duke | Registered representative | May 2025 (1y) | ||
| Michael T. Jones | Registered representative | May 2025 (1y) | ||
| Nicholas A. Patti | Registered representative | May 2025 (1y) | ||
| Parinaz Ronaghi | Registered representative | May 2025 (1y) | ||
| Shelley Cairns | Registered representative | May 2025 (1y) | ||
| Zachary Laude | Registered representative | May 2025 (1y) | ||
| Christopher Bado | Registered representative | May 2025 (1y) | ||
| Fatoumata Konate | Registered representative | May 2025 (1y) | ||
| Hayden Phillip Dunning | Registered representative | May 2025 (1y) | ||
| Joseph Thomas Free | Registered representative | May 2025 (1y) | ||
| Kevin Hurst | Registered representative | May 2025 (1y) | ||
| Sharon H Jacquet | Registered representative | May 2025 (1y) | ||
| Tyler Gulbas | Registered representative | May 2025 (1y) | ||
| Walker Alan Cleveland | Registered representative | May 2025 (1y) | ||
| Zachary S. Gaccione | Registered representative | May 2025 (1y) | ||
| Itzel Janelli Vargas | Registered representative | May 2025 (1y) | ||
| Joseph Danahy | Registered representative | May 2025 (1y) | ||
| Maryam Memon | Registered representative | May 2025 (1y) | ||
| Mohammed Inkeyad Hasnat | Registered representative | May 2025 (1y) | ||
| Richard D Boyd | Registered representative | May 2025 (1y) | ||
| Rima Alobaidi | Registered representative | May 2025 (1y) | ||
| Turbold Zul | Registered representative | May 2025 (1y) | ||
| Carl Thorson | Registered representative | May 2025 (1y) | ||
| David Alan Mader | Registered representative | May 2025 (1y) | ||
| Jason Coty Garcia | Registered representative | May 2025 (1y) | ||
| Rosie A Dabbaghi | Registered representative | May 2025 (1y) | ||
| Brandon Curtis | Registered representative | May 2025 (1y) | ||
| Edwin Rafael Martinez | Registered representative | Jun 2025 (1y) | ||
| Lucas Meade | Registered representative | Jun 2025 (1y) | ||
| Inna Price | Registered representative | Jun 2025 (1y) | ||
| Kiran Ahuja | Registered representative | Jun 2025 (1y) | ||
| Kyle Julien | Registered representative | Jun 2025 (1y) | ||
| Michael Feldman | Registered representative | Jun 2025 (1y) | ||
| Nicholas Gamez | Registered representative | Jun 2025 (1y) | ||
| Nicolas Islas | Registered representative | Jun 2025 (1y) | ||
| Nitish Kulkarni | Registered representative | Jun 2025 (1y) | ||
| Paige Tormey Weakley | Registered representative | Jun 2025 (1y) | ||
| Robert Henry Carrington | Registered representative | Jun 2025 (1y) | ||
| Samuel Nathan Zomin | Registered representative | Jun 2025 (1y) | ||
| Shana Zadeh | Registered representative | Jun 2025 (1y) | ||
| Askar Habybayli | Registered representative | Jun 2025 (1y) | ||
| Gordon Hong | Registered representative | Jun 2025 (1y) | ||
| Jesse Haven Blankenship | Registered representative | Jun 2025 (1y) | ||
| Jonathan Matthew Laws | Registered representative | Jun 2025 (1y) | ||
| Marvin Robert Blakeney | Registered representative | Jun 2025 (1y) | ||
| Suleiman Sal Samandar | Registered representative | Jun 2025 (1y) | ||
| Ulises Burnett | Registered representative | Jun 2025 (1y) | ||
| William Matthew Baugher | Registered representative | Jun 2025 (1y) | ||
| Zachary Purdy | Registered representative | Jun 2025 (1y) | ||
| Erica E. Crawford | Registered representative | Jun 2025 (1y) | ||
| Isabella Kay Hall | Registered representative | Jun 2025 (1y) | ||
| Monica Guerra Snapka | Registered representative | Jun 2025 (1y) | ||
| Mamady S Smalls | Registered representative | Jun 2025 (1y) | ||
| Nour Moussa | Registered representative | Jun 2025 (1y) | ||
| Salvador Valencia | Registered representative | Jun 2025 (1y) | ||
| Talese A. Evans | Registered representative | Jun 2025 (1y) | ||
| Yaniv Hakim | Registered representative | Jun 2025 (1y) | ||
| Alex Shields | Registered representative | Jun 2025 (1y) | ||
| Hayden Kerns | Registered representative | Jun 2025 (1y) | ||
| Joshua Shuster | Registered representative | Jun 2025 (1y) | ||
| Kevin Mc Carthy | Registered representative | Jun 2025 (1y) | ||
| Mary Ferreira | Registered representative | Jun 2025 (1y) | ||
| Matin John Shayan | Registered representative | Jun 2025 (1y) | ||
| Michelle Grimes | Registered representative | Jun 2025 (1y) | ||
| Thomas Duebner | Registered representative | Jun 2025 (1y) | ||
| Zachary Hutzler | Registered representative | Jun 2025 (1y) | ||
| Danyelle Marie Comer | Registered representative | Jun 2025 (1y) | ||
| Diego Livan Alvarado | Registered representative | Jun 2025 (1y) | ||
| Logan S. Sandhu | Registered representative | Jun 2025 (1y) | ||
| Verlin Germaine Williams | Registered representative | Jun 2025 (1y) | ||
| Alessandro De Santis | Registered representative | Jun 2025 (1y) | ||
| Conor S Nolan | Registered representative | Jun 2025 (1y) | ||
| Gregory Henry Weibley | Registered representative | Jun 2025 (1y) | ||
| Jordan Maximus Williams | Registered representative | Jun 2025 (1y) | ||
| Justin De Vilbiss | Registered representative | Jun 2025 (1y) | ||
| Mason Coffey | Registered representative | Jun 2025 (1y) | ||
| Nash Noorali | Registered representative | Jun 2025 (1y) | ||
| Rosa Isabel Rodriguez Hurtado | Registered representative | Jun 2025 (1y) | ||
| Samantha Belle Rosenberg | Registered representative | Jun 2025 (1y) | ||
| Bradley Charles Burrows | Registered representative | Jun 2025 (1y) | ||
| Bo Brantley Lamar | Registered representative | Jun 2025 (1y) | ||
| Ian Conover | Registered representative | Jun 2025 (1y) | ||
| Robert Richard Westerhoff | Registered representative | Jun 2025 (1y) | ||
| Timothy Grobosky | Registered representative | Jun 2025 (1y) | ||
| Donna Wang | Registered representative | Jun 2025 (1y) | ||
| Gabriel Serrano | Registered representative | Jun 2025 (1y) | ||
| Patrick Lo Russo | Registered representative | Jun 2025 (1y) | ||
| Adnan Raza Chowdhury | Registered representative | Jun 2025 (1y) | ||
| Deanna L Reeves | Registered representative | Jun 2025 (1y) | ||
| Evita Thadhani | Registered representative | Jun 2025 (1y) | ||
| Lauren Deligtisch | Registered representative | Jun 2025 (1y) | ||
| Neha Bhardwaj | Registered representative | Jun 2025 (1y) | ||
| Nicolas Steiner | Registered representative | Jun 2025 (1y) | ||
| Claire O'connor | Registered representative | Jun 2025 (1y) | ||
| Damien Garner | Registered representative | Jun 2025 (1y) | ||
| Emi Lee Haryasz | Registered representative | Jun 2025 (1y) | ||
| Naseema Sharif | Registered representative | Jun 2025 (1y) | ||
| Nawal Nahra | Registered representative | Jun 2025 (1y) | ||
| Nick Hogg | Registered representative | Jun 2025 (1y) | ||
| Rishi Lekkala | Registered representative | Jun 2025 (1y) | ||
| Anthony Fazzio | Registered representative | Jun 2025 (1y) | ||
| Samantha Isabel Gomez | Registered representative | Jun 2025 (1y) | ||
| Amanda Henry | Registered representative | Jun 2025 (1y) | ||
| Cheryl Ann Mccue | Registered representative | Jun 2025 (1y) | ||
| Cyler Clifton | Registered representative | Jun 2025 (1y) | ||
| Daniel Dimas | Registered representative | Jun 2025 (1y) | ||
| Jeffrey Pearson | Registered representative | Jun 2025 (1y) | ||
| Jorge Alejandro Corrales Alvarez | Registered representative | Jun 2025 (1y) | ||
| Michael Uche Amadi | Registered representative | Jun 2025 (1y) | ||
| Soma Chakraborty | Registered representative | Jun 2025 (1y) | ||
| Aaron Joseph Davis | Registered representative | Jun 2025 (1y) | ||
| Blake Clayton | Registered representative | Jun 2025 (1y) | ||
| Cortland Haynes | Registered representative | Jun 2025 (1y) | ||
| Ivone Orozco Parra | Registered representative | Jun 2025 (1y) | ||
| Katharine J Mc Roskey | Registered representative | Jun 2025 (1y) | ||
| Kerima Ratnayaka | Registered representative | Jun 2025 (1y) | ||
| Kevin Murdock | Registered representative | Jun 2025 (1y) | ||
| Merritt D. Mamroth | Registered representative | Jun 2025 (1y) | ||
| Sara Catherine Rosema | Registered representative | Jun 2025 (1y) | ||
| William Kevin Hayden | Registered representative | Jun 2025 (1y) | ||
| Alex Orillac | Registered representative | Jun 2025 (1y) | ||
| Christian Crawford | Registered representative | Jun 2025 (1y) | ||
| Dylan James Cooke | Registered representative | Jun 2025 (1y) | ||
| John Minson | Registered representative | Jun 2025 (1y) | ||
| Jorge Aguilar | Registered representative | Jun 2025 (1y) | ||
| Katherine Elliott Moskwa | Registered representative | Jun 2025 (1y) | ||
| Nikou Moshtaridoust | Registered representative | Jun 2025 (1y) | ||
| Robert Figueroa | Registered representative | Jun 2025 (1y) | ||
| Ethan G. Frisch | Registered representative | Jun 2025 (1y) | ||
| Jay Caceres | Registered representative | Jun 2025 (1y) | ||
| Kevin Findlay | Registered representative | Jun 2025 (1y) | ||
| Bee Ann Benson | Registered representative | Jun 2025 (1y) | ||
| Bhuneshwar Arjune | Registered representative | Jun 2025 (1y) | ||
| Carlos M Mendez | Registered representative | Jun 2025 (1y) | ||
| Diego Garcia | Registered representative | Jun 2025 (1y) | ||
| Daniela Abrantes Cardosode Almeida | Registered representative | Jun 2025 (1y) | ||
| David Alan Killian | Registered representative | Jun 2025 (1y) | ||
| Ethan Florence | Registered representative | Jun 2025 (1y) | ||
| Gregory Ralph Goldemberg | Registered representative | Jun 2025 (1y) | ||
| Guillermo Antonio Corsino | Registered representative | Jun 2025 (1y) | ||
| Javier Felipe Oreamuno | Registered representative | Jun 2025 (1y) | ||
| Jiaqi Shao | Registered representative | Jun 2025 (1y) | ||
| Juan Carlos Munyo | Registered representative | Jun 2025 (1y) | ||
| Joana Victoria Kohen Rotman | Registered representative | Jun 2025 (1y) | ||
| John Robert Hermann | Registered representative | Jun 2025 (1y) | ||
| Keith Fleming | Registered representative | Jun 2025 (1y) | ||
| Leandro P Martino | Registered representative | Jun 2025 (1y) | ||
| Milos Suljagic | Registered representative | Jun 2025 (1y) | ||
| Mark Chmiel | Registered representative | Jun 2025 (1y) | ||
| Matias A. Ringel | Registered representative | Jun 2025 (1y) | ||
| Michael F. Dingerdissen | Registered representative | Jun 2025 (1y) | ||
| Riza Boci | Registered representative | Jun 2025 (1y) | ||
| Santiago Fossati | Registered representative | Jun 2025 (1y) | ||
| Veronica R Anner | Registered representative | Jun 2025 (1y) | ||
| Wing Han Hannah Leung | Registered representative | Jun 2025 (1y) | ||
| Yi Charn Chen | Registered representative | Jun 2025 (1y) | ||
| Adam Kotkoski | Registered representative | Jun 2025 (1y) | ||
| Antonio Robinson | Registered representative | Jun 2025 (1y) | ||
| Bronwyn Bailey | Registered representative | Jun 2025 (1y) | ||
| Emmanuel Garcia | Registered representative | Jun 2025 (1y) | ||
| Marianne Manrui Zhu | Registered representative | Jun 2025 (1y) | ||
| Patrick Salazar | Registered representative | Jun 2025 (1y) | ||
| Payam Haghani | Registered representative | Jun 2025 (1y) | ||
| Sarah Hassan Maymoun | Registered representative | Jun 2025 (1y) | ||
| Tomislav Matesic | Registered representative | Jun 2025 (1y) | ||
| Alejandro Caceres | Registered representative | Jun 2025 (1y) | ||
| Brandon Bartels | Registered representative | Jun 2025 (1y) | ||
| Chad Hamatto | Registered representative | Jun 2025 (1y) | ||
| Daniella Mills | Registered representative | Jun 2025 (1y) | ||
| Grace Roh | Registered representative | Jun 2025 (1y) | ||
| Margarita Alvarado Hernandez | Registered representative | Jun 2025 (1y) | ||
| Neha Grover | Registered representative | CFA | Jun 2025 (1y) | |
| Paul Eshleman | Registered representative | Jun 2025 (1y) | ||
| Ryan Kruss | Registered representative | Jun 2025 (1y) | ||
| Tyler Aymond | Registered representative | Jun 2025 (1y) | ||
| Xiangxiang Zhang | Registered representative | Jun 2025 (1y) | ||
| Abdallah Charide | Registered representative | Jun 2025 (1y) | ||
| Alicia Novoa | Registered representative | Jun 2025 (1y) | ||
| Nancy Marchand | Registered representative | Jun 2025 (1y) | ||
| Richard Nilson Ralston | Registered representative | Jun 2025 (1y) | ||
| Sofia Marie Uceda | Registered representative | Jun 2025 (1y) | ||
| Steven Michael Menard | Registered representative | Jun 2025 (1y) | ||
| Zuzana J. Balzerova | Registered representative | Jun 2025 (1y) | ||
| Brendon James Evers | Registered representative | Jun 2025 (1y) | ||
| Brenton Herbert Bay | Registered representative | Jun 2025 (1y) | ||
| Rea Mayer | Registered representative | Jun 2025 (1y) | ||
| Tarius Hagood | Registered representative | Jun 2025 (1y) | ||
| Klea Pula Chaker | Registered representative | Jun 2025 (1y) | ||
| Peter Anthony Conforti | Registered representative | Jun 2025 (1y) | ||
| Taylor Gould | Registered representative | Jun 2025 (1y) | ||
| David Williams | Registered representative | Jul 2025 (1y) | ||
| Dylan King | Registered representative | Jul 2025 (1y) | ||
| Edward Rodman Titcomb | Registered representative | Jul 2025 (1y) | ||
| Kirsten Divina Callaway | Registered representative | Jul 2025 (1y) | ||
| Margo Grandy | Registered representative | Jul 2025 (1y) | ||
| Stefanie Pyferoen | Registered representative | Jul 2025 (1y) | ||
| Brett A. Lemmons | Registered representative | Jul 2025 (1y) | ||
| Gerardo Mendez Flores | Registered representative | Jul 2025 (1y) | ||
| Jelena J Zhang | Registered representative | Jul 2025 (1y) | ||
| Lazaro R. Lopez | Registered representative | Jul 2025 (1y) | ||
| Richard Paul Linn | Registered representative | Jul 2025 (1y) | ||
| Robert Steven Householder | Registered representative | Jul 2025 (1y) | ||
| Sean Thomas Lynch | Registered representative | Jul 2025 (1y) | ||
| Umar Farooq | Registered representative | Jul 2025 (1y) | ||
| Aaron Latiolais | Registered representative | Jul 2025 (1y) | ||
| Dhanuka Buddhakorala | Registered representative | Jul 2025 (1y) | ||
| Ignacio Gomez | Registered representative | Jul 2025 (1y) | ||
| Andrew Seth Masters | Registered representative | Jul 2025 (1y) | ||
| Antonis Panayiotou | Registered representative | Jul 2025 (1y) | ||
| Chasity Hebert Collins | Registered representative | Jul 2025 (1y) | ||
| Eric N. Mangin | Registered representative | Jul 2025 (1y) | ||
| Isabel Cristina Peralta Vidal | Registered representative | Jul 2025 (1y) | ||
| Marcelo Bocoli Possidonio | Registered representative | Jul 2025 (1y) | ||
| Steve Chanda Mc Intosh | Registered representative | Jul 2025 (1y) | ||
| Aaron C. Clemons | Registered representative | Jul 2025 (1y) | ||
| Cedric Simmons | Registered representative | Jul 2025 (1y) | ||
| Debora Pires Fenhoff | Registered representative | Jul 2025 (1y) | ||
| Emily Rodriguez | Registered representative | Jul 2025 (1y) | ||
| Anastasiya Yuryevna Soldatova | Registered representative | Jul 2025 (1y) | ||
| Cristina Terzi | Registered representative | Jul 2025 (1y) | ||
| Elmer Velador | Registered representative | Jul 2025 (1y) | ||
| Michael J. Fabrizi | Registered representative | Jul 2025 (1y) | ||
| Nicholas Guaragna | Registered representative | Jul 2025 (1y) | ||
| Patrick N Moonga | Registered representative | Jul 2025 (1y) | ||
| Ricardo Lee Sandoval | Registered representative | Jul 2025 (1y) | ||
| Connor David Niemtschk | Registered representative | Jul 2025 (1y) | ||
| Greg Matoba | Registered representative | Jul 2025 (1y) | ||
| Hany K Khalil | Registered representative | Jul 2025 (1y) | ||
| Israel Rascon | Registered representative | Jul 2025 (1y) | ||
| Jamie Elizabeth Stairs | Registered representative | Jul 2025 (1y) | ||
| John Raikany | Registered representative | Jul 2025 (1y) | ||
| Michelle Arielle Rose Kosachuk | Registered representative | Jul 2025 (1y) | ||
| Erick Bruno | Registered representative | Jul 2025 (1y) | ||
| Gilberto Hurtado Parra | Registered representative | Jul 2025 (1y) | ||
| Giovani Trinidad | Registered representative | Jul 2025 (1y) | ||
| Jonathan Lamprecht | Registered representative | Jul 2025 (1y) | ||
| Jovonni Auddino | Registered representative | Jul 2025 (1y) | ||
| Lander Aldrei Gollaba Lacsina | Registered representative | Jul 2025 (1y) | ||
| Muddassir Zafar | Registered representative | Jul 2025 (1y) | ||
| Deborah L Telesz | Registered representative | Jul 2025 (1y) | ||
| Anthony Cossio | Registered representative | Jul 2025 (1y) | ||
| Andrew Mouw | Registered representative | Jul 2025 (1y) | ||
| Axl Gayoso | Registered representative | Jul 2025 (1y) | ||
| Chelsea Grayce Foster | Registered representative | Jul 2025 (1y) | ||
| John Petruzzi | Registered representative | Jul 2025 (1y) | ||
| Joseph E. Bullis | Registered representative | Jul 2025 (1y) | ||
| Ryan Bolin | Registered representative | Jul 2025 (1y) | ||
| Yareli M Martinez | Registered representative | Jul 2025 (1y) | ||
| Christian Robert Wawrzynski | Registered representative | Jul 2025 (1y) | ||
| Isaiah Lutz | Registered representative | Jul 2025 (1y) | ||
| Mehvish Mirza | Registered representative | CFA | Jul 2025 (1y) | |
| Harrison Ross Coburn | Registered representative | Jul 2025 (1y) | ||
| Hua Hui Li | Registered representative | Jul 2025 (1y) | ||
| Jeannie Shen | Registered representative | Jul 2025 (1y) | ||
| Nicholas Rebman | Registered representative | Jul 2025 (1y) | ||
| Steven L. Schmidt | Registered representative | Jul 2025 (1y) | ||
| Charles Lin | Registered representative | Jul 2025 (1y) | ||
| Andrew Buck | Registered representative | Jul 2025 (1y) | ||
| Mark P. Markowski | Registered representative | Jul 2025 (1y) | ||
| Pablo Emanuel Mateo Ventura | Registered representative | Jul 2025 (1y) | ||
| Jack Henry Perren Leveridge | Registered representative | Jul 2025 (1y) | ||
| Blake X. Lenk | Registered representative | Jul 2025 (1y) | ||
| Donna L. Hurst | Registered representative | Jul 2025 (1y) | ||
| Maria Gabriella Orozco | Registered representative | Jul 2025 (1y) | ||
| Michael Kiamzon | Registered representative | Jul 2025 (1y) | ||
| Najran A Thompson | Registered representative | Jul 2025 (1y) | ||
| Piyush Batra | Registered representative | Jul 2025 (1y) | ||
| Robert A. Perez | Registered representative | Jul 2025 (1y) | ||
| Ryan Hickey | Registered representative | Jul 2025 (1y) | ||
| Agustin Pillado Matheu | Registered representative | Jul 2025 (1y) | ||
| Christopher Frank Messina | Registered representative | Jul 2025 (1y) | ||
| Dima Hazzan | Registered representative | Jul 2025 (1y) | ||
| Darrell T. Mc Manus | Registered representative | CFP | Jul 2025 (1y) | |
| Devin Luis Crimzon | Registered representative | Jul 2025 (1y) | ||
| Jacob Hamlin | Registered representative | Jul 2025 (1y) | ||
| Lukasz Janko | Registered representative | Jul 2025 (1y) | ||
| Stebenson Fuenmayor | Registered representative | Jul 2025 (1y) | ||
| Derek Delagrange | Registered representative | Jul 2025 (1y) | ||
| Vanshika Mahajan | Registered representative | Jul 2025 (1y) | ||
| Brent L. Edwards | Registered representative | Jul 2025 (1y) | ||
| Cristobal Quiroga Peralta | Registered representative | Jul 2025 (1y) | ||
| Devidas Dharamdasani Ramchand | Registered representative | Jul 2025 (1y) | ||
| Johanna Arrancha Agulay | Registered representative | Jul 2025 (1y) | ||
| Kimberly Nute Jones | Registered representative | Jul 2025 (1y) | ||
| Lily Grace Black | Registered representative | Jul 2025 (1y) | ||
| Maria Dimercurio | Registered representative | Jul 2025 (1y) | ||
| Robert Nerio | Registered representative | Jul 2025 (1y) | ||
| Trevor Daniel Harris | Registered representative | Jul 2025 (1y) | ||
| Yuchi Arnold | Registered representative | Jul 2025 (1y) | ||
| Aubree Schaefer | Registered representative | Jul 2025 (1y) | ||
| Brennan Brown | Registered representative | Jul 2025 (1y) | ||
| Christopher J Armenta | Registered representative | Jul 2025 (1y) | ||
| Michael S. Viola | Registered representative | Jul 2025 (1y) | ||
| Samuel Goldberg | Registered representative | Jul 2025 (1y) | ||
| Tashi Sarhan | Registered representative | Jul 2025 (1y) | ||
| Juan Carlos Pajon | Registered representative | Jul 2025 (1y) | ||
| Albert Boele | Registered representative | Jul 2025 (1y) | ||
| David Glazier | Registered representative | Jul 2025 (1y) | ||
| Frederick T. Hast | Registered representative | Jul 2025 (1y) | ||
| Jason Michael Lambert | Registered representative | Jul 2025 (1y) | ||
| Julian Gonzalez | Registered representative | Jul 2025 (1y) | ||
| Kevin Holt | Registered representative | Jul 2025 (1y) | ||
| Lindsay Rhodes | Registered representative | Jul 2025 (1y) | ||
| Marc Heagney | Registered representative | Jul 2025 (1y) | ||
| Natalia Agudelo | Registered representative | Jul 2025 (1y) | ||
| Scott Schramm | Registered representative | Jul 2025 (1y) | ||
| Angelica Herrmann | Registered representative | Jul 2025 (1y) | ||
| Austin Risner | Registered representative | Jul 2025 (1y) | ||
| Gloria Lou | Registered representative | Jul 2025 (1y) | ||
| John Mark Dierker | Registered representative | Jul 2025 (1y) | ||
| Jerel Carter | Registered representative | Jul 2025 (1y) | ||
| Joo Won Kim | Registered representative | Jul 2025 (1y) | ||
| Matthew Robert Maimone | Registered representative | Jul 2025 (1y) | ||
| Patrick John Noonan | Registered representative | Jul 2025 (1y) | ||
| Piers Ross | Registered representative | Jul 2025 (1y) | ||
| Samuel M Raheb | Registered representative | Jul 2025 (1y) | ||
| Steven Dunn | Registered representative | Jul 2025 (1y) | ||
| Adriana Munoz | Registered representative | Jul 2025 (1y) | ||
| Anthony Alfaro | Registered representative | Jul 2025 (1y) | ||
| Anthony Todd Eurton | Registered representative | Jul 2025 (1y) | ||
| Juan Carlos Cortez | Registered representative | Jul 2025 (1y) | ||
| Tyler Berg | Registered representative | Jul 2025 (1y) | ||
| Ursmar Omozuapo Asimegbe | Registered representative | Jul 2025 (1y) | ||
| Andrew Watson | Registered representative | Jul 2025 (1y) | ||
| Khalil Oweimer | Registered representative | Jul 2025 (1y) | ||
| Matthew Villani | Registered representative | Jul 2025 (1y) | ||
| Naizony Humberto Gonzalez | Registered representative | Jul 2025 (1y) | ||
| Owen Faulkner | Registered representative | Jul 2025 (1y) | ||
| Silas Grosch | Registered representative | Jul 2025 (1y) | ||
| Alec Jacob | Registered representative | Aug 2025 (1y) | ||
| Ava Marie Camposano | Registered representative | Aug 2025 (1y) | ||
| Christian Gomez | Registered representative | Aug 2025 (1y) | ||
| Conor J Finnan | Registered representative | Aug 2025 (1y) | ||
| Gabrielle H. Dubick | Registered representative | Aug 2025 (1y) | ||
| Hsin Lang | Registered representative | CFA | Aug 2025 (1y) | |
| Jarrett Alton Pealer | Registered representative | Aug 2025 (1y) | ||
| Jorge Rocha | Registered representative | Aug 2025 (1y) | ||
| Joseph Edward Eiswert | Registered representative | Aug 2025 (1y) | ||
| Michael Maragay | Registered representative | Aug 2025 (1y) | ||
| Neil P. Patel | Registered representative | Aug 2025 (1y) | ||
| Rebecca Belloso | Registered representative | Aug 2025 (1y) | ||
| Ryan James Carperos | Registered representative | Aug 2025 (1y) | ||
| Ryan Mc Cann | Registered representative | Aug 2025 (1y) | ||
| Stefan Gargiulo | Registered representative | Aug 2025 (1y) | ||
| Andres Gonzalez | Registered representative | Aug 2025 (1y) | ||
| Anthony Hill | Registered representative | Aug 2025 (1y) | ||
| Jose Carlos Cortes Antunez De Mayolo | Registered representative | Aug 2025 (1y) | ||
| Matthew J. Carrozza | Registered representative | Aug 2025 (1y) | ||
| Kenneth Garcia Trevino | Registered representative | Aug 2025 (1y) | ||
| Michael Cortina | Registered representative | Aug 2025 (1y) | ||
| Caden Napier | Registered representative | Aug 2025 (1y) | ||
| Charles Michael Heaphy | Registered representative | Aug 2025 (1y) | ||
| Luciana Milagros Bonifaz Arenas | Registered representative | Aug 2025 (1y) | ||
| Vishesh Verma | Registered representative | Aug 2025 (1y) | ||
| Anna Farzam Pourdavoud | Registered representative | Aug 2025 (1y) | ||
| Anthony Azzi | Registered representative | Aug 2025 (1y) | ||
| Chuong Hoang Vu | Registered representative | Aug 2025 (1y) | ||
| Heather Lu Lasky | Registered representative | Aug 2025 (1y) | ||
| Jackson Reid | Registered representative | Aug 2025 (1y) | ||
| Lee Preston Kerr | Registered representative | Aug 2025 (1y) | ||
| Lionel W Ibonga | Registered representative | Aug 2025 (1y) | ||
| Matt Martini | Registered representative | Aug 2025 (1y) | ||
| Matthew Smith | Registered representative | Aug 2025 (1y) | ||
| Clara Coleman Scruggs | Registered representative | Aug 2025 (1y) | ||
| Jose Roberto Ricaud Llaguno | Registered representative | Aug 2025 (1y) | ||
| Joseph Kent Reilly | Registered representative | Aug 2025 (1y) | ||
| Michael Pombo | Registered representative | Aug 2025 (1y) | ||
| Sean Grasso | Registered representative | Aug 2025 (1y) | ||
| Stephanie D Vaughn | Registered representative | Aug 2025 (1y) | ||
| Alexander Swanson | Registered representative | Aug 2025 (1y) | ||
| Allison Puchala | Registered representative | Aug 2025 (1y) | ||
| Jamie Lynn Dronet | Registered representative | Aug 2025 (1y) | ||
| John R. Todd | Registered representative | Aug 2025 (1y) | ||
| Jose Rivas Espinoza | Registered representative | Aug 2025 (1y) | ||
| Kevin R. Alexander | Registered representative | Aug 2025 (1y) | ||
| Patricia Calleja Marazuela | Registered representative | Aug 2025 (1y) | ||
| Sebastian Manuel De La Gala | Registered representative | Aug 2025 (1y) | ||
| Vicente Brocchetto | Registered representative | Aug 2025 (1y) | ||
| Aidan Patrick Castle | Registered representative | Aug 2025 (1y) | ||
| Conner Stone | Registered representative | Aug 2025 (1y) | ||
| Daniel B. Haber | Registered representative | Aug 2025 (1y) | ||
| Erik Johansen Villanueva | Registered representative | Aug 2025 (1y) | ||
| Shawn Michael Upton | Registered representative | Aug 2025 (1y) | ||
| Sachin Srinivasa | Registered representative | Aug 2025 (1y) | ||
| Seif Ibrahim | Registered representative | Aug 2025 (1y) | ||
| Tiffany Corine Archimede Ramirez | Registered representative | Aug 2025 (1y) | ||
| Michael Thomas Sullivan | Registered representative | Aug 2025 (1y) | ||
| Brandyn Abrams | Registered representative | Aug 2025 (1y) | ||
| Dane Bettencourt | Registered representative | Aug 2025 (1y) | ||
| David Griffin | Registered representative | Aug 2025 (1y) | ||
| Joel Ottley | Registered representative | Aug 2025 (1y) | ||
| Michael Shobe | Registered representative | Aug 2025 (1y) | ||
| Samuel Burgunder | Registered representative | Aug 2025 (1y) | ||
| Taylor Muller | Registered representative | Aug 2025 (1y) | ||
| William Young Shinn | Registered representative | Aug 2025 (1y) | ||
| Zachary Alexander Philiph | Registered representative | Aug 2025 (1y) | ||
| Cecilia Mae Ross | Registered representative | Aug 2025 (1y) | ||
| Colton Larsen | Registered representative | Aug 2025 (1y) | ||
| Delbert Secrist | Registered representative | Aug 2025 (1y) | ||
| Daniel Egan | Registered representative | Aug 2025 (1y) | ||
| Jared Peyton Smith | Registered representative | Aug 2025 (1y) | ||
| Josh Weissman | Registered representative | Aug 2025 (1y) | ||
| Mitchell Mallinak | Registered representative | Aug 2025 (1y) | ||
| Rozita Rahaei | Registered representative | Aug 2025 (1y) | ||
| Rachel Nelson | Registered representative | Aug 2025 (1y) | ||
| Stephan Marcus House | Registered representative | Aug 2025 (1y) | ||
| William Bradford Towne | Registered representative | Aug 2025 (1y) | ||
| Zachary Gordon | Registered representative | Aug 2025 (1y) | ||
| Alina C Frinculescu | Registered representative | Aug 2025 (1y) | ||
| Ani M. Pridjian | Registered representative | Aug 2025 (1y) | ||
| Collin M. Holt | Registered representative | Aug 2025 (1y) | ||
| Felix Bikai | Registered representative | Aug 2025 (1y) | ||
| Maxence Hamker | Registered representative | Aug 2025 (1y) | ||
| Michael Alan Dawkins | Registered representative | Aug 2025 (1y) | ||
| Mason Shoshany | Registered representative | Aug 2025 (1y) | ||
| Nicolas Alonso Loret De Mola | Registered representative | Aug 2025 (1y) | ||
| Reid Shafran | Registered representative | Aug 2025 (1y) | ||
| Ryan Ptak | Registered representative | Aug 2025 (1y) | ||
| Christian Murray | Registered representative | Aug 2025 (1y) | ||
| Fabio Nisco | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Townsend | Registered representative | Aug 2025 (1y) | ||
| Kurt A Meyers | Registered representative | Aug 2025 (1y) | ||
| Martin Correa Perez | Registered representative | Aug 2025 (1y) | ||
| Robert Wesley Wilson | Registered representative | Aug 2025 (1y) | ||
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| Jack D. Austin | Registered representative | Aug 2025 (1y) | ||
| Jack Daly | Registered representative | Aug 2025 (1y) | ||
| Jessica Kibler | Registered representative | Aug 2025 (1y) | ||
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| Jake Amons | Registered representative | Aug 2025 (1y) | ||
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| Justin Reedy | Registered representative | Aug 2025 (1y) | ||
| Yoon C Chang | Registered representative | Aug 2025 (1y) | ||
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| Brody Hardacre | Registered representative | Aug 2025 (1y) | ||
| Caroline Campbell Lee | Registered representative | Aug 2025 (1y) | ||
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| John T. Mc Greevy | Registered representative | Aug 2025 (1y) | ||
| Joshua Miura | Registered representative | Aug 2025 (1y) | ||
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| Keeley S. Kandziora | Registered representative | Aug 2025 (1y) | ||
| Kiera Murphy | Registered representative | Aug 2025 (1y) | ||
| Kyden Byron Lee | Registered representative | Aug 2025 (1y) | ||
| Lucas Schaefer | Registered representative | Aug 2025 (1y) | ||
| Madelyn Jo Knee | Registered representative | Aug 2025 (1y) | ||
| Mariah Lynn Haislip | Registered representative | Aug 2025 (1y) | ||
| Neha Dacherla | Registered representative | Aug 2025 (1y) | ||
| Nicholas Huhn | Registered representative | Aug 2025 (1y) | ||
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| Edinardo Figueiredo | Registered representative | Aug 2025 (1y) | ||
| Emma B. Hallett | Registered representative | Aug 2025 (1y) | ||
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| Janice Negvesky | Registered representative | Aug 2025 (1y) | ||
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| Keifer Clay Guizard | Registered representative | Aug 2025 (1y) | ||
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| Michael Gregory Neff | Registered representative | CFP | Aug 2025 (1y) | |
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| Brian Hopp | Registered representative | Aug 2025 (1y) | ||
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| Grace E. Ryan | Registered representative | Aug 2025 (1y) | ||
| Lauren Macbryde | Registered representative | Aug 2025 (1y) | ||
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| Aleksandra Dimitrijevic | Registered representative | Sep 2025 (1y) | ||
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| Ava Katherine Thomson | Registered representative | Sep 2025 (1y) | ||
| Caleb Hughes | Registered representative | Sep 2025 (1y) | ||
| Clare Kingsley | Registered representative | Sep 2025 (1y) | ||
| Cole Zampaglione | Registered representative | Sep 2025 (1y) | ||
| Diego Hernandez | Registered representative | Sep 2025 (1y) | ||
| Dannette Ann Schutz | Registered representative | Sep 2025 (1y) | ||
| Dylan Nicholas Mingo | Registered representative | Sep 2025 (1y) | ||
| Ethan Jedson | Registered representative | Sep 2025 (1y) | ||
| Hana Qasrawi | Registered representative | Sep 2025 (1y) | ||
| Hannah Elizabeth Bennett | Registered representative | Sep 2025 (1y) | ||
| Jared M. Rhein | Registered representative | Sep 2025 (1y) | ||
| Jayden Allan Bendesky | Registered representative | Sep 2025 (1y) | ||
| Ky Lee Albert Duley | Registered representative | Sep 2025 (1y) | ||
| Laasya Madiraju | Registered representative | Sep 2025 (1y) | ||
| Lily Anna Ellingson | Registered representative | Sep 2025 (1y) | ||
| Matthew Hunter Garelick | Registered representative | Sep 2025 (1y) | ||
| Mekhi Barnes Adams | Registered representative | Sep 2025 (1y) | ||
| Miles Bernstein | Registered representative | Sep 2025 (1y) | ||
| Nathan Makdessi | Registered representative | Sep 2025 (1y) | ||
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| Alexander Glasson | Registered representative | Sep 2025 (1y) | ||
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| Andre Lima Scarpa | Registered representative | Sep 2025 (1y) | ||
| Annabella Andiorio | Registered representative | Sep 2025 (1y) | ||
| Brennan Lenox Horn | Registered representative | Sep 2025 (1y) | ||
| Caleb Alexander Dozier | Registered representative | Sep 2025 (1y) | ||
| Cambelle Bouchard | Registered representative | Sep 2025 (1y) | ||
| Carlos Luna Alvarez | Registered representative | Sep 2025 (1y) | ||
| Caroline Thummel | Registered representative | Sep 2025 (1y) | ||
| Charles Mitchell Breen | Registered representative | Sep 2025 (1y) | ||
| Christian David Penczar | Registered representative | Sep 2025 (1y) | ||
| Connor Randall | Registered representative | Sep 2025 (1y) | ||
| Cristobal Flores Daccarett | Registered representative | Sep 2025 (1y) | ||
| David F Loseke | Registered representative | Sep 2025 (1y) | ||
| Elijah Bleu Yong | Registered representative | Sep 2025 (1y) | ||
| Gonzalo Barcelo | Registered representative | Sep 2025 (1y) | ||
| Halle Best | Registered representative | Sep 2025 (1y) | ||
| Hrishikesh Rathnakaram | Registered representative | Sep 2025 (1y) | ||
| Hsing Yi Wang | Registered representative | Sep 2025 (1y) | ||
| Josh Sims | Registered representative | Sep 2025 (1y) | ||
| Katarina Grozdanic | Registered representative | Sep 2025 (1y) | ||
| Keely Salmon | Registered representative | Sep 2025 (1y) | ||
| Kelly Margaret Anderson | Registered representative | Sep 2025 (1y) | ||
| Lia Sepulveda Cantu | Registered representative | Sep 2025 (1y) | ||
| Lucca Thormann Pereira | Registered representative | Sep 2025 (1y) | ||
| Luis Enrique Otero Devoz | Registered representative | Sep 2025 (1y) | ||
| Luke J. Harris | Registered representative | Sep 2025 (1y) | ||
| Luke Masciangelo | Registered representative | Sep 2025 (1y) | ||
| Madeline Sutton | Registered representative | Sep 2025 (1y) | ||
| Mattia Bernocco | Registered representative | Sep 2025 (1y) | ||
| Nicholas Langan | Registered representative | Sep 2025 (1y) | ||
| Olivia Tiboni | Registered representative | Sep 2025 (1y) | ||
| Owen Codo | Registered representative | Sep 2025 (1y) | ||
| Phillip Jason Keen | Registered representative | Sep 2025 (1y) | ||
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| Ricardo Chilaca | Registered representative | Sep 2025 (1y) | ||
| Robert Howard | Registered representative | Sep 2025 (1y) | ||
| Ruitong Wang | Registered representative | Sep 2025 (1y) | ||
| Saul Ades | Registered representative | Sep 2025 (1y) | ||
| Seth A. Kuhn | Registered representative | Sep 2025 (1y) | ||
| Shurod Tunamal | Registered representative | Sep 2025 (1y) | ||
| Timothy Cyrus Jamison | Registered representative | Sep 2025 (1y) | ||
| Trisha Tyagi | Registered representative | Sep 2025 (1y) | ||
| Triston Mc Donald | Registered representative | Sep 2025 (1y) | ||
| Alejandro Madero Falomir | Registered representative | Sep 2025 (1y) | ||
| Andrew Corral | Registered representative | Sep 2025 (1y) | ||
| Aamir Zavala Qureshi | Registered representative | Sep 2025 (1y) | ||
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| Ana M Rodriguez | Registered representative | Sep 2025 (1y) | ||
| Andrea Belen Ferrer | Registered representative | Sep 2025 (1y) | ||
| Andrew Thomas Rich | Registered representative | Sep 2025 (1y) | ||
| Blake Kortye | Registered representative | Sep 2025 (1y) | ||
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| Christian Edgar Paltzer | Registered representative | Sep 2025 (1y) | ||
| Caitlin Katz | Registered representative | Sep 2025 (1y) | ||
| Caitlin Marie Rubin | Registered representative | Sep 2025 (1y) | ||
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| Catherine Elizabeth Keele | Registered representative | Sep 2025 (1y) | ||
| Cristobal Pedro Halffter Zobel De Ayala | Registered representative | Sep 2025 (1y) | ||
| Derrik Nhin | Registered representative | Sep 2025 (1y) | ||
| Devon Joseph Mason | Registered representative | Sep 2025 (1y) | ||
| Donald Davis Haines | Registered representative | Sep 2025 (1y) | ||
| Ezequiel Lazcano | Registered representative | Sep 2025 (1y) | ||
| Eduardo Terlaje | Registered representative | Sep 2025 (1y) | ||
| Esther Ivette Rodriguez | Registered representative | Sep 2025 (1y) | ||
| Federico De La Garza Gonzalez | Registered representative | Sep 2025 (1y) | ||
| Gabrielle Brooke Ripka | Registered representative | Sep 2025 (1y) | ||
| Jane Lett Huggins | Registered representative | Sep 2025 (1y) | ||
| Jayden Solanky | Registered representative | Sep 2025 (1y) | ||
| Jessica Weber | Registered representative | Sep 2025 (1y) | ||
| Jon Edward Meyer | Registered representative | Sep 2025 (1y) | ||
| Kareena Mona Gupta | Registered representative | Sep 2025 (1y) | ||
| Kelly Chapman | Registered representative | Sep 2025 (1y) | ||
| Li Zhu | Registered representative | Sep 2025 (1y) | ||
| Luis Sanchez Boom | Registered representative | Sep 2025 (1y) | ||
| Lauren Brooke Dyer | Registered representative | Sep 2025 (1y) | ||
| Lindsey Grace Robbins | Registered representative | Sep 2025 (1y) | ||
| Lucas Sebastian Gomez | Registered representative | Sep 2025 (1y) | ||
| Macarena Del Pilar Robert Mina | Registered representative | Sep 2025 (1y) | ||
| Marcela Nishikawa | Registered representative | Sep 2025 (1y) | ||
| Matias Santo | Registered representative | Sep 2025 (1y) | ||
| Maxine Krantz | Registered representative | Sep 2025 (1y) | ||
| Maya Cacenco | Registered representative | Sep 2025 (1y) | ||
| Micah Justin Montano | Registered representative | Sep 2025 (1y) | ||
| Nicole Frances Moran | Registered representative | Sep 2025 (1y) | ||
| Roger Purcell | Registered representative | Sep 2025 (1y) | ||
| Ryan Baumbach | Registered representative | Sep 2025 (1y) | ||
| Ryan Joseph Guerin | Registered representative | Sep 2025 (1y) | ||
| Samuel Ahern | Registered representative | Sep 2025 (1y) | ||
| Sebastiano Grisetti | Registered representative | Sep 2025 (1y) | ||
| Steve Kang | Registered representative | Sep 2025 (1y) | ||
| Susana Guerra Mandes | Registered representative | Sep 2025 (1y) | ||
| Thomas Richard Ashton | Registered representative | Sep 2025 (1y) | ||
| Tory Elizabeth Piuze | Registered representative | Sep 2025 (1y) | ||
| Tyler Medina | Registered representative | Sep 2025 (1y) | ||
| Yasmine Bouchrara | Registered representative | Sep 2025 (1y) | ||
| Addyson Suzanne Liberty Johnson | Registered representative | Sep 2025 (1y) | ||
| Andrew Patric Busche | Registered representative | Sep 2025 (1y) | ||
| Anthony Lucarelli | Registered representative | Sep 2025 (1y) | ||
| Brady Patterson | Registered representative | Sep 2025 (1y) | ||
| Charles Patrick Collins | Registered representative | Sep 2025 (1y) | ||
| Corbin Lockett Lowrance | Registered representative | Sep 2025 (1y) | ||
| Elena Ighodaro | Registered representative | Sep 2025 (1y) | ||
| Emily Marcinek Gunnels | Registered representative | Sep 2025 (1y) | ||
| Fernando M Pastor | Registered representative | Sep 2025 (1y) | ||
| Jesse Estrada | Registered representative | Sep 2025 (1y) | ||
| Jason Rhodes | Registered representative | Sep 2025 (1y) | ||
| John Hays Duhalde | Registered representative | Sep 2025 (1y) | ||
| Kouya Takeshita | Registered representative | Sep 2025 (1y) | ||
| Laila Phillips | Registered representative | Sep 2025 (1y) | ||
| Matthew R. Miles | Registered representative | Sep 2025 (1y) | ||
| Nicholas P. Cutaia | Registered representative | Sep 2025 (1y) | ||
| Nicolas Agudelo Gomez | Registered representative | Sep 2025 (1y) | ||
| Raymond L Allen | Registered representative | Sep 2025 (1y) | ||
| Regis Rodrigues | Registered representative | Sep 2025 (1y) | ||
| Roberto Mendoza | Registered representative | Sep 2025 (1y) | ||
| Selim Kesmeci | Registered representative | Sep 2025 (1y) | ||
| William Adams | Registered representative | Sep 2025 (1y) | ||
| William Carroll | Registered representative | Sep 2025 (1y) | ||
| Emily Felder | Registered representative | Sep 2025 (1y) | ||
| Jeremy Tyler King | Registered representative | Sep 2025 (1y) | ||
| Jesse Hernandez | Registered representative | Sep 2025 (1y) | ||
| Michael Gobert | Registered representative | Sep 2025 (1y) | ||
| Orin Alan Winick | Registered representative | Sep 2025 (1y) | ||
| Roberto Adrian Tamez | Registered representative | Sep 2025 (1y) | ||
| Juan Jose Acosta Varea | Registered representative | Sep 2025 (1y) | ||
| Nataly M Montenegro | Registered representative | Sep 2025 (1y) | ||
| Valerio Francesco Del Gaudio | Registered representative | Sep 2025 (1y) | ||
| Lauren A Palmer | Registered representative | Sep 2025 (1y) | ||
| Thomas Martin Wynne | Registered representative | Sep 2025 (1y) | ||
| Alexa Marie De Moss | Registered representative | Sep 2025 (1y) | ||
| Alexander Joshua Rodriguez | Registered representative | Sep 2025 (1y) | ||
| Aline Tanimoto Lima | Registered representative | Sep 2025 (1y) | ||
| Christopher Dominguez | Registered representative | Sep 2025 (1y) | ||
| Daniel Abboudi | Registered representative | Sep 2025 (1y) | ||
| Daniel Zane Robledo | Registered representative | Sep 2025 (1y) | ||
| Garrett Valentino | Registered representative | Sep 2025 (1y) | ||
| Joshua Paul Clark | Registered representative | Sep 2025 (1y) | ||
| Kate Valentina Hidalgo | Registered representative | Sep 2025 (1y) | ||
| Ryan Campbell | Registered representative | Sep 2025 (1y) | ||
| Xavier Adrian Silva | Registered representative | Sep 2025 (1y) | ||
| Aleksander Ridel Juzwiak | Registered representative | Sep 2025 (1y) | ||
| Christopher Perrin | Registered representative | Sep 2025 (1y) | ||
| Paul S. Lee | Registered representative | Sep 2025 (1y) | ||
| Yismaldy Larios | Registered representative | Sep 2025 (1y) | ||
| Anthony James Flynn | Registered representative | Sep 2025 (1y) | ||
| Colin Daniel Brogowski | Registered representative | Sep 2025 (1y) | ||
| Jessica Jane Rooney | Registered representative | Sep 2025 (1y) | ||
| Jordan Lewis | Registered representative | Sep 2025 (1y) | ||
| Joseph Peter Sorisi | Registered representative | Sep 2025 (1y) | ||
| Kartik Ram | Registered representative | Sep 2025 (1y) | ||
| Kyle E. Keber | Registered representative | Sep 2025 (1y) | ||
| Lucas Paul Paris | Registered representative | Sep 2025 (1y) | ||
| Luisa Perez | Registered representative | Sep 2025 (1y) | ||
| Romesh Rambarran | Registered representative | Sep 2025 (1y) | ||
| Stephania Tatis | Registered representative | Sep 2025 (1y) | ||
| Tariq D. Jackson | Registered representative | Sep 2025 (1y) | ||
| Andrea Marin Murillo | Registered representative | Sep 2025 (1y) | ||
| Ashanti Graham | Registered representative | Sep 2025 (1y) | ||
| Brandon D. Duran | Registered representative | Sep 2025 (1y) | ||
| Colby William Ellis | Registered representative | Sep 2025 (1y) | ||
| Evan Munaretto | Registered representative | Sep 2025 (1y) | ||
| John Strelka | Registered representative | Sep 2025 (1y) | ||
| Jacob Ruddy | Registered representative | Sep 2025 (1y) | ||
| Jillian Culver | Registered representative | Sep 2025 (1y) | ||
| Kyle Cline | Registered representative | Sep 2025 (1y) | ||
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| Tyler Cooper | Registered representative | Oct 2025 (1y) | ||
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| Annalise Danielle Blair | Registered representative | Oct 2025 (1y) | ||
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| Bridget Ryan Barry | Registered representative | Oct 2025 (1y) | ||
| Christian Roberts | Registered representative | Oct 2025 (1y) | ||
| Cole Schindler | Registered representative | Oct 2025 (1y) | ||
| Davis Gutow | Registered representative | Oct 2025 (1y) | ||
| Diego Fernandez | Registered representative | Oct 2025 (1y) | ||
| Edon Prelvukaj | Registered representative | Oct 2025 (1y) | ||
| Gabriel Soldi | Registered representative | Oct 2025 (1y) | ||
| Grant Hansen | Registered representative | Oct 2025 (1y) | ||
| James Patrick Royal | Registered representative | Oct 2025 (1y) | ||
| Jazmin Roper | Registered representative | Oct 2025 (1y) | ||
| Keren Chiamaka Egu | Registered representative | Oct 2025 (1y) | ||
| Maegan Young | Registered representative | Oct 2025 (1y) | ||
| Maria Laverde | Registered representative | Oct 2025 (1y) | ||
| Paul Stanley | Registered representative | Oct 2025 (1y) | ||
| Richard Jordan Wallace | Registered representative | Oct 2025 (1y) | ||
| Sophia Leah Norouzi | Registered representative | Oct 2025 (1y) | ||
| Steven A Partland | Registered representative | Oct 2025 (1y) | ||
| Tim Mc Mahon | Registered representative | Oct 2025 (1y) | ||
| Carlos José Barros | Registered representative | Oct 2025 (1y) | ||
| Ian B. Golias | Registered representative | Oct 2025 (1y) | ||
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| Michelle Benaderet | Registered representative | Oct 2025 (1y) | ||
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| Riley Salmon | Registered representative | Oct 2025 (1y) | ||
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| Gavin Wallace | Registered representative | Oct 2025 (1y) | ||
| Inigo Galaz Cancio | Registered representative | Oct 2025 (1y) | ||
| Jessica D. Slade | Registered representative | Oct 2025 (1y) | ||
| Johanna Cristine Mera | Registered representative | Oct 2025 (1y) | ||
| Luis Alfredo Samayoa Pascual | Registered representative | Oct 2025 (1y) | ||
| Lauren Solomon Carter | Registered representative | Oct 2025 (1y) | ||
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| Pedro Padilha Maia | Registered representative | Oct 2025 (1y) | ||
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| Ricardo Franccesco Ormeno Novoa | Registered representative | Oct 2025 (1y) | ||
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| Saroshah Jones | Registered representative | Oct 2025 (1y) | ||
| Carolina Sempere | Registered representative | Oct 2025 (1y) | ||
| Magdalena Bullrich | Registered representative | Oct 2025 (1y) | ||
| Matthew Tatham | Registered representative | Oct 2025 (1y) | ||
| Muhammad Mustafa Ispahani | Registered representative | Oct 2025 (1y) | ||
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| John Jandl | Registered representative | Oct 2025 (1y) | ||
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| Kylee A. Rogers | Registered representative | Oct 2025 (1y) | ||
| Lulu Lo | Registered representative | Oct 2025 (1y) | ||
| Matthew Murray Thomas | Registered representative | Oct 2025 (1y) | ||
| Steven Mc Clellan | Registered representative | Oct 2025 (1y) | ||
| Tazkia Laraib | Registered representative | Oct 2025 (1y) | ||
| Andrew Krochalk | Registered representative | Oct 2025 (1y) | ||
| Christian Navarro | Registered representative | Oct 2025 (1y) | ||
| Daniel Anderson | Registered representative | Oct 2025 (1y) | ||
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| Jordan Ouellette | Registered representative | Oct 2025 (1y) | ||
| Lauren Sarah Gaylord | Registered representative | Oct 2025 (1y) | ||
| Benjamin Sparks | Registered representative | Oct 2025 (1y) | ||
| Adrian M Garate | Registered representative | Oct 2025 (1y) | ||
| Christa Marie Rael | Registered representative | Oct 2025 (1y) | ||
| Daniel R Martins | Registered representative | Oct 2025 (1y) | ||
| Hoa Minh Kha | Registered representative | Oct 2025 (1y) | ||
| Justo Schiopetto | Registered representative | Oct 2025 (1y) | ||
| Kenneth Quon | Registered representative | Oct 2025 (1y) | ||
| Lloyd Desenganio | Registered representative | Oct 2025 (1y) | ||
| Mason O'hara | Registered representative | Oct 2025 (1y) | ||
| Miguel Duenas Alcala | Registered representative | Oct 2025 (1y) | ||
| Ryan A Brendel | Registered representative | Oct 2025 (1y) | ||
| Savannah Grace Overton | Registered representative | Oct 2025 (1y) | ||
| Tracy Zuelke | Registered representative | Oct 2025 (1y) | ||
| Xuepan Zeng | Registered representative | Oct 2025 (1y) | ||
| Carl Priebe | Registered representative | Oct 2025 (1y) | ||
| Caroline Baumgart | Registered representative | Oct 2025 (1y) | ||
| Daniel Whritenour | Registered representative | Oct 2025 (1y) | ||
| Gregory Chark Frankel | Registered representative | Oct 2025 (1y) | ||
| Joao Paulo Darius | Registered representative | Oct 2025 (1y) | ||
| Maricelda Franco | Registered representative | Oct 2025 (1y) | ||
| Maurice R. Wiggs | Registered representative | Oct 2025 (1y) | ||
| Natalia Escobar | Registered representative | Oct 2025 (1y) | ||
| Nicholas Hines | Registered representative | Oct 2025 (1y) | ||
| Ryan Buzis | Registered representative | Oct 2025 (1y) | ||
| Sharleen Bhoop | Registered representative | Oct 2025 (1y) | ||
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| Greg Ehresman | Registered representative | Oct 2025 (1y) | ||
| Johnny Robert Burks | Registered representative | Oct 2025 (1y) | ||
| Jose E Reyes | Registered representative | Oct 2025 (1y) | ||
| Kyle William Marotta | Registered representative | Oct 2025 (1y) | ||
| Maria Silva | Registered representative | Oct 2025 (1y) | ||
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| Peter Sullivan | Registered representative | Oct 2025 (1y) | ||
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| Jessica Pan | Registered representative | Oct 2025 (1y) | ||
| Julie Fisher Hafler | Registered representative | Oct 2025 (1y) | ||
| Nam Vinh Le | Registered representative | Oct 2025 (1y) | ||
| William A. Fiorica | Registered representative | Oct 2025 (1y) | ||
| David Beliveau | Registered representative | Oct 2025 (1y) | ||
| Erin M. Cottom | Registered representative | Oct 2025 (1y) | ||
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| Jordan Kopelman | Registered representative | Oct 2025 (1y) | ||
| Karlyn Jelani Small | Registered representative | Oct 2025 (1y) | ||
| Katelyn Tinsley | Registered representative | Oct 2025 (1y) | ||
| Kimberly Larsen | Registered representative | Oct 2025 (1y) | ||
| Laura Perez Goldstein | Registered representative | Oct 2025 (1y) | ||
| Nina Threets | Registered representative | Oct 2025 (1y) | ||
| Oscar Loynaz | Registered representative | Oct 2025 (1y) | ||
| Samantha Wenxian Coons | Registered representative | Oct 2025 (1y) | ||
| Sukhvir Singh | Registered representative | Oct 2025 (1y) | ||
| Ahmed Adel Lotfy | Registered representative | Oct 2025 (1y) | ||
| Tammy Tang | Registered representative | Oct 2025 (1y) | ||
| Aysylu Shaykhieva | Registered representative | Oct 2025 (1y) | ||
| Fernando Cabalin Sabaris | Registered representative | Oct 2025 (1y) | ||
| Cristina Debenedetto | Registered representative | Oct 2025 (1y) | ||
| Gabrielle Briana Mccarthy | Registered representative | Oct 2025 (1y) | ||
| Julian David Berezovsky | Registered representative | Oct 2025 (1y) | ||
| Jordan Spencer Hermes | Registered representative | Oct 2025 (1y) | ||
| Kevin Berenzon | Registered representative | Oct 2025 (1y) | ||
| Luciano Miguel De Ruggiero | Registered representative | Oct 2025 (1y) | ||
| Matthew A Troconis | Registered representative | Oct 2025 (1y) | ||
| William O'hagan | Registered representative | Oct 2025 (1y) | ||
| Ye Qing Lin | Registered representative | Oct 2025 (1y) | ||
| Andrea Barrezueta | Registered representative | Oct 2025 (1y) | ||
| Jeffrey Matthew Sardo | Registered representative | Oct 2025 (1y) | ||
| Pedro Alaniz | Registered representative | Oct 2025 (1y) | ||
| Xenia Valeska Sepulveda | Registered representative | Oct 2025 (1y) | ||
| Yahel Hill | Registered representative | Oct 2025 (1y) | ||
| Evan Krska | Registered representative | Oct 2025 (1y) | ||
| Howard Lee Horowitz | Registered representative | Oct 2025 (1y) | ||
| Jarrett Brink | Registered representative | Oct 2025 (1y) | ||
| Jose Miguel Ordonez Coronel | Registered representative | Oct 2025 (1y) | ||
| Michael S. Marnell | Registered representative | Oct 2025 (1y) | ||
| Ana Fevre | Registered representative | Oct 2025 (1y) | ||
| Adrienne Ann Martain Black | Registered representative | Oct 2025 (1y) | ||
| Ayriss Paije Torres | Registered representative | Oct 2025 (1y) | ||
| Edgar Alejandro Barrera Amaya | Registered representative | Oct 2025 (1y) | ||
| Felipe Juchimiuk Jaworski | Registered representative | Oct 2025 (1y) | ||
| Gabriel Espinos | Registered representative | Oct 2025 (1y) | ||
| Ledger Gregory Hatch | Registered representative | Oct 2025 (1y) | ||
| Matthew Goddu | Registered representative | Oct 2025 (1y) | ||
| Matthew Michael Ghadimi | Registered representative | Oct 2025 (1y) | ||
| Nicholas Milvid | Registered representative | Oct 2025 (1y) | ||
| Piankhi S Sykes | Registered representative | Oct 2025 (1y) | ||
| Aidan Christopher Bradley | Registered representative | Oct 2025 (1y) | ||
| William Freda | Registered representative | Oct 2025 (1y) | ||
| Arnav Pulyala | Registered representative | Oct 2025 (1y) | ||
| Jose Elias Abdala Marquez | Registered representative | Oct 2025 (1y) | ||
| Matthew John Landon | Registered representative | Oct 2025 (1y) | ||
| Mariana Cecilia Salamanca Cardona | Registered representative | Oct 2025 (1y) | ||
| Berenice A Tapia Vertiz | Registered representative | Oct 2025 (1y) | ||
| Cassandra Lynne Gibson | Registered representative | Oct 2025 (1y) | ||
| Chloe Smith | Registered representative | Oct 2025 (1y) | ||
| Geoffrey Paul Tully | Registered representative | Oct 2025 (1y) | ||
| Jorge Caceres | Registered representative | Oct 2025 (1y) | ||
| Kiersten Janine Oliva | Registered representative | Oct 2025 (1y) | ||
| Orit Hodarkovsky | Registered representative | Oct 2025 (1y) | ||
| Tuyet Do | Registered representative | Oct 2025 (1y) | ||
| Anthony Hemawarman | Registered representative | Oct 2025 (1y) | ||
| Alanah Rodriguez | Registered representative | Oct 2025 (1y) | ||
| Engell Alfonso | Registered representative | Oct 2025 (1y) | ||
| James Owen Smith | Registered representative | Oct 2025 (1y) | ||
| Juan Andres Pardo Vargas | Registered representative | Oct 2025 (1y) | ||
| Catherine Essenmacher Arnold | Registered representative | Oct 2025 (1y) | ||
| Daniel D. Finkle | Registered representative | Oct 2025 (1y) | ||
| Kyle A. Jarosz | Registered representative | Oct 2025 (1y) | ||
| Katrina Jackson | Registered representative | Oct 2025 (1y) | ||
| Mariano Ruben Oliver | Registered representative | Oct 2025 (1y) | ||
| Mario A Beltran | Registered representative | Oct 2025 (1y) | ||
| Paola Cano Manzanarez | Registered representative | Oct 2025 (1y) | ||
| Paolo Ghio | Registered representative | Oct 2025 (1y) | ||
| Pradeep Karunanidhi | Registered representative | Oct 2025 (1y) | ||
| Remington Peterson | Registered representative | Oct 2025 (1y) | ||
| Ruben Bueno Delgado | Registered representative | Oct 2025 (1y) | ||
| Anh Bui | Registered representative | Oct 2025 (1y) | ||
| Bianca Scotto | Registered representative | Oct 2025 (1y) | ||
| Francesco Andrea Musio Aguilar | Registered representative | Oct 2025 (1y) | ||
| Jackson Calder Bataille | Registered representative | Oct 2025 (1y) | ||
| Jordan Jahir Samaniego | Registered representative | Oct 2025 (1y) | ||
| Philip Baran | Registered representative | Oct 2025 (1y) | ||
| Ronit Badlani | Registered representative | Oct 2025 (1y) | ||
| Raymond J. O'rourke | Registered representative | Oct 2025 (1y) | ||
| Sakshi Dhavalikar | Registered representative | Oct 2025 (1y) | ||
| Aaron Bater | Registered representative | Oct 2025 (1y) | ||
| Angie Antoinette Carpio Joya | Registered representative | Oct 2025 (1y) | ||
| Brett Donald Melton | Registered representative | Oct 2025 (1y) | ||
| Helena Hernandez | Registered representative | Oct 2025 (1y) | ||
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| Bryan Schneider | Registered representative | Nov 2025 (1y) | ||
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| Christiana Kambouris | Registered representative | Nov 2025 (1y) | ||
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| Eleanor Sofia Jew | Registered representative | Nov 2025 (1y) | ||
| Enow Ebot Penuel Akem | Registered representative | Nov 2025 (1y) | ||
| Jeffrey Bisotooni | Registered representative | Nov 2025 (1y) | ||
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| Messay Yeshaw Kassi | Registered representative | Nov 2025 (1y) | ||
| Olivia Watson Mooney | Registered representative | Nov 2025 (1y) | ||
| Rose Griffin | Registered representative | Nov 2025 (1y) | ||
| Vincent B. Pastina | Registered representative | Nov 2025 (1y) | ||
| Angelo Madureira De Pinho Lisboa | Registered representative | Nov 2025 (1y) | ||
| Joseph Engleby | Registered representative | Nov 2025 (1y) | ||
| Marcos De Villalobos | Registered representative | Nov 2025 (1y) | ||
| Steven J. Leach | Registered representative | Nov 2025 (1y) | ||
| William Hoa | Registered representative | Nov 2025 (1y) | ||
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| Anjila Amicho | Registered representative | Nov 2025 (1y) | ||
| Cameron Sanders | Registered representative | Nov 2025 (1y) | ||
| Diego Domingues De Bulhoes Silva | Registered representative | Nov 2025 (1y) | ||
| Dylan King | Registered representative | Nov 2025 (1y) | ||
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| John A Bednarz | Registered representative | Nov 2025 (1y) | ||
| John Harrington | Registered representative | Nov 2025 (1y) | ||
| Val Watson Mooty | Registered representative | Nov 2025 (1y) | ||
| Emily Donatelli Baker | Registered representative | Nov 2025 (1y) | ||
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| Kerry A Reeves | Registered representative | Nov 2025 (1y) | ||
| Mc Kenna L. Harden | Registered representative | Nov 2025 (1y) | ||
| Montez Roberson | Registered representative | Nov 2025 (1y) | ||
| Fredricka J. Agyekum | Registered representative | Nov 2025 (1y) | ||
| Gerald Milliken | Registered representative | Nov 2025 (1y) | ||
| Gustavo Araujo | Registered representative | Nov 2025 (1y) | ||
| Kingsy Devadass | Registered representative | Nov 2025 (1y) | ||
| Miranda Barber | Registered representative | Nov 2025 (1y) | ||
| Nicolas Alejandro Mejia | Registered representative | Nov 2025 (1y) | ||
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| Catrin Hassdenteufel | Registered representative | Nov 2025 (1y) | ||
| Diego Andres Aguero Ceresole | Registered representative | Nov 2025 (1y) | ||
| Ericka Areal Fay Drinker | Registered representative | Nov 2025 (1y) | ||
| George Jl Li | Registered representative | Nov 2025 (1y) | ||
| Hope Nasimiyu Bolich | Registered representative | Nov 2025 (1y) | ||
| June Menguita Falales | Registered representative | Nov 2025 (1y) | ||
| Kyle Patriaco | Registered representative | Nov 2025 (1y) | ||
| Kyler Emerson Cox | Registered representative | Nov 2025 (1y) | ||
| Ricky Joe Dover | Registered representative | Nov 2025 (1y) | ||
| Stacie Spedding | Registered representative | Nov 2025 (1y) | ||
| Yuliya Kuznetsova | Registered representative | Nov 2025 (1y) | ||
| Clarice Jing Ting Tan | Registered representative | Nov 2025 (1y) | ||
| Fong Tin Kuo | Registered representative | Nov 2025 (1y) | ||
| Gabriel G Moreira | Registered representative | Nov 2025 (1y) | ||
| Isaiah Belew | Registered representative | Nov 2025 (1y) | ||
| Stella Lindfors | Registered representative | Nov 2025 (1y) | ||
| Victor Aguiar De Souza | Registered representative | Nov 2025 (1y) | ||
| Woo Seok Jang Lee | Registered representative | Nov 2025 (1y) | ||
| Angele Ohannessian | Registered representative | Nov 2025 (1y) | ||
| Behnoosh Rabiey | Registered representative | Nov 2025 (1y) | ||
| David Tu | Registered representative | Nov 2025 (1y) | ||
| Gerald Abram Rife | Registered representative | Nov 2025 (1y) | ||
| Jodi A Lemp | Registered representative | Nov 2025 (1y) | ||
| Jose Alpizar | Registered representative | Nov 2025 (1y) | ||
| Luis Alejandro Bermudez Rosas | Registered representative | Nov 2025 (1y) | ||
| Nathaniel Tatum | Registered representative | Nov 2025 (1y) | ||
| Qianqian Sheng | Registered representative | Nov 2025 (1y) | ||
| Richard Lindholm | Registered representative | Nov 2025 (1y) | ||
| Victoria Mccrindle | Registered representative | Nov 2025 (1y) | ||
| Alex J Trajkovic | Registered representative | Nov 2025 (1y) | ||
| Arthur Ace | Registered representative | Nov 2025 (1y) | ||
| Bryan Ross Cohen | Registered representative | Nov 2025 (1y) | ||
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| Colin Louis Bruenjes | Registered representative | Nov 2025 (1y) | ||
| Carolina Del Panta Dantas Leite | Registered representative | Nov 2025 (1y) | ||
| David Bugarin | Registered representative | Nov 2025 (1y) | ||
| Daniel Castelblanco | Registered representative | Nov 2025 (1y) | ||
| George E. Rogers | Registered representative | Nov 2025 (1y) | ||
| Ian Javier Lloreda | Registered representative | Nov 2025 (1y) | ||
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| James Migliore | Registered representative | Nov 2025 (1y) | ||
| Justin Pyle | Registered representative | Nov 2025 (1y) | ||
| Kevin M. Sheehy | Registered representative | Nov 2025 (1y) | ||
| Lena Al Hajji | Registered representative | Nov 2025 (1y) | ||
| Marie Axelle Pernot Day | Registered representative | Nov 2025 (1y) | ||
| Michel Rudman Prusky | Registered representative | Nov 2025 (1y) | ||
| Oscar Gomez Castilla | Registered representative | Nov 2025 (1y) | ||
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| Stephen Ortiz | Registered representative | Nov 2025 (1y) | ||
| Sarah Draper | Registered representative | Nov 2025 (1y) | ||
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| Bryan G. Mitchener | Registered representative | Nov 2025 (1y) | ||
| Cory A. Spalinger | Registered representative | Nov 2025 (1y) | ||
| David Romero | Registered representative | Nov 2025 (1y) | ||
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| Leah Trietiak | Registered representative | Nov 2025 (1y) | ||
| Nicole Moss | Registered representative | Nov 2025 (1y) | ||
| Rodrigo Fonteles Bonfim De Azevedo | Registered representative | Nov 2025 (1y) | ||
| Ryan M. Reynolds | Registered representative | Nov 2025 (1y) | ||
| Stevie Wakes | Registered representative | Nov 2025 (1y) | ||
| Luis Ariel Guillen | Registered representative | Nov 2025 (1y) | ||
| Stephen M Parker | Registered representative | Nov 2025 (1y) | ||
| Bryan Soares | Registered representative | Nov 2025 (1y) | ||
| Evan Greenblatt | Registered representative | Nov 2025 (1y) | ||
| Idabel Burgos | Registered representative | Nov 2025 (1y) | ||
| Jonathan Matthew Thomas | Registered representative | Nov 2025 (1y) | ||
| Jack Zade | Registered representative | Nov 2025 (1y) | ||
| Lincoln Rosenblood Cappe | Registered representative | Nov 2025 (1y) | ||
| Oliver P. Nilsen | Registered representative | Nov 2025 (1y) | ||
| Olivia Nam | Registered representative | Nov 2025 (1y) | ||
| Seth James Bailey Dudley | Registered representative | Nov 2025 (1y) | ||
| Alexander Kokas | Registered representative | Nov 2025 (1y) | ||
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| Guilherme Chaves Fonseca | Registered representative | Nov 2025 (1y) | ||
| Ishmael Saeed Thomas | Registered representative | Nov 2025 (1y) | ||
| Michael Zoiner | Registered representative | Nov 2025 (1y) | ||
| Noel Ortega | Registered representative | Nov 2025 (1y) | ||
| Shuk Ming Leung | Registered representative | Nov 2025 (1y) | ||
| Teresa L Martinez Laredo | Registered representative | Nov 2025 (1y) | ||
| Tylar Marie Bauer | Registered representative | Nov 2025 (1y) | ||
| Wen Hui Chen | Registered representative | Nov 2025 (1y) | ||
| Yibin Evan Xu | Registered representative | Nov 2025 (1y) | ||
| Adawna Ruthart | Registered representative | Nov 2025 (1y) | ||
| Allison Lombardi | Registered representative | Nov 2025 (1y) | ||
| Brian Steven Corado | Registered representative | Nov 2025 (1y) | ||
| Christopher A. Santoli | Registered representative | Nov 2025 (1y) | ||
| Conor Clougherty | Registered representative | Nov 2025 (1y) | ||
| De Andre Lamar | Registered representative | Nov 2025 (1y) | ||
| Robert Allen Sierens | Registered representative | Nov 2025 (1y) | ||
| Robert Wirthwein | Registered representative | Nov 2025 (1y) | ||
| Samantha De Vito | Registered representative | Nov 2025 (1y) | ||
| Christopher Mark Sampley | Registered representative | Nov 2025 (1y) | ||
| Jarrod J. Jordan | Registered representative | Nov 2025 (1y) | ||
| Kayla Gerdts | Registered representative | Nov 2025 (1y) | ||
| Mariam Fouda | Registered representative | Nov 2025 (1y) | ||
| Michelle Qi | Registered representative | Nov 2025 (1y) | ||
| Maria Fernanda Fernanda Muratore De Nadai | Registered representative | Nov 2025 (1y) | ||
| Matthew Martinez | Registered representative | Nov 2025 (1y) | ||
| Travis Nguyen | Registered representative | Nov 2025 (1y) | ||
| Angel Rodrigo Covarrubias Perez | Registered representative | Nov 2025 (1y) | ||
| Chelsea Walters | Registered representative | Nov 2025 (1y) | ||
| Corey M Klein | Registered representative | Nov 2025 (1y) | ||
| Mark Ivensky | Registered representative | Nov 2025 (1y) | ||
| Maximilano Coronado | Registered representative | Nov 2025 (1y) | ||
| Robert Mikolich | Registered representative | Nov 2025 (1y) | ||
| Lee Reading Banchetti | Registered representative | Nov 2025 (1y) | ||
| Sebastian Alejandro Gonzalez | Registered representative | Nov 2025 (1y) | ||
| Christopher James Spalding | Registered representative | Nov 2025 (1y) | ||
| Matthew Dean Voss | Registered representative | Nov 2025 (1y) | ||
| Micahlyn Bingham | Registered representative | Nov 2025 (1y) | ||
| Naeem Semerkant | Registered representative | Nov 2025 (1y) | ||
| Chaerin Lee | Registered representative | Nov 2025 (1y) | ||
| Damien Luis Marie Gautrot | Registered representative | Nov 2025 (1y) | ||
| Daniel Hasa | Registered representative | Nov 2025 (1y) | ||
| John Connor Delaney | Registered representative | Nov 2025 (1y) | ||
| Justin M Sekler | Registered representative | Nov 2025 (1y) | ||
| Karmen Rouhana | Registered representative | Nov 2025 (1y) | ||
| Lucia Lavalle | Registered representative | Nov 2025 (1y) | ||
| Rafaela Levy | Registered representative | Nov 2025 (1y) | ||
| Rebecca Mongeluzi | Registered representative | Nov 2025 (1y) | ||
| Samuel John Lathus | Registered representative | Nov 2025 (1y) | ||
| Savanah Caires | Registered representative | Nov 2025 (1y) | ||
| Alexandre Augusto Iorio Zanuto | Registered representative | Nov 2025 (1y) | ||
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| Elisa N. Ricci | Registered representative | Nov 2025 (1y) | ||
| John Ryan Arends | Registered representative | Nov 2025 (1y) | ||
| Julie Michele Murphy | Registered representative | Nov 2025 (1y) | ||
| Martin Slechta | Registered representative | Nov 2025 (1y) | ||
| Nicholas Koenig | Registered representative | Nov 2025 (1y) | ||
| Soraya Bensaid | Registered representative | Nov 2025 (1y) | ||
| Jack Daniel Putnam | Registered representative | Nov 2025 (1y) | ||
| Mario Alfredo Fitoria | Registered representative | Nov 2025 (1y) | ||
| Samuele Casacci | Registered representative | Nov 2025 (1y) | ||
| Socorro Fajardo | Registered representative | Nov 2025 (1y) | ||
| Thiago Caiuby Guimaraes | Registered representative | Nov 2025 (1y) | ||
| Rodrigo Blanco Creixell | Registered representative | Nov 2025 (1y) | ||
| Jordan King | Registered representative | Nov 2025 (1y) | ||
| Kinley Jia Yann | Registered representative | Nov 2025 (1y) | ||
| Tom M. Thomas | Registered representative | Nov 2025 (1y) | ||
| Carlos Guillen | Registered representative | Nov 2025 (1y) | ||
| Dominick Curra | Registered representative | Nov 2025 (1y) | ||
| Badrakhmaa Bukhkhuu | Registered representative | Nov 2025 (1y) | ||
| Cassie Parys | Registered representative | Dec 2025 (1y) | ||
| Dominic Delia | Registered representative | Dec 2025 (1y) | ||
| Elizabeth Dominguez | Registered representative | Dec 2025 (1y) | ||
| Elizabeth Nawal Asmar | Registered representative | Dec 2025 (1y) | ||
| Elie Bou Samra | Registered representative | Dec 2025 (1y) | ||
| Jocelyn Yang | Registered representative | Dec 2025 (1y) | ||
| Ryan Spencer | Registered representative | Dec 2025 (1y) | ||
| Sicong Ai | Registered representative | Dec 2025 (1y) | ||
| Wellington A Rodriguez | Registered representative | Dec 2025 (1y) | ||
| Brian P. Mc Carthy | Registered representative | Dec 2025 (1y) | ||
| Finn Hubbard | Registered representative | Dec 2025 (1y) | ||
| Gabriel Sanchez | Registered representative | Dec 2025 (1y) | ||
| Justin Curtis Harris | Registered representative | Dec 2025 (1y) | ||
| Maerdani Muladeli | Registered representative | Dec 2025 (1y) | ||
| Mark Angelo Ricca | Registered representative | Dec 2025 (1y) | ||
| Maryam Zarin Ozv | Registered representative | Dec 2025 (1y) | ||
| Pedro Sangronis | Registered representative | Dec 2025 (1y) | ||
| Changxin Qiao | Registered representative | Dec 2025 (1y) | ||
| Jessie De Groff | Registered representative | Dec 2025 (1y) | ||
| Jingxian Yu | Registered representative | Dec 2025 (1y) | ||
| Michael Preston Chambers | Registered representative | Dec 2025 (1y) | ||
| Vanessa Avendano Aguilar | Registered representative | Dec 2025 (1y) | ||
| Ailine Flores | Registered representative | Dec 2025 (1y) | ||
| Debra Roselli | Registered representative | Dec 2025 (1y) | ||
| Ethan R. De Naeyer | Registered representative | Dec 2025 (1y) | ||
| Jonathan F. Tenaglia | Registered representative | Dec 2025 (1y) | ||
| Joseph Edward Gaudino | Registered representative | Dec 2025 (1y) | ||
| Makeda Gebre | Registered representative | Dec 2025 (1y) | ||
| Robert Patrick Burmeister | Registered representative | Dec 2025 (1y) | ||
| Roderic Emil Norman | Registered representative | Dec 2025 (1y) | ||
| Taylor Morgan Kreis | Registered representative | Dec 2025 (1y) | ||
| Victoria Savage | Registered representative | Dec 2025 (1y) | ||
| Elijah Thomas Collier | Registered representative | Dec 2025 (1y) | ||
| Mark D. Henderson | Registered representative | Dec 2025 (1y) | ||
| Taylar B Owen | Registered representative | Dec 2025 (1y) | ||
| Leland Bartikofsky | Registered representative | Dec 2025 (1y) | ||
| Roberto Emilio Pellico | Registered representative | Dec 2025 (1y) | ||
| Scott Kelly Summers | Registered representative | Dec 2025 (1y) | ||
| Diana Orrostieta Momin | Registered representative | Dec 2025 (1y) | ||
| Charles Maximilian Walden | Registered representative | Dec 2025 (1y) | ||
| Elkin Parker | Registered representative | Dec 2025 (1y) | ||
| Georgia Elizabeth Taylor Bahn | Registered representative | Dec 2025 (1y) | ||
| James Kim | Registered representative | Dec 2025 (1y) | ||
| James M. Hojnacki | Registered representative | Dec 2025 (1y) | ||
| Kimete Dalipi | Registered representative | Dec 2025 (1y) | ||
| Mark C O Connor | Registered representative | Dec 2025 (1y) | ||
| Nolan David Milton Orr | Registered representative | Dec 2025 (1y) | ||
| Patrick Menton | Registered representative | Dec 2025 (1y) | ||
| Shakay Simpson | Registered representative | Dec 2025 (1y) | ||
| Andres Aguero | Registered representative | Dec 2025 (1y) | ||
| Devon J French | Registered representative | Dec 2025 (1y) | ||
| Eric James Quenemoen | Registered representative | Dec 2025 (1y) | ||
| John Perry | Registered representative | Dec 2025 (1y) | ||
| Max Land | Registered representative | Dec 2025 (1y) | ||
| Muhammad Merchant | Registered representative | Dec 2025 (1y) | ||
| Peter Macklin O'neal | Registered representative | Dec 2025 (1y) | ||
| Selcuk Donmez | Registered representative | Dec 2025 (1y) | ||
| Thomas Fan Young | Registered representative | Dec 2025 (1y) | ||
| Diego Reyes | Registered representative | Dec 2025 (1y) | ||
| Jonathan C Diaz | Registered representative | Dec 2025 (1y) | ||
| Martin Frallicciardi | Registered representative | Dec 2025 (1y) | ||
| Robert George Chiranian | Registered representative | Dec 2025 (1y) | ||
| Robert W. Hill | Registered representative | Dec 2025 (1y) | ||
| Benjamin Myers | Registered representative | Dec 2025 (1y) | ||
| Christie C Crawford | Registered representative | Dec 2025 (1y) | ||
| Eric Hayes | Registered representative | Dec 2025 (1y) | ||
| Jacques Francois | Registered representative | Dec 2025 (1y) | ||
| Rafael Palmeira Bardella | Registered representative | Dec 2025 (1y) | ||
| Richard Jang | Registered representative | Dec 2025 (1y) | ||
| Stephen Wu | Registered representative | Dec 2025 (1y) | ||
| Bevan Bradshaw | Registered representative | Dec 2025 (1y) | ||
| Chaoran Yu | Registered representative | Dec 2025 (1y) | ||
| Charles A. Gutierrez | Registered representative | Dec 2025 (1y) | ||
| Danijel Martinovic | Registered representative | Dec 2025 (1y) | ||
| Roy Cullen West | Registered representative | Dec 2025 (1y) | ||
| Nathan Ryan Lapham | Registered representative | Dec 2025 (1y) | ||
| Scott T Eichberger | Registered representative | Dec 2025 (1y) | ||
| Denny Chengyen Liu | Registered representative | Dec 2025 (1y) | ||
| Brooke Ashton Barber | Registered representative | Dec 2025 (1y) | ||
| Pedro Franco | Registered representative | Dec 2025 (1y) | ||
| Toribio Tedin | Registered representative | Dec 2025 (1y) | ||
| Jennifer Anne Otineru | Registered representative | Dec 2025 (1y) | ||
| Julie Megan Gordon | Registered representative | Dec 2025 (1y) | ||
| Nicholas Andrew Tornatore | Registered representative | Dec 2025 (1y) | ||
| Philip Pierre Louis | Registered representative | Dec 2025 (1y) | ||
| Richard Garcia | Registered representative | Dec 2025 (1y) | ||
| Harpreet K Dehar | Registered representative | Dec 2025 (1y) | ||
| Ildegardo Esparza | Registered representative | Dec 2025 (1y) | ||
| Jing Sun | Registered representative | Dec 2025 (1y) | ||
| Jose E Diaz | Registered representative | Dec 2025 (1y) | ||
| Julia Lovercheck | Registered representative | Dec 2025 (1y) | ||
| Maria Belen Cabezas | Registered representative | Dec 2025 (1y) | ||
| Nicholas C. Cruz | Registered representative | Dec 2025 (1y) | ||
| Philip Martini | Registered representative | Dec 2025 (1y) | ||
| Alex Georgelos | Registered representative | Dec 2025 (1y) | ||
| Amelia Elizabeth Reback | Registered representative | Dec 2025 (1y) | ||
| Angela S Sarver | Registered representative | Dec 2025 (1y) | ||
| Carlos A Rocha | Registered representative | Dec 2025 (1y) | ||
| Daniel Ledet | Registered representative | Dec 2025 (1y) | ||
| Diana Marie Kinkaid | Registered representative | Dec 2025 (1y) | ||
| Peter Conway | Registered representative | Dec 2025 (1y) | ||
| Sixun Gu | Registered representative | Dec 2025 (1y) | ||
| Thomas Joseph Weber | Registered representative | Dec 2025 (1y) | ||
| Wendy Martinez | Registered representative | Dec 2025 (1y) | ||
| Christina Zua | Registered representative | Dec 2025 (1y) | ||
| Miguel F Freytag | Registered representative | Dec 2025 (1y) | ||
| William Wojciechowski | Registered representative | Dec 2025 (1y) | ||
| Jacob Nathan Berger | Registered representative | Dec 2025 (1y) | ||
| Adam Carris | Registered representative | Dec 2025 (1y) | ||
| Alexander Mineros | Registered representative | Dec 2025 (1y) | ||
| Bariki Innis | Registered representative | Dec 2025 (1y) | ||
| Benjamin Fowler | Registered representative | Dec 2025 (1y) | ||
| Jordan Hawley | Registered representative | Dec 2025 (1y) | ||
| Kaitlyn Eeva Roegner | Registered representative | Dec 2025 (1y) | ||
| Kanisha Mills | Registered representative | Dec 2025 (1y) | ||
| Michael Ragone | Registered representative | Dec 2025 (1y) | ||
| Omar Elangbawy | Registered representative | Dec 2025 (1y) | ||
| Phuc Thien Lovan | Registered representative | Dec 2025 (1y) | ||
| Ricardo Marquez | Registered representative | Dec 2025 (1y) | ||
| Sofia Paiva Mourani | Registered representative | Dec 2025 (1y) | ||
| Thuy Ngoc Bui | Registered representative | Dec 2025 (1y) | ||
| Aditya Shettigar | Registered representative | Dec 2025 (1y) | ||
| Caroline Diana Cho | Registered representative | Dec 2025 (1y) | ||
| David Anthony Piscatelli | Registered representative | Dec 2025 (1y) | ||
| David Greif | Registered representative | Dec 2025 (1y) | ||
| Keaton Kyle Himsl | Registered representative | Dec 2025 (1y) | ||
| Michael Charles Gardill | Registered representative | Dec 2025 (1y) | ||
| Samuel Tsirlin | Registered representative | Dec 2025 (1y) | ||
| Sharbel Chris Chartouni | Registered representative | Dec 2025 (1y) | ||
| Zachary Ngai | Registered representative | Dec 2025 (1y) | ||
| Ian Mc Farlane | Registered representative | Dec 2025 (1y) | ||
| Karl Armando Seyhun Ferrufino | Registered representative | Dec 2025 (1y) | ||
| Khafayat Mabayoje | Registered representative | Dec 2025 (1y) | ||
| Stephen Jimenez | Registered representative | Dec 2025 (1y) | ||
| Ali Darzi Larijani | Registered representative | Dec 2025 (1y) | ||
| Felipe Roman Gomez | Registered representative | Dec 2025 (1y) | ||
| Ying Cheng | Registered representative | Dec 2025 (1y) | ||
| Andrew Cary | Registered representative | Jan 2026 (1y) | ||
| Isabella Ann Slifko | Registered representative | Jan 2026 (1y) | ||
| Jonathan Odell Davis | Registered representative | Jan 2026 (1y) | ||
| Krish Patel | Registered representative | Jan 2026 (1y) | ||
| Nicholas Peter Alexiou | Registered representative | Jan 2026 (1y) | ||
| Blair Aden Thompson | Registered representative | Jan 2026 (1y) | ||
| Courtney Obrist | Registered representative | Jan 2026 (1y) | ||
| Edgar Josue Manjarrez | Registered representative | Jan 2026 (1y) | ||
| Reid Downing | Registered representative | Jan 2026 (1y) | ||
| Susan Roth | Registered representative | Jan 2026 (1y) | ||
| Vanessa Carrillo | Registered representative | Jan 2026 (1y) | ||
| James T Duffy | Registered representative | Jan 2026 (1y) | ||
| Joshua Ohiku | Registered representative | Jan 2026 (1y) | ||
| Kira Narine | Registered representative | Jan 2026 (1y) | ||
| Melodie M Gardiner | Registered representative | Jan 2026 (1y) | ||
| Vincent T. Morrow | Registered representative | Jan 2026 (1y) | ||
| Clark Gaied | Registered representative | Jan 2026 (1y) | ||
| Colten Napier | Registered representative | Jan 2026 (1y) | ||
| Daniel Pantoja | Registered representative | Jan 2026 (1y) | ||
| Daniel Kane | Registered representative | Jan 2026 (1y) | ||
| Eduardo Chacon | Registered representative | Jan 2026 (1y) | ||
| Jason Gowan | Registered representative | Jan 2026 (1y) | ||
| Junqing Sun | Registered representative | Jan 2026 (1y) | ||
| Michael Rocha | Registered representative | Jan 2026 (1y) | ||
| Muhammad A. Abbas | Registered representative | Jan 2026 (1y) | ||
| Andrew Elias Murphy | Registered representative | Jan 2026 (1y) | ||
| Brandon Kuban | Registered representative | Jan 2026 (1y) | ||
| Brendan Keever | Registered representative | Jan 2026 (1y) | ||
| Christopher Ortiz | Registered representative | Jan 2026 (1y) | ||
| Grace Alexandria Kaley | Registered representative | Jan 2026 (1y) | ||
| John Henry Miller | Registered representative | Jan 2026 (1y) | ||
| Lauryn Stout Champagne | Registered representative | Jan 2026 (1y) | ||
| Laurence Di Cicco | Registered representative | Jan 2026 (1y) | ||
| Patrick Meringolo | Registered representative | Jan 2026 (1y) | ||
| Rajan Shankara | Registered representative | Jan 2026 (1y) | ||
| Redwan Ahmed Chowdhury | Registered representative | Jan 2026 (1y) | ||
| Sasha Mc Ginn | Registered representative | Jan 2026 (1y) | ||
| Vikram Singh | Registered representative | Jan 2026 (1y) | ||
| Anely Ustupski | Registered representative | Jan 2026 (1y) | ||
| Bernard Edward Shaw | Registered representative | Jan 2026 (1y) | ||
| Bradley Ryan Bastion | Registered representative | Jan 2026 (1y) | ||
| Carrie Young | Registered representative | Jan 2026 (1y) | ||
| Connor Terry | Registered representative | Jan 2026 (1y) | ||
| Frederick T Jackson | Registered representative | Jan 2026 (1y) | ||
| Isaac Mc Cabe | Registered representative | Jan 2026 (1y) | ||
| Liam O Connell | Registered representative | Jan 2026 (1y) | ||
| Miranda Aparicio Rios | Registered representative | Jan 2026 (1y) | ||
| Alexander Roddier | Registered representative | Jan 2026 (1y) | ||
| Christopher Kielar | Registered representative | Jan 2026 (1y) | ||
| Chung Suen | Registered representative | Jan 2026 (1y) | ||
| Logan Walton Kalb | Registered representative | Jan 2026 (1y) | ||
| Nicholas Gorelik | Registered representative | Jan 2026 (1y) | ||
| Nicholas Knudsen | Registered representative | Jan 2026 (1y) | ||
| Thanh Tran | Registered representative | Jan 2026 (1y) | ||
| Adrian Tsui | Registered representative | Jan 2026 (1y) | ||
| Ahmed Idlibi | Registered representative | Jan 2026 (1y) | ||
| Danielle Renee Auriemma | Registered representative | Jan 2026 (1y) | ||
| Edwin Keiser | Registered representative | Jan 2026 (1y) | ||
| Jennifer Parks | Registered representative | Jan 2026 (1y) | ||
| Katarina Markovic | Registered representative | Jan 2026 (1y) | ||
| Lana Haitham Albawwab | Registered representative | Jan 2026 (1y) | ||
| Malik J. Breckenridge Hall | Registered representative | Jan 2026 (1y) | ||
| Michael Jacques | Registered representative | Jan 2026 (1y) | ||
| Roopali Cirillo | Registered representative | Jan 2026 (1y) | ||
| Sophia Fazekas | Registered representative | Jan 2026 (1y) | ||
| Carlos Antonio Lopez Doddoli | Registered representative | Jan 2026 (1y) | ||
| Jose C. Garcia | Registered representative | Jan 2026 (1y) | ||
| Melissa Hatchett Pleasant | Registered representative | Jan 2026 (1y) | ||
| Patrick Torsch | Registered representative | Jan 2026 (1y) | ||
| Tammy Tanner | Registered representative | Jan 2026 (1y) | ||
| Logan Gonzalez | Registered representative | Jan 2026 (1y) | ||
| Marina Kubasova | Registered representative | Jan 2026 (1y) | ||
| Matthew Albright | Registered representative | Jan 2026 (1y) | ||
| Payton Anderson | Registered representative | Jan 2026 (1y) | ||
| Alexander Miranda | Registered representative | Jan 2026 (1y) | ||
| Anthony Wong Pena | Registered representative | Jan 2026 (1y) | ||
| Brenden Marzano | Registered representative | Jan 2026 (1y) | ||
| Matthew Kalinowski | Registered representative | Jan 2026 (1y) | ||
| Nathan Huntley | Registered representative | Jan 2026 (1y) | ||
| Ryon Cameron Senegal | Registered representative | Jan 2026 (1y) | ||
| Ryan Mailloux | Registered representative | Jan 2026 (1y) | ||
| Tom Richardson | Registered representative | CFP | Jan 2026 (1y) | |
| Adam Osman | Registered representative | Jan 2026 (1y) | ||
| Marina Ruiz De Gauna Frances | Registered representative | Jan 2026 (1y) | ||
| Andres Londono Hoyos | Registered representative | Jan 2026 (1y) | ||
| Bradley E. Kelly | Registered representative | Jan 2026 (1y) | ||
| Grayson Robert Koontz | Registered representative | Jan 2026 (1y) | ||
| John Everette Street | Registered representative | Jan 2026 (1y) | ||
| Chad Dixon | Registered representative | Jan 2026 (1y) | ||
| Emilio Pineda | Registered representative | Jan 2026 (1y) | ||
| Emmanuel Flores | Registered representative | Jan 2026 (1y) | ||
| Heidi E. Henderson | Registered representative | Jan 2026 (1y) | ||
| Jaitali Patel | Registered representative | Jan 2026 (1y) | ||
| Jee Eun Decker | Registered representative | Jan 2026 (1y) | ||
| Jonathan Gallashaw | Registered representative | Jan 2026 (1y) | ||
| Micah David Zion Stavenhagen | Registered representative | Jan 2026 (1y) | ||
| Ashley Taylor Brence | Registered representative | Jan 2026 (1y) | ||
| Alejandro Falcon Lemmo | Registered representative | Jan 2026 (1y) | ||
| Carlos Antonio Ortiz | Registered representative | Jan 2026 (1y) | ||
| Caroline Condra | Registered representative | Jan 2026 (1y) | ||
| Eileen M. Manning | Registered representative | Jan 2026 (1y) | ||
| Elliot James Lamie | Registered representative | Jan 2026 (1y) | ||
| Jake Grabarnick | Registered representative | Jan 2026 (1y) | ||
| Jocelyn M Klosowicz | Registered representative | Jan 2026 (1y) | ||
| Michael Chad Erickson | Registered representative | Jan 2026 (1y) | ||
| Nicholas Thierry | Registered representative | Jan 2026 (1y) | ||
| Peter H. Kim | Registered representative | Jan 2026 (1y) | ||
| Rene Gonzalez | Registered representative | Jan 2026 (1y) | ||
| Santoria Simone Texidor | Registered representative | Jan 2026 (1y) | ||
| Ventress Terrell Mc Callum | Registered representative | Jan 2026 (1y) | ||
| Alondra Fuentes | Registered representative | Jan 2026 (1y) | ||
| Andrew J. Gabriel | Registered representative | Jan 2026 (1y) | ||
| Bart Hartman | Registered representative | Jan 2026 (1y) | ||
| Brian L. Williams | Registered representative | Jan 2026 (1y) | ||
| Brooke Bobo | Registered representative | Jan 2026 (1y) | ||
| Caitlyn Cox | Registered representative | Jan 2026 (1y) | ||
| Christopher James Wilson | Registered representative | Jan 2026 (1y) | ||
| Hunter Stringfellow | Registered representative | Jan 2026 (1y) | ||
| Iriana Belen Lee Hung | Registered representative | Jan 2026 (1y) | ||
| Jorge Ortiz Vasquez | Registered representative | Jan 2026 (1y) | ||
| Jacob Tisdale | Registered representative | Jan 2026 (1y) | ||
| Jayson Cole Blake | Registered representative | Jan 2026 (1y) | ||
| Jose Alberto Villalobos | Registered representative | Jan 2026 (1y) | ||
| Josh Goldberg | Registered representative | Jan 2026 (1y) | ||
| Luke Vincent St. Denis | Registered representative | Jan 2026 (1y) | ||
| Lundyn Alexa Cuellar | Registered representative | Jan 2026 (1y) | ||
| Noah Cicciarelli | Registered representative | Jan 2026 (1y) | ||
| Peter C. Mullen | Registered representative | Jan 2026 (1y) | ||
| Peter James O'connor | Registered representative | Jan 2026 (1y) | ||
| Richard G. Sosa | Registered representative | Jan 2026 (1y) | ||
| Scott A. Eastman | Registered representative | Jan 2026 (1y) | ||
| Thomas Yenichek | Registered representative | Jan 2026 (1y) | ||
| Travis Adam White | Registered representative | Jan 2026 (1y) | ||
| Turner Felton | Registered representative | Jan 2026 (1y) | ||
| Nuviana Acosta | Registered representative | Jan 2026 (1y) | ||
| Matthew Shaughnessy | Registered representative | Jan 2026 (1y) | ||
| Ben Schulte | Registered representative | Jan 2026 (1y) | ||
| David Day | Registered representative | Jan 2026 (1y) | ||
| David Rodriguez | Registered representative | Jan 2026 (1y) | ||
| Jamie Lee Wood | Registered representative | Jan 2026 (1y) | ||
| Justin Carmouche | Registered representative | Jan 2026 (1y) | ||
| Kevin Ferryman | Registered representative | Jan 2026 (1y) | ||
| Lauren Vining | Registered representative | Jan 2026 (1y) | ||
| Micah K Pitman | Registered representative | Jan 2026 (1y) | ||
| Noah Hinson | Registered representative | Jan 2026 (1y) | ||
| Sergio F Rivera | Registered representative | Jan 2026 (1y) | ||
| Tyler Allen Czech | Registered representative | Jan 2026 (1y) | ||
| Ulises Hernandez | Registered representative | Jan 2026 (1y) | ||
| Yanming Lin | Registered representative | Jan 2026 (1y) | ||
| Anh Hue Dieu | Registered representative | Jan 2026 (1y) | ||
| Basliel Dinku | Registered representative | Jan 2026 (1y) | ||
| Darius Releford | Registered representative | Jan 2026 (1y) | ||
| Denise De La Torre | Registered representative | Jan 2026 (1y) | ||
| Kaitlyn Breyann Baltz | Registered representative | Jan 2026 (1y) | ||
| Connor Webster | Registered representative | Jan 2026 (1y) | ||
| Edwin Gonzalez | Registered representative | Jan 2026 (1y) | ||
| Isai Perez | Registered representative | Jan 2026 (1y) | ||
| Jim Juchcinski | Registered representative | Jan 2026 (1y) | ||
| Marisol Cozza | Registered representative | Jan 2026 (1y) | ||
| Michael Kelleher | Registered representative | CFP | Jan 2026 (1y) | |
| Natallia Talkachova | Registered representative | Jan 2026 (1y) | ||
| Omar Nabil Al Mashni | Registered representative | Jan 2026 (1y) | ||
| Amy Spiker | Registered representative | Jan 2026 (1y) | ||
| Yousif G. Helo | Registered representative | Jan 2026 (1y) | ||
| Amber Seiler | Registered representative | Jan 2026 (1y) | ||
| Christopher Aoun | Registered representative | Jan 2026 (1y) | ||
| Chelsea Sade Rojas | Registered representative | Jan 2026 (1y) | ||
| Joseph Wallace | Registered representative | Jan 2026 (1y) | ||
| Maxwell James Hunt | Registered representative | Jan 2026 (1y) | ||
| Maytal Madar | Registered representative | Jan 2026 (1y) | ||
| Nicole Papert | Registered representative | Jan 2026 (1y) | ||
| Robert Stafford | Registered representative | Jan 2026 (1y) | ||
| Samer Barham | Registered representative | Jan 2026 (1y) | ||
| Chase E. Appe | Registered representative | Jan 2026 (1y) | ||
| Priya Khullar | Registered representative | Feb 2026 (1y) | ||
| Apolonio Hamilton Gonzales | Registered representative | Feb 2026 (0y) | ||
| Danielle Armstrong | Registered representative | Feb 2026 (0y) | ||
| Isabel Wilkowski | Registered representative | Feb 2026 (0y) | ||
| Jarrod Council | Registered representative | Feb 2026 (0y) | ||
| Logan Kincade | Registered representative | Feb 2026 (0y) | ||
| Michael Mayeri | Registered representative | Feb 2026 (0y) | ||
| Rene Martinez Silva | Registered representative | Feb 2026 (0y) | ||
| Richard Alexander Lawson | Registered representative | Feb 2026 (0y) | ||
| Tyler David Parker | Registered representative | Feb 2026 (0y) | ||
| Tyler James Scholten | Registered representative | Feb 2026 (0y) | ||
| Jingdi Sun | Registered representative | Feb 2026 (0y) | ||
| Mary E Slanger | Registered representative | Feb 2026 (0y) | ||
| Reynaldo Pol | Registered representative | Feb 2026 (0y) | ||
| Thomas Barron Hensley | Registered representative | Feb 2026 (0y) | ||
| Zack James Tracy | Registered representative | Feb 2026 (0y) | ||
| Andrea Alvarado | Registered representative | Feb 2026 (0y) | ||
| Andrew Muniz | Registered representative | Feb 2026 (0y) | ||
| Angel Lin | Registered representative | Feb 2026 (0y) | ||
| Jad Jaber | Registered representative | Feb 2026 (0y) | ||
| Kristian Michael Rivas | Registered representative | Feb 2026 (0y) | ||
| Louis Huntley Allen | Registered representative | Feb 2026 (0y) | ||
| Roman Christian Laus | Registered representative | Feb 2026 (0y) | ||
| Beiyun Wang | Registered representative | Feb 2026 (0y) | ||
| Brian Barrett Noone | Registered representative | Feb 2026 (0y) | ||
| Christian Atabong | Registered representative | Feb 2026 (0y) | ||
| Deborah Ida Baron | Registered representative | Feb 2026 (0y) | ||
| Richard Blaine Hubbard | Registered representative | Feb 2026 (0y) | ||
| Sarbjit Kaur | Registered representative | Feb 2026 (0y) | ||
| Seth Parker Bosch | Registered representative | Feb 2026 (0y) | ||
| Clyde Woodrow Wint | Registered representative | Feb 2026 (0y) | ||
| Jessica Faith Ogden | Registered representative | Feb 2026 (0y) | ||
| Joseph Steele | Registered representative | Feb 2026 (0y) | ||
| Nikhil Patel | Registered representative | Feb 2026 (0y) | ||
| Ronaldo Adolfo Garcia | Registered representative | Feb 2026 (0y) | ||
| Vincent Gregoire | Registered representative | Feb 2026 (0y) | ||
| Andrew Burns | Registered representative | CFP | Feb 2026 (0y) | |
| Aria Haroonian | Registered representative | Feb 2026 (0y) | ||
| Gabriela Farias De Macena Calderon | Registered representative | Feb 2026 (0y) | ||
| Ivan A. Beltran | Registered representative | Feb 2026 (0y) | ||
| Justin Dyer Krukar | Registered representative | Feb 2026 (0y) | ||
| Abigail Robinson | Registered representative | Feb 2026 (0y) | ||
| Ronney Rozario | Registered representative | Feb 2026 (0y) | ||
| Trudy Ann Jones | Registered representative | Feb 2026 (0y) | ||
| Anton Dominic Agoncillo | Registered representative | Feb 2026 (0y) | ||
| Christopher Anthony Impellitteri | Registered representative | Feb 2026 (0y) | ||
| Cruz Alberto Sandoval Roman | Registered representative | Feb 2026 (0y) | ||
| David Aaron Streck | Registered representative | Feb 2026 (0y) | ||
| Henry Daniel Pozo | Registered representative | Feb 2026 (0y) | ||
| Jeanette Galoumian | Registered representative | Feb 2026 (0y) | ||
| Josefine Jennifer Hoetzel Roden | Registered representative | Feb 2026 (0y) | ||
| Lathen Hardy | Registered representative | Feb 2026 (0y) | ||
| Logan James Huffman | Registered representative | Feb 2026 (0y) | ||
| Gabriel Pena | Registered representative | Feb 2026 (0y) | ||
| Ian Fraser Mobley | Registered representative | Feb 2026 (0y) | ||
| Kristine Walker | Registered representative | Feb 2026 (0y) | ||
| Ruiying Ding | Registered representative | Feb 2026 (0y) | ||
| Shayanna Hauck | Registered representative | Feb 2026 (0y) | ||
| Cody H. Miller | Registered representative | Feb 2026 (0y) | ||
| Dominick Benedetto | Registered representative | Feb 2026 (0y) | ||
| Hayk Grigoryan | Registered representative | Feb 2026 (0y) | ||
| Konstantina Fragkou | Registered representative | Feb 2026 (0y) | ||
| Mina Saleh | Registered representative | Feb 2026 (0y) | ||
| Kevin Luebbert | Registered representative | Feb 2026 (0y) | ||
| Brittney Alexis Robinson | Registered representative | Feb 2026 (0y) | ||
| Adam Glatz | Registered representative | Feb 2026 (0y) | ||
| Christopher G Limbach | Registered representative | Feb 2026 (0y) | ||
| Darius Bagan | Registered representative | Feb 2026 (0y) | ||
| Jae Hyeong Koo | Registered representative | Feb 2026 (0y) | ||
| Matthew Holquist | Registered representative | Feb 2026 (0y) | ||
| Nicolas Terminiello | Registered representative | Feb 2026 (0y) | ||
| Samarth Khanna | Registered representative | Feb 2026 (0y) | ||
| Steven Halvorson | Registered representative | Feb 2026 (0y) | ||
| William Grant Weltge | Registered representative | Feb 2026 (0y) | ||
| Alexander Goodkind | Registered representative | Feb 2026 (0y) | ||
| Benjamin A. Barry | Registered representative | Feb 2026 (0y) | ||
| Diana Lyn Llegue | Registered representative | Feb 2026 (0y) | ||
| Kent E. Penney | Registered representative | Feb 2026 (0y) | ||
| Kim Loan Nguyen | Registered representative | Feb 2026 (0y) | ||
| Kyle R. Stevens | Registered representative | Feb 2026 (0y) | ||
| Scott Porter | Registered representative | Feb 2026 (0y) | ||
| Talha Javed | Registered representative | Feb 2026 (0y) | ||
| Alejandro Saavedra | Registered representative | Feb 2026 (0y) | ||
| Drew Smiley | Registered representative | Feb 2026 (0y) | ||
| Gael Aaron Perez Rivera | Registered representative | Feb 2026 (0y) | ||
| Hilary Goodman | Registered representative | Feb 2026 (0y) | ||
| Janna Magdaleno | Registered representative | Feb 2026 (0y) | ||
| Kelly Cofer Malone | Registered representative | Feb 2026 (0y) | ||
| Kyle Davis | Registered representative | Feb 2026 (0y) | ||
| Phillip Swann | Registered representative | Feb 2026 (0y) | ||
| Ryan French | Registered representative | Feb 2026 (0y) | ||
| Thor Crozakian | Registered representative | Feb 2026 (0y) | ||
| Vezafina Angeles Kirby | Registered representative | Feb 2026 (0y) | ||
| Yue Carol Liao | Registered representative | Feb 2026 (0y) | ||
| Jacob Robert Michalski | Registered representative | Feb 2026 (0y) | ||
| Mohammed Halabi | Registered representative | Feb 2026 (0y) | ||
| Ruben E. Valdez | Registered representative | Feb 2026 (0y) | ||
| Amanda Diaram Ramtahal Mendez | Registered representative | Feb 2026 (0y) | ||
| Andrew Renteria | Registered representative | Feb 2026 (0y) | ||
| Colin Camblin | Registered representative | Feb 2026 (0y) | ||
| Corey James Conway | Registered representative | Feb 2026 (0y) | ||
| Erol Enver Ertumen | Registered representative | Feb 2026 (0y) | ||
| Fatma Awadalla | Registered representative | Feb 2026 (0y) | ||
| John Andrew Darrah | Registered representative | Feb 2026 (0y) | ||
| Lucas Le Blanc | Registered representative | Feb 2026 (0y) | ||
| Luis Eduardo Rizo | Registered representative | Feb 2026 (0y) | ||
| Matthew Albert Goldberg | Registered representative | Feb 2026 (0y) | ||
| Michael Santino | Registered representative | Feb 2026 (0y) | ||
| Mohamad Aoun | Registered representative | Feb 2026 (0y) | ||
| Nicholas Hubbard Taylor | Registered representative | Feb 2026 (0y) | ||
| Philip Thames | Registered representative | Feb 2026 (0y) | ||
| Theodore Todd Risen | Registered representative | Feb 2026 (0y) | ||
| Craig Crawford | Registered representative | Feb 2026 (0y) | ||
| Gabriella Alvarenga | Registered representative | Feb 2026 (0y) | ||
| Joshua Lopez | Registered representative | Feb 2026 (0y) | ||
| Ricardo Valenzuela | Registered representative | Feb 2026 (0y) | ||
| Richard J Flores | Registered representative | Feb 2026 (0y) | ||
| Thomas P. Schilling | Registered representative | Feb 2026 (0y) | ||
| William Joel Fuentes Torres | Registered representative | Feb 2026 (0y) | ||
| Ilirian Mujovic | Registered representative | Feb 2026 (0y) | ||
| Jerome Jones | Registered representative | Feb 2026 (0y) | ||
| Jessica Montecalvo | Registered representative | Feb 2026 (0y) | ||
| Juan Manuel Herrera | Registered representative | Feb 2026 (0y) | ||
| Robert Kashat | Registered representative | Feb 2026 (0y) | ||
| Veronica Navarrete | Registered representative | Feb 2026 (0y) | ||
| Andrew Kamees | Registered representative | Feb 2026 (0y) | ||
| Arturo Alejandro Leis Pretto | Registered representative | Feb 2026 (0y) | ||
| Christopher Hahne | Registered representative | Feb 2026 (0y) | ||
| Haroutyun Arthur Galajian | Registered representative | Feb 2026 (0y) | ||
| Ja Vail Lewis | Registered representative | Feb 2026 (0y) | ||
| Julianna Maldonado | Registered representative | Feb 2026 (0y) | ||
| Lenaire Jones | Registered representative | Feb 2026 (0y) | ||
| Tyler Evans | Registered representative | Feb 2026 (0y) | ||
| Douglas Mitchell | Registered representative | Feb 2026 (0y) | ||
| Gregory John Sander | Registered representative | Feb 2026 (0y) | ||
| Joshua M. Helton | Registered representative | Feb 2026 (0y) | ||
| Massimo Paone | Registered representative | Feb 2026 (0y) | ||
| Martin Spicer | Registered representative | Feb 2026 (0y) | ||
| Samuel Andrew Kinderman | Registered representative | Feb 2026 (0y) | ||
| Thomas Higbie | Registered representative | Feb 2026 (0y) | ||
| Zachary Seth Carden | Registered representative | Feb 2026 (0y) | ||
| Estiven A. Quezada | Registered representative | Mar 2026 (0y) | ||
| Mian Mark Wang | Registered representative | Mar 2026 (0y) | ||
| Albina Jashari | Registered representative | Mar 2026 (0y) | ||
| Amy Wang | Registered representative | Mar 2026 (0y) | ||
| John Michael Gorse | Registered representative | Mar 2026 (0y) | ||
| Michael Richard Finke | Registered representative | Mar 2026 (0y) | ||
| Nicholas Robinette | Registered representative | Mar 2026 (0y) | ||
| Timothy David Norman | Registered representative | Mar 2026 (0y) | ||
| Alexander Philip Pluta | Registered representative | Mar 2026 (0y) | ||
| Kevin Mc Ginn | Registered representative | Mar 2026 (0y) | ||
| Nicholas C. Nanas | Registered representative | Mar 2026 (0y) | ||
| Nicholas Caccamo | Registered representative | Mar 2026 (0y) | ||
| Ting Gong | Registered representative | Mar 2026 (0y) | ||
| Andrea Sanchez | Registered representative | Mar 2026 (0y) | ||
| Andres Libreros | Registered representative | Mar 2026 (0y) | ||
| Elena Y Teed | Registered representative | Mar 2026 (0y) | ||
| Fabian Bardales | Registered representative | Mar 2026 (0y) | ||
| John Kuntz | Registered representative | Mar 2026 (0y) | ||
| Marvin Garcia | Registered representative | Mar 2026 (0y) | ||
| Tyler Powell Kelly | Registered representative | Mar 2026 (0y) | ||
| Wenxin Cao | Registered representative | Mar 2026 (0y) | ||
| Adunni Covington | Registered representative | Mar 2026 (0y) | ||
| Benito Moneta | Registered representative | Mar 2026 (0y) | ||
| Cailey Patterson | Registered representative | Mar 2026 (0y) | ||
| Gabriela Vizuet | Registered representative | Mar 2026 (0y) | ||
| Justin Pounds | Registered representative | Mar 2026 (0y) | ||
| Mehvish Khan | Registered representative | Mar 2026 (0y) | ||
| Michael Krebsbach | Registered representative | Mar 2026 (0y) | ||
| Stephen Matthew Mc Kenzie | Registered representative | Mar 2026 (0y) | ||
| Yudel David De La Garza | Registered representative | Mar 2026 (0y) | ||
| Carolyn Chaverra | Registered representative | Mar 2026 (0y) | ||
| Farhad Sean Badii | Registered representative | Mar 2026 (0y) | ||
| Jonathan William Kelly | Registered representative | Mar 2026 (0y) | ||
| Mary Kate Mc Cague | Registered representative | Mar 2026 (0y) | ||
| Sean M Kennedy | Registered representative | Mar 2026 (0y) | ||
| David Le | Registered representative | Mar 2026 (0y) | ||
| Jared Golubitsky | Registered representative | Mar 2026 (0y) | ||
| King Tong Wong | Registered representative | Mar 2026 (0y) | ||
| Mark H. Belford | Registered representative | Mar 2026 (0y) | ||
| Imran K Faizi | Registered representative | Mar 2026 (0y) | ||
| Ioannis Bachos | Registered representative | Mar 2026 (0y) | ||
| Mohit Pahilajani | Registered representative | Mar 2026 (0y) | ||
| Daniel Dobbs | Registered representative | Mar 2026 (0y) | ||
| Gavin Faulkner | Registered representative | Mar 2026 (0y) | ||
| Jeffrey Treut | Registered representative | Mar 2026 (0y) | ||
| Jeremiah Watene | Registered representative | Mar 2026 (0y) | ||
| Michael A. Chvedov | Registered representative | Mar 2026 (0y) | ||
| Michael Zotika | Registered representative | Mar 2026 (0y) | ||
| Omar Lascelles | Registered representative | Mar 2026 (0y) | ||
| Roberto Luis Perdomo | Registered representative | Mar 2026 (0y) | ||
| Aaron Mc Kenna | Registered representative | Mar 2026 (0y) | ||
| Alexander Nikolaev | Registered representative | Mar 2026 (0y) | ||
| Bokhee Chang | Registered representative | Mar 2026 (0y) | ||
| Christopher Matthew Killip | Registered representative | Mar 2026 (0y) | ||
| Gavin Lyon | Registered representative | Mar 2026 (0y) | ||
| Harrison Ivie | Registered representative | Mar 2026 (0y) | ||
| Julian Joseph Aguallo Cruz | Registered representative | Mar 2026 (0y) | ||
| Adetayo Adewole | Registered representative | Mar 2026 (0y) | ||
| Dowhene Clunis | Registered representative | Mar 2026 (0y) | ||
| Erik De Jesus Jaques Rosales | Registered representative | Mar 2026 (0y) | ||
| Jonathan Totillo | Registered representative | Mar 2026 (0y) | ||
| Lisbeth C. Guerrero Aguirre | Registered representative | Mar 2026 (0y) | ||
| Sean Temple | Registered representative | Mar 2026 (0y) | ||
| Vladislav Bobkov | Registered representative | Mar 2026 (0y) | ||
| Brandon Turner | Registered representative | Mar 2026 (0y) | ||
| Shawn Clay Riley | Registered representative | Mar 2026 (0y) | ||
| Angelo Q Gordon | Registered representative | Mar 2026 (0y) | ||
| Emily R. Balasic | Registered representative | Mar 2026 (0y) | ||
| Geraldo Israel Mendoza | Registered representative | Mar 2026 (0y) | ||
| Joseph Griffin Deignan | Registered representative | Mar 2026 (0y) | ||
| Joseph W Lewis | Registered representative | Mar 2026 (0y) | ||
| Kristen Dichkus | Registered representative | Mar 2026 (0y) | ||
| Kristin Lynn Steele | Registered representative | Mar 2026 (0y) | ||
| Stella Haberer Reppucci | Registered representative | Mar 2026 (0y) | ||
| Tiffany Ge | Registered representative | Mar 2026 (0y) | ||
| Aidan Keefe | Registered representative | Mar 2026 (0y) | ||
| Alonso Buitron | Registered representative | Mar 2026 (0y) | ||
| Braeden Smith | Registered representative | Mar 2026 (0y) | ||
| Cynthia Ninoska Magaletta | Registered representative | Mar 2026 (0y) | ||
| Clarence Derrick Jackson | Registered representative | Mar 2026 (0y) | ||
| Eleanor Donkor | Registered representative | Mar 2026 (0y) | ||
| Isaac Lee Noble | Registered representative | Mar 2026 (0y) | ||
| Mariana Guariba Costa Giglio | Registered representative | Mar 2026 (0y) | ||
| Matthew S. Rick | Registered representative | Mar 2026 (0y) | ||
| Maxine Sue Blackwell | Registered representative | Mar 2026 (0y) | ||
| Navdeep Singh Brar | Registered representative | Mar 2026 (0y) | ||
| Roberta K. Zuckerman | Registered representative | Mar 2026 (0y) | ||
| Stephen Nsien | Registered representative | Mar 2026 (0y) | ||
| Taylor Baloney | Registered representative | Mar 2026 (0y) | ||
| William Wyatt Weikum | Registered representative | Mar 2026 (0y) | ||
| Xinyu Zhuo | Registered representative | Mar 2026 (0y) | ||
| Frank Spataro | Registered representative | Mar 2026 (0y) | ||
| Matthew Steward | Registered representative | Mar 2026 (0y) | ||
| Olga Ewelina Davis | Registered representative | Mar 2026 (0y) | ||
| Rohit Malhotra | Registered representative | Mar 2026 (0y) | ||
| Shahrzad Keshavarz Adeli | Registered representative | Mar 2026 (0y) | ||
| Andrea Cruz | Registered representative | Mar 2026 (0y) | ||
| Davis Buckhannon | Registered representative | Mar 2026 (0y) | ||
| Dennis A. Csensits | Registered representative | Mar 2026 (0y) | ||
| Diego Marigi | Registered representative | Mar 2026 (0y) | ||
| Faith Doyal Goodwin | Registered representative | Mar 2026 (0y) | ||
| Kris B Morris | Registered representative | Mar 2026 (0y) | ||
| Krystle Conger | Registered representative | Mar 2026 (0y) | ||
| Sami Aslam | Registered representative | Mar 2026 (0y) | ||
| Thomas Santos | Registered representative | Mar 2026 (0y) | ||
| Yingyu Situ | Registered representative | Mar 2026 (0y) | ||
| Bo Wang | Registered representative | Mar 2026 (0y) | ||
| Aaron Blackburn | Registered representative | Mar 2026 (0y) | ||
| Alex Richard Minelli | Registered representative | Mar 2026 (0y) | ||
| Gavin Barr | Registered representative | Mar 2026 (0y) | ||
| Jason Bender | Registered representative | Mar 2026 (0y) | ||
| Joseph P Vidal | Registered representative | Mar 2026 (0y) | ||
| Martin Raul Vera | Registered representative | Mar 2026 (0y) | ||
| Parth Bhakta | Registered representative | Mar 2026 (0y) | ||
| Romeo Margot Picquendar | Registered representative | Mar 2026 (0y) | ||
| Segundo Cremaschi | Registered representative | Mar 2026 (0y) | ||
| Andrew Thomas Simpson | Registered representative | Mar 2026 (0y) | ||
| Adam Kim | Registered representative | Mar 2026 (0y) | ||
| Andrew Frederick Rametta | Registered representative | Mar 2026 (0y) | ||
| Damian Rene Lopez | Registered representative | Mar 2026 (0y) | ||
| Jake Wagner | Registered representative | Mar 2026 (0y) | ||
| Jared Godair | Registered representative | Mar 2026 (0y) | ||
| Meyer Paul Diamond | Registered representative | Mar 2026 (0y) | ||
| Nishtha Sharma | Registered representative | Mar 2026 (0y) | ||
| Silvio D. Morales | Registered representative | Mar 2026 (0y) | ||
| Victor Armando Vera Morales | Registered representative | Mar 2026 (0y) | ||
| Brooke Blanton | Registered representative | Mar 2026 (0y) | ||
| Nathan Ryan Witte | Registered representative | Mar 2026 (0y) | ||
| Yufan Cao | Registered representative | Mar 2026 (0y) | ||
| Benjamin Cobb | Registered representative | Mar 2026 (0y) | ||
| Kristi Glover | Registered representative | Mar 2026 (0y) | ||
| Milton Kinley | Registered representative | Mar 2026 (0y) | ||
| Ridgewell Clark | Registered representative | Mar 2026 (0y) | ||
| Ronald Owen | Registered representative | Mar 2026 (0y) | ||
| Anders N Hill | Registered representative | Mar 2026 (0y) | ||
| Daniel Farrell | Registered representative | Mar 2026 (0y) | ||
| Destry West | Registered representative | Mar 2026 (0y) | ||
| John Patrick Brennan | Registered representative | Mar 2026 (0y) | ||
| Jasin Doan Madlum | Registered representative | Mar 2026 (0y) | ||
| John Tabert | Registered representative | Mar 2026 (0y) | ||
| Kristina Marie Dunscombe Sai | Registered representative | Mar 2026 (0y) | ||
| Nathan Zebadiah O'connell | Registered representative | Mar 2026 (0y) | ||
| Phillip Z Klimaitis | Registered representative | Mar 2026 (0y) | ||
| Ron Gur | Registered representative | Mar 2026 (0y) | ||
| Samantha Jane Gotti | Registered representative | Mar 2026 (0y) | ||
| Sophia Iacovelli | Registered representative | Mar 2026 (0y) | ||
| Steven Auger | Registered representative | Mar 2026 (0y) | ||
| Adriana Perez | Registered representative | Mar 2026 (0y) | ||
| Daniel Rafferty | Registered representative | Mar 2026 (0y) | ||
| Gisselle Caraballo | Registered representative | Mar 2026 (0y) | ||
| Haiyan Xu | Registered representative | Mar 2026 (0y) | ||
| Jennifer Lewis Gravelle | Registered representative | Mar 2026 (0y) | ||
| John Christopher Gonzalez | Registered representative | Mar 2026 (0y) | ||
| Luis Marmolejo | Registered representative | Mar 2026 (0y) | ||
| Nicholas Philip Pecorella | Registered representative | Mar 2026 (0y) | ||
| Noah Alexander Nowlin | Registered representative | Mar 2026 (0y) | ||
| Rommel Garcia | Registered representative | Mar 2026 (0y) | ||
| Travis Poteet | Registered representative | Mar 2026 (0y) | ||
| Andres Avila | Registered representative | Mar 2026 (0y) | ||
| Devlin Morales | Registered representative | Mar 2026 (0y) | ||
| Gregory L Satriale | Registered representative | Mar 2026 (0y) | ||
| Joshua Bakken | Registered representative | Mar 2026 (0y) | ||
| Kyle Richard Moore | Registered representative | Mar 2026 (0y) | ||
| Mason Avni | Registered representative | Mar 2026 (0y) | ||
| Nestor Nino | Registered representative | Mar 2026 (0y) | ||
| Raquel R. Fang | Registered representative | Mar 2026 (0y) | ||
| Majid Saber | Registered representative | Mar 2026 (0y) | ||
| Nicolas Aguzin | Registered representative | Mar 2026 (0y) | ||
| Olivia Galdi | Registered representative | Mar 2026 (0y) | ||
| Reginald E. Merritt | Registered representative | Mar 2026 (0y) | ||
| Liana Portela Belliard | Registered representative | Mar 2026 (0y) | ||
| Rachel Flynn | Registered representative | Mar 2026 (0y) | ||
| Andrew Morse | Registered representative | Mar 2026 (0y) | ||
| Kana Nagata | Registered representative | Mar 2026 (0y) | ||
| Matthew Willis Richardson | Registered representative | Mar 2026 (0y) | ||
| Brandon Pearson | Registered representative | Mar 2026 (0y) | ||
| Hugo Emmanuel Guerra Valdez | Registered representative | Mar 2026 (0y) | ||
| Oscar Pelaez | Registered representative | Mar 2026 (0y) | ||
| Ruy Assumpcao Neto | Registered representative | Mar 2026 (0y) | ||
| Steven Bradwell Dellinger | Registered representative | Mar 2026 (0y) | ||
| Alexander Dorin | Registered representative | Mar 2026 (0y) | ||
| Andrew Kha | Registered representative | Mar 2026 (0y) | ||
| Benjamin Matias Wilson | Registered representative | Mar 2026 (0y) | ||
| David Cleason | Registered representative | Mar 2026 (0y) | ||
| Errol Tristan Stradling | Registered representative | Mar 2026 (0y) | ||
| Enrique Perez | Registered representative | Mar 2026 (0y) | ||
| Garrison Walter Wiesenhahn | Registered representative | Mar 2026 (0y) | ||
| Giancarlo Romano Mateo Leuterio | Registered representative | Mar 2026 (0y) | ||
| Jennifer D. Blair | Registered representative | Mar 2026 (0y) | ||
| Liam Patrick Mc Lane | Registered representative | Mar 2026 (0y) | ||
| Olivia Brooks | Registered representative | Mar 2026 (0y) | ||
| Alec Levine | Registered representative | Apr 2026 (0y) | ||
| Andis Madani | Registered representative | Apr 2026 (0y) | ||
| Bryan Michael Hall | Registered representative | Apr 2026 (0y) | ||
| Charles Manoukian | Registered representative | Apr 2026 (0y) | ||
| Karinthia R Mittal | Registered representative | Apr 2026 (0y) | ||
| Matthew Weaver | Registered representative | Apr 2026 (0y) | ||
| Ryan Patrick Brown | Registered representative | Apr 2026 (0y) | ||
| Bruce Edward Davis | Registered representative | Apr 2026 (0y) | ||
| Daniel S Garone | Registered representative | Apr 2026 (0y) | ||
| Jaime Ruiz Saez | Registered representative | Apr 2026 (0y) | ||
| Kevin Erben | Registered representative | Apr 2026 (0y) | ||
| Mohamad Husari | Registered representative | Apr 2026 (0y) | ||
| Pedro Henrique Pinto De Castro Alvares | Registered representative | Apr 2026 (0y) | ||
| Sergio Hernandez | Registered representative | Apr 2026 (0y) | ||
| Alexander Efstratios Lambos | Registered representative | Apr 2026 (0y) | ||
| Andrew John Caputo | Registered representative | Apr 2026 (0y) | ||
| Carlos Guerrero | Registered representative | Apr 2026 (0y) | ||
| Ming Han Gao | Registered representative | Apr 2026 (0y) | ||
| Nichole Saray | Registered representative | Apr 2026 (0y) | ||
| Noah Garcia | Registered representative | Apr 2026 (0y) | ||
| Devon Huang | Registered representative | Apr 2026 (0y) | ||
| Kathryn Odama | Registered representative | Apr 2026 (0y) | ||
| Mingda Dong | Registered representative | Apr 2026 (0y) | ||
| Piper Sonen | Registered representative | Apr 2026 (0y) | ||
| Andrew Morgan Frederick | Registered representative | Apr 2026 (0y) | ||
| Antoine Beniflah | Registered representative | Apr 2026 (0y) | ||
| Balvenie Swope Emma | Registered representative | Apr 2026 (0y) | ||
| Chinwe Okogwu | Registered representative | Apr 2026 (0y) | ||
| Christian Alino | Registered representative | Apr 2026 (0y) | ||
| Connor Darville | Registered representative | Apr 2026 (0y) | ||
| Dakota Fields | Registered representative | Apr 2026 (0y) | ||
| Daylon Moore | Registered representative | Apr 2026 (0y) | ||
| Eduardo Benavides | Registered representative | Apr 2026 (0y) | ||
| Gina Franco Calderon | Registered representative | Apr 2026 (0y) | ||
| John Pappas | Registered representative | Apr 2026 (0y) | ||
| Negar Akbari Ghalehnoy | Registered representative | Apr 2026 (0y) | ||
| Nicholas Delaurentis | Registered representative | Apr 2026 (0y) | ||
| Ryan Kilgore | Registered representative | Apr 2026 (0y) | ||
| Santiago Andres Rodriguez | Registered representative | Apr 2026 (0y) | ||
| Tayshaun Smith | Registered representative | Apr 2026 (0y) | ||
| Tyler Franco | Registered representative | Apr 2026 (0y) | ||
| Cam Wyse | Registered representative | Apr 2026 (0y) | ||
| Camille Lashawn Powell | Registered representative | Apr 2026 (0y) | ||
| Joshua Rencher | Registered representative | Apr 2026 (0y) | ||
| Latoya Nettleford | Registered representative | Apr 2026 (0y) | ||
| Luke Michael Orbon | Registered representative | Apr 2026 (0y) | ||
| Matthew Alex Rosenberg | Registered representative | Apr 2026 (0y) | ||
| Noah Antonio Barile | Registered representative | Apr 2026 (0y) | ||
| Peter Yanni | Registered representative | Apr 2026 (0y) | ||
| Tyler James Oswald | Registered representative | Apr 2026 (0y) | ||
| Zain Mian | Registered representative | Apr 2026 (0y) | ||
| Annabel Toole | Registered representative | Apr 2026 (0y) | ||
| Hector Tobia | Registered representative | Apr 2026 (0y) | ||
| Malgorzata Lewis | Registered representative | Apr 2026 (0y) | ||
| Mark Richard Green | Registered representative | Apr 2026 (0y) | ||
| Mitchell Ter Smitte | Registered representative | Apr 2026 (0y) | ||
| Tyler H. Spence | Registered representative | Apr 2026 (0y) | ||
| Anise Crump | Registered representative | Apr 2026 (0y) | ||
| Ethan Dawson | Registered representative | Apr 2026 (0y) | ||
| Garrett Busler | Registered representative | Apr 2026 (0y) | ||
| Gregory F Heninger | Registered representative | Apr 2026 (0y) | ||
| John Banks Sewell | Registered representative | Apr 2026 (0y) | ||
| Julio Martinez | Registered representative | Apr 2026 (0y) | ||
| Meredith Leigh Doty | Registered representative | Apr 2026 (0y) | ||
| Manuella K. Shomba | Registered representative | Apr 2026 (0y) | ||
| Matthew Kedash | Registered representative | Apr 2026 (0y) | ||
| Michelle Ovalle | Registered representative | Apr 2026 (0y) | ||
| Rodolfo Rodriguez | Registered representative | Apr 2026 (0y) | ||
| Guilherme Reif Carvalhaes | Registered representative | Apr 2026 (0y) | ||
| James Carnot Boucard | Registered representative | Apr 2026 (0y) | ||
| John A. Watson | Registered representative | Apr 2026 (0y) | ||
| Kareem Hinckson | Registered representative | Apr 2026 (0y) | ||
| Ramez Raheb | Registered representative | Apr 2026 (0y) | ||
| Andre Galvao De Campos Costa | Registered representative | Apr 2026 (0y) | ||
| Carlo Manzella | Registered representative | Apr 2026 (0y) | ||
| Lu Hao | Registered representative | Apr 2026 (0y) | ||
| Mikael Ago | Registered representative | Apr 2026 (0y) | ||
| Pablo Javier Artigas Maritano | Registered representative | Apr 2026 (0y) | ||
| Amelia Figueroa | Registered representative | Apr 2026 (0y) | ||
| Jonathan W Jones | Registered representative | Apr 2026 (0y) | ||
| Andrew W. Jones | Registered representative | Apr 2026 (0y) | ||
| Anthony G. Di Gabriele | Registered representative | Apr 2026 (0y) | ||
| Fabian Montoya | Registered representative | Apr 2026 (0y) | ||
| Parissa Asadi | Registered representative | Apr 2026 (0y) | ||
| Benjamin P. Westley | Registered representative | Apr 2026 (0y) | ||
| Eileen Jiang | Registered representative | Apr 2026 (0y) | ||
| Foster James Dodge | Registered representative | Apr 2026 (0y) | ||
| Justin Leichter | Registered representative | Apr 2026 (0y) | ||
| Nonamegiven Aloyeious | Registered representative | Apr 2026 (0y) | ||
| Stephen Michael Shaffer | Registered representative | Apr 2026 (0y) | ||
| Timothy Greer | Registered representative | Apr 2026 (0y) | ||
| Constantino J. Borrelli | Registered representative | Apr 2026 (0y) | ||
| Dana Hinderliter | Registered representative | Apr 2026 (0y) | ||
| Ian Kelly Thomas | Registered representative | Apr 2026 (0y) | ||
| Maura Knutsen | Registered representative | Apr 2026 (0y) | ||
| Michael Tyler Fraebel | Registered representative | Apr 2026 (0y) | ||
| Regina Ann Hall | Registered representative | Apr 2026 (0y) | ||
| Chase Count | Registered representative | Apr 2026 (0y) | ||
| Jeffrey W. Troyan | Registered representative | Apr 2026 (0y) | ||
| Aja Nixon | Registered representative | Apr 2026 (0y) | ||
| Ana Maria Villegas | Registered representative | Apr 2026 (0y) | ||
| Artyom Kleyman | Registered representative | Apr 2026 (0y) | ||
| Caleb Radomski | Registered representative | Apr 2026 (0y) | ||
| Paul J. Gay | Registered representative | Apr 2026 (0y) | ||
| Rocco Donofrio | Registered representative | Apr 2026 (0y) | ||
| Vartges Mark Markarian | Registered representative | Apr 2026 (0y) | ||
| David Terry | Registered representative | Apr 2026 (0y) | ||
| Gregory Kirichenko | Registered representative | Apr 2026 (0y) | ||
| Ian S. Cuevas Cox | Registered representative | Apr 2026 (0y) | ||
| Charles W. Brooks | Registered representative | Apr 2026 (0y) | ||
| David Michael Amar | Registered representative | CFA | Apr 2026 (0y) | |
| Dillon Miller | Registered representative | Apr 2026 (0y) | ||
| Edward Kerrisk | Registered representative | Apr 2026 (0y) | ||
| Hilary Badger | Registered representative | Apr 2026 (0y) | ||
| Jacob Lilly | Registered representative | Apr 2026 (0y) | ||
| Jeremy Dahl | Registered representative | Apr 2026 (0y) | ||
| John Michael Librizzi | Registered representative | Apr 2026 (0y) | ||
| Karan Ubhi | Registered representative | Apr 2026 (0y) | ||
| Kathleen Ortiz | Registered representative | Apr 2026 (0y) | ||
| Razan Nasif | Registered representative | Apr 2026 (0y) | ||
| Rene Manuel Galvan | Registered representative | Apr 2026 (0y) | ||
| Robert Joseph Swensen | Registered representative | Apr 2026 (0y) | ||
| Stuart A. White | Registered representative | Apr 2026 (0y) | ||
| Thomas Young | Registered representative | Apr 2026 (0y) | ||
| Wahab Shah | Registered representative | Apr 2026 (0y) | ||
| Zhiying Nie | Registered representative | Apr 2026 (0y) | ||
| Adam C Cohen | Registered representative | Apr 2026 (0y) | ||
| Alexandru Cojocaru | Registered representative | Apr 2026 (0y) | ||
| Erin Dillon Pasillas | Registered representative | Apr 2026 (0y) | ||
| James Lovuolo | Registered representative | Apr 2026 (0y) | ||
| Jennifer Earnest | Registered representative | Apr 2026 (0y) | ||
| Liza Belokonnyi | Registered representative | Apr 2026 (0y) | ||
| Luke Haddad | Registered representative | Apr 2026 (0y) | ||
| Luke Simisky | Registered representative | Apr 2026 (0y) | ||
| Marialejandra Fereira | Registered representative | Apr 2026 (0y) | ||
| Steven Saunders | Registered representative | Apr 2026 (0y) | ||
| Talyn Mitchell | Registered representative | Apr 2026 (0y) | ||
| Taoane Bigalia | Registered representative | Apr 2026 (0y) | ||
| Yasmeen S Frazier | Registered representative | Apr 2026 (0y) | ||
| Blake Wickert | Registered representative | Apr 2026 (0y) | ||
| Chad Schwartz | Registered representative | Apr 2026 (0y) | ||
| Daniel Grey Gregory | Registered representative | Apr 2026 (0y) | ||
| Kwonmo Nichola Hong | Registered representative | Apr 2026 (0y) | ||
| Michelle Makynen | Registered representative | Apr 2026 (0y) | ||
| Noah Robinson | Registered representative | Apr 2026 (0y) | ||
| Piotr Cyranek | Registered representative | Apr 2026 (0y) | ||
| Ryan Strauss | Registered representative | Apr 2026 (0y) | ||
| Terrence Dushan Duncan | Registered representative | Apr 2026 (0y) | ||
| Travis Kendall | Registered representative | Apr 2026 (0y) | ||
| Easton Wolf | Registered representative | Apr 2026 (0y) | ||
| Jeffrey Ryan Palesano | Registered representative | Apr 2026 (0y) | ||
| Michael Anderson | Registered representative | Apr 2026 (0y) | ||
| Sam Simon Njau | Registered representative | Apr 2026 (0y) | ||
| Christian Puleo | Registered representative | Apr 2026 (0y) | ||
| Donald J. Nye | Registered representative | Apr 2026 (0y) | ||
| Fabrice Massabuau | Registered representative | Apr 2026 (0y) | ||
| Francisco Gomez | Registered representative | Apr 2026 (0y) | ||
| Joshua Jesudass | Registered representative | Apr 2026 (0y) | ||
| Nikolay Emilov Genov | Registered representative | Apr 2026 (0y) | ||
| Phuong Khanh Thai | Registered representative | Apr 2026 (0y) | ||
| Hengrui Xu | Registered representative | Apr 2026 (0y) | ||
| Jack Francis Enright | Registered representative | Apr 2026 (0y) | ||
| Juan Carlos Gonzalez | Registered representative | Apr 2026 (0y) | ||
| John Meliska | Registered representative | Apr 2026 (0y) | ||
| Jonathan Archila | Registered representative | Apr 2026 (0y) | ||
| Monica Adriana Marciano | Registered representative | Apr 2026 (0y) | ||
| Ruben J. Rodriguez | Registered representative | Apr 2026 (0y) | ||
| Sangly Andy Men | Registered representative | Apr 2026 (0y) | ||
| Amaya B. Ghoshal | Registered representative | Apr 2026 (0y) | ||
| Brenda J Marshall | Registered representative | Apr 2026 (0y) | ||
| Edward Son | Registered representative | Apr 2026 (0y) | ||
| Ethan Van Glish | Registered representative | Apr 2026 (0y) | ||
| George Goodfriend | Registered representative | Apr 2026 (0y) | ||
| Isabelle Kling | Registered representative | Apr 2026 (0y) | ||
| Michael Thiery | Registered representative | Apr 2026 (0y) | ||
| Niraj Alay | Registered representative | Apr 2026 (0y) | ||
| Raul Bencomo | Registered representative | Apr 2026 (0y) | ||
| Robert Lane Stephenson | Registered representative | Apr 2026 (0y) | ||
| Tim Phan | Registered representative | Apr 2026 (0y) | ||
| Ying Ju Lin | Registered representative | Apr 2026 (0y) | ||
| Andrew Sieczka | Registered representative | Apr 2026 (0y) | ||
| Anthony Reyes | Registered representative | Apr 2026 (0y) | ||
| Bitals Maharjan | Registered representative | Apr 2026 (0y) | ||
| Daniel Caldeira | Registered representative | Apr 2026 (0y) | ||
| Gurpreet Kaur Reen | Registered representative | Apr 2026 (0y) | ||
| James Mathew Vogel | Registered representative | Apr 2026 (0y) | ||
| Katharine E. Taglialatela | Registered representative | Apr 2026 (0y) | ||
| Robert Andrew Barber | Registered representative | Apr 2026 (0y) | ||
| Zachary Perez | Registered representative | Apr 2026 (0y) | ||
| Dominique Tate | Registered representative | May 2026 (0y) | ||
| Jashanpreet Singh | Registered representative | May 2026 (0y) | ||
| Joshua Hughes Baxa | Registered representative | May 2026 (0y) | ||
| Miguel Perez | Registered representative | May 2026 (0y) | ||
| Mitchell Antin | Registered representative | May 2026 (0y) | ||
| Moab Schiers | Registered representative | May 2026 (0y) | ||
| Monique Garduno | Registered representative | May 2026 (0y) | ||
| Patrick Michael Almond | Registered representative | May 2026 (0y) | ||
| Patrick Wade Sheridan | Registered representative | May 2026 (0y) | ||
| Vanessa A. Hubbard Vargas | Registered representative | May 2026 (0y) | ||
| Fatir Muhammad | Registered representative | May 2026 (0y) | ||
| Hayden Leigh Jolley | Registered representative | May 2026 (0y) | ||
| Kevin Kerjean | Registered representative | May 2026 (0y) | ||
| Philip J D'elia | Registered representative | May 2026 (0y) | ||
| Tzuyu Chin | Registered representative | May 2026 (0y) | ||
| Alexander Najera | Registered representative | May 2026 (0y) | ||
| Anthony Michael Lo Casto | Registered representative | May 2026 (0y) | ||
| Cole B. Seger | Registered representative | May 2026 (0y) | ||
| Jeffery Gaetan | Registered representative | May 2026 (0y) | ||
| Karl Justa Brasil | Registered representative | May 2026 (0y) | ||
| Brett M Allen | Registered representative | May 2026 (0y) | ||
| Michael C Akins | Registered representative | May 2026 (0y) | ||
| Adam Foster King | Registered representative | May 2026 (0y) | ||
| Aanal Shah | Registered representative | May 2026 (0y) | ||
| Cade Seymour | Registered representative | May 2026 (0y) | ||
| David Hanson | Registered representative | May 2026 (0y) | ||
| Eyan Baul | Registered representative | May 2026 (0y) | ||
| Isiah Travis | Registered representative | May 2026 (0y) | ||
| Jadan Orgeron | Registered representative | May 2026 (0y) | ||
| Jayna Palella | Registered representative | May 2026 (0y) | ||
| Michael Grosslight | Registered representative | May 2026 (0y) | ||
| Miguel Rodriguez | Registered representative | May 2026 (0y) | ||
| Natalie Michelle Traylor | Registered representative | May 2026 (0y) | ||
| Sabrina Catapano | Registered representative | May 2026 (0y) | ||
| Scott Pitts | Registered representative | May 2026 (0y) | ||
| Tek N Dangal | Registered representative | May 2026 (0y) | ||
| Victoria Maria Frallicciardi | Registered representative | May 2026 (0y) | ||
| Cassidy Jo Hirsch | Registered representative | May 2026 (0y) | ||
| Clint A Tanner | Registered representative | May 2026 (0y) | ||
| Nicholas Gelder | Registered representative | May 2026 (0y) | ||
| Tre Martin | Registered representative | May 2026 (0y) | ||
| Tyler Olston | Registered representative | May 2026 (0y) | ||
| Tammy J Calabrese | Registered representative | May 2026 (0y) | ||
| Amanda Grace Washington | Registered representative | May 2026 (0y) | ||
| Ari L. Himmel | Registered representative | May 2026 (0y) | ||
| Barrett Spragg | Registered representative | May 2026 (0y) | ||
| Hayden Loboy | Registered representative | May 2026 (0y) | ||
| Michael P. Lacy | Registered representative | May 2026 (0y) | ||
| Anne Christine Rochael | Registered representative | May 2026 (0y) | ||
| Kyle Kochevar | Registered representative | May 2026 (0y) | ||
| Ying Piao | Registered representative | May 2026 (0y) | ||
| Michael A. Barbati | Registered representative | May 2026 (0y) | ||
| Richard Justin Hagie | Registered representative | May 2026 (0y) | ||
| Chiehru Cheng | Registered representative | May 2026 (0y) | ||
| Helena Darling Barrow | Registered representative | May 2026 (0y) | ||
| Kyle Diephuis | Registered representative | May 2026 (0y) | ||
| Meliza Brecht | Registered representative | May 2026 (0y) | ||
| Sabrina Ellis | Registered representative | May 2026 (0y) | ||
| William Rica | Registered representative | May 2026 (0y) | ||
| Daniel J. Malley | Registered representative | May 2026 (0y) | ||
| James Mc Carron | Registered representative | May 2026 (0y) | ||
| Marjorie Louise Zethraus | Registered representative | May 2026 (0y) | ||
| Delia Moreno | Registered representative | May 2026 (0y) | ||
| Shena R Bynum | Registered representative | May 2026 (0y) | ||
| Iqbal Ahmed | Registered representative | May 2026 (0y) | ||
| Jingyi Mao | Registered representative | May 2026 (0y) | ||
| Rachel Blanc | Registered representative | May 2026 (0y) | ||
| Salvatore J Farrauto | Registered representative | May 2026 (0y) | ||
| Sean Kregor | Registered representative | May 2026 (0y) | ||
| Sophia Chaban | Registered representative | May 2026 (0y) | ||
| Brandon J. Glasser | Registered representative | May 2026 (0y) | ||
| Edward Luis Fabela | Registered representative | May 2026 (0y) | ||
| Matthew Morrison | Registered representative | May 2026 (0y) | ||
| Michael Christiansen | Registered representative | May 2026 (0y) | ||
| Patrick Burke | Registered representative | May 2026 (0y) | ||
| Samira Izadpanah | Registered representative | May 2026 (0y) | ||
| Antonio Aguilar | Registered representative | May 2026 (0y) | ||
| Aevry Napoleon | Registered representative | May 2026 (0y) | ||
| Andrew Vella | Registered representative | May 2026 (0y) | ||
| Benjamin Hinojosa | Registered representative | May 2026 (0y) | ||
| Blake Illg | Registered representative | May 2026 (0y) | ||
| Brandon Dean | Registered representative | May 2026 (0y) | ||
| David Kwak | Registered representative | May 2026 (0y) | ||
| David Lee White | Registered representative | May 2026 (0y) | ||
| Dionisio Saenz | Registered representative | May 2026 (0y) | ||
| Elizabeth Piloni | Registered representative | May 2026 (0y) | ||
| Jackson Petersen | Registered representative | May 2026 (0y) | ||
| James E Keeble | Registered representative | May 2026 (0y) | ||
| Jason Chau | Registered representative | May 2026 (0y) | ||
| Jeffrey Gober | Registered representative | May 2026 (0y) | ||
| John Matthew Frey | Registered representative | May 2026 (0y) | ||
| Lily Fundora | Registered representative | May 2026 (0y) | ||
| Manal M Faour | Registered representative | May 2026 (0y) | ||
| Matthew C. Roberts | Registered representative | May 2026 (0y) | ||
| Natalia Ariel Ceniceros | Registered representative | May 2026 (0y) | ||
| Rodrigo Herrera | Registered representative | May 2026 (0y) | ||
| Ryan Hummel | Registered representative | May 2026 (0y) | ||
| Alyssa Raley | Registered representative | May 2026 (0y) | ||
| Anna G Lozada | Registered representative | May 2026 (0y) | ||
| Benjamin R. Schuman | Registered representative | May 2026 (0y) | ||
| Caleb Zaborowski | Registered representative | May 2026 (0y) | ||
| Carolina Hernandez Pacheco | Registered representative | May 2026 (0y) | ||
| Douglas Fernando Lara Castro | Registered representative | May 2026 (0y) | ||
| George E. Marin | Registered representative | May 2026 (0y) | ||
| Grinald Abazi | Registered representative | May 2026 (0y) | ||
| Jiaqian Lian | Registered representative | May 2026 (0y) | ||
| Jakob Mathew Cox | Registered representative | May 2026 (0y) | ||
| Jillian Tizapantzi | Registered representative | May 2026 (0y) | ||
| Kyle Gallagher | Registered representative | May 2026 (0y) | ||
| Mason Maple | Registered representative | May 2026 (0y) | ||
| Melody Nekourouh | Registered representative | May 2026 (0y) | ||
| Nathaniel Stangler | Registered representative | May 2026 (0y) | ||
| Paul R. Baker | Registered representative | May 2026 (0y) | ||
| Tate Wilder Yonker | Registered representative | May 2026 (0y) | ||
| Vincent A. Pagano | Registered representative | May 2026 (0y) | ||
| Yan Zhang | Registered representative | May 2026 (0y) | ||
| Ethan Kirby | Registered representative | May 2026 (0y) | ||
| James Patrick Seton | Registered representative | May 2026 (0y) | ||
| Michael Vandegrifft | Registered representative | May 2026 (0y) | ||
| Yun Cho Messina | Registered representative | May 2026 (0y) | ||
| Brandon E Chavez | Registered representative | May 2026 (0y) | ||
| Jaime Jaimes | Registered representative | May 2026 (0y) | ||
| Orin Neritani | Registered representative | May 2026 (0y) | ||
| Travis Prince | Registered representative | May 2026 (0y) | ||
| Zachary Farris | Registered representative | May 2026 (0y) | ||
| Curt M Busby | Registered representative | May 2026 (0y) | ||
| Carlos Ivan Orquiz Escapita | Registered representative | May 2026 (0y) | ||
| Jake Miller | Registered representative | May 2026 (0y) | ||
| Michael Yuan | Registered representative | May 2026 (0y) | ||
| Neil Corse | Registered representative | May 2026 (0y) | ||
| Ray Walter Mcdonald | Registered representative | May 2026 (0y) | ||
| William Levinson | Registered representative | May 2026 (0y) | ||
| Yanyu Lu | Registered representative | May 2026 (0y) | ||
| Andrew Megia | Registered representative | May 2026 (0y) | ||
| Ava Leigh Wampler | Registered representative | May 2026 (0y) | ||
| Kenneth K. Jones | Registered representative | May 2026 (0y) | ||
| Rufus Jason Laster | Registered representative | May 2026 (0y) | ||
| Silvia Ales | Registered representative | May 2026 (0y) | ||
| Tommy Wong | Registered representative | May 2026 (0y) | ||
| Elaine De Lancer | Registered representative | May 2026 (0y) | ||
| Elijah Liker | Registered representative | May 2026 (0y) | ||
| Emmanuel Chinwuko | Registered representative | May 2026 (0y) | ||
| Fei Fang | Registered representative | May 2026 (0y) | ||
| Jamal Gary | Registered representative | May 2026 (0y) | ||
| James Truong | Registered representative | May 2026 (0y) | ||
| Lajonte Wilson | Registered representative | May 2026 (0y) | ||
| Luis Castaneda | Registered representative | May 2026 (0y) | ||
| Meghan Sutphen | Registered representative | May 2026 (0y) | ||
| Sara Kearns Carlson | Registered representative | May 2026 (0y) | ||
| Wei Wang | Registered representative | May 2026 (0y) | ||
| Annie Cao | Registered representative | May 2026 (0y) | ||
| Connor Buckley | Registered representative | May 2026 (0y) | ||
| Derek Newman | Registered representative | May 2026 (0y) | ||
| Diego Facio | Registered representative | May 2026 (0y) | ||
| Dominic Chimienti | Registered representative | May 2026 (0y) | ||
| Kevin Henke | Registered representative | May 2026 (0y) | ||
| Lushen Evans | Registered representative | May 2026 (0y) | ||
| Misty Dawn Lavin | Registered representative | May 2026 (0y) | ||
| Matthew Sheehan Domin | Registered representative | May 2026 (0y) | ||
| Michael Penn Teller | Registered representative | May 2026 (0y) | ||
| Riyaben Patel | Registered representative | May 2026 (0y) | ||
| Ronald De Vries | Registered representative | May 2026 (0y) | ||
| Sarah Freitas | Registered representative | May 2026 (0y) | ||
| Matthew J. Lawrence | Registered representative | May 2026 (0y) | ||
| Arraf Ahmed | Registered representative | May 2026 (0y) | ||
| Ryan Parry | Registered representative | May 2026 (0y) | ||
| Brandon J. Eady | Registered representative | Jun 2026 (0y) | ||
| Braylen S. Laverty | Registered representative | Jun 2026 (0y) | ||
| Cooper Douglas Roman | Registered representative | Jun 2026 (0y) | ||
| Duc Nguyen | Registered representative | Jun 2026 (0y) | ||
| Emily Dejesus | Registered representative | Jun 2026 (0y) | ||
| Erik Mark Vietz | Registered representative | Jun 2026 (0y) | ||
| Grayson B. Davis | Registered representative | Jun 2026 (0y) | ||
| James Gaynor Smith | Registered representative | Jun 2026 (0y) | ||
| Jose R R Mendez | Registered representative | Jun 2026 (0y) | ||
| Julia Jane Hender | Registered representative | Jun 2026 (0y) | ||
| Luis Armando Franco | Registered representative | Jun 2026 (0y) | ||
| Natalie Marie Perez | Registered representative | Jun 2026 (0y) | ||
| Thomas Mc Hugh | Registered representative | Jun 2026 (0y) | ||
| William Wu Kim | Registered representative | Jun 2026 (0y) | ||
| Arthur Tyminskyy | Registered representative | Jun 2026 (0y) | ||
| Christine Quanlee | Registered representative | Jun 2026 (0y) | ||
| Stephanie Soto | Registered representative | Jun 2026 (0y) | ||
| Vanessa Escobar | Registered representative | Jun 2026 (0y) | ||
| Alejandro San Nicolas Camacho | Registered representative | Jun 2026 (0y) | ||
| Andres Saul Alvarez | Registered representative | Jun 2026 (0y) | ||
| Christian Cummins | Registered representative | Jun 2026 (0y) | ||
| Daniel Seung Chul Lee | Registered representative | Jun 2026 (0y) | ||
| Demitrius Vassios | Registered representative | Jun 2026 (0y) | ||
| Finley Scott | Registered representative | Jun 2026 (0y) | ||
| Jair Abraham Hernandez Carrillo | Registered representative | Jun 2026 (0y) | ||
| Jackson Hodge | Registered representative | Jun 2026 (0y) | ||
| Jennifer Perez | Registered representative | Jun 2026 (0y) | ||
| William P. Glenn | Registered representative | Jun 2026 (0y) | ||
| Alejandro Gonzalez | Registered representative | Jun 2026 (0y) | ||
| Angel Carlin | Registered representative | Jun 2026 (0y) | ||
| Cristobal Aguirre | Registered representative | Jun 2026 (0y) | ||
| Eric Donato | Registered representative | Jun 2026 (0y) | ||
| Erika Louise Hensinger | Registered representative | Jun 2026 (0y) | ||
| Huyen Jaime | Registered representative | Jun 2026 (0y) | ||
| Jorge Zapata | Registered representative | Jun 2026 (0y) | ||
| Michael Aldrich | Registered representative | Jun 2026 (0y) | ||
| Timothy O'connors | Registered representative | Jun 2026 (0y) | ||
| Edward Parks | Registered representative | Jun 2026 (0y) | ||
| Jack Callahan | Registered representative | Jun 2026 (0y) | ||
| Jack Pagan | Registered representative | Jun 2026 (0y) | ||
| John Reitz | Registered representative | Jun 2026 (0y) | ||
| Philip Platek | Registered representative | Jun 2026 (0y) | ||
| Wilfredo Nevarez | Registered representative | Jun 2026 (0y) | ||
| Alana Cubero | Registered representative | Jun 2026 (0y) | ||
| Christopher Bramwell | Registered representative | Jun 2026 (0y) | ||
| Dao Nguyen | Registered representative | Jun 2026 (0y) | ||
| David Sarkisian | Registered representative | Jun 2026 (0y) | ||
| Jonathan Chandler | Registered representative | Jun 2026 (0y) | ||
| Luke R Elmore | Registered representative | Jun 2026 (0y) | ||
| Olivia Kenerly Boyd | Registered representative | Jun 2026 (0y) | ||
| Preston White | Registered representative | Jun 2026 (0y) | ||
| Bilal Mian | Registered representative | Jun 2026 (0y) | ||
| Caroline Patricia Mc Neill | Registered representative | Jun 2026 (0y) | ||
| Charles Jackson Chamley | Registered representative | Jun 2026 (0y) | ||
| Isabel Sypolt | Registered representative | Jun 2026 (0y) | ||
| Kevin Suarez | Registered representative | Jun 2026 (0y) | ||
| Lauren Abigail Heck | Registered representative | Jun 2026 (0y) | ||
| Mark Willoughby | Registered representative | Jun 2026 (0y) | ||
| Rivaldo Tobia | Registered representative | Jun 2026 (0y) | ||
| Ryan Clay Schwartz | Registered representative | Jun 2026 (0y) | ||
| Shelby Hallford | Registered representative | Jun 2026 (0y) | ||
| Zachary Eugene Henderson | Registered representative | Jun 2026 (0y) | ||
| Armando Castillo | Registered representative | Jun 2026 (0y) | ||
| Carson Butts | Registered representative | Jun 2026 (0y) | ||
| Daniel Walter | Registered representative | Jun 2026 (0y) | ||
| Danner Stephenson | Registered representative | Jun 2026 (0y) | ||
| Evan Sliwowski | Registered representative | Jun 2026 (0y) | ||
| Hannah Olivia Beierman | Registered representative | Jun 2026 (0y) | ||
| Joshua P. Prentice | Registered representative | Jun 2026 (0y) | ||
| Nikolaos Kostakis | Registered representative | Jun 2026 (0y) | ||
| William Edward Hennessy | Registered representative | Jun 2026 (0y) | ||
| Wanjiku Hannah Ikenye | Registered representative | Jun 2026 (0y) | ||
| Alexander Hurley | Registered representative | Jun 2026 (0y) | ||
| Calvin Miles | Registered representative | Jun 2026 (0y) | ||
| Darnell Williams | Registered representative | Jun 2026 (0y) | ||
| Imad Sharan | Registered representative | Jun 2026 (0y) | ||
| Jonathan Ray Guillen | Registered representative | Jun 2026 (0y) | ||
| Joshua Ryan Zuckerman | Registered representative | Jun 2026 (0y) | ||
| Todd Reese | Registered representative | Jun 2026 (0y) | ||
| Christopher Pina | Registered representative | Jun 2026 (0y) | ||
| Frank Burgaretta | Registered representative | Jun 2026 (0y) | ||
| Jonathan Tyler Hilts | Registered representative | Jun 2026 (0y) | ||
| Lorena Gonzalez | Registered representative | Jun 2026 (0y) | ||
| Maximillian Forrest Grascher | Registered representative | Jun 2026 (0y) | ||
| Matthew Gregory Cloud | Registered representative | Jun 2026 (0y) | ||
| Nikolay Chernov | Registered representative | Jun 2026 (0y) | ||
| George Davis | Registered representative | Jun 2026 (0y) | ||
| James Michael Liosi | Registered representative | Jun 2026 (0y) | ||
| Jessica Southard | Registered representative | Jun 2026 (0y) | ||
| Travis Mc Farland | Registered representative | Jun 2026 (0y) | ||
| Benjamin Brietstein | Registered representative | Jun 2026 (0y) | ||
| Cooper Krudwig | Registered representative | Jun 2026 (0y) | ||
| Gevork Sarkisyan | Registered representative | Jun 2026 (0y) | ||
| Karen Navarra | Registered representative | Jun 2026 (0y) | ||
| Morisea Davis | Registered representative | Jun 2026 (0y) | ||
| Nicholas Lee | Registered representative | Jun 2026 (0y) | ||
| Nicholas Rieger | Registered representative | Jun 2026 (0y) | ||
| Peter J. Licari | Registered representative | Jun 2026 (0y) | ||
| Rachel Landesmann | Registered representative | Jun 2026 (0y) | ||
| Stephanie Priscilla Bonillo | Registered representative | Jun 2026 (0y) | ||
| Steve Cosme | Registered representative | Jun 2026 (0y) | ||
| Vincent Lin | Registered representative | Jun 2026 (0y) | ||
| Antwann Holmes | Registered representative | Jun 2026 (0y) | ||
| Cameron Tyler Sheets | Registered representative | Jun 2026 (0y) | ||
| Ellen Marie Zawacki | Registered representative | Jun 2026 (0y) | ||
| Kaitlin Martinez | Registered representative | Jun 2026 (0y) | ||
| Mark Anthony Gentile | Registered representative | Jun 2026 (0y) | ||
| Noah Lee | Registered representative | Jun 2026 (0y) | ||
| O'zell Golden | Registered representative | Jun 2026 (0y) | ||
| Spencer Charles Spillman | Registered representative | Jun 2026 (0y) | ||
| Thomas Chiswick | Registered representative | Jun 2026 (0y) | ||
| Xiaoxiao Chen | Registered representative | Jun 2026 (0y) | ||
| Alisha Cochran | Registered representative | Jun 2026 (0y) | ||
| Adrian Bauer Mayrock | Registered representative | Jun 2026 (0y) | ||
| Allie B Martinez | Registered representative | Jun 2026 (0y) | ||
| David James Cortez | Registered representative | Jun 2026 (0y) | ||
| Felipe Goodman | Registered representative | Jun 2026 (0y) | ||
| Jacob Lin | Registered representative | Jun 2026 (0y) | ||
| Jean Muhuza | Registered representative | Jun 2026 (0y) | ||
| John Trevino | Registered representative | Jun 2026 (0y) | ||
| Judd B. Cryer | Registered representative | Jun 2026 (0y) | ||
| Marcus Suman | Registered representative | Jun 2026 (0y) | ||
| Mick Doyle | Registered representative | Jun 2026 (0y) | ||
| Noah Alan Minica | Registered representative | Jun 2026 (0y) | ||
| Zhenzhen Huang | Registered representative | Jun 2026 (0y) | ||
| Damian Rico | Registered representative | Jun 2026 (0y) | ||
| Andrew Gregory Strotman | Registered representative | Jun 2026 (0y) | ||
| Daniel Saelee | Registered representative | Jun 2026 (0y) | ||
| Emmanuel Velazquez | Registered representative | Jun 2026 (0y) | ||
| Ghazal Massouh | Registered representative | Jun 2026 (0y) | ||
| Gregory Francis Luis Curran | Registered representative | Jun 2026 (0y) | ||
| Jared Patrick Brill | Registered representative | Jun 2026 (0y) | ||
| Mohammed Y. Islam | Registered representative | Jun 2026 (0y) | ||
| Nathan Oostmeyer | Registered representative | Jun 2026 (0y) | ||
| Braxton Barker | Registered representative | Jun 2026 (0y) | ||
| Christopher C Schelble | Registered representative | Jun 2026 (0y) | ||
| Daniel Montalvo | Registered representative | Jun 2026 (0y) | ||
| Eric Oppenborn | Registered representative | Jun 2026 (0y) | ||
| Isabela Vasquez | Registered representative | Jun 2026 (0y) | ||
| Jose Elvis Vargas | Registered representative | Jun 2026 (0y) | ||
| Matthew Marker | Registered representative | Jun 2026 (0y) | ||
| Matthew Wolczko | Registered representative | Jun 2026 (0y) | ||
| Solomon David | Registered representative | Jun 2026 (0y) | ||
| Thomas Cameron Wray Woolley | Registered representative | Jun 2026 (0y) | ||
| Adam R Check | Registered representative | Jun 2026 (0y) | ||
| Adam Spencer | Registered representative | Jun 2026 (0y) | ||
| Charles C. Richardson | Registered representative | Jun 2026 (0y) | ||
| David Edward Limone | Registered representative | Jun 2026 (0y) | ||
| Francesca Fabietti | Registered representative | Jun 2026 (0y) | ||
| Imogen Smith | Registered representative | Jun 2026 (0y) | ||
| Lauren Michelle Memoly | Registered representative | Jun 2026 (0y) | ||
| Lexi M. Damewood | Registered representative | Jun 2026 (0y) | ||
| Matthew Recalde | Registered representative | Jun 2026 (0y) | ||
| Nicholas K Valos | Registered representative | Jun 2026 (0y) | ||
| Richard Gardon | Registered representative | Jun 2026 (0y) | ||
| Sarah Kaitlin Leonard | Registered representative | Jun 2026 (0y) | ||
| Shariq Yousfi | Registered representative | Jun 2026 (0y) | ||
| Xiaoou Katie Wang | Registered representative | Jun 2026 (0y) | ||
| Ysidro Vasquez | Registered representative | Jun 2026 (0y) | ||
| Andres Felipe Pena Ross | Registered representative | Jun 2026 (0y) | ||
| Antonio Kes | Registered representative | Jun 2026 (0y) | ||
| Carla A. Regina | Registered representative | Jun 2026 (0y) | ||
| Chung Wei Yang | Registered representative | Jun 2026 (0y) | ||
| Derek James Jodarski | Registered representative | Jun 2026 (0y) | ||
| Jessica Lorraine Larive | Registered representative | Jun 2026 (0y) | ||
| John J. Hayes | Registered representative | Jun 2026 (0y) | ||
| Joshua Jude Agbayani Ong | Registered representative | Jun 2026 (0y) | ||
| Lindsay M. Mc Cracken | Registered representative | Jun 2026 (0y) | ||
| Marcus Quinn Velasco | Registered representative | Jun 2026 (0y) | ||
| Michael M. Kowalski | Registered representative | Jun 2026 (0y) | ||
| Montel White | Registered representative | Jun 2026 (0y) | ||
| Thomas M. Rizzocascio | Registered representative | Jun 2026 (0y) | ||
| Yoav Sharon | Registered representative | Jun 2026 (0y) | ||
| Anthony R Robertson | Registered representative | Jun 2026 (0y) | ||
| Brandon Louis Nguyen | Registered representative | Jun 2026 (0y) | ||
| Caroline Walker Horan | Registered representative | Jun 2026 (0y) | ||
| Ching Hsuan Hsieh | Registered representative | Jun 2026 (0y) | ||
| Christian Cranford | Registered representative | Jun 2026 (0y) | ||
| Evan R. Sassack | Registered representative | Jun 2026 (0y) | ||
| Giancarlo Raspanti | Registered representative | Jun 2026 (0y) | ||
| Heitor Caballero | Registered representative | Jun 2026 (0y) | ||
| John Magliula | Registered representative | Jun 2026 (0y) | ||
| Michael Ruff | Registered representative | Jun 2026 (0y) | ||
| Nico D'argento | Registered representative | Jun 2026 (0y) | ||
| Paul De Leon | Registered representative | Jun 2026 (0y) | ||
| Rachel Bascone | Registered representative | Jun 2026 (0y) | ||
| Ruy F Diaz Hernandez | Registered representative | Jun 2026 (0y) | ||
| Sohan Sarkar | Registered representative | Jun 2026 (0y) | ||
| Yongsheng Jiang | Registered representative | Jun 2026 (0y) | ||
| Zelos A. Willis | Registered representative | Jun 2026 (0y) | ||
| William Joop Mitchell | Registered representative | Jun 2026 (0y) | ||
| Kevin Giang | Registered representative | Jun 2026 (0y) | ||
| Ahmed Elghitany | Registered representative | Jun 2026 (0y) | ||
| Arist Sher Jan | Registered representative | Jun 2026 (0y) | ||
| Calley Brianne Evans | Registered representative | Jun 2026 (0y) | ||
| Daniel Zufall | Registered representative | Jun 2026 (0y) | ||
| Jorge Andres Ontiveros | Registered representative | Jun 2026 (0y) | ||
| Jeremy Jones | Registered representative | Jun 2026 (0y) | ||
| Joseph Parente | Registered representative | Jun 2026 (0y) | ||
| Kelly Barker | Registered representative | Jun 2026 (0y) | ||
| Kyle P. Bobo | Registered representative | Jun 2026 (0y) | ||
| Tommy Pirvu | Registered representative | Jun 2026 (0y) | ||
| Alexander Jacob Wasnesky | Registered representative | Jun 2026 (0y) | ||
| Amber Noell Dakar | Registered representative | Jun 2026 (0y) | ||
| Ana Becker | Registered representative | Jun 2026 (0y) | ||
| Daniel Wren | Registered representative | Jun 2026 (0y) | ||
| Dustin Remmler | Registered representative | Jun 2026 (0y) | ||
| Esse Breon | Registered representative | Jun 2026 (0y) | ||
| Ethan Ryder | Registered representative | Jun 2026 (0y) | ||
| Gentiana Krasniqi | Registered representative | Jun 2026 (0y) | ||
| Ian Lazan | Registered representative | Jun 2026 (0y) | ||
| Jesse Jaco | Registered representative | Jun 2026 (0y) | ||
| Luis Fernando Cabrera Guerrero | Registered representative | Jun 2026 (0y) | ||
| Michael Hill | Registered representative | Jun 2026 (0y) | ||
| Michael Rossi | Registered representative | Jun 2026 (0y) | ||
| Ruger Thadius Dowling | Registered representative | Jun 2026 (0y) | ||
| Sergio Torres | Registered representative | Jun 2026 (0y) | ||
| Shannon Nichols Kerber | Registered representative | Jun 2026 (0y) | ||
| William A. Meyers | Registered representative | Jun 2026 (0y) | ||
| Yannis Silligardakis | Registered representative | Jun 2026 (0y) | ||
| Ani Varghese Thambi | Registered representative | Jul 2026 (0y) | ||
| Arslan Malik | Registered representative | Jul 2026 (0y) | ||
| Cindy Chan | Registered representative | Jul 2026 (0y) | ||
| Chase Streetman | Registered representative | Jul 2026 (0y) | ||
| Katherine M Klotnia | Registered representative | Jul 2026 (0y) | ||
| Kendall Brown | Registered representative | Jul 2026 (0y) | ||
| Kristin Joanne Ciulla | Registered representative | Jul 2026 (0y) | ||
| Mary Kay Cunningham | Registered representative | Jul 2026 (0y) | ||
| Rezso L. Spruch | Registered representative | Jul 2026 (0y) | ||
| Sawyer Link | Registered representative | Jul 2026 (0y) | ||
| Simon W. Day | Registered representative | Jul 2026 (0y) | ||
| Yi Shen | Registered representative | Jul 2026 (0y) | ||
| Adria Cota | Registered representative | Jul 2026 (0y) | ||
| Heather L. Boeck | Registered representative | Jul 2026 (0y) | ||
| Jaeland Schaaf | Registered representative | Jul 2026 (0y) | ||
| Javier A. Tovar | Registered representative | Jul 2026 (0y) | ||
| Ningyi Chen | Registered representative | Jul 2026 (0y) | ||
| Richard Jack Leo | Registered representative | Jul 2026 (0y) | ||
| Tahirah Hamilton | Registered representative | Jul 2026 (0y) | ||
| Aaron J. Shapiro | Registered representative | Jul 2026 (0y) | ||
| Dominic Hart | Registered representative | Jul 2026 (0y) | ||
| Kylar Leahy | Registered representative | Jul 2026 (0y) | ||
| Rafael Castro | Registered representative | Jul 2026 (0y) | ||
| Asher Clark | Registered representative | Jul 2026 (0y) | ||
| Jordan Michael Guynn | Registered representative | Jul 2026 (0y) | ||
| Justin Bracamonte | Registered representative | Jul 2026 (0y) | ||
| Kai Duda | Registered representative | Jul 2026 (0y) | ||
| Kassandra Raquel Gonzalez | Registered representative | Jul 2026 (0y) | ||
| Kevin Ma Bedolla | Registered representative | Jul 2026 (0y) | ||
| Kyle William Trischler | Registered representative | Jul 2026 (0y) | ||
| La Derrious Perry | Registered representative | Jul 2026 (0y) | ||
| Lena Bartolotti | Registered representative | Jul 2026 (0y) | ||
| Matthew Robert Feder | Registered representative | Jul 2026 (0y) | ||
| Niket Barapatre | Registered representative | Jul 2026 (0y) | ||
| Stefano Selenu | Registered representative | Jul 2026 (0y) | ||
| Amanda Cribbs | Registered representative | Jul 2026 (0y) | ||
| Arianna J. Saxton | Registered representative | Jul 2026 (0y) | ||
| Benjamin Franz Gilbert | Registered representative | Jul 2026 (0y) | ||
| Cameron Haney | Registered representative | Jul 2026 (0y) | ||
| Casey Andrew Block | Registered representative | Jul 2026 (0y) | ||
| Donna D Shin | Registered representative | Jul 2026 (0y) | ||
| Derek Louie | Registered representative | Jul 2026 (0y) | ||
| Eduardo Rihan | Registered representative | Jul 2026 (0y) | ||
| Jake Kuharich | Registered representative | Jul 2026 (0y) | ||
| Jason Hughes | Registered representative | Jul 2026 (0y) | ||
| Joshua Teague Warren | Registered representative | Jul 2026 (0y) | ||
| Justin Pender | Registered representative | Jul 2026 (0y) | ||
| Manh Hoang Pham | Registered representative | Jul 2026 (0y) | ||
| Megan Mendez | Registered representative | Jul 2026 (0y) | ||
| Michael Stephens | Registered representative | Jul 2026 (0y) | ||
| Nirman Vijayamohan | Registered representative | Jul 2026 (0y) | ||
| Randy Mossa | Registered representative | Jul 2026 (0y) | ||
| Ryan Joseph Keiter | Registered representative | Jul 2026 (0y) | ||
| Vaibhav Rana | Registered representative | Jul 2026 (0y) | ||
| Ali Mirjahangiri | Registered representative | Jul 2026 (0y) | ||
| Adam Peterson | Registered representative | Jul 2026 (0y) | ||
| David Craig Standaert | Registered representative | Jul 2026 (0y) | ||
| Daniel R. Smart | Registered representative | Jul 2026 (0y) | ||
| Jordan S. Diab | Registered representative | Jul 2026 (0y) | ||
| Justin Nicholas Atria | Registered representative | Jul 2026 (0y) | ||
| Kevin M. Scott | Registered representative | Jul 2026 (0y) | ||
| Josiah Chi Yan Kwok | Registered representative | Jul 2026 (0y) | ||
| Medina Avdic | Registered representative | Jul 2026 (0y) | ||
| Mark Anthony Krasienko | Registered representative | Jul 2026 (0y) | ||
| Milo C. Vath | Registered representative | Jul 2026 (0y) | ||
| Sean Stone | Registered representative | Jul 2026 (0y) | ||
| Simon Wright | Registered representative | Jul 2026 (0y) | ||
| Vikram Sagar | Registered representative | Jul 2026 (0y) | ||
| Karen Young | Registered representative | Jul 2026 (0y) | ||
| Kelly Moore | Registered representative | Jul 2026 (0y) | ||
| Maxwell Yu | Registered representative | Jul 2026 (0y) | ||
| Meiting Lin | Registered representative | Jul 2026 (0y) | ||
| Quentin Cox | Registered representative | Jul 2026 (0y) | ||
| Robert Steele | Registered representative | Jul 2026 (0y) | ||
| Steven T. Mitchell | Registered representative | Jul 2026 (0y) | ||
| Sydney Rainey Gay | Registered representative | Jul 2026 (0y) | ||
| Dylan M Lara | Registered representative | Jul 2026 (0y) | ||
| Ashlee Brown | Registered representative | Jul 2026 (0y) | ||
| Naqib Azad | Registered representative | Jul 2026 (0y) | ||
| Natalia Paipilla Fula | Registered representative | Jul 2026 (0y) | ||
| Nathan Brian Lillis | Registered representative | Jul 2026 (0y) | ||
| Oguzhan Yesinnar | Registered representative | Jul 2026 (0y) | ||
| Trent Hiner | Registered representative | Jul 2026 (0y) | ||
| William Hampton Lyman | Registered representative | Jul 2026 (0y) | ||
| Yekaterina Tumayeva | Registered representative | Jul 2026 (0y) | ||
| David Manjarres | Registered representative | Jul 2026 (0y) | ||
| Gregory Anthony Moro | Registered representative | Jul 2026 (0y) | ||
| Sara Marie Ruby | Registered representative | Jul 2026 (0y) | ||
| Silvia Quirino Venturelli | Registered representative | Jul 2026 (0y) | ||
| Sorin Stefan Moldovan | Registered representative | Jul 2026 (0y) | ||
| Dylan Cobb | Registered representative | Jul 2026 (0y) | ||
| Nathaniel Birkholz | Registered representative | Jul 2026 (0y) | ||
| Nilufar Razmara | Registered representative | Jul 2026 (0y) | ||
| Richard Sollenberger | Registered representative | Jul 2026 (0y) | ||
| Stephen Ryoung Seo | Registered representative | Jul 2026 (0y) | ||
| Scott A Milani | Registered representative | Jul 2026 (0y) | ||
| Sidney George Hamburger | Registered representative | Jul 2026 (0y) | ||
| Susan Laura Winter | Registered representative | Jul 2026 (0y) | ||
| William Courtland Mangum | Registered representative | Jul 2026 (0y) | ||
| William T Link | Registered representative | Jul 2026 (0y) | ||
| Alejandro Granados Jimenez | Registered representative | Jul 2026 (0y) | ||
| Andres Ligarde | Registered representative | Jul 2026 (0y) | ||
| Cristiana Leopoldino Da Silva | Registered representative | Jul 2026 (0y) | ||
| Chad R Arnold | Registered representative | Jul 2026 (0y) | ||
| Jake Dahmer | Registered representative | Jul 2026 (0y) | ||
| Jesse A Rubin | Registered representative | Jul 2026 (0y) | ||
| Kyle M Semrau | Registered representative | Jul 2026 (0y) | ||
| Maxwell Rhodes Rogers | Registered representative | Jul 2026 (0y) | ||
| Nicholas Dixon Starcher | Registered representative | Jul 2026 (0y) | ||
| Sean P. O Dowd | Registered representative | Jul 2026 (0y) | ||
| William D Bowers | Registered representative | Jul 2026 (0y) | ||
| Catalina Robles Gorriti | Registered representative | Jul 2026 (0y) | ||
| Christian Puglla Quiroz | Registered representative | Jul 2026 (0y) | ||
| Dominic Michael Taylor | Registered representative | Jul 2026 (0y) | ||
| Dorian Dean Peric | Registered representative | Jul 2026 (0y) | ||
| Francesco Escobal Brandon | Registered representative | Jul 2026 (0y) | ||
| Griffin Colbert | Registered representative | Jul 2026 (0y) | ||
| Justin William Goldberg | Registered representative | Jul 2026 (0y) | ||
| Kevin Kennedy | Registered representative | Jul 2026 (0y) | ||
| Rachel Gonzalez Gonzalez | Registered representative | Jul 2026 (0y) | ||
| Ramon Sanchez | Registered representative | Jul 2026 (0y) | ||
| Timothy Andrew Bernhardt | Registered representative | Jul 2026 (0y) | ||
| William Lacure | Registered representative | Jul 2026 (0y) | ||
| Jennifer Franco Dias | Registered representative | Jul 2026 (0y) | ||
| Megan Maureen Ries | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| J.P. Morgan Broker Dealer Holdings Inc. | Member | Sep 2010 | A | 75% or more |
| Jp Morgan Chase & Co. | Member | Nov 2016 | B | ≈ 42.19% – 100% via Jpmorgan Chase Holdings Llc |
| Jpmorgan Chase Holdings Llc | Stockholder | Nov 2016 | B | ≈ 56.25% – 100% via J.P. Morgan Broker Dealer Holdings Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Jp Morgan Chase & Co.: 75% – 100% of Jpmorgan Chase Holdings Llc × 75% – 100% of J.P. Morgan Broker Dealer Holdings Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Jpmorgan Chase Holdings Llc: 75% – 100% of J.P. Morgan Broker Dealer Holdings Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (17)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Goodheart Willcox Company, Inc. 401(k) Plan And Trust | The Goodheart Willcox Company, Inc. | 190 | $12.2M | 05/01/2024 |
| Datacor, Inc. 401(k) Plan | Datacor, Inc. | 275 | $51.7M | 01/01/2024 |
| The Bloc 401(k) Plan | The Cementworks, Llc | 118 | $21.7M | 01/01/2024 |
| Wood Partners Retirement & Savings Plan | Wood Real Estate Investors, Llc | 420 | $74.4M | 01/01/2024 |
| Bneg, Inc. 401(k) Plan | Big Night Entertainment Group, Inc. | 612 | $4.9M | 01/01/2024 |
| Smithville Telephone Company, Inc. Pension Plan | Smithville Telephone Company, Incorporated | 77 | $26.3M | 01/01/2024 |
| Electro Methods, Inc 401(k) Plan | Electro Methods, Inc. | 210 | $24.5M | 01/01/2024 |
| Morselife Tax Deferred Annuity Plan | Morselife Inc. | 1,307 | $25.9M | 01/01/2024 |
| Landmark Properties Real Estate Partners, Llc 401(k) Plan | Landmark Properties Real Estate Partners, Llc | 933 | $22.2M | 01/01/2024 |
| Pmc Consolidated Pension Plan Covering Certain Employee Groups | Pmc Specialties Group, Inc. | 1 | $16.1M | 01/01/2024 |
| Frederick Wildman & Sons Limited 401(k) Retirement Plan | Frederick Wildman & Sons Limited | 138 | $25.7M | 01/01/2024 |
| Tsg Enterprises 401(k) Plan | Tsg Enterprises, Llc | 879 | $8.5M | 01/01/2024 |
| Redwood Logistics, Llc 401(k) Plan | Redwood Logistics, Llc | 695 | $44.7M | 01/01/2024 |
| Fsr Trucking, Inc. Prevailing Wage Plan | Fsr Trucking, Inc. Dba Postal Carrier Corp. | 199 | $2.3M | 01/01/2024 |
| Key Auto Group 401(k) Plan | Diversified Management Corporation | 580 | $18.8M | 01/01/2024 |
| Orthosouth 401(k) Profit Sharing Plan | Msk Group, Pc Dba Orthosouth | 526 | $92.8M | 01/01/2024 |
| Ace Hotel Group 401(k) Plan | Ace Hotel Group, Llc | 219 | $10.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 12.7 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Event Detail: 2 COUNTS OF FELONY WIRE FRAUD, IN VIOLATION OF TITLE 18, UNITED STATES CODE, SECTION 1343. NO PLEA DUE TO DEFERRED PROSECUTION AGREEMENT. SEE ITEM 4 FOR FURTHER DETAILS. Status: Final Disposition: DEFERRED PROSECUTION AGREEMENT ~$920MM PENALTY WAS PAID ON OCT. 9TH AND THE FIRM IS REQUIRED TO COMPLY WITH THE OBLIGATIONS SET FORTH IN THE DEFERRED PROSECUTION AGREEMENT FOR A PERIOD OF 3 YEARS
Event Detail: JPMC WAS CHARGED WITH A ONE COUNT FELONY CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. SECTION 1 RELATING TO THE FOREIGN CURRENCY EXCHANGE SPOT MARKET ("FX SPOT MARKET"). JPMC PLED GUILTY PURSUANT TO A PLEA AGREEMENT WITH THE DOJ. Status: Final Disposition: JPMC ENTERED A GUILTY PLEA ON MAY 20, 2015 PURSUANT TO A PLEA AGREEMENT WITH THE DOJ. JPMC AGREED TO PAY A CRIMINAL FINE OF $550 MILLION AND A MANDATORY ASSESSMENT OF $400. JPMC AGREED TO BE SUBJECT TO PROBATION FOR 3 YEARS. ON JANUARY 10, 2017 JUDGMENT WAS ENTERED CONSISTENT WITH THE TERMS OF THE PLEA AGREEMENT. THE FINE WAS PAID ON JANUARY 17, 2017. Summary: ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. § 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EURO/U.S. DOLLAR ("EUR/USD") TRADERS, ENTERED INTO AND ENGAGED IN A CONSPIRACY TO FIX, STABILIZE, MAINTAIN, INCREASE OR DECREASE THE PRICE OF, AND RIG BIDS AND OFFERS FOR, THE EUR/USD CURRENCY PAIR EXCHANGED IN THE FX SPOT MARKET BY AGREEING TO ELIMINATE COMPETITION IN THE PURCHASE AND SALE OF THE EUR/USD CURRENCY PAIR IN THE U.S. AND ELSEWHERE.
Allegations: STATE OF NEW MEXICO ALLEGES JPMORGAN SECURITIES LLC (JPMS) MAKING FALSE AND/OR FRAUDULENT PAYMENTS AND MAKING UNTRUE STATEMENTS UNDER THE NEW MEXICO FRAUD AGAINST TAXPAYERS ACT (NMSA § 44-9-1, ET SEQ.), THE NEW MEXICO SECURITIES ACT (NMSA §§ 58-13B-1, ET SEQ.), AND THE COMMON LAW OF NEW MEXICO INVOLVING THE SALE OF RESIDENTIAL MORTGAGE-BACKED SECURITIES ("RMBS"). Status: Final Summary: J.P. MORGAN SECURITIES LLC AND WASHINGTON MUTUAL MORTGAGE SECURITIES CORP. (AS SUCCESSOR-IN-INTEREST TO WAMU CAPITAL CORP.) ENTERED INTO THE AGREEMENT WITH PLAINTIFF THE STATE OF NEWMEXICO, QUI TAM PLAINTIFF INTEGRA REC, LLC, AND THE FIVE OTHER DEFENDANT FINANCIAL INSTITUTIONS.THE SETTLEMENT RESOLVED THE ACTION DESCRIBED ABOVE AND RESOLVED ALL CLAIMS AGAINST THESEVEN FINANCIAL INSTITUTIONS RELATING TO RESIDENTIAL MORTGAGE-BACKED SECURITIES THAT WEREPURCHASED BY THE STATE OF NEW MEXICO OR ITS SUBDIVISIONS OR OFFERED BY THE DEFENDANTFINANCIAL INSTITUTIONS OR THEIR AFFILIATES. J.P. MORGAN SECURITIES LLC, WASHINGTON MUTUALMORTGAGE SECURITIES CORP., AND THE OTHER DEFENDANTS ADMITTED NO LIABILITY AND THE STATE OFNEW MEXICO IS DISMISSING THE CLAIMS WITH PREJUDICE.
Allegations: STATE OF NEW MEXICO ALLEGES JPMORGAN SECURITIES LLC (JPMS) MAKING FALSE AND/OR FRAUDULENT PAYMENTS AND MAKING UNTRUE STATEMENTS UNDER THE NEW MEXICO FRAUD AGAINST TAXPAYERS ACT (NMSA § 44-9-1, ET SEQ.), THE NEW MEXICO SECURITIES ACT (NMSA §§ 58-13B-1, ET SEQ.), AND THE COMMON LAW OF NEW MEXICO INVOLVING THE SALE OF RESIDENTIAL MORTGAGE-BACKED SECURITIES ("RMBS"). Status: Final Summary: J.P. MORGAN SECURITIES LLC AND WASHINGTON MUTUAL MORTGAGE SECURITIES CORP. (AS SUCCESSOR-IN-INTEREST TO WAMU CAPITAL CORP.) ENTERED INTO THE AGREEMENT WITH PLAINTIFF THE STATE OF NEW MEXICO, QUI TAM PLAINTIFF INTEGRA REC, LLC, AND THE FIVE OTHER DEFENDANT FINANCIAL INSTITUTIONS. THE SETTLEMENT RESOLVED THE ACTION DESCRIBED ABOVE AND RESOLVED ALL CLAIMS AGAINST THE SEVEN FINANCIAL INSTITUTIONS RELATING TO RESIDENTIAL MORTGAGE-BACKED SECURITIES THAT WERE PURCHASED BY THE STATE OF NEW MEXICO OR ITS SUBDIVISIONS OR OFFERED BY THE DEFENDANT FINANCIAL INSTITUTIONS OR THEIR AFFILIATES. J.P. MORGAN SECURITIES LLC, WASHINGTON MUTUAL MORTGAGE SECURITIES CORP., AND THE OTHER DEFENDANTS ADMITTED NO LIABILITY AND THE STATE OF NEW MEXICO IS DISMISSING THE CLAIMS WITH PREJUDICE.
Allegations: JPMS RECEIVED A STATEMENT OF CHARGES FROM THE CHICAGO BOARD OPTIONS EXCHANGE (CBOE) FOR ALLEGED VIOLATIONS OF RULES 200 AND 201 OF REGULATION SHO. SPECIFICALLY, THE CBOE ALLEGES THAT (1) JPMS MISMARKED CERTAIN ORDERS AS SSE WHEN THE SUBJECT ORDERS DID NOT SATISFY THE REQUIREMENTS OF REGULATION SHO RULE 201; (2) JPMS' SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO IDENTIFY SSE ORDERS THAT WERE NOT ELIGIBLE FOR SUCH MARKING, INCLUDING FAILURE TO SURVEIL TO ASCERTAIN THE EFFECTIVNESS OF ITS POLICIES AND PROCEDURES REQUIRED UNDER REGULATION SHO AND TO TAKE PROMPT ACTION TO REMEDY DEFICIENCIES IN SUCH POLICIES AND PROCEDURES; AND (3) THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR ADEQUATE SUPERVISION TO ENSURE THAT JPMS' COMPLIANCE WITH THE REQUIREMENTS OF RULES 200 AND 201 OF REG SHO PERTAINING TO THE ACCURATE MARKING OF SALE ORDERS. THE CBOE DEEMS THE CONDUCT DESCRIBED ABOVE AS A VIOLATION OF EXCHANGE RULE 4.2, SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER, AND REGULATION SHO RULES 200 AND 201. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $30,000 WHICH WAS PAID ON OR ABOUT OCTOBER 27, 2016. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $30,000 TO SETTLE ALLEGATIONS REFLECTED IN THE CHICAGO BOARD OPTIONS EXCHANGE (CBOE) STATEMENT OF CHARGES RELATING TO VIOLATIONS OF RULES 200 AND 201 OF REGULATION SHO. SPECIFICALLY, THE CBOE ALLEGED THAT DURING THE PERIOD FROM FEBRUARY 2011 THROUGH FEBRUARY 2012 JPMS MISMARKED ORDERS AS SHORT SALE EXEMPT ("SSE")WHEN THE SUBJECT ORDERS DID NOT SATISFY THE REQUIREMENTS OF REGULATION SHO RULE 201; (2) JPMS' SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO IDENTIFY SSE ORDERS THAT WERE NOT ELIGIBLE FOR SUCH MARKING, INCLUDING FAILURE TO SURVEIL TO ASCERTAIN THE EFFECTIVNESS OF ITS POLICIES AND PROCEDURES REQUIRED UNDER REGULATION SHO AND TO TAKE PROMPT ACTION TO REMEDY DEFICIENCIES IN SUCH POLICIES AND PROCEDURES; AND (3) THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR ADEQUATE SUPERVISION TO ENSURE THAT JPMS' COMPLIANCE WITH THE REQUIREMENTS OF RULES 200 AND 201 OF REG SHO PERTAINING TO THE ACCURATE MARKING OF SALE ORDERS. THE CBOE DEEMS THE CONDUCT DESCRIBED ABOVE AS A VIOLATION OF EXCHANGE RULE 4.2, SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-3 THEREUNDER, AND REGULATION SHO RULES 200 AND 201. THIS IS A FINAL ACTION RESOLVED BY DECISION ACCEPTING OFFER OF SETTLEMENT, APPROVED ON 10/12/2016.
Allegations: FROM JANUARY 2, 2012 THROUGH ABOUT FEBRUARY 14, 2012, J.P. MORGAN SECURITIES LLC, A TRADING PERMIT HOLDER ON THE CBOE STOCK EXCHANGE, LLC (THE "CBSX"), IS ALLEGED TO HAVE VIOLATED EXCHANGE RULE 4.1 ("JUST AND EQUITABLE PRINCIPLES OF TRADE") BY FAILING TO ESTABLISH AND MAINTAIN A UNIQUE LOGON ID TO ACCESS THE CBSX VIA A SERVICE BUREAU OR CONNECTIVITY PROVIDER, AS REQUIRED BY CBSX REGULATORY CIRCULAR 11-151, WHICH CAUSED NUMEROUS ORDERS TO BE EXECUTED THROUGH A LOGON ID THAT WAS NOT UNIQUE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE OFFER OF SETTLEMENT AND SANCTION OF A $5,000 FINE AND CENSURE. Summary: THIS IS A FINAL ACTION RESOLVED BY DECISION ACCEPTING OFFER OF SETTLEMENT DATED 04/29/2014. THE FINE WAS PAID ON MAY 22, 2014.
Allegations: THE ISE FOUND THAT IN FOUR INSTANCES BETWEEN MAY 2010 AND OCTOBER 2010, THE FIRM COMMENCED A STOCK TRANSACTION IN A PROPRIETARY ACCOUNT TO HEDGE AN OPTION FACILITATION ORDER BEFORE THE FIRM PROPERLY EXPOSED THE OPTION ORDER TO THE MARKETPLACE IN VIOLATION OF ISE RULE 400.02. IN ADDITION, IN THREE INSTANCES, THE FIRM DID NOT CORRECTLY CAPTURE THE TIME OF RECEIPT OF THE ORDER, IN VIOLATION OF ISE RULE 1400(A) AND SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 17A-3. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS AND WAS CENSURED AND FINED $145,000. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 1/23/2014. JPMS LLC PAID THE FINE ON FEBRUARY 26, 2014.
Allegations: FINRA RULES 2010, 6730, 6760, NASD RULE 3010: THE FIRM FAILED TO REPORT AND FAILED TO ACCURATELY REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES BETWEEN JULY 1, 2010 AND SEPTEMBER 30, 2010. ADDITIONALLY, DURING THE SAME PERIOD, THE FIRM REPORTED CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES TO TRACE THAT IT WAS NOT REQUIRED TO REPORT. THE FIRM FAILED TO REPORT AND FAILED TO ACCURATELY REPORT TO TRACE CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES BETWEEN APRIL 1, 2011 AND JUNE 30, 2011. ADDITIONALLY, DURING THE SAME PERIOD, THE FIRM REPORTED CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES TO TRACE THAT IT WAS NOT REQUIRED TO REPORT. AS MANAGING UNDERWRITER, THE FIRM FAILED TO REPORT CERTAIN NEW ISSUE OFFERINGS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES ACCORDING TO THE TIME FRAMES SET FORTH IN FINRA RULE 6760 BETWEEN MAY 10, 2011 AND SEPTEMBER 30, 2011. IN ADDITION, DURING THAT SAME PERIOD, 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 FINRA RULE 6760 OBLIGATIONS. THE FIRM FAILED TO TIMELY REPORT TO TRACE CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES BETWEEN OCTOBER 1, 2011 AND FEBRUARY 3, 2012. THE FIRM FAILED TO REPORT TO TRACE CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES BETWEEN MARCH 1, 2010 AND MAY 7, 2012 AND CERTAIN TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE BONDS BETWEEN JUNE 1, 2011 AND MAY 11, 2012. 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 $95,000 AND REQUIRED TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO FINRA RULE 6760 OBLIGATIONS. THE FINE WAS PAID ON 4/7/2014. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 02/06/2014.
Allegations: FINRA RULES 6380A(A), 7230A AND 6380A(B): THE FIRM FAILED TO TRANSMIT TO THE FINRA/NASDAQ TRADE REPORTING FACILITY ("TRF") 4,337 LAST SALE REPORTS OF TRANSACTIONS IN DESIGNATED SECURITIES WITHIN 30 SECONDS AFTER EXECUTION; THE FIRM FAILED TO REPORT THE CORRECT TIME OF EXECUTION TO THE FINRA/NASDAQ TRF IN 23 LAST SALE REPORTS OF TRANSACTIONS IN DESIGNATED SECURITIES; AND THE FIRM ERRONEOUSLY MEDIA REPORTED 53 RISKLESS PRINCIPAL LAST SALE REPORTS OF TRANSACTIONS TO THE FINRA/NASDAQ TRF. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS OF A CENSURE AND FINE OF $20,000. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 04/16/2014. THE FINE WAS PAID ON MAY 13, 2014.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED SECTION 11(A) OF THE EXCHANGE ACT AND NYSE RULE 90(A) IN THAT, THE FIRM CAUSED A MEMBER ASSOCIATED WITH THE FIRM TO EFFECT TRANSACTIONS, ON THE NYSE FLOOR, FOR AN ACCOUNT IN WHICH THE FIRM HAD AN INTEREST, AND SUCH MEMBER FAILED TO YIELD PRIORITY, PARITY AND PRECEDENCE IN THE EXECUTION OF ORDERS FOR AN ACCOUNT OF PERSONS WHO ARE NOT MEMBERS OR ASSOCIATED WITH MEMBERS OF THE NYSE. THE FIRM VIOLATED NYSE RULE 410(B) IN THAT IT ALLOWED PROPRIETARY ORDERS THAT COULD ONLY HAVE BEEN PROPERLY EXECUTED PURSUANT TO SECTION 11(A)(1)(G) OF THE EXCHANGE ACT TO BE TRANSMITTED TO THE NYSE FLOOR WITHOUT BEING IDENTIFIED IN A MANNER THAT WOULD ENABLE THE ORDERS TO BE HANDLED PURSUANT TO THE REQUIREMENTS OF EXCHANGE ACT 11(A)(1)(G). ON SEVEN OCCASIONS, THE FIRM VIOLATED RULE 104(H)(2) OF REG M, AND NYSE RULE 5190(E)(1), IN THAT, WITH RESPECT TO CERTAIN OFFERINGS, IT FAILED TO PROVIDE COMPLETE AND ACCURATE WRITTEN NOTICE TO THE NYSE OF THE FIRM'S INTENTION TO ENGAGE IN A SYNDICATE COVERING TRANSACTION IN CONNECTION WITH AN OFFERING OF A LISTED SECURITY, PRIOR TO ENGAGING IN THE FIRST SYNDICATE COVERING TRANSACTION. THE FIRM VIOLATED NYSE RULE 5190(E)(2) ON TWO OCCASIONS WITH RESPECT TO CERTAIN OFFERINGS IN THAT IT FAILED TO PROVIDE TIMELY NOTICE TO THE NYSE CONFIRMING THAT THE FIRM HAD ENGAGED IN A SYNDICATE COVERING TRANSACTION, WITHIN ONE BUSINESS DAY OF COMPLETION OF SUCH ACTIVITY. THE FIRM VIOLATED NYSE RULE 342 IN THAT IT FAILED TO HAVE REASONABLE WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE FILING OF NOTICES CONCERNING PUBLIC OFFERINGS AS REQUIRED BY THE NYSE AND REG M, AND FAILED TO HAVE IN PLACE A REASONABLE SYSTEM OF FOLLOW-UP AND REVIEW DESIGNED TO REASONABLY ENSURE THAT IT DID NOT ENGAGE IN TRADING ON THE FLOOR OF THE NYSE FOR ITS OWN ACCOUNT, THE ACCOUNTS OF ASSOCIATED PERSONS, OR ACCOUNTS OVER WHICH AN ASSOCIATED PERSON EXERCISED INVESTMENT DISCRETION WITHOUT QUALIFYING FOR A STATUTORY EXEMPTION. THE FIRM HAS SINCE CORRECTED THE DEFICIENCIES. 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 $105,000. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 04/23/2014. THE FINE WAS PAID ON 6/24/2014.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED, DURING THE PERIOD MAY 2012 THROUGH AUGUST 2012, WITHIN 30 SECONDS AFTER EXECUTION, TO TRANSMIT TO THE OVER-THE-COUNTER (OTC) REPORTING FACILITY CERTAIN LAST SALE REPORTS OF TRANSACTIONS IN OTC EQUITY SECURITIES. THE FINDINGS STATED THAT THE FIRM FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES CONCERNING TRADE REPORTING OF OTC EQUITY SECURITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS OF A CENSURE AND FINE OF $27,500. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 06/03/2014. THE $27,500 FINE WAS PAID ON 06/30/2014.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT: I) FAILED TO REPORT THE CORRECT RELATED MARKET CENTER INDICATOR FOR NON-TAPE REPORTS TO THE FINRA/NASDAQ TRADE REPORTING FACILITY IN TRANSACTIONS IN DESIGNATED SECURITIES; II) TRANSMITTED REPORTS TO THE ORDER AUDIT TRAIL SYSTEM (OATS) THAT CONTAINED INACCURATE EXECUTION CODES AND INCOMPLETE AND INACCURATE EXECUTION REPORTS; AND III) MADE AVAILABLE A REPORT ON THE COVERED ORDERS IN NATIONAL MARKET SYSTEM SECURITIES THAT IT RECEIVED FOR EXECUTION FROM ANY PERSON (BECAUSE THE FIRM IMPROPERLY CLASSIFIED NOT HELD ORDERS AS COVERED ORDERS, THIS REPORT INCLUDED INCORRECT INFORMATION AS TO THREE ORDER TYPE/SIZE CATEGORIES). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS OF A CENSURE AND FINE OF $30,000. THE FINE WAS PAID ON 7/23/2014. Summary: IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 06/24/2014.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT ENTERED APPROXIMATELY 6,600,000 ORDERS INTO THE NASDAQ MARKET CENTER THAT FAILED TO INDICATE THE CORRECT CAPACITY. THIS CONDUCT VIOLATES NASDAQ RULE 2110 AND 4611(A)(6). THE FIRM FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES RELATING TO COMPLIANCE WITH NASDAQ RULE 4611(A)(6). THIS CONDUCT VIOLATES NASDAQ RULES 2110 AND 3010. 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 $150,000. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 11/28/2014.
Allegations: THE BUSINESS CONDUCT COMMITTEE ("BCC") OF THE CHICAGO BOARD OPTIONS EXCHANGE INCORPORATED ("CBOE") ISSUED A STATEMENT OF CHARGES ALLEGING J.P. MORGAN SECURITIES LLC ("JPMS") VIOLATED EXCHANGE RULES 3.6A BY FAILING TO REGISTER ITS CHIEF COMPLIANCE OFFICER ("CCO") AS A PROPRIETARY TRADER COMPLIANCE OFFICER FROM OCTOBER 2012 THROUGH MARCH 2013 AND FROM MAY 2013 THROUGH JUNE 2013; FAILING TO REGISTER 91 ASSOCIATED PERSONS AS PROPRIETARY TRADERS ON VARIOUS DATES FROM NOVEMBER 2011 THROUGH APRIL 2014; AND FAILING TO REGISTER 12 ASSOCIATED PERSONS AS PROPRIETARY TRADER PRINCIPALS ON VARIOUS DATES FROM NOVEMBER 2011 THROUGH APRIL 2014. THE BCC FURTHER ALLEGED VIOLATION OF EXCHANGE RULE 4.2 FOR FAILURE TO SUPERVISE DURING THE PERIOD FROM NOVEMBER 2011 THROUGH APRIL 2014. Status: Final Sanction Detail: ON MAY 7, 2015, THE BCC OF THE CBOE ISSUED A DECISION ACCEPTING AN OFFER OF SETTLEMENT IN WHICH JPMS NEITHER ADMITTED NOR DENIED THE VIOLATIONS ALLEGED IN THE BCC'S STATEMENT OF CHARGES AND AGREED TO A CENSURE AND A FINE OF $75,000. THE $75,000 PAYMENT WAS MADE TO THE CBOE ON OR ABOUT 6/4/2015. Summary: THIS IS A FINAL ACTION RESOLVED BY DECISION DATED MAY 7, 2015.
Allegations: ON DECEMBER 11, 2014, J.P. MORGAN SECURITIES LLC (JPMS OR THE FIRM), WITHOUT ADMITTING OR DENYING CERTAIN FINDINGS BY THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) CONSENTED TO A FINE OF $5,000,000 AND A CENSURE, BASED ON FINRA'S FINDINGS AS DESCRIBED BELOW. IN APRIL 2010, TOYS R US (TRU) AND ITS PRIVATE EQUITY OWNERS INVITED JPMS AND OTHER BROKER-DEALERS TO COMPETE FOR A ROLE IN TRU'S PLANNED INITIAL PUBLIC OFFERING (THE TRU IPO). FINRA FOUND THAT TO WIN THIS INVESTMENT BANKING BUSINESS FROM TRU JPMS' EQUITY RESEARCH ANALYST PARTICIPATED IN THE FIRM'S SOLICITATION EFFORTS, AND THE FIRM OFFERED FAVORABLE RESEARCH COVERAGE TO TRU. MOREOVER, FINRA FOUND THAT JPMS FAILED TO ADOPT AND IMPLEMENT ADEQUATE WRITTEN SUPERVISORY PROCEDURES GOVERNING ANALYST INVOLVEMENT IN INVESTMENT BANKING SOLICITATIONS AND OFFERS OF FAVORABLE RESEARCH COVERAGE. THEREFORE, FINRA FOUND THAT, IN THE CONTEXT OF THE TRU IPO, JPMS VIOLATED THREE SEPARATE PROVISIONS OF NASD RULE 2711: 2711(C)(4); 2711(E); AND 2711(I). Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING CERTAIN FINDINGS BY FINRA, CONSENTED TO A FINE OF $5,000,000 AND A CENSURE. JPMS PAID THE FINE TO FINRA ON JANUARY 7, 2015. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED DECEMBER 11, 2014. JPMS PAID THE FINE TO FINRA ON JANUARY 7, 2015.
Allegations: PURSUANT TO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) ACCEPTED ON AUGUST 20, 2021, J.P. MORGAN SECURITIES LLC (JPMS), ON A NEITHER ADMIT NOR DENY BASIS, AGREED TO A SETTLEMENT RESOLVING FINDINGS THAT JPMS, FROM JULY 2009 THROUGH SEPTEMBER 2015, FAILED TO REASONABLY COMMUNICATE ALLOCATIONS TO CLOSE OUT FAILS TO INTRODUCING BROKERS, RESULTING IN FAIL TO DELIVERS NOT BEING TIMELY CLOSED OUT AND SECURITIES NOT BEING SUBJECT TO PENALTY BOX REQUIREMENT; LOOKING AT ACCOUNT LEVEL BASIS WHETHER FAILS WERE CLOSED OUT PROPERLY; AND RELATED WRITTEN SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH CLOSE OUT RULES. THE AWC FOUND THAT THESE PRACTICES VIOLATED RULE 240 OF SEC REGULATION SHO AND FINRA RULE 2010 AND THE SUPERVISORY SYSTEM PROVISIONS OF NASD RULES 3010(A)&(B) AND FINRA RULE 3110(A)&(B). Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $100,000. THE FINRA AWC WAS ONE OF THREE COORDINATED SETTLEMENTS WITH FINRA, NEW YORK STOCK EXCHANGE, AND NYSE AMERICAN ADDRESSING THE SAME CONDUCT. EACH SETTLING SRO WAS ALLOCATED $100,000 FOR A TOTAL FINE OF $300,000. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, JPMS ENTERED INTO THE AWC, WITHOUT ADMITTING OR DENYING THE FINDINGS. THE ALLEGATIONS, DISPOSITION, FINDINGS, AND SANCTIONS OF THE AWC ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: PURSUANT TO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) WHICH BECAME FINAL ON AUGUST 19, 2021, J.P. MORGAN SECURITIES LLC (JPMS), ON A NEITHER ADMIT NOR DENY BASIS, AGREED TO A SETTLEMENT RESOLVING FINDINGS THAT JPMS, UNTIL SEPTEMBER 2015, FAILED TO REASONABLY COMMUNICATE ALLOCATIONS TO CLOSE OUT FAILS TO INTRODUCING BROKERS, RESULTING IN FAIL TO DELIVERS NOT BEING TIMELY CLOSED OUT AND SECURITIES NOT BEING SUBJECT TO PENALTY BOX REQUIREMENT; LOOKING AT ACCOUNT LEVEL BASIS WHETHER FAILS WERE CLOSED OUT PROPERLY; RELATED WRITTEN SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH CLOSE OUT RULES. THE AWC FOUND THAT THESE PRACTICES VIOLATED RULE 240 OF SEC REGULATION SHO AND THE SUPERVISORY SYSTEM PROVISIONS OF NEW YORK STOCK EXCHANGE RULES 342 AND 3110. Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $100,000. THE NEW YORK STOCK EXCHANGE AWC WAS ONE OF THREE COORDINATED SETTLEMENTS WITH FINRA, NEW YORK STOCK EXCHANGE, AND NYSE AMERICAN ADDRESSING THE SAME CONDUCT. EACH SETTLING SRO WAS ALLOCATED $100,000 FOR A TOTAL FINE OF $300,000. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, JPMS ENTERED INTO THE AWC, WITHOUT ADMITTING OR DENYING THE FINDINGS. THE ALLEGATIONS, DISPOSITION, FINDINGS, AND SANCTIONS OF THE AWC ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: PURSUANT TO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) WHICH BECAME FINAL ON AUGUST 19, 2021, J.P. MORGAN SECURITIES LLC (JPMS), ON A NEITHER ADMIT NOR DENY BASIS, AGREED TO A SETTLEMENT RESOLVING FINDINGS THAT JPMS, UNTIL SEPTEMBER 2015, FAILED TO REASONABLY COMMUNICATE ALLOCATIONS TO CLOSE OUT FAILS TO INTRODUCING BROKERS, RESULTING IN FAIL TO DELIVERS NOT BEING TIMELY CLOSED OUT AND SECURITIES NOT BEING SUBJECT TO PENALTY BOX REQUIREMENT; LOOKING AT ACCOUNT LEVEL BASIS WHETHER FAILS WERE CLOSED OUT PROPERLY; RELATED WRITTEN SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH CLOSE OUT RULES. THE AWC FOUND THAT THESE PRACTICES VIOLATED RULE 240 OF SEC REGULATION SHO AND THE SUPERVISORY SYSTEM PROVISIONS OF NYSE AMERICAN RULE 320. Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $100,000. THE NYSE AMERICAN AWC WAS ONE OF THREE COORDINATED SETTLEMENTS WITH FINRA, NEW YORK STOCK EXCHANGE, AND NYSE AMERICAN ADDRESSING THE SAME CONDUCT. EACH SETTLING SRO WAS ALLOCATED $100,000 FOR A TOTAL FINE OF $300,000. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, JPMS ENTERED INTO THE AWC, WITHOUT ADMITTING OR DENYING THE FINDINGS. THE ALLEGATIONS, DISPOSITION, FINDINGS, AND SANCTIONS OF THE AWC ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: ON SEPTEMBER 16, 2019, FINRA ISSUED A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT ("AWC") TO J.P. MORGAN SECURITIES LLC ("JPMS") RELATING TO THE FIRM'S DISCLOSURE OF INFORMATION ON FORM U5 IN RESPONSE TO QUESTIONS 7B AND 7F. SPECIFICALLY, THE AWC FOUND THAT THE FIRM FAILED TO (A) DISCLOSE ON FORM U5, OR DISCLOSED MORE THAN 60 DAYS LATE, 89 INTERNAL REVIEWS OR ALLEGATIONS INVOLVING FRAUD, WRONGFUL TAKING OF PROPERTY, OR VIOLATIONS OF INVESTMENT-RELATED STATUTES, REGULATIONS, RULES OR INDUSTRY STANDARDS OF CONDUCT BY THE FIRM'S CURRENT OR FORMER REGISTERED REPRESENTATIVES; (B) ESTABLISH AND MAINTAIN REASONABLY DESIGNED SUPERVISORY SYSTEMS AND WRITTEN SUPERVISORY PROCEDURES FOR DISCLOSING INFORMATION IN RESPONSE TO QUESTIONS 7B AND 7F ON FORM U5; AND (C) REASONABLY TRAIN OR PROVIDE GUIDANCE TO EMPLOYEES ABOUT THE CIRCUMSTANCES IN WHICH 7B AND 7F DISCLOSURES WERE REQUIRED. THE AWC FOUND THAT THE FIRM VIOLATED ARTICLE V, SECTIONS 3(A) AND (B) OF THE FINRA BY-LAWS OF THE CORPORATION, FINRA RULES 1122, 2010 AND 3110 AND NASD RULE 3010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE AWC, THE FIRM CONSENTED TO THE IMPOSITION OF THE FOLLOWING SANCTIONS: (1) A CENSURE, (2) A FINE IN THE AMOUNT OF $1,100,000, AND (3) A CERTAIN UNDERTAKING. THE FINE WAS TIMELY PAID ON SEPTEMBER 27, 2019. Summary: IN CONNECTION WITH THE AWC, THE FIRM AGREED TO AN UNDERTAKING TO SUBMIT A CERTIFICATION REGARDING THE IMPLEMENTATION OF REASONABLY DESIGNED PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ENTRY OF FINRA'S FINDINGS IN CONNECTION WITH THE DEPARTMENT OF MARKET REGULATION'S 2013 TRADING AND MARKET MAKING SURVEILLANCE EXAMINATION. SPECIFICALLY, FINRA FOUND THAT (1) ON TRADE DATE JUNE 20, 2013 (THE "REVIEW PERIOD") THE FIRM TRANSMITTED TO THE ORDER AUDIT TRAIL SYSTEM ("OATS") 26 REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA AND FAILED TO TRANSMIT 12 REPORTABLE ORDER EVENTS TO OATS IN VIOLATION OF FINRA RULE 7450; (2) DURING THE REVIEW PERIOD THE FIRM FAILED ON 6 OCCASIONS TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMER(S) ITS CORRECT CAPACITY IN A TRANSACTION IN VIOLATION OF SEC RULE 10B-10; AND (3) DURING THE REVIEW PERIOD, 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 IN THAT THE FIRM'S OATS SUPERVISORY PROCEDURES FAILED TO PROVIDE FOR ONE OR MORE OF THE FOUR MINIMUM REQUIREMENTS FOR ADEQUATE WRITTEN SUPERVISORY PROCEDURES IN VIOLATION OF NASD RULE 3010 AND FINRA RULE 2010. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THE FINE WAS PAID ON OCTOBER 1, 2015. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED JULY 20, 2015.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT A CODING ERROR IN THE FIRM'S AUTO MARKET MAKER (AMM) TOOL RESULTED IN MISCALCULATIONS CONCERNING THE FIRM'S SHORT POSITIONS BETWEEN OCTOBER 2011 AND JANUARY 2012. AS A RESULT OF THE CODING ERRORS, THE FIRM VIOLATED RULE 200(G) AND 203(B)(1) OF REGULATION SHO. IN ADDITION, THE FIRM'S RISK ARBITRAGE SECTOR MARKED ALL SELL ORDERS AS SHORT WITHOUT REFERENCING THE AGGREGATION UNIT'S POSITION DATA IN REAL TIME. AS A RESULT, IN JANUARY 2012 THE FIRM VIOLATED RULE 200(G) BY MARKING CERTAIN LONG ORDERS AS SHORT. FURTHER, BETWEEN JULY 2008 AND FEBRUARY 2012, THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO RULE 200(G) OF REGULATION SHO. SPECIFICALLY, THE FIRM'S WRITTEN SUPERVISORY PROCEDURES DID NOT PROVIDE FOR A STATEMENT OF THE SUPERVISORY STEP(S) TO BE TAKEN BY THE PERSON(S) RESPONSIBLE FOR SUPERVISION WITH RESPECT TO RULE 200(G). AS A RESULT, THE FIRM FAILED TO DETECT THAT ITS RISK ARBITRAGE SECTOR WAS MARKING ALL ORDERS SHORT WITHOUT REFERENCING POSITION DATA IN REAL TIME USING THE DESK'S PRIMARY ORDER MANAGEMENT SYSTEM, IN VIOLATION OF NASD RULE 3010 AND FINRA RULE 2010. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THE FIRM WAS CENSURED, FINED $350,000 AND UNDERTAKES TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES. THE FINE WAS PAID ON 12/17/2015. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED NOVEMBER 11, 2015.
Allegations: THE BUSINESS CONDUCT COMMITTEE ("BCC") OF THE CHICAGO BOARD OPTIONS EXCHANGE ("CBOE") ISSUED A STATEMENT OF CHARGES ALLEGING J.P. MORGAN SECURITIES LLC ("JPMS") VIOLATED EXCHANGE RULE 6.74A - AUTOMATED IMPROVEMENT MECHANISM ("AIM"). THE BCC ALLEGES THAT DURING THE PERIOD OF JUNE 1, 2014 THROUGH JUNE 30, 2014, JPMS RESPONDED TO APPROXIMATELY 2,152 AIM AUCTIONS AND RECEIVED EXECUTIONS ON APPROXIMATELY 6,056 CONTRACTS, WHILE IT DID NOT HOLD AN APPOINTMENT IN THE RELEVANT OPTIONS CLASSES. Status: Final Sanction Detail: ON JUNE 2, 2016, THE BCC OF THE CBOE ISSUED A DECISION ACCEPTING AN OFFER OF SETTLEMENT IN WHICH JPMS NEITHER ADMITTED NOR DENIED THE VIOLATIONS ALLEGED IN THE BCC'S STATEMENT OF CHARGES AND AGREED TO A CENSURE AND A FINE OF $10,000. THE $10,000 PAYMENT WAS MADE TO THE CBOE ON OR ABOUT 6/22/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY DECISION & ORDER OF OFFER OF SETTLEMENT DATED JUNE 06, 2016.
Allegations: THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED VARIOUS OPERATIONAL SYSTEMS, SUPERVISORY AND RECORDKEEPING DEFICIENCIES THAT OCCURRED AT VARIOUS TIMES DURING THE PERIOD DECEMBER 2006 THROUGH SEPTEMBER 2014. THE ALLEGED DEFICIENCIES INCLUDE THE FAILURE TO SEND LETTERS TO CERTAIN CUSTOMER ACCOUNTS CONFIRMING CHANGES IN INVESTMENT OBJECTIVES WITHIN 30 DAYS OF THE CHANGE; THE FAILURE TO COLLECT AND REVIEW CERTAIN OUTSIDE BROKERAGE STATEMENTS ASSOCIATED WITH EMPLOYEE ACCOUNTS; THE FAILURE TO SEND LETTERS TO CERTAIN CUSTOMERS PROVIDING A COPY OF THEIR ACCOUNT RECORD WITHIN 30 DAYS OF ACCOUNT OPENING; THE FAILURE TO MAKE, DELIVER AND PRESERVE TRANSACTION CONFIRMATIONS FOR CERTAIN ACCOUNT HOLDERS; AND THE FAILURE TO PRESERVE COPIES OF LETTERS SENT TO CERTAIN CUSTOMERS WHO UPDATED THEIR INVESTOR PROFILES, BUT INSTEAD PRESERVED SOME ELECTRONIC INFORMATION IN ITS SYSTEMS FOR EACH SUCH LETTER SO THAT THE LETTER COULD BE REGENERATED IF A COPY WAS LATER REQUESTED, HOWEVER, THE SYSTEM DID NOT PRESERVE THE NAME OF THE SUPERVISORY MANAGER WHO APPEARED IN THE SIGNATURE BLOCK OF THE ORIGINAL LETTER. THE ALLEGED DEFICIENCIES VIOLATED EXCHANGE ACT § 17(A); EXCHANGE ACT RULES 10B-10, 17A-3; AND 17A-4; NASD CODE OF CONDUCT RULES 2110, 2230, 3110(A), 3010(A) AND 3010(B); AND FINRA RULES 2010, 2232, AND 4511. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $775,000 AND A CENSURE. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT DATED 4/22/2016.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT: (1) FAILED TO RECONCILE AND ACCURATELY CAPTURE BOOKS AND RECORDS DATA ACROSS MULTIPLE DATA SYSTEMS AND PAPER TICKETS FOR CERTAIN MANUAL OPTION ORDERS (E.G., SOME COMBINATION OF INCORRECT OR MISSING DATA) IN VIOLATION OF EXCHANGE ACT RULE 17A-3 WHICH IMPACTED THOUSANDS OF OPTIONS ORDER TICKETS DURING THE REVIEW PERIOD; (2) FAILED TO STORE BOOKS AND RECORDS IN AN EASILY ACCESSIBLE PLACE AS REQUIRED BY EXCHANGE ACT RULE 17A-4; AND (3) THE FIRM'S WSPS INCLUDED SUPERVISORY REVIEWS THAT WERE INADEQUATELY DESIGNED TO ENSURE THE ACCURACY OF ITS MANUAL OPTIONS ORDER TICKETS AND THE FIRM FAILED TO MAINTAIN AND ENFORCE A SYSTEM REASONABLY DESIGNED TO SUPERVISE THE OPERATIONS OF ITS BUSINESS AND ENSURE COMPLIANCE WITH APPLICABLE FEDERAL SECURITIES LAWS AND NYSE MKT RULES PERTAINING TO BOOKS AND RECORDS FOR MANUAL OPTIONS ORDERS. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO CENSURE AND FINE OF $56,250. JPMS PAID THE FINE ON 09/16/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON AUGUST 5, 2016.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT: (1) FAILED TO RECONCILE AND ACCURATELY CAPTURE BOOKS AND RECORDS DATA ACROSS MULTIPLE DATA SYSTEMS AND PAPER TICKETS FOR CERTAIN MANUAL OPTION ORDERS (E.G., SOME COMBINATION OF INCORRECT OR MISSING DATA) IN VIOLATION OF EXCHANGE ACT RULE 17A-3 WHICH IMPACTED THOUSANDS OF OPTIONS ORDER TICKETS DURING THE REVIEW PERIOD; (2) FAILED TO STORE BOOKS AND RECORDS IN AN EASILY ACCESSIBLE PLACE AS REQUIRED BY EXCHANGE ACT RULE 17A-4; AND (3) THE FIRM'S WSPS INCLUDED SUPERVISORY REVIEWS THAT WERE INADEQUATELY DESIGNED TO ENSURE THE ACCURACY OF ITS MANUAL OPTIONS ORDER TICKETS AND THE FIRM FAILED TO MAINTAIN AND ENFORCE A SYSTEM REASONABLY DESIGNED TO SUPERVISE THE OPERATIONS OF ITS BUSINESS AND ENSURE COMPLIANCE WITH APPLICABLE FEDERAL SECURITIES LAWS AND NASDAQ STOCK MARKET RULES PERTAINING TO BOOKS AND RECORDS FOR MANUAL OPTIONS ORDERS. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO CENSURE AND FINE OF $56,250. JPMS PAID THE FINE ON 09/10/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON AUGUST 22, 2016.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT: (1) FAILED TO RECONCILE AND ACCURATELY CAPTURE BOOKS AND RECORDS DATA ACROSS MULTIPLE DATA SYSTEMS AND PAPER TICKETS FOR CERTAIN MANUAL OPTION ORDERS (E.G., SOME COMBINATION OF INCORRECT OR MISSING DATA) IN VIOLATION OF EXCHANGE ACT RULE 17A-3 WHICH IMPACTED THOUSANDS OF OPTIONS ORDER TICKETS DURING THE REVIEW PERIOD; (2) FAILED TO STORE BOOKS AND RECORDS IN AN EASILY ACCESSIBLE PLACE AS REQUIRED BY EXCHANGE ACT RULE 17A-4; AND (3) THE FIRM'S WSPS INCLUDED SUPERVISORY REVIEWS THAT WERE INADEQUATELY DESIGNED TO ENSURE THE ACCURACY OF ITS MANUAL OPTIONS ORDER TICKETS AND THE FIRM FAILED TO MAINTAIN AND ENFORCE A SYSTEM REASONABLY DESIGNED TO SUPERVISE THE OPERATIONS OF ITS BUSINESS AND ENSURE COMPLIANCE WITH APPLICABLE FEDERAL SECURITIES LAWS AND ISC RULES PERTAINING TO BOOKS AND RECORDS FOR MANUAL OPTIONS ORDERS. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO CENSURE AND FINE OF $112500.00. JPMS PAID THE FINE ON 08/24/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON AUGUST 23, 2016
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT: (1) FAILED TO RECONCILE AND ACCURATELY CAPTURE BOOKS AND RECORDS DATA ACROSS MULTIPLE DATA SYSTEMS AND PAPER TICKETS FOR CERTAIN MANUAL OPTION ORDERS (E.G., SOME COMBINATION OF INCORRECT OR MISSING DATA) IN VIOLATION OF EXCHANGE ACT RULE 17A-3 WHICH IMPACTED THOUSANDS OF OPTIONS ORDER TICKETS DURING THE REVIEW PERIOD; (2) FAILED TO STORE BOOKS AND RECORDS IN AN EASILY ACCESSIBLE PLACE AS REQUIRED BY EXCHANGE ACT RULE 17A-4; AND (3) THE FIRM'S WSPS INCLUDED SUPERVISORY REVIEWS THAT WERE INADEQUATELY DESIGNED TO ENSURE THE ACCURACY OF ITS MANUAL OPTIONS ORDER TICKETS AND THE FIRM FAILED TO MAINTAIN AND ENFORCE A SYSTEM REASONABLY DESIGNED TO SUPERVISE THE OPERATIONS OF ITS BUSINESS AND ENSURE COMPLIANCE WITH APPLICABLE FEDERAL SECURITIES LAWS AND NASDAQ PHLX LLC RULES PERTAINING TO BOOKS AND RECORDS FOR MANUAL OPTIONS ORDERS. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO CENSURE AND FINE OF $56,250. JPMS PAID THE FINE ON 08/10/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON JULY 14, 2016.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT: (1) FAILED TO RECONCILE AND ACCURATELY CAPTURE BOOKS AND RECORDS DATA ACROSS MULTIPLE DATA SYSTEMS AND PAPER TICKETS FOR CERTAIN MANUAL OPTION ORDERS (E.G., SOME COMBINATION OF INCORRECT OR MISSING DATA) IN VIOLATION OF EXCHANGE ACT RULE 17A-3 WHICH IMPACTED THOUSANDS OF OPTIONS ORDER TICKETS DURING THE REVIEW PERIOD; (2) FAILED TO STORE BOOKS AND RECORDS IN AN EASILY ACCESSIBLE PLACE AS REQUIRED BY EXCHANGE ACT RULE 17A-4; AND (3) THE FIRM'S WSPS INCLUDED SUPERVISORY REVIEWS THAT WERE INADEQUATELY DESIGNED TO ENSURE THE ACCURACY OF ITS MANUAL OPTIONS ORDER TICKETS AND THE FIRM FAILED TO MAINTAIN AND ENFORCE A SYSTEM REASONABLY DESIGNED TO SUPERVISE THE OPERATIONS OF ITS BUSINESS AND ENSURE COMPLIANCE WITH APPLICABLE FEDERAL SECURITIES LAWS AND NYSE ARCA, INC. RULES PERTAINING TO BOOKS AND RECORDS FOR MANUAL OPTIONS ORDERS. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO CENSURE AND FINE OF $56,250. JPMS PAID THE FINE ON 09/16/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON AUGUST 19, 2016.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT: (1) FAILED TO RECONCILE AND ACCURATELY CAPTURE BOOKS AND RECORDS DATA ACROSS MULTIPLE DATA SYSTEMS AND PAPER TICKETS FOR CERTAIN MANUAL OPTION ORDERS (E.G., SOME COMBINATION OF INCORRECT OR MISSING DATA) IN VIOLATION OF EXCHANGE ACT RULE 17A-3 WHICH IMPACTED THOUSANDS OF OPTIONS ORDER TICKETS DURING THE REVIEW PERIOD; (2) FAILED TO STORE BOOKS AND RECORDS IN AN EASILY ACCESSIBLE PLACE AS REQUIRED BY EXCHANGE ACT RULE 17A-4; AND (3) THE FIRM'S WSPS INCLUDED SUPERVISORY REVIEWS THAT WERE INADEQUATELY DESIGNED TO ENSURE THE ACCURACY OF ITS MANUAL OPTIONS ORDER TICKETS AND THE FIRM FAILED TO MAINTAIN AND ENFORCE A SYSTEM REASONABLY DESIGNED TO SUPERVISE THE OPERATIONS OF ITS BUSINESS AND ENSURE COMPLIANCE WITH APPLICABLE FEDERAL SECURITIES LAWS AND BOX OPTIONS EXCHANGE LLC RULES PERTAINING TO BOOKS AND RECORDS FOR MANUAL OPTIONS ORDERS. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO CENSURE AND FINE OF $112500. JPMS PAID THE FINE ON 09/16/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON AUGUST 22, 2016.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND $40,000 FINE FOR FAILING, DURING THE PERIOD FROM JANUARY 1, 2014 THROUGH APRIL 30, 2014, TO ACCEPT OR DECLINE IN THE OTC REPORTING FACILITY CERTAIN TRANSACTIONS WITHIN 20 MINUTES AFTER EXECUTION. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $40,000. THE FINE WAS PAID ON OR ABOUT 09/23/2016.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND $500,000 FINE FOR FAILING, DURING THE PERIOD FROM JANUARY 1, 2013 THROUGH DECEMBER 31, 2015 TO ADEQUATELY SUPERVISE THE EXECUTION AND APPROVAL OF POWERS OF ATTORNEY ("POA'S") FOR J.P. MORGAN PRIVATE BANK ("PRIVATE BANK") CUSTOMER ACCOUNTS SUBMITTED TO THE FIRM BY NON-U.S. RESIDENT CUSTOMERS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE AND $500,000 FINE FOR FAILING, DURING THE PERIOD FROM JANUARY 1, 2013 THROUGH DECEMBER 31, 2015 TO ADEQUATELY SUPERVISE THE EXECUTION AND APPROVAL OF POWERS OF ATTORNEY ("POA'S") FOR J.P. MORGAN PRIVATE BANK ("PRIVATE BANK") CUSTOMER ACCOUNTS SUBMITTED TO THE FIRM BY NON-U.S. RESIDENT CUSTOMERS. THE FINE WAS PAID ON OR ABOUT DECEMBER 1, 2016. THE FIRM IS REQUIRED TO CERTIFY TO FINRA, WITHIN 90 DAYS OF THE ISSUANCE OF THE AWC, THAT IT HAS ADOPTED AND IMPLEMENTED WRITTEN SUPERVISORY POLICIES AND PROCEDURES REASONBABLY DESIGNED TO SUPERVISE THE EXECUTION AND APPROVAL OF POA'S FOR PRIVATE BANK CUSTOMER ACCOUNTS SUBMITTED BY NON-U.S. RESIDENT CUSTOMERS.
Allegations: THE FIRM ENTERED INTO AN OFFER OF SETTLEMENT AND CONSENT FOR THE SOLE PURPOSE OF SETTLING THIS DISCIPLINARY PROCEEDING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS REFERRED TO IN THE OFFER OF SETTLEMENT. THE OFFER OF SETTLEMENT REFLECTS THAT ON MARCH 10, 2017, WHILE HAVING KNOWLEDGE OF THE TERMS AND CONDITIONS OF AN ORDER TO BUY PUT OPTIONS, A FIRM TRADER ENTERED AN ORDER TO EFFECT TRANSACTIONS AS HEDGES AGAINST THE BUY PUT OPTIONS ORDER PRIOR TO THE CONDITIONS OF THE ORDER BEING DISCLOSED IN VIOLATION OF NYSE ARCA OPTIONS RULE 6.49(B). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $25,000.00. PAYMENT WAS MADE ON 12/4/2017. Summary: NYSE REGULATION TOOK INTO CONSIDERATION THAT THE FIRM REPORTED THE RELEVANT TRANSACTION ON THE TRADE DATE, AND PROMPTLY PROVIDED FOLLOW-UP INFORMATION CONCERNING THE FACTS AND CIRCUMSTANCES OF THE VIOLATION. NYSE REGULATION PROVIDED THE FIRM CREDIT FOR SELF-REPORTING IN DETERMINING THE APPROPRIATE SANCTIONS TO ASSESS.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO AN OFFER OF SETTLEMENT AND CONSENT TO THE SANCTIONS AND ENTRY OF FINDINGS THAT THE FIRM VIOLATED: (I) SEC RULES 611(A) AND (C), AND NYSE ARCA EQUITIES RULES 6.1 AND 2010, BY FAILING TO ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT TRADE-THROUGHS OF PROTECTED QUOTATIONS IN NMS STOCKS THAT DO NOT FALL WITHIN ANY APPLICABLE EXCEPTION, AND IF RELYING ON AN EXCEPTION, ARE REASONABLY DESIGNED TO ASSURE COMPLIANCE WITH THE TERMS OF THE EXCEPTION, AND BY FAILING TO TAKE REASONABLE STEPS TO ESTABLISH THAT THE ISOS IT ROUTED MET THE DEFINITIONAL REQUIREMENTS SET FORTH IN SEC RULE 600(B)(30); AND (II) SEC RULES 611(A) AND (C), AND NYSE ARCA EQUITIES RULES 6.1, 6.18 AND 2010, BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH SEC RULES 611(A) AND (C) DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 2017. Status: Final Sanction Detail: TOTAL FINE OF $345,000, OF WHICH NYSE ARCA RECEIVED $30,000.00. FINE WAS PAID ON JUNE 26, 2018.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), NYSE AMERICAN RULE 7.31E(E)(3), NYSE AMERICAN RULES 16 - EQUITIES (FOR CONDUCT BEFORE MAY 26, 2009) AND 2010 - EQUITIES (FOR CONDUCT ON OR AFTER MAY 26, 2009),AND NYSE AMERICAN RULES 342 - EQUITIES (FOR CONDUCT BEFORE DECEMBER 1, 2014) AND 3110 - EQUITIES (FOR CONDUCT ON OR AFTER DECEMBER 1, 2014). Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH NYSE AMERICAN RECEIVES $40,000.00. FINE WAS PAID ON JUNE 7, 2018.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), NYSE RULES 13(E)(3), 2010, 342 (FOR CONDUCT BEFORE DECEMBER 1, 2014) AND 3110 (FOR CONDUCT ON OR AFTER DECEMBER 1, 2014). Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH NYSE RECEIVES $45,000.00. FINE WAS PAID ON JUNE 7, 2018. Summary: ADDITIONALLY, ACCEPTANCE OF THIS AWC IS CONDITIONED UPON ACCEPTANCE OF SETTLEMENT AGREEMENTS IN RELATED MATTERS BETWEEN THE FIRM AND THE FOLLOWING SELF-REGULATORY ORGANIZATIONS: (I) CBOE BZX EXCHANGE, INC.; (II) CBOE BYX EXCHANGE, INC.; (III) CBOE EDGA EXCHANGE, INC.; (IV) CBOE EDGX EXCHANGE, INC.; (V) FINRA; (VI) INVESTORS EXCHANGE LLC; (VII) NYSE ARCA, INC.; AND (VIII) NYSE AMERICAN LLC.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), NASD RULE 3010, AND FINRA RULES 2010 AND 3110. Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH FINRA RECEIVES $40,000.00. FINE WAS PAID ON JUNE 7, 2018.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), AND IEX RULES 3.110, 5.110, AND 11.190(B)(12). Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH INVESTORS EXCHANGE LLC RECEIVES $25,000.00. FINE WAS PAID ON JUNE 7, 2018.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), AND BZX RULES 3.1, 5.1, AND 11.9(D). Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH CBOE BZX RECEIVES $40,000.00. FINE WAS PAID ON JUNE 7, 2018.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), AND BYX RULES 3.1, 5.1, AND 11.9(D). Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH BYX EXCHANGE RECEIVES $45,000.00. FINE WAS PAID ON JUNE 4, 2018.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), AND EDGA RULES 3.1, 5.1, AND 11.8(C). Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH EDGA EXCHANGE RECEIVES $40,000.00. FINE WAS PAID ON JUNE 7, 2018.
Allegations: WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, J.P. MORGAN SECURITIES, LLC ("THE FIRM") ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT STATING THAT DURING THE REVIEW PERIOD, DEFINED AS JANUARY 2009 THROUGH MAY 31, 2017, THE FIRM, DUE TO VARIOUS PROPRIETARY SYSTEM FLAWS AND DEFICIENCIES, THE FIRM ON NUMEROUS OCCASIONS ROUTED ISOS THROUGH PROTECTED QUOTATIONS. LIMITATIONS IN THE FIRM'S SYSTEMS ALSO LED TO A FAILURE TO RETAIN MARKET DATA SNAPSHOTS FROM THE SECURITIES INFORMATION PROCESSOR ("SIP"), WHICH THE FIRM USED TO MAKE ORDER ROUTING DETERMINATION, IN VIOLATION OF: SEC RULES 611(A) AND (C), AND EDGX RULES 3.1, 5.1, AND 11.8(C). Status: Final Sanction Detail: TOTAL FINE IN THE AMOUNT $345,000, OF WHICH EDGX EXCHANGE RECEIVES $40,000.00. FINE WAS PAID ON JUNE 7, 2018.
Allegations: EXCHANGE FOUND THAT RESPONDENT IMPROPERLY HEDGED ITS ANTICIPATED FACILITATION OF CUSTOMER ORDERS PRIOR TO DISCLOSURE TO THE TRADING CROWD OF ALL MATERIAL TERMS AND CONDITIONS OF THE CUSTOMER ORDER, AND THAT THE RESPONDENT'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH APPLICABLE SRO ANTICIPATORY HEDGING RULES. Status: Final Sanction Detail: $90,000 LEVIED AGAINST THE APPLICANT. ANTICIPATED PAYMENT UPON RECEIPT OF INVOICE. NO PORTION OF THE PENALTY WAS WAIVED. Summary: THE AWC WAS EXECUTED ON MARCH 30, 2023.
Allegations: EXCHANGE FOUND THAT RESPONDENT IMPROPERLY HEDGED ITS ANTICIPATED FACILITATION OF CUSTOMER ORDERS PRIOR TO DISCLOSURE TO THE TRADING CROWD OF ALL MATERIAL TERMS AND CONDITIONS OF THE CUSTOMER ORDER, AND THAT THE RESPONDENT'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH APPLICABLE SRO ANTICIPATORY HEDGING RULES. Status: Final Sanction Detail: $65,000 LEVIED AGAINST THE APPLICANT. ANTICIPATED PAYMENT BY 4/17/2023. NO PORTION OF THE PENALTY WAS WAIVED. Summary: THE AWC WAS EXECUTED ON MARCH 21, 2023.
Allegations: EXCHANGE FOUND THAT RESPONDENT IMPROPERLY HEDGED ITS ANTICIPATED FACILITATION OF CUSTOMER ORDERS PRIOR TO DISCLOSURE TO THE TRADING CROWD OF ALL MATERIAL TERMS AND CONDITIONS OF THE CUSTOMER ORDER, AND THAT THE RESPONDENT'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH APPLICABLE SRO ANTICIPATORY HEDGING RULES. Status: Final Sanction Detail: $75,000 LEVIED AGAINST THE APPLICANT. ANTICIPATED PAYMENT BY 4/17/2023. NO PORTION OF THE PENALTY WAS WAIVED. Summary: THE AWC WAS EXECUTED ON MARCH 21, 2023.
Allegations: THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED THAT IN 2011, 2012 AND 2013, J.P. MORGAN CLEARING CORP. (JPMCC) FAILED TO SEND ANNUAL PRIVACY NOTICES ON ITS OWN BEHALF TO CERTAIN ACCOUNT HOLDERS OF OTHER BROKER-DEALERS FOR WHICH IT PROVIDES CLEARING AND CUSTODY SERVICES. FINRA ALSO ALLEGED THAT JPMCC HAD INADEQUATE CONTROLS TO ENSURE THAT SUCH PRIVACY NOTICES WERE SENT. THE ALLEGED CONDUCT VIOLATED NASD CONDUCT RULE 3010(A) AND (B) AND FINRA RULE 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMCC CONSENTED TO A FINE OF $250,000 AND A CENSURE. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT DATED APRIL 22, 2016.
Allegations: ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STATES THAT JPMC ENGAGED IN UNSAFE AND UNSOUND BANKING PRACTICES BECAUSE (A) JPMC LACKED ADEQUATE FIRM-WIDE GOVERNANCE, RISK MANAGEMENT, COMPLIANCE AND AUDIT POLICIES AND PROCEDURES TO ENSURE THAT CERTAIN OF THE FIRM'S FX ACTIVITIES CONDUCTED AT THE FX SUBSIDIARIES COMPLIED WITH SAFE AND SOUND BANKING PRACTICES, APPLICABLE U.S. LAWS AND REGULATIONS, INCLUDING POLICIES AND PROCEDURES TO PREVENT POTENTIAL VIOLATIONS OF THE U.S. COMMODITIES, ANTITRUST AND CRIMINAL FRAUD LAWS, AND APPLICABLE INTERNAL POLICIES; (B) JPMC'S DEFICIENT POLICIES AND PROCEDURES PREVENTED JPMC FROM DETECTING AND ADDRESSING UNSAFE AND UNSOUND CONDUCT BY THE FX SUBSIDIARIES' TRADERS RELATING TO CERTAIN COMMUNICATIONS BY TRADERS IN MULTIBANK CHATROOMS; AND (C) JPMC'S DEFICIENT POLICIES AND PROCEDURES PREVENTED JPMC FROM DETECTING AND ADDRESSING UNSAFE AND UNSOUND CONDUCT BY THE FX SUBSIDIARIES' SALES PERSONNEL REGARDING THE PROVISION OF INFORMATION TO CUSTOMERS REGARDING PRICE QUOTES; AND THE PROVISION OF INFORMATION TO CUSTOMERS ABOUT HOW A CUSTOMER'S FX ORDER IS FILLED. Status: Final Sanction Detail: IN THE ORDER, JPMC AGREED TO PAY A CIVIL MONEY PENALTY IN THE TOTAL AMOUNT OF $342MIL, WHICH WAS PAID ON MAY 20, 2015, AND CONTINUE TO IMPLEMENT ADDITIONAL IMPROVEMENTS IN ITS OVERSIGHT, INTERNAL CONTROLS, COMPLIANCE, RISK MANAGEMENT, AND AUDIT PROGRAMS FOR THE FX ACTIVITIES IN ORDER TO COMPLY WITH JPMC POLICIES, SAFE AND SOUND BANKING PRACTICES, AND APPLICABLE U.S. LAWS/REGULATION. JPMC AGREED: (A) THE BOARD OF DIRECTORS OF JPMC OR AN AUTHORIZED COMMITTEE THEREOF SHALL SUBMIT A WRITTEN PLAN TO IMPROVE SENIOR MANAGEMENT'S OVERSIGHT OF JPMC'S COMPLIANCE WITH APPLICABLE U.S. LAWS/REGULATIONS AND INTERNAL POLICIES RELATING TO CERTAIN FX ACTIVITIES; (B) JPMC SHALL SUBMIT AN ENHANCED WRITTEN INTERNAL CONTROLS AND COMPLIANCE PROGRAM TO COMPLY WITH APPLICABLE U.S. LAWS/REGULATIONS RELATING TO CERTAIN FX ACTIVITIES; (C) JPMC SHALL SUBMIT A WRITTEN PLAN TO IMPROVE ITS COMPLIANCE RISK MANAGEMENT PROGRAM WITH REGARD TO COMPLIANCE WITH APPLICABLE U.S. LAWS/REGULATIONS RELATING TO CERTAIN FX ACTIVITIES FIRM-WIDE; (D) JPMC MANAGEMENT SHALL ANNUALLY CONDUCT A REVIEW OF COMPLIANCE POLICIES AND PROCEDURES APPLICABLE TO CERTAIN FX ACTIVITIES AND THEIR IMPLEMENTATION AND AN APPROPRIATE RISK-FOCUSED SAMPLING OF OTHER KEY CONTROLS FOR CERTAIN FIRM-WIDE FX ACTIVITIES; (E) JPMC SHALL SUBMIT AN ENHANCED WRITTEN INTERNAL AUDIT PROGRAM RELATING TO THE JPMC'S COMPLIANCE WITH U.S. LAWS/REGULATIONS IN CERTAIN FX ACTIVITIES; AND (F) JPMC SHALL NOT IN THE FUTURE DIRECTLY OR INDIRECTLY RETAIN ANY INDIVIDUAL AS AN OFFICER, EMPLOYEE, AGENT, CONSULTANT, OR CONTRACTOR OF JPMC OR OF ANY SUBSIDIARY WHO, BASED ON THE INVESTIGATIVE RECORD COMPILED BY U.S. AUTHORITIES, PARTICIPATED IN THE MISCONDUCT UNDERLYING THE ORDER, WHO HAS BEEN SUBJECT TO FORMAL DISCIPLINARY ACTION AS A RESULT OF JPMC'S INTERNAL DISCIPLINARY REVIEW OR PERFORMANCE REVIEW IN CONNECTION WITH THE CONDUCT, AND HAS EITHER SEPARATED FROM JPMC OR ANY SUBSIDIARY THEREOF OR HAD HIS/HER EMPLOYMENT TERMINATED IN CONNECTION WITH THE CONDUCT. Summary: IN SETTLEMENT OF THIS MATTER, JPMC CONSENTED AND AGREED TO THE ISSUANCE OF THE ORDER, WHICH THE FRB HAS DETERMINED TO ACCEPT AND HAS ISSUED. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMORGAN CHASE & CO CONSENTED TO A FINE OF $97706.22 WHICH WAS PAID ON 01/04/2017. THE FINE REPRESENTS THE NEW HAMPSHIRE PORTION OF A TOTAL FINE OF $25 MILLION NEGOTIATED WITH THE NYAG AND THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION ON BEHALF OF THE NASAA TASK FORCE. THE REMAINING AMOUNT WILL BE PAID SEPARATELY TO OTHER STATES. ALSO PAID WAS $15,000 TO NASAA AS REIMBURSEMENT FOR INVESTIGATIVE COSTS INCURRED BY NASAA. Summary: THE ACTION RELATED TO ALLEGATIONS WITH RESPECT TO MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. AS DESCRIBED HEREIN, THE PRINCIPAL TERMS OF THE SETTLEMENT WERE NEGOTIATED WITH THE NYAG AND THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION ON BEHALF OF THE NASAA TASK FORCE THAT CONTEMPLATES SEPARATE SIMILAR AGREEMENTS WITH OTHER STATES.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE OFFICE OF THE COMMISSIONER OF FINANCIAL INSTITUTIONS OF PUERTO RICO ("OCFI") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN PUERTO RICO IN VIOLATION OF THE PUERTO RICO UNIFORM SECURITIES ACT ("ACT NO. 60") § 201(B) AND PUERTO RICO UNIFORM SECURITIES ACT REGULATION ("REGULATION NO. 6078") § 6.5.1, JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN PUERTO RICO IN VIOLATION OF ACT NO. 60 § 204(A)(2)(J) AND §§ 28.1 AND 28.2 OF REGULATION NO. 6078, AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF § 16.1 OF REGULATION NO. 6078. Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY OCFI. JPMS ALSO AGREED TO PAY OCFI A SUM IN THE AMOUNT OF $61,650.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, OCFI ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN PUERTO RICO THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN PUERTO RICO AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED ACT NO. 60 §§ 201(B) AND 204(A)(2)(J) AND REGULATION NO. 6078 §§ 6.5.1, 28.1, 28.2 AND 16.1. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY OCFI A SUM IN THE AMOUNT OF $61,650.00, PUERTO RICO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, OCFI AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT AND CONCLUSIONS OF LAW, JPMS CONSENTS TO THE ENTRY OF THE ORDER CONFIRMING AN EMPLOYEE OF JPMS PROVIDED INVESTMENT ADVISORY SERVICES IN THE CAPACITY OF AN INVESTMENT ADVISER REPRESENTATIVE OF JPMS WITHIN THE DISTRICT WHILE NOT EFFECTIVELY LICENSED, IN VIOLATION OF SECTION 202(A) OF THE SECURITIES ACT, D.C. OFFICIAL CODE 31-5602.02(B)(2). Status: Final Sanction Detail: FINE PAID JULY 3, 2018. Summary: RR RELOCATED FROM MASSACHUSETTS TO WASHINGTON DC IN 2016 AND DUE TO A JPMS ADMINISTRATIVE OVERSIGHT, THE FIRM NEGLECTED TO FILE ON THEIR HIS BEHALF AN APPLICATION FOR RA REGISTRATION (INVESTMENT ADVISORY REPRESENTATIVE) AND THEREFORE RR CONDUCTED IA BUSINESS IN DC WITHOUT RA REGISTRATION FROM 2016 THRU 2018. THE RR HAS THE SERIES 65 AND WAS ELIGIBLE FOR RA STATUS IN DC. THE FIRM HAS COMMUNICATED WITH THE DISTRICT OF COLUMBIA AND ACKNOWLEDGED RESPONSIBILITY FOR FAILING TO SUBMIT THE REQUIRED REGISTRATION REQUEST TO THE DISTRICT. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM SETTLED THE ALLEGATIONS BY CONSENTING TO AN ADMINISTRATIVE FINE OF $5,000 WHICH HAS BEEN PAID.
Allegations: NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. Status: Final Sanction Detail: AN ADMINISTRATIVE FINE OF 1,830,000 EUROS Summary: AN ADMINISTRATIVE FINE OF 1,830,000 EUROS IS IMPOSED PURSUANT TO SECTION 30 (1) NO. 1, (4) SENTENCE 1 OF THE GERMAN ACT ON BREACHES OF ADMINISTRATIVE REGULATIONS, ON THE GROUNDS OF A NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT RELATING TO THE FILING OF VOTING RIGHTS NOTIFICATIONS.
Allegations: ON NOVEMBER 3, 2014, JPMORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ORDER. JPMS CONSENTED TO THE ENTRY OF THE ORDER THAT FINDS THAT JPMS WILLFULLY VIOLATED RULE G-15(F) PROMULGATED BY THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") AND SECTION 15B(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), CENSURED JPMS, AND IMPOSED A $54,000 PENALTY INVOLVING THE SALE OF NON-INVESTMENT GRADE BONDS ISSUED BY THE COMMONWEALTH OF PUERTO RICO ("PUERTO RICO") BY JPMS TO A CUSTOMER IN AN AMOUNT BELOW THE MINIMUM DENOMINATION OF THE ISSUE. THE ORDER FINDS THAT JPMS WILLFULLY VIOLATED MSRB RULE 6-15(F) BY EXECUTING ONE SALES TRANSACTION IN THE PUERTO RICO BONDS WITH A CUSTOMER IN AN AMOUNT BELOW THE $100,000 MINIMUM DENOMINATION OF THE ISSUE. AS A RESULT OF JPMS'S WILLFUL VIOLATION OF MSRB RULE G-15(F), JPMS WILLFULLY VIOLATED SECTION 15B(C)(1) OF THE EXCHANGE ACT. Status: Final Sanction Detail: THE ORDER REQUIRES JPMS TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF EXCHANGE ACT SECTION 15B(C)(1) AND MSRB RULE G-15(F); CENSURES JPMS; AND REQUIRES JPMS TO PAY A CIVIL MONETARY PENALTY OF $54,000, WHICH JPMS PAID ON 11/5/2014. Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, JPMS CONSENTED TO THE ORDER WITHOUT ADMITTING OR DENYING THE MATTERS IN IT (EXCEPT THE SEC'S JURISDICTION). THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12. IN ADDITION, JPMS AGREED IN THE ORDER TO UNDERTAKE, AS A NON-SANCTION, TO REVIEW THE ADEQUACY OF ITS EXISTING POLICIES AND PROCEDURES RELATING TO COMPLIANCE WITH MSRB RULE G-15(F), MAKE NECESSARY CHANGES TO ITS POLICIES AND PROCEDURES, AND TO INFORM THE COMMISSION STAFF NO LATER THAN SIX MONTHS AFTER THAT ENTRY OF THE ORDER THAT IT HAS COMPLIED WITH THE UNDERTAKINGS.
Allegations: ON JANUARY 11, 2017, THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED AN ORDER INSTITUTING PROCEEDINGS PURSUANT TO SECTIONS 6(C) AND 6(D) OF THE COMMODITY EXCHANGE ACT, MAKING FINDINGS AND IMPOSING REMEDIAL SANCTION ("ORDER") THAT FINDS THAT DURING THE PERIOD 2010-2014, JPMS FAILED TO DILIGENTLY SUPERVISE ITS OFFICERS', EMPLOYEES', AND AGENTS' PROCESSING OF EXCHANGE AND CLEARING FEES ("EXCHANGE FEES") IT CHARGED CERTAIN CUSTOMERS IN CONNECTION WITH FUTURES AND OPTIONS TRANSACTIONS, IN VIOLATION OF REGULATION 166.3. Status: Final Sanction Detail: THE ORDER DIRECTS JPMS TO CEASE-AND-DESIST FROM VIOLATING COMMISSION REGULATION 166.3. ADDITIONALLY, THE ORDER REQUIRES JPMS TO PAY A CIVIL MONEY PENALTY OF $900,000, WHICH WAS PAID ON JANUARY 19, 2017. Summary: WITHOUT ADMITTING OR DENYING ANY OF THE FINDINGS OR CONCLUSIONS, JPMS CONSENTED TO THE ENTRY OF THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SACTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON DECEMBER 17, 2021, J.P. MORGAN SECURITIES LLC ("JPMS" OR THE "RESPONDENT") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). THE RESPONDENT CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS WILLFULLY VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE "EXCHANGE ACT") AND RULES 17A-4(B)(4) AND 17A-4(J) THEREUNDER. THE ORDER FOUND THAT FROM AT LEAST JANUARY 2018 THROUGH AT LEAST NOVEMBER 2020, JPMS EMPLOYEES OFTEN COMMUNICATED ABOUT SECURITIES BUSINESS MATTERS ON THEIR PERSONAL DEVICES, USING TEXT MESSAGING APPLICATIONS (INCLUDING WHATSAPP) AND PERSONAL EMAIL ACCOUNTS, NONE OF THESE RECORDS WERE PRESERVED BY JPMS, AND SOME OF THE WRITTEN COMMUNICATIONS WERE NOT ABLE TO BE FURNISHED PROMPTLY TO A COMMISSION REPRESENTATIVE WHEN ASKED. THE ORDER ALSO FOUND THAT JPMS'S WIDESPREAD FAILURE TO IMPLEMENT ITS POLICIES AND PROCEDURES WHICH FORBID SUCH COMMUNICATIONS LED TO ITS FAILURE TO REASONABLY SUPERVISE ITS EMPLOYEES WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF EXCHANGE ACT SECTION 17(A) AND RULE 17A-4 THEREUNDER. ADDITIONALLY, THE ORDER REQUIRED THE RESPONDENT TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $125,000,000, WHICH WAS PAID ON DECEMBER 24, 2021. JPMS ALSO AGREED TO CERTAIN UNDERTAKINGS. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: J.P. MORGAN SECURITIES LLC AND J.P. MORGAN CHASE BANK, N.A. FAILED TO SUBMIT TWENTY-SEVEN (27) SINGLE NAME PRICES IN VIOLATION OF ICE CLEAR CREDIT RULES 404(B) AND 702(E). Status: Final Sanction Detail: FINE PAID MAY 6, 2020.
Allegations: FINRA RULE 7450: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT TRANSMITTED TO THE ORDER AUDIT TRAIL SYSTEM (OATS) 89 EXECUTION OR COMBINED ORDER/EXECUTION REPORTS THAT CONTAINED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA. THE FINDINGS STATED THAT BECAUSE OF THE INACCURATE, MISSING, OR IMPROPERLY FORMATTED DATA, OATS WAS UNABLE TO LINK THE EXECUTION REPORTS TO THE RELATED TRADE REPORTS IN A FINRA TRADE REPORTING SYSTEM. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS OF A CENSURE AND FINE OF $15,000. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 05/07/2014. THE FINE WAS PAID ON JUNE 5, 2014.
Allegations: THE BUSINESS CONDUCT COMMITTEE OF ICE FUTURES U.S., INC. FOUND THAT J.P. MORGAN SECURITIES, LLC MAY HAVE VIOLATED ICE CLEAR U.S., INC. RULE 403(A) BY REPORTING INACCURATE OPEN INTEREST DATA IN THE MARCH 2013 COCOA FUTURES CONTRACT ON FEBRUARY 14, 2013, WHICH CAUSED AN OVERSTATEMENT OF OPEN INTEREST FOR THE DAY BEFORE FIRST NOTICE DAY. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS THE FIRM CONSENTED TO THE SETTLEMENT AND AGREED TO PAY A $15,000 FINE. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTELMENT AGREEMENT DATED 6/19/2014. THE FINE WAS PAID ON JUNE 27, 2014.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD OCTOBER 2011 THROUGH MARCH 2012 IT VIOLATED FINRA RULE 6760(C) IN THAT IT FAILED TO REPORT CERTAIN NEW ISSUE OFFERINGS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE CORPORATE DEBT SECURITIES TO FINRA ACCORDING TO THE TIME FRAMES SET FORTH IN THE RULE. IN ADDITION THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FEBRUARY 6, 2012 THROUGH JUNE 2012 IT VIOLATED FINRA RULE 6730 IN THAT IT FAILED TO REPORT TO TRACE CERTAIN P1 TRANSACTIONS, FAILED TO REPORT TO TRACE THE CORRECT CONTRA-PARTY'S IDENTIFIER FOR CERTAIN TRANSACTIONS AND FAILED TO ACCURATELY REPORT TO TRACE THE MARKET IDENTIFIER FOR CERTAIN TRANSACTIONS. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES CONCERNING REPORTING OF P1 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS OF AN UNDERTAKING AND FINE OF $35,000. THE FINE WAS PAID ON 8/13/2014. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 07/15/2014.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE MAY 2011 THROUGH AUGUST 2011 REVIEW PERIOD IT FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE EXECUTION OR DISPLAY OF A NON-EXEMPT SHORT SALE IN A SECURITY SUBJECT TO A SHORT SALE CIRCUIT BREAKER AT A PRICE AT OR BELOW THE NATIONAL BEST BID. THE FINDINGS STATED THAT THE FIRM EXECUTED 21 SHORT SALE TRANSACTIONS AND FAILED TO REPORT EACH OF THESE TRANSACTIONS TO THE FINRA/NASDAQ TRADE REPORTING FACILITY (FNTRF) WITH A SHORT SALE MODIFIER. THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO RULE 201(B) OF REGULATION SHO. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A FINE OF $20,000, A CENSURE, AND AN UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES TO ADDRESS THE IDENTIFIED DEFICIENCIES. THE FINE WAS PAID ON 8/6/2014. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 07/21/2014.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ON 26 OCCASIONS, IT VIOLATED NYSE RULE 92(A) BY ENTERING A PROPRIETARY ORDER TO BUY OR SELL AN NYSE-LISTED SECURITY WHILE KNOWINGLY IN POSSESSION OF A CUSTOMER ORDER TO BUY OR SELL THE SECURITY THAT COULD HAVE BEEN EXECUTED AT THE SAME PRICE. THE FIRM THEN TRADED FOR ITS PROPRIETARY ORDER AHEAD OF OR ALONGSIDE THE CUSTOMER ORDER OR TRADED OUTSIDE THE CUSTOMER'S CONSENT PARAMETERS. IN THREE OF THE 26 INSTANCES, THE FIRM EXECUTED RISKLESS PRINCIPAL TRADES PURSUANT TO NYSE RULE 92(C), BUT FAILED TO COMPLY WITH ONE OR MORE REQUIREMENTS OF RULE 92(C), THEREBY VIOLATING RULE 92(A). IN ADDITION, IN TWO INSTANCES, WHILE HOLDING EXECUTABLE CUSTOMER ORDERS, THE FIRM ROUTED PROPRIETARY ORDERS TO ITS FLOOR BROKERS WITHOUT MARKING THEM AS G ORDERS. THE FIRM'S FLOOR BROKERS THEN EXECUTED THE PROPRIETARY ORDERS BY ENTERING THEM AS E-QUOTES INSTEAD OF G-QUOTES, THEREBY VIOLATING EXCHANGE ACT RULE 17A-3(A)(6)(I), AND NYSE RULES 92(A), 410(B) AND 440. WITH RESPECT TO ONE OF THE INSTANCES, AS A RESULT OF ENTERING A PROPRIETARY ORDER AS AN E-QUOTE RATHER THAN A G-QUOTE, THE FIRM FAILED TO YIELD TO ORDERS FOR NON-MEMBERS AND NON-MEMBER ORGANIZATIONS IN 61 INSTANCES, THEREBY VIOLATING EXCHANGE ACT SECTION 11(A)(1), EXCHANGE ACT RULE 11A-1(A), AND NYSE RULE 90(A). MOREOVER, IN FIVE INSTANCES IN WHICH THE FIRM EXECUTED TRANSACTIONS PURSUANT TO NYSE RULE 92(C), THE FIRM FAILED TO ACCURATELY DOCUMENT THE TIME IT HAD VERBALLY RECEIVED ITS CUSTOMERS' ORDERS IN VIOLATION OF EXCHANGE ACT RULE 17A-3(A)(6)(I) AND NYSE RULES 410(A)(1) AND 440. FURTHERMORE, THE FIRM VIOLATED NYSE RULE 342(A) AND (B) IN THAT IT FAILED TO DISCHARGE ITS DUTIES ADEQUATELY WITH RESPECT TO SUPERVISION AND CONTROL OF ITS TRADERS' ACTIVITIES RELATED TO THE FIRM'S BUSINESS AND COMPLIANCE WITH NYSE RULE 92(A) AND FAILED TO ENSURE SUPERVISORY RESPONSIBILITY WAS PROPERLY EXERCISED. THE FIRM FAILED TO DETECT CERTAIN INSTANCES IN WHICH IT HAD EXECUTED PROPRIETARY TRANSACTIONS IN VIOLATION OF RULE 92(A). IN OTHER INSTANCES, ALTHOUGH ITS SURVEILLANCE SYSTEM HAD DETECTED PROPRIETARY TRADES WHILE HOLDING EXECUTABLE CUSTOMER ORDERS, THE FIRM FAILED TO IDENTIFY THE TRANSACTIONS AS VIOLATING RULE 92(A). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS OF A FINE OF $175,000, AND CENSURE. THE FINE WAS PAID ON AUGUST 15, 2014. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED 07/29/2014.
Allegations: AS A RESULT OF 2011 AND 2013 EXAMINATIONS, THE CME'S MARKET REGULATION DEPARTMENT FOUND THAT J.P. MORGAN SECURITIES LLC DID NOT COMPLY WITH CME RULE 576. CME GROUP FOUND THAT ON 8 INSTANCES BETWEEN 2011 AND 2013 THE FIRM DID NOT PROPERLY REGISTER TAG 50 USER IDS AND ALLOWED ORDERS TO BE ENTERED USING INCORRECT TAG50 USER IDS. Status: Final Sanction Detail: ON SEPTEMBER 23, 2014, A PANEL OF THE CME BUSINESS CONDUCT COMMITTEE (THE "PANEL") ACCEPTED J.P. MORGAN SECURITIES LLC'S ("JPMS") SETTLEMENT OFFER, IN WHICH JPMS NEITHER ADMITTED NOR DENIED THE RULE VIOLATION. IN ACCORDANCE THEREWITH, THE PANEL DECIDED THAT JPMS DID NOT COMPLY WITH RULE 576 ("IDENTIFICATION OF GLOBEX TERMINAL OPERATORS") AND ORDERED JPMS TO PAY $1,000 TO CME GROUP, INC. THE $1,000 PAYMENT WAS MADE TO CME GROUP,INC. ON OCTOBER 9, 2014. Summary: IN ACCORDANCE WITH THE SETTLEMENT OFFER, THE PANEL ORDERED JPM TO PAY A FINE TO THE EXCHANGE IN THE AMOUNT OF $1,000. THE FINE WAS PAID ON OCTOBER 9, 2014.
Allegations: AS A RESULT OF A 2014 ELECTRONIC RECORDKEEPING EXAM, THE CME'S MARKET REGULATION DEPARTMENT FOUND THAT J.P. MORGAN SECURITIES LLC ("JPMS") USED TAG 50 USER IDS IN A MANNER INCONSISTENT WITH RULE 576 REQUIREMENTS FOR TRADE DATES FEBRUARY 20 THROUGH MAY 20, 2014. Status: Final Sanction Detail: ON OCTOBER 16, 2014, THE CME MARKET REGULATION GROUP ("MARKET REGULATION") ISSUED A SUMMARY FINE NOTICE (WHICH BECAME FINAL ON 11/3/2014) THAT JPMS ACCEPTED WITHOUT ADMITTING OR DENYING THE RULE VIOLATION. IN ACCORDANCE THEREWITH, MARKET REGULATION CONCLUDED JPMS DID NOT COMPLY WITH RULE 576 ("IDENTIFICATION OF GLOBEX TERMINAL OPERATORS") AND ORDERED JPMS TO PAY $7,500 TO CME GROUP, INC. THE $7,500 PAYMENT WAS MADE TO CME GROUP, INC. ON OCTOBER 29, 2014. Summary: IN ACCORDANCE WITH THE SUMMARY FINE NOTICE, MARKET REGULATION ORDERED JPMS TO PAY A FINE TO THE CME GROUP IN THE AMOUNT OF $7,500. THE FINE WAS PAID ON OCTOBER 29, 2014.
Allegations: ICE FUTURES U.S., INC. ("IFUS") HAS ISSUED A SUMMARY FINE TO J.P. MORGAN SECURITIES LLC ("JPMS") FOR FAILURE TO COMPLY WITH RULE 6.10 BY NOT AFFIXING THE PROPER CUSTOMER TYPE INDICATOR ("CTI") CODE TO ORDERS ENTERED ON BEHALF OF ONE ACCOUNT IN AUGUST 2014. Status: Final Sanction Detail: THE FIRM RECEIVED A SUMMARY FINE IN THE AMOUNT OF $1,000. Summary: IN ACCORDANCE WITH THE SUMMARY FINE NOTICE, IFUS ORDERED JPMS TO PAY A FINE IN THE AMOUNT OF $1,000. THE FINE WILL BE PAID ON OR ABOUT JANUARY 9, 2015.
Allegations: THE BUSINESS CONDUCT COMMITTEE ("BCC") OF IFUS DETERMINED THAT J.P. MORGAN SECURITIES LLC ("JPMS") MAY HAVE VIOLATED EXCHANGE RULE 18.05 BY REPORTING INACCURATE OPEN INTEREST DATA IN THE DECEMBER 2013 HENRY PENULTIMATE FIXED PRICE FUTURES CONTRACT ON NOVEMBER 25, 2013, RESULTING IN THE OVERSTATEMENT OF OPEN INTEREST. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A FINE OF $10,000 PAID ON 2/3/2015. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT, DATED 01/16/2015. THE FINE WAS PAID ON 2/3/2015.
Allegations: BETWEEN APRIL 20, 2010 AND SEPTEMBER 9, 2013, JPMS IN CONNECTION WITH BLOCK TRADES IN VARIOUS CBOT CONTRACTS: (I) REPORTED INACCURATE EXECUTION TIMES FOR CERTAIN BLOCK TRADES; (II) FAILED TO REPORT CERTAIN BLOCK TRADES WITHIN THE ALLOWABLE TIME FOLLOWING EXECUTION; (III) DID NOT MAINTAIN ORDER TICKETS OR OTHER ACCEPTABLE RECORDS OF EXECUTED BLOCK TRADES ON MORE THAN ONE OCCASION; AND (IV) IN ONE INSTANCE, REPORTED AN INTER-COMMODITY SPREAD TRADE TO THE EXCHANGE AS A BLOCK TRADE WHEN THE TRANSACTION DID NOT MEET THE MINIMUM QUANTITY THRESHOLD FOR INTER-COMMODITY SPREAD BLOCK TRADES; IN VIOLATION OF CBOT RULES 526 AND 536. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A FINE OF $75,000 PAID ON 2/3/2015. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT, EFFECTIVE 01/22/2015.
Allegations: ON NOVEMBER 30, 2011, DURING THE SPOT-MONTH EXPIRATION PERIOD, JPMS OVERSTATED OPEN INTEREST IN THE DECEMBER 2011 SOYBEAN OIL FUTURES CONTRACT BY 8.1%, AND IN THE DECEMBER 2011 CORN FUTURES CONTRACT BY 1.34% AS A RESULT OF NOT NETTING DOWN 718 AND 360 CONTRACTS, RESPECTIVELY. THE OVERSTATEMENTS RESULTED FROM AN INTERNAL ASSIGNMENT ERROR THAT PLACED FUTURES POSITIONS RESULTING FROM THE DECEMBER 2011 OPTIONS EXPIRATION AND SUBSEQUENT ASSIGNMENTS INTO THE WRONG SUBACCOUNT, IN VIOLATION OF CBOT RULE 854. FURTHER, ON AUGUST 31, 2012, DURING THE SPOT-MONTH EXPIRATION PERIOD, JPMS OVERSTATED OPEN INTEREST IN THE SEPTEMBER 2012 5-YEAR TREASURY NOTE FUTURES CONTRACT BY 3% AS A RESULT OF NOT NETTING DOWN 6,500 CONTRACTS, RESULTING FROM THE ASSIGNMENT OF FUTURES POSITIONS IN THE INCORRECT TRADING ACCOUNT, IN VIOLATION OF CBOT RULE 854. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A FINE OF $75,000 PAID ON 2/3/2015. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT, EFFECTIVE 01/22/2015.
Allegations: BETWEEN MARCH 9, 2010, AND MAY 28, 2013, JPMS IN CONNECTION WITH BLOCK TRADES IN VARIOUS CME CONTRACTS: (I) REPORTED INACCURATE EXECUTION TIMES FOR CERTAIN BLOCK TRADES; (II) FAILED TO REPORT CERTAIN BLOCK TRADES WITHIN THE ALLOWABLE TIME FOLLOWING EXECUTION; (III) DID NOT MAINTAIN ORDER TICKETS OR OTHER ACCEPTABLE RECORDS OF EXECUTED BLOCK TRADES ON MORE THAN ONE OCCASION; AND (IV) REPORTED 2 BLOCK-ELIGIBLE SPREAD TRADES IN FX FUTURES WITH INDIVIDUAL LEGS THAT WERE NOT EXECUTED AT A SINGLE PRICE; IN VIOLATION OF CME RULES 526 AND 536. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A FINE OF $40,000 PAID ON 2/3/2015. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT, EFFECTIVE 01/22/2015.
Allegations: ON JUNE 7, 2011, DURING THE SPOT-MONTH EXPIRATION PERIOD, JPMS OVERSTATED OPEN INTEREST IN THE JUNE 2011 LIVE CATTLE FUTURES CONTRACT BY 21% AS A RESULT OF NOT NETTING DOWN 4,237 CONTRACTS FOLLOWING OPTION ASSIGNMENTS; IN VIOLATION OF CME RULE 854. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO A FINE OF $20,000 PAID ON 2/3/2015. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT, EFFECTIVE 01/22/2015.
Allegations: THIS MATTER BEGAN AS PART OF THE CBOT 2015 ANNUAL PIT TRADING EXAM OF J.P. MORGAN SECURITIES LLC ("JPMS"). ON JULY 23, 2015, JPMS RECEIVED THE CBOT EXAM REPORT WITH A FINDING OF ORDER TICKET ERROR RATE OF 19% FOR THE REVIEW PERIOD OF APRIL 6, 2015 THROUGH MAY 22, 2015. THIS ERROR RATE TRIGGERED AN AUTOMATIC FINE OF $2,500. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AGREED TO THE ABOVE SANCTION. THE FINE WAS PAID ON AUGUST 12, 2015. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT, EFFECTIVE 07/23/2015. THE FINE WAS PAID ON AUGUST 12, 2015.
Allegations: THE BUSINESS CONDUCT COMMITTEE ("BCC") OF IFUS DETERMINED THAT J.P. MORGAN SECURITIES LLC ("JPMS") MAY HAVE VIOLATED IFUS RULE 4.07(C) IN SEVERAL INSTANCES BY REPORTING A BLOCK TRADE OUTSIDE OF THE 5 MINUTE REPORTING WINDOW FOR RUSSELL 100 GROWTH INDEX MINI FUTURES CONTRACTS, IFUS RULE 4.07(B) BY REPORTING A BLOCK TRADE THAT FAILED TO MEET THE MINIMUM SIZE REQUIREMENT FOR SUCH CONTRACT AND IFUS RULE 6/08(B)(I) BY FAILING TO PROPERLY TIMESTAMP CUSTOMER ORDER TICKETS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS LLC AGREED TO A FINE OF $25,000 PAID ON AUGUST 30, 2015. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT APPROVED BY THE IFUS BCC ON 8/12/2015.
Allegations: AS A RESULT OF THE 2015 ELECTRONIC TRADING RECORDKEEPING EXAM, THE CME'S MARKET REGULATION DEPARTMENT FOUND THAT J.P. MORGAN SECURITIES LLC ("JPMS") USED TAG 50 IDS IN A MANNER INCONSISTENT WITH RULE 576 REQUIREMENTS FOR TRADE DATES FEBRUARY 1 THROUGH APRIL 30, 2015. Status: Final Sanction Detail: ON SEPTEMBER 16, 2015, THE CME MARKET REGULATION GROUP ("MARKET REGULATION") ISSUED A SUMMARY FINE NOTICE THAT JPMS ACCEPTED WITHOUT ADMITTING OR DENYING THE RULE VIOLATION. IN ACCORDANCE THEREWITH, MARKET REGULATION CONCLUDED JPMS DID NOT COMPLY WITH RULE 576 ("IDENTIFICATION OF GLOBEX TERMINAL OPERATORS") AND ORDERED JPMS TO PAY $4,000 TO CME GROUP, INC. THE PAYMENT WAS MADE TO CME GROUP, INC. ON OCTOBER 1, 2015. Summary: IN ACCORDANCE WITH THE SUMMARY NOTICE, MARKET REGULATION ORDERED JPMS TO PAY A FINE TO THE CME GROUP IN THE AMOUNT OF $4,000. THE FINE WAS PAID ON OCTOBER 1, 2015.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT S1 TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE AGENCY DEBT SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION TO TRACE. THE FINDINGS STATED THAT THE FIRM FAILED TO REPORT TO TRACE P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES THAT IT WAS REQUIRED TO REPORT, FAILED TO REPORT TO TRACE THE CORRECT CONTRA-PARTY'S IDENTIFIER FOR P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES, AND FAILED TO ACCURATELY REPORT TO TRACE THE PRICE FOR P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES. THE FIRM ALSO REPORTED TO TRACE P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES IT WAS NOT REQUIRED TO REPORT. THE FINDINGS ALSO STATED THAT THE FIRM, AS A MANAGING UNDERWRITER, FAILED TO REPORT NEW ISSUE OFFERINGS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES TO FINRA ACCORDING TO THE TIME FRAMES SET FORTH IN FINRA RULE 6760. THE FIRM FAILED TO REPORT TO TRACE S1 TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION. THE FIRM FAILED TO REPORT TO TRACE P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE SECURITIES THAT IT WAS REQUIRED TO REPORT AND FAILED TO REPORT TO TRACE THE CORRECT CONTRA-PARTY'S IDENTIFIER FOR P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES. THE FIRM ALSO REPORTED TO TRACE P1 TRANSACTIONS IN TRACE-ELIGIBLE CORPORATE DEBT SECURITIES IT WAS NOT REQUIRED TO REPORT. THE FIRM FAILED TO REPORT TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION TO TRACE. THE FINDINGS ALSO INCLUDED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, AND FINRA RULES. Status: Final Sanction Detail: JPMS, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO A FINE OF $725,000, A CENSURE AND UNDERTAKINGS TO REVISE WRITTEN SUPERVISORY PROCEDURES AND PROVIDE 3 WRITTEN REPORTS. JPMS PAID THE FINE TO FINRA ON 1/15/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, DATED DECEMBER 21, 2015.
Allegations: IFUS HAS CONCLUDED THAT J.P. MORGAN SECURITIES LLC (JPMS) MAY HAVE VIOLATED ICE RULE 6.10 BY FAILING TO ENSURE THE THE PROPER CTI CODE WAS AFFIXED TO ORDERS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS AGREED TO A SUMMARY FINE OF $2,000 PAID ON 4/5/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY SETTLEMENT APPROVED BY IFUS ON 3/17/2016.
Allegations: THE MARKET REGULATION DEPARTMENT DETERMINED THAT J.P. MORGAN SECURITIES LLC (JPMS) VIOLATED RULE 536.F BY HAVING >10% DATA ENTRY ERRORS FOR TRADE DATES OF NOVEMBER 17, 2015 THROUGH JANUARY 8, 2016 (23 DATA ENTRY ERRORS OR 13.29%) TRIGGERING AN AUTOMATIC FINE OF $5,000. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $5,000 WHICH WAS PAID ON 10, 2016. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $5,000 WHICH WAS PAID ON 10, 2016.
Allegations: JPMS LLC RECENTLY AGREED TO SETTLE A CBOE FUTURES EXCHANGE ACTION FOR $20,000 WITHOUT ADMITTING/DENYING FINDINGS THAT THE FIRM HAD SUBMITTED THE WRONG CBOE ACCOUNT TYPE CODE IN NUMEROUS ORDERS TO THE EXCHANGE FOR 2+ YEARS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $20,000 WHICH WAS PAID ON OR 6/15/2016. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF CONSENT, APPROVED ON 5/25/2016.
Allegations: THE MARKET REGULATION DEPARTMENT DETERMINED THAT J.P. MORGAN SECURITIES LLC (JPMS) VIOLATED RULE 576 ("IDENTIFICATION OF GLOBAL TERMINAL OPERATORS") BY FAILING TO REGISTER 10 TAG 50 IDS IN THE EXCHANGE FEE SYSTEM WHICH WERE REQUIRED TO BE REGISTERED. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $5,000. Summary: IN ACCORDANCE WITH THE SUMMARY NOTICE, MARKET REGULATION ORDERED JPMS TO PAY A FINE TO THE CME GROUP IN THE AMOUNT OF $5,000. THE FINE WAS PAID ON AUGUST 25, 2016. THE TAG 50 IDS HAVE SINCE BEEN REGISTERED.
Allegations: WITHOUT ADMITTING OR DENYING ANY WRONGDOING, JPMORGAN SECURITIES LLC (JPMS) AGREED TO PAY A $675,000 FINE AND ENTER INTO AN ACCEPTANCE WAIVER & CONSENT (AWC) WITH FINRA RESOLVING ALLEGATIONS THAT ITS MISUNDERSTANDING OF REPORTING REQUIREMENTS FOR FIXED-INCOME SECURITIES CAUSED IT TO REPORT HUNDREDS OF THOUSANDS OF CLIENT-SIDED TRANSACTIONS LATE AND INCORRECTLY. THE AWC STATES THAT FROM 2008 TO 2013, THE COMPANY VIOLATED FINRA AND MSRB RULES BY FAILING TO REPORT WITHIN THE 15-MINUTE WINDOW PORTIONS OF ITS EXECUTED TRANSACTIONS. WHEN THOSE TRANSACTION PARTS WERE EVENTUALLY REPORTED, JPMS DIDN'T PROVIDE THE CORRECT TIMING OF THE TRADES. THE TRANSACTIONS AT ISSUE INVOLVED JPMS'S RISKLESS PRINCIPAL TRANSACTIONS, WHICH ARE CLIENT TRANSACTIONS THAT ARE BOUGHT AND SOLD WITH THE STREET AND THEN OFFSET WITH CORRESPONDING TRANSACTIONS WITH THE CLIENTS. THE FIRM TIMELY REPORTED THE STREET SIDE OF THOSE TRANSACTIONS TO TWO SYSTEMS - FINRA'S TRADE REPORTING AND COMPLIANCE ENGINE, OR TRACE, AND MSRB'S REAL-TIME TRANSACTION REPORTING SYSTEM, OR RTRS - BUT NOT THE CLIENT SIDE TRANSACTIONS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $675,000 AND A CENSURE. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT DATED FEBRUARY 24, 2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-5(B) AND (C)(L)(II) AND (C)(2), AND EDGX RULES 5.1, 5.2, 5.3, AND 3.1. Status: Final Sanction Detail: CENSURE, FINE $50,000 (PAID ON AUGUST 11, 2017) AND UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE RELEVANT DEFICIENCIES AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RELEVANT RULES AND REGULATIONS. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 07/27/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH ALL REGULATORY REQUIREMENTS, INCLUDING SUPERVISING CUSTOMER TRADING TO DETECT AND PREVENT POTENTIALLY VIOLATIVE AND MANIPULATIVE ACTIVITY, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-5(B) AND (C)(2), AND BYX RULES 5.1, 5.2, 5.3, AND 3.1. Status: Final Sanction Detail: CENSURE, FINE $15,000 (PAID ON AUGUST 11, 2017) AND UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE RELEVANT DEFICIENCIES AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RELEVANT RULES AND REGULATIONS. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 07/27/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-5(B) AND (C)(L)(II) AND (C)(2), AND BZX RULE 5.1, 5.2, 5.3, AND 3.1. Status: Final Sanction Detail: CENSURE, FINE $110,000 (PAID ON AUGUST 11, 2017) AND UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE RELEVANT DEFICIENCIES AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RELEVANT RULES AND REGULATIONS. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 07/27/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016, THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-5(B) AND (C)(L)(II), AND CHAPTER III, SECTIONS 1, 2(A) AND 2(A)(I) OF THE NASDAQ OPTION MARKET RULES, AND NASDAQ RULES 3010 AND 2010A. Status: Final Sanction Detail: CENSURE AND FINE $20,000 Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 07/18/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-5(B) AND (C)(L)(II) AND NYSE RULE 342 (PRIOR TO 12/1/2014) AND NYSE RULE 3110 (ON OR AFTER 12/1/2014), AND NYSE RULE 2010. Status: Final Sanction Detail: CENSURE, FINE $85,000 (PAID ON AUGUST 16, 2017) AND UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE RELEVANT DEFICIENCIES AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RELEVANT RULES AND REGULATIONS. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 07/18/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-5(B), (C)(L)(II) AND (C)(2) AND NASDAQ RULES 3010 AND 2010A. Status: Final Sanction Detail: CENSURE, FINE $115,000 AND UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE RELEVANT DEFICIENCIES AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RELEVANT RULES AND REGULATIONS. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 07/18/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO (1) PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS; OR THAT INDICATE DUPLICATIVE ORDERS, PREVENT THE ENTRY OF ORDERS THAT EXCEEDED PRE-SET CREDIT THRESHOLDS IN THE AGGREGATE WITH REGARD TO ONE CLIENT OR (2) SUPERVISE CUSTOMER TRADING TO DETECT AND PREVENT POTENTIALLY VIOLATIVE AND MANIPULATIVE ACTIVITY. THE ABOVE FINDINGS ARE IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-5(B), (C)(1)(1) AND (C)(L)(II), (C)(2) AND NYSE ARCA EQUITIES RULES 6.18 AND 2010. Status: Final Sanction Detail: CENSURE, FINE $365,000 (PAID ON AUGUST 16, 2017) AND UNDERTAKING REQUIRING THE FIRM TO ADDRESS THE RELEVANT DEFICIENCIES AND TO ENSURE THAT IT HAS IMPLEMENTED CONTROLS AND PROCEDURES THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE RELEVANT RULES AND REGULATIONS. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON JUNE 27, 2017
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-S(B) AND (C)(L)(II) AND NYSE ARCA OPTIONS RULE 11.18. Status: Final Sanction Detail: CENSURE AND FINE $20,000 (PAID ON AUGUST 21, 2107) Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 6/27/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING THE FINDING, CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM MAY 2012 THROUGH APRIL 2016 THE FIRM FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS BY REJECTING ORDERS THAT EXCEEDED CERTAIN PRICE OR SIZE PARAMETERS OR THAT INDICATE DUPLICATIVE ORDERS, IN VIOLATION OF THE SECURITIES EXCHANGE ACT RULES 15C3-S(B) AND (C)(L)(II) AND EXCHANGE RULE 748. Status: Final Sanction Detail: CENSURE AND FINE $20,000 Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON 6/26/2017.
Allegations: JPMS, WITHOUT ADMITTING OR DENYING, CONSENTED TO THE FINDINGS THAT DURING THE PERIOD JANUARY 1, 2014 THROUGH MARCH 31, 2014 AND JANUARY 1, 2015 THROUGH MARCH 31, 2016 VIOLATED NYSE RULE 123C BY IMPROPERLY CANCELLING A TOTAL OF 362 MARKET-ON-CLOSE ("MOC"), LIMIT-ON-CLOSE ("LOC") AND/OR CLOSING OFFSET ("CO") ORDERS AFTER THE PRESCRIBED CUTOFF TIME OF 3:45 P.M., WHEN CANCELLATIONS ARE ONLY PERMITTED TO CORRECT LEGITIMATE ERRORS; AND VIOLATED NYSE RULE 3110 AND NYSE RULE 342 BY FAILING TO IMPLEMENT ADEQUATE SUPERVISORY SYSTEMS AND CONTROLS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NYSE RULE 123C. Status: Final Sanction Detail: CENSURE AND FINE OF $15,000, WHICH WAS PAID ON AUGUST 21, 2017. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF ACCEPTANCE, WAIVER AND CONSENT, FINAL ON AUGUST 7, 2017.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS RELATING TO FINRA'S FINDINGS THAT DURING THE PERIOD FROM JUNE 9, 2010 THROUGH JULY 26, 2012: (1) THE FIRM OVER-ADVERTISED CERTAIN TRADE VOLUME ON TRADE DATE PLUS THREE ("T+3") IN VIOLATION OF FINRA RULE 5210 AND 2010; AND (2) THAT THE FIRM-WIDE EXECUTION VOLUME WAS NOT READILY ACCESSIBLE WHICH INHIBITED THE FIRM'S ABILITY TO ADEQUATELY KNOW AND ENSURE THE ADVERTISEMENT OF CERTAIN VOLUME WAS ACCURATE AND THE FIRM FAILED TO HAVE A SUPERVISORY SYSTEM INCLUDING WSPS IN PLACE TO REVIEW THE ACCURACY OF TRADE VOLUME ADVERTISED ON A T+3 BASIS IN VIOLATION OF NASD RULE 3010 AND FINRA RULE 2010. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $1,100,000, REQUIRED TO REVISE THE FIRM'S WSPS WITH RESPECT TO THE AREAS DESCRIBED IN THE AWC, AND REQUIRED TO PROVIDE A WRITTEN REPORT CERTIFIED BY AN EXECUTIVE OFFICER OF THE FIRM TO FINRA 60 CALENDAR DAYS AFTER THE DATE OF THE NOTICE OF ACCEPTANCE OF THIS AWC REGARDING THE IMPLEMENTATION AND PERFORMANCE (TO DATE) OF THE FIRM'S REVISED WSPS. IN DETERMINING TO RESOLVE THIS MATTER IN THE MANNER SET FORTH HEREIN, AND IN DETERMINING THE APPROPRIATE MONETARY SANCTION, FINRA TOOK INTO CONSIDERATION THE FIRM'S SELF-REPORTING OF THE OVER-ADVERTISING VIOLATIONS DESCRIBED IN PARAGRAPH.
Allegations: ON OCTOBER 16, 2017 THE CME GROUP ISSUED JPMS A SUMMARY FINE OF $3500 FOR CLOSING OUT POSITIONS ON SEPTEMBER 15, 2017 IN THE SEPTEMBER GOLD CONTRACT AFTER THE DEADLINE FOR POSITION ADJUSTMENTS WHICH RESULTED IN A REDUCTION IN OPEN INTEREST OF 27%. Status: Final Sanction Detail: FINE WAS PAID ON NOVEMBER 9, 2017 AND THE FINE HAS BEEN POSTED ON THE NFA WEBSITE. Summary: ON OCTOBER 16, 2017 THE CME GROUP ISSUED JPMS A SUMMARY FINE OF $3500 FOR CLOSING OUT POSITIONS ON SEPTEMBER 15, 2017 IN THE SEPTEMBER GOLD CONTRACT AFTER THE DEADLINE FOR POSITION ADJUSTMENTS WHICH RESULTED IN A REDUCTION IN OPEN INTEREST OF 27%.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT DURING THE PERIOD OCTOBER 13, 2014 THROUGH MAY 31, 2015, THE FIRM FAILED TO TIMELY REPORT TO THE FINRA/NASDAQ TRADE REPORTING FACILITY ("FNTRF") TRANSACTIONS THAT REQUIRED AN .RX MODIFIER, A VIOLATION OF FINRA RULE 7230A(G). IN ADDITION, THE FIRM'S SUPERVISORY REVIEWS REGARDING OTC EXERCISE/ASSIGNMENTS WERE NOT ADEQUATE, A VIOLATION OF NASD RULE 3010 (FOR CONDUCT BEFORE DECEMBER 1, 2014) AND FINRA RULES 2010 AND 3110 (FOR CONDUCT ON OR AFTER DECEMBER 1, 2014). Status: Final Sanction Detail: A CENSURE AND A FINE OF $17,500 (OF WHICH $12,500 IS FOR VIOLATIONS OF FINRA RULE 7230A(G) AND $5,000 IS FOR VIOLATIONS OF NASD RULE 3010 (FOR CONDUCT BEFORE DECEMBER 1, 2014) AND FINRA RULES 2010 AND 3110 (FOR CONDUCT ON OR AFTER DECEMBER 1, 2014)). THE FINE WAS WIRED ON NOVEMBER 8, 2017.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FROM JANUARY 1, 2009 THROUGH MAY 2017, IT FAILED TO CONDUCT TIMELY OR ADEQUATE BACKGROUND CHECKS ON APPROXIMATELY 8,670-OR APPROXIMATELY 95%-OF ITS NON-REGISTERED ASSOCIATED PERSONS. THE FINDINGS STATED THAT THE FIRM DID NOT FINGERPRINT 1,880 OF THE 8,670 UNTIL AFTER THE START OF ITS REMEDIATION PROCESS AND DID NOT FINGERPRINT ANOTHER 156 UNTIL AFTER THEY BEGAN TO WORK FOR THE FIRM. THE FIRM TIMELY FINGERPRINTED THE REMAINING 6,634 ASSOCIATED PERSONS, BUT SCREENED THEM UNDER SECTION 19 OF THE FEDERAL INSURANCE DEPOSIT ACT AND AN INTERNALLY CREATED LIST OF CRIMES. THE FIRM FAILED TO SCREEN ANY OF THE 8,670 FOR SOME TYPES OF FELONY CONVICTIONS OR REGULATORY ACTIONS, AS REQUIRED UNDER THE SECURITIES EXCHANGE ACT OF 1934. THE FINDINGS ALSO STATED THAT LEAST FOUR PERSONS WHO WERE SUBJECT TO A STATUTORY DISQUALIFICATION WERE ALLOWED TO ASSOCIATE, OR REMAIN ASSOCIATED, WITH THE FIRM DURING THE RELEVANT PERIOD. THE FIRM WAS UNABLE TO DETERMINE WHETHER ANOTHER 391 ASSOCIATED PERSONS WERE SUBJECT TO A STATUTORY DISQUALIFICATION BECAUSE WHEN THE FIRM CONDUCTED ITS REVIEW THEIR ASSOCIATIONS HAD ENDED OR THEY WERE ON LEAVE. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO CREATE AND MAINTAIN FOR THE FOUR ASSOCIATED PERSONS WHO WERE SUBJECT TO DISQUALIFICATION, QUESTIONNAIRES OR APPLICATIONS APPROVED IN WRITING BY AN AUTHORIZED REPRESENTATIVE OF THE FIRM THAT CONTAINED AMONG OTHER THINGS, A RECORD OF THE RESPECTIVE ARRESTS AND CONVICTIONS. THE FIRM ALSO DID NOT CREATE AND MAINTAIN FINGERPRINT RECORDS FOR ALL OF ITS ELIGIBLE ASSOCIATED PERSONS. FINRA FOUND THAT THE FIRM'S FAILURE TO FINGERPRINT OR PROPERLY SCREEN 8,670 OF ITS ASSOCIATED PERSONS AROSE FROM ITS FAILURE TO MAINTAIN A SUPERVISORY SYSTEM OR PROCEDURES TO IDENTIFY AND PROPERLY SCREEN ALL INDIVIDUALS WHO BECAME ASSOCIATED WITH THE FIRM IN A NON-REGISTERED CAPACITY. THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM TO IDENTIFY ALL OF ITS ASSOCIATED PERSONS TO SCREEN THEM FOR STATUTORY DISQUALIFICATION AND TO FINGERPRINT ELIGIBLE ASSOCIATED PERSONS. THE FIRM ALSO FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN PROCEDURES THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS AND REGULATIONS, INCLUDING RECORDKEEPING PROVISIONS, FINGERPRINTING PROVISIONS AND FINRA ELIGIBILITY RULES. THE POLICIES AND PROCEDURES, WITH SOME LIMITED EXCEPTIONS, DID NOT ADDRESS METHODS FOR IDENTIFYING FIRM NON-REGISTERED ASSOCIATED PERSONS OR THE NEED TO SCREEN UNDER THE SECURITIES EXCHANGE ACT OF 1934 STANDARDS. FURTHER, THE FIRM FAILED TO ENFORCE ITS WRITTEN PROCEDURES REQUIRING THAT ALL EMPLOYEES BE FINGERPRINTED PRIOR TO EMPLOYMENT. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $1,250,000 AND UNDERTAKES TO REVIEW ITS SYSTEMS AND PROCEDURES REGARDING THE IDENTIFICATION, FINGERPRINTING, AND SCREENING OF NON-REGISTERED ASSOCIATED PERSONS TO ENSURE THAT CURRENT SYSTEMS AND PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ALL SECURITIES LAWS AND REGULATIONS, INCLUDING SECTIONS 17(A) AND 17(F) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES 17A-3 AND 17F-2 THEREUNDER AND FINRA BY-LAWS ARTICLE III, SECTION 3(B), AND FINRA RULE 4511. THE FINE WAS PAID ON DECEMBER 7, 2017. Summary: IN DETERMINING THE APPROPRIATE MONETARY SANCTION, FINRA CONSIDERED THE FIRM'S COOPERATION IN SELF-REPORTING AND UNDERTAKING TO REMEDY ITS VIOLATIONS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM, AS SURVIVING ENTITY FROM THE MERGER OF JPMORGAN CLEARING CORP ("JPMCC"), CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE RELEVANT PERIOD FROM MARCH 2008 THROUGH JUNE 2016 JPMCC FAILED TO PROMPTLY OBTAIN AND HEREAFTER MAINTAIN PHYSICAL POSSESSION OR CONTROL OF ITS CUSTOMERS' FULLY-PAID AND EXCESS MARGIN SECURITIES, IN VIOLATION OF SECTION 15 OF THE SECURITIES EXCHANGE ACT OF 1934 ("SEA") AND RULE 15C3-3(B) PROMULGATED THEREUNDER. DUE TO THE LACK OF REASONABLE SUPERVISION, THE NUMEROUS DESIGN FLAWS IN THE POSSESSION OR CONTROL SYSTEMS WENT UNDETECTED AND LED TO GLOBAL SEGREGATION DEFICIENCIES DURING THE RELEVANT PERIOD, IN VIOLATION OF NASD RULE 3010 (FOR THE TIME PERIOD PRIOR TO DECEMBER 1, 2014) AND FINRA RULE 311O(A) (FOR THE TIME PERIOD ON AND AFTER DECEMBER 1, 2014). THIS CONDUCT ALSO CONSTITUTES A VIOLATION OF NASD RULE 2110 (FOR THE TIME PERIOD PRIOR TO DECEMBER 15, 2008) AND FINRA RULE 2010 (FOR THE TIME PERIOD ON AND AFTER DECEMBER 15, 2008). Status: Final Sanction Detail: THE FINE OF $2,800,000 WAS PAID ON JANUARY 3, 2018.
Allegations: FINRA FOUND THAT, DURING THE PERIOD OF OCTOBER 1, 2015 THROUGH DECEMBER 31, 2015, JPMS FAILED TO REPORT 85 TRANSACTIONS TO THE TRADE REPORTING AND COMPLIANCE ENGINE WITHIN 15 MINUTES OF THE TIME OF EXECUTION IN VIOLATION OF FINRA RULE 6730(A) AND THAT THE CONDUCT CONSTITUTED A PATTERN AND PRACTICE OF LATE REPORTING IN VIOLATION OF FINRA RULE 2010. Status: Final Sanction Detail: THE FINE WAS PAID ON JANUARY 17, 2018.
Allegations: FOR TRADE DATE JANUARY 16, 2018, JPMS SUBMITTED A TRANSFER WHICH RESULTED IN REDUCING OPEN INTEREST BY 17 CONTRACTS, OR 15.45%, IN THE JANUARY 2018 COMEX SILVER (SI) FUTURES CONTRACT IN VIOLATION OF COMEX RULE 854 ("CONCURRENT LONG AND SHORT POSITIONS"). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO A FINE OF $5,000. THE FINE WAS PAID ON FEBRUARY 22, 2018.
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 SYSTEM AND PROCEDURES REASONABLY DESIGNED TO MONITOR AND EVALUATE THE PERFORMANCE OF THE VENDOR THAT HANDLED CERTAIN FUNCTIONS ON BEHALF OF THE FIRM. THE FINDINGS STATED THAT FIRM CONTRACTED WITH A VENDOR TO HANDLE THE AUTOMATED REALIGNMENT OF PORTFOLIO ASSETS ("REBALANCING") IN CERTAIN CUSTOMER ACCOUNTS INVESTED IN MUTUAL FUNDS TO THE MODEL SELECTED BY THE CUSTOMER, AND THE CALCULATION OF FEES CHARGED TO CERTAIN CUSTOMERS. THE FIRM DISCOVERED THAT THE VENDOR WAS NOT REBALANCING CERTAIN ACCOUNTS. TECHNOLOGY UPGRADES BY THE VENDOR CAUSED ACCOUNTS TO NOT BE REBALANCED AT THE APPROPRIATE TIME. SIMILARLY, THE VENDOR CONVERTED TO A NEW BILLING PLATFORM, THAT CAUSED BILLING ERRORS THAT WENT UNDETECTED FOR PERIODS OF TIME. AS A RESULT, INCORRECT FEE REBATES WERE CALCULATED, TRADE CORRECTION FEE ADJUSTMENTS WERE NOT PROPERLY APPLIED, ACCOUNT FEE TERMINATIONS WERE PROCESSED ONE DAY LATE, AND INCORRECT BLENDED RATES WERE APPLIED TO ACCOUNTS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND REQUIRED TO CERTIFY IN WRITING TO FINRA THAT IT HAS ENGAGED IN A RISK-BASED REVIEW OF CHASE WEALTH MANAGEMENT (CWM) CLIENT FACING THIRD PARTY VENDORS NOT UNACCEPTABLE TO FINRA AND HAS CORRECTED ANY ISSUES DETECTED. IN ADDITION, THAT THE FIRM HAS ESTABLISHED AND IMPLEMENTED SYSTEMS AND POLICIES AND PROCEDURES (WRITTEN OR OTHERWISE) THAT ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE. Summary: THE FIRM SELF-REPORTED ITS INITIAL DISCOVERY OF CERTAIN ISSUES BEFORE FINRA WAS AWARE OF THE ISSUES AND PROMPTLY BEGAN ITS OWN EXAMINATION TO DETERMINE THE FULL EXTENT OF THE DEFICIENCIES DESCRIBED ABOVE, MAKING ADDITIONAL REPORTS TO FINRA. THE FIRM TOOK EXTRAORDINARY STEPS TO CORRECT ITS DEFICIENT SYSTEM AND PROCEDURES BY IMPLEMENTING ENHANCED CONTROLS AND TESTING TO ENSURE THE ACCURACY OF THE VENDOR'S REBALANCING AND FEE CALCULATIONS. THE FIRM PROVIDED EXTRAORDINARY REMEDIATION TO CUSTOMERS WITHOUT BEING COMPELLED TO DO SO BY FINRA. THE FIRM PAID TOTAL RESTITUTION OF $4,620,140 TO IMPACTED CUSTOMERS. THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA BY PROACTIVELY UNDERTAKING AN EXTENSIVE LOOKBACK CONCERNING ITS COMPLEX AND SYSTEMIC FAILURES AND REPORTING RELATED FINDINGS ON AN ONGOING BASIS.
Allegations: J.P. MORGAN SECURITIES LLC ("JPM") FAILED TO MAINTAIN A COMPLETE ELECTRONIC AUDIT TRAIL FOR A MINIMUM OF 5 YEARS, IN VIOLATION OF RULE 536.B.2 ("GLOBEX ORDER ENTRY - ELECTRONIC AUDIT TRAIL REQUIREMENTS FOR ELECTRONIC ORDER ROUTING/FRONT-END SYSTEMS"). Status: Final Sanction Detail: FINE WAS PAID ON 12/24/2018.
Allegations: ON DECEMBER 21, 2018, FINRA ISSUED A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT ("AWC") TO J.P. MORGAN SECURITIES LLC ("JPMS") RELATING TO THE FIRM'S COMPLIANCE WITH REGULATION NMS RULES 605 AND 606 REPORTING REQUIREMENTS AND THE SUPERVISORY SYSTEMS AND PROCEDURES RELATING TO THOSE RULES. SPECIFICALLY, THE AWC FOUND THAT THE FIRM'S SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH LAWS AND REGULATIONS AS A RESULT OF CERTAIN TECHNOLOGY-DRIVEN ISSUES. THE AWC ALSO IDENTIFIED DEFICIENCIES IN RELATED ORDER AUDIT TRAIL SYSTEM REPORTING, DEFICIENCIES IN TRADE CONFIRMATION ACCURACY AND DELIVERY AND THE SUPERVISORY FRAMEWORKS RELATING TO THE SAME. THE AWC FOUND THAT JPMS THEREFORE VIOLATED RULES 605 AND 606 OF REGULATION NMS AND FINRA RULE 2010; FINRA RULE 7450; SEC RULE 10B-10 AND RULE 2010; AND FINRA'S SUPERVISORY REQUIREMENTS UNDER NASD RULE 3010 (FOR THE PERIOD PRIOR TO DECEMBER 1, 2014), FINRA RULE 3110 (FOR THE PERIOD AFTER NOVEMBER 30, 2014), AND RULE 2010, WITH REGARD TO RULES 605 AND 606, RULE 7450, AND RULE 10B-10. Status: Final Sanction Detail: IN THE AWC, JPMS WAS SUBJECT TO A CENSURE AND WAS REQUIRED TO PAY A FINE OF $560,000, WHICH WAS PAID ON JANUARY 11, 2019. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: PURSUANT TO CME RULE 526.F., ALL BLOCK TRADES MUST BE REPORTED TO THE EXCHANGE IN A TIMELY MANNER. THREE BLOCK TRADES (CBOT AND COMEX TRADES) REPORTED BY JPMORGAN SECURITIES LLC IN JUNE 2019 WERE REPORTED LATE TO THE EXCHANGE. Status: Final Sanction Detail: $1,000 FINE IN RELATION TO THE CBOT BLOCK TRADES AND $1,000 FINE IN RELATION TO THE COMEX BLOCK TRADE. SETTLEMENT WAS PAID ON AUGUST 26, 2019.
Allegations: ON DECEMBER 26, 2019, FINRA ISSUED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO J.P. MORGAN SECURITIES LLC WHICH FOUND THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES TO TAKE INTO ACCOUNT ANY CHANGES IN THE AUTHORITY OF CUSTODIANS OF ACCOUNTS ESTABLISHED UNDER THE UNIFORM GIFTS TO MINORS ACT AND/OR THE UNIFORM TRANSFERS TO MINORS ACT TO EFFECT TRANSACTIONS ON BEHALF OF THE BENEFICIARIES OF THOSE ACCOUNTS, ONCE THE BENEFICIARIES REACHED THE AGE OF MAJORITY. FINRA RECOGNIZED THE FIRM'S EXTRAORDINARY COOPERATION BASED UPON THE FIRM'S REVIEW AND ENHANCEMENTS TO INTERNAL SUPERVISORY POLICIES AND PROCEDURES RELATING TO UTMA ACCOUNTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IN THE AWC, THE FIRM CONSENTED TO THE IMPOSITION OF THE FOLLOWING SANCTIONS: A CENSURE, A FINE IN THE AMOUNT OF $200,000, AND THE SUBMISSION OF A CERTIFICATION. FINE WAS PAID ON 1/13/2020. Summary: IN CONNECTION WITH THE AWC, THE FIRM AGREED TO CERTIFY TO FINRA THAT ITS POLICIES, SYSTEMS AND PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND FINRA RULES, INCLUDING FINRA RULE 2090.
Allegations: CME GROUP MARKET REGULATION ISSUED FINE AS A RESULT OF ALLOCATION ERRORS FOLLOWING A TRADE ON NOVEMBER 29, 2019, IN VIOLATION OF RULE 854 ("CONCURRENT LONG AND SHORT POSITIONS"). Status: Final Sanction Detail: FINE WAS PAID ON MARCH 2, 2020.
Allegations: OCC DESIGNATED JPMS TO PARTICIPATE IN A DEFAULT AUCTION TEST ON NOVEMBER 7, 2019; HOWEVER, NONE OF THE JPMS DESIGNATED BIDDERS PARTICIPATED IN THE TEST IN VIOLATION OF OCC RULE 218(D). Status: Final Sanction Detail: THE FINE WAS PAID VIA WIRE TRANSFER ON MAY 20, 2020. Summary: WITHOUT ADMITTING OR DENYING THE OCC'S ALLEGATIONS, JPMS ACKNOWLEDGED THE ALLEGATIONS AND CONSENTED TO THE ENTRY OF A FINAL DECISION AND IMPOSITION OF A MONETARY FINE.
Allegations: DURING THE PERIOD JANUARY 1, 2014 TO MAY 24, 2016, J.P. MORGAN SECURITIES LLC, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH ITS OBLIGATIONS UNDER NASD RULE 3010(A) (FOR CONDUCT PRIOR TO DECEMBER 1, 2014, FINRA RULE 310(A) (FOR CONDUCT ON AND AFTER DECEMBER 1, 2014) AND FINRA RULE 2010, IN CONNECTION WITH THE SALE OF VOLATILITY-LINKED EXCHANGE TRADED PRODUCTS ("VOLATILITY ETPS"). Status: Final Sanction Detail: RESTITUTION OF $333.619.34 TO BE PAID TO APPLICABLE CUSTOMERS, PLUS INTEREST AT THE RATE SET FORTH IN SECTION 6621(A)(2) OF THE INTERNAL REVENUE CODE, 26 U.S.C. 6621(A)(2), FROM THE DATE OF EACH CUSTOMER'S SALE OR REDEMPTION OF VOLATILITY ETPS, UNTIL THE DATE THIS AWC IS ACCEPTED BY THE NATIONAL ADJUDICATORY COUNCIL (NAC). FINE WAS PAID ON JULY 7, 2020.
Allegations: J.P. MORGAN SECURITIES LLC'S CLIENT HELD A SHORT POSITION IN WTI CRUDE FUTURES IN EXCESS OF THE RELEVANT POSITION LIMIT AS OF CLOSE OF BUSINESS ON NOVEMBER 17, 18, AND 19, 2020, IN VIOLATION OF ICE FUTURES EUROPE RULE P.3. Status: Final Sanction Detail: FINE WAS PAID ON MARCH 25, 2021.
Allegations: ON AUGUST 20, 2021, THE CLEARING HOUSE RISK COMMITTEE (THE "COMMITTEE") AT THE CME GROUP, INC. ("CME") PROVIDED A NOTICE OF FINAL DECISION TO J.P. MORGAN SECURITIES LLC'S ("JPMS" OR THE "FIRM") SETTLEMENT AMOUNT OF $50,000 TO SETTLE THE COMMITTEE'S CHARGE THAT JPMS VIOLATED COMEX RULE 930.E.3 IN CONNECTION WITH THE CME'S 2020 ANNUAL EXAMINATION. THE CME'S EXAM INCLUDED A REVIEW OF THE FCM BUSINESS, INCLUDING MARGIN CALL LISTING REPORTING FOR THE FINANCIAL REPORTING PERIOD AS OF SEPTEMBER 30, 2020. ON APRIL 16, 2021, THE CME ISSUED ITS FINAL EXAMINATION REPORT CITING ONE FINDING WITH RESPECT TO ITS REVIEW OF JPMS'S MARGIN CALL LISTING RECORDS THAT ACCURATE WRITTEN RECORDS WERE NOT MAINTAINED FOR CERTAIN PERFORMANCE BOND MARGIN CALLS, BASED ON INCONSISTENCIES IN JPMS'S AGED MARGIN CALL REPORTING. Status: Final Sanction Detail: THE SETTLEMENT AMOUNT OF $50,000 HAS BEEN AUTO-DEBITED FROM THE FIRM'S ACCOUNT ON AUGUST 25, 2021.
Allegations: PURSUANT TO A LETTER OF CONSENT (LOC) WHICH BECAME FINAL ON 11/24/2021, J.P. MORGAN SECURITIES LLC (JPMS), ON A NEITHER ADMIT NOR DENY BASIS, AGREED TO A SETTLEMENT RESOLVING FINDINGS THAT JPMS, ON AUGUST 7, 2018 AND DECEMBER 19, 2019, DID NOT HAVE REASONABLY DESIGNED ORDER-BY-ORDER SIZE AND PRICE CONTROLS TO PREVENT THE ENTRY OF ERRONEOUS ORDERS ON THE EXCHANGE AND WAS UNABLE TO PROVIDE DOCUMENTATION OF EMPIRICAL ANALYSIS TO JUSTIFY THE THRESHOLD PARAMETERS AT WHICH SUCH CONTROLS WERE SET; AND DID NOT MAINTAIN WRITTEN SUPERVISORY PROCEDURES REGARDING THE REVIEW AND RELEASE OF ORDERS PAUSED BY SOFT BLOCKS OR MAINTAIN DOCUMENTATION SURROUNDING THE REVIEW AND/OR RATIONALE FOR THE RELEASE OF ORDERS PAUSED BY SOFT BLOCKS. THE LOC FOUND THAT THESE PRACTICES VIOLATED EXCHANGE ACT RULE 15C3-5, AND CBOE BZX EXCHANGE, INC. RULE 3.2. Status: Final Sanction Detail: THE LOC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $44,450, WHICH WAS PAID ON DECEMBER 8, 2021. THE CBOE BZX EXCHANGE, INC. LOC WAS ONE OF FOUR COORDINATED SETTLEMENTS WITH CBOE EDGX EXCHANGE, INC. ($34,730), CBOE BYX EXCHANGE, INC. ($12,690), AND CBOE EDGA EXCHANGE, INC. ($28,130), FOR A TOTAL FINE OF $120,000. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, JPMS ENTERED INTO THE LETTER OF CONSENT, WITHOUT ADMITTING OR DENYING THE FINDINGS. THE ALLEGATIONS, DISPOSITION, FINDINGS, AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: PURSUANT TO A LETTER OF CONSENT (LOC) WHICH BECAME FINAL ON 11/24/2021, J.P. MORGAN SECURITIES LLC (JPMS), ON A NEITHER ADMIT NOR DENY BASIS, AGREED TO A SETTLEMENT RESOLVING FINDINGS THAT JPMS, ON AUGUST 7, 2018 AND DECEMBER 19, 2019, DID NOT HAVE REASONABLY DESIGNED ORDER-BY-ORDER SIZE AND PRICE CONTROLS TO PREVENT THE ENTRY OF ERRONEOUS ORDERS ON THE EXCHANGE AND WAS UNABLE TO PROVIDE DOCUMENTATION OF EMPIRICAL ANALYSIS TO JUSTIFY THE THRESHOLD PARAMETERS AT WHICH SUCH CONTROLS WERE SET; AND DID NOT MAINTAIN WRITTEN SUPERVISORY PROCEDURES REGARDING THE REVIEW AND RELEASE OF ORDERS PAUSED BY SOFT BLOCKS OR MAINTAIN DOCUMENTATION SURROUNDING THE REVIEW AND/OR RATIONALE FOR THE RELEASE OF ORDERS PAUSED BY SOFT BLOCKS. THE LOC FOUND THAT THESE PRACTICES VIOLATED EXCHANGE ACT RULE 15C3-5, AND CBOE EDGX EXCHANGE, INC. RULE 3.2. Status: Final Sanction Detail: THE LOC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $34,730, WHICH WAS PAID ON DECEMBER 8, 2021. THE CBOE EDGX EXCHANGE, INC. LOC WAS ONE OF FOUR COORDINATED SETTLEMENTS WITH CBOE BZX EXCHANGE, INC. ($44,450), CBOE BYX EXCHANGE, INC. ($12,690), AND CBOE EDGA EXCHANGE, INC. ($28,130), FOR A TOTAL FINE OF $120,000. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, JPMS ENTERED INTO THE LETTER OF CONSENT, WITHOUT ADMITTING OR DENYING THE FINDINGS. THE ALLEGATIONS, DISPOSITION, FINDINGS, AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: PURSUANT TO A LETTER OF CONSENT (LOC) WHICH BECAME FINAL ON 11/24/2021, J.P. MORGAN SECURITIES LLC (JPMS), ON A NEITHER ADMIT NOR DENY BASIS, AGREED TO A SETTLEMENT RESOLVING FINDINGS THAT JPMS, ON DECEMBER 19, 2019, DID NOT HAVE REASONABLY DESIGNED ORDER-BY-ORDER SIZE CONTROLS TO PREVENT THE ENTRY OF ERRONEOUS ORDERS ON THE EXCHANGE AND WAS UNABLE TO PROVIDE DOCUMENTATION OF EMPIRICAL ANALYSIS TO JUSTIFY THE THRESHOLD PARAMETERS AT WHICH SUCH CONTROLS WERE SET; AND DID NOT MAINTAIN WRITTEN SUPERVISORY PROCEDURES REGARDING THE REVIEW AND RELEASE OF ORDERS PAUSED BY SOFT BLOCKS OR MAINTAIN DOCUMENTATION SURROUNDING THE REVIEW AND/OR RATIONALE FOR THE RELEASE OF ORDERS PAUSED BY SOFT BLOCKS. THE LOC FOUND THAT THESE PRACTICES VIOLATED EXCHANGE ACT RULE 15C3-5, AND CBOE BYX EXCHANGE, INC. RULE 3.2. Status: Final Sanction Detail: THE LOC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $12,690, WHICH WAS PAID ON DECEMBER 8, 2021. THE CBOE BYX EXCHANGE, INC. LOC WAS ONE OF FOUR COORDINATED SETTLEMENTS WITH CBOE EDGX EXCHANGE, INC. ($34,730), CBOE BZX EXCHANGE, INC. ($44,450), AND CBOE EDGA EXCHANGE, INC. ($28,130), FOR A TOTAL FINE OF $120,000. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, JPMS ENTERED INTO THE LETTER OF CONSENT, WITHOUT ADMITTING OR DENYING THE FINDINGS. THE ALLEGATIONS, DISPOSITION, FINDINGS, AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: PURSUANT TO A LETTER OF CONSENT (LOC) WHICH BECAME FINAL ON 11/24/2021, J.P. MORGAN SECURITIES LLC (JPMS), ON A NEITHER ADMIT NOR DENY BASIS, AGREED TO A SETTLEMENT RESOLVING FINDINGS THAT JPMS, ON DECEMBER 19, 2019, DID NOT HAVE REASONABLY DESIGNED ORDER-BY-ORDER SIZE CONTROLS TO PREVENT THE ENTRY OF ERRONEOUS ORDERS ON THE EXCHANGE AND WAS UNABLE TO PROVIDE DOCUMENTATION OF EMPIRICAL ANALYSIS TO JUSTIFY THE THRESHOLD PARAMETERS AT WHICH SUCH CONTROLS WERE SET; AND DID NOT MAINTAIN WRITTEN SUPERVISORY PROCEDURES REGARDING THE REVIEW AND RELEASE OF ORDERS PAUSED BY SOFT BLOCKS OR MAINTAIN DOCUMENTATION SURROUNDING THE REVIEW AND/OR RATIONALE FOR THE RELEASE OF ORDERS PAUSED BY SOFT BLOCKS. THE LOC FOUND THAT THESE PRACTICES VIOLATED EXCHANGE ACT RULE 15C3-5, AND CBOE EDGA EXCHANGE, INC. RULE 3.2. Status: Final Sanction Detail: THE LOC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $28,130, WHICH WAS PAID ON DECEMBER 8, 2021. THE CBOE EDGA EXCHANGE, INC. LOC WAS ONE OF FOUR COORDINATED SETTLEMENTS WITH CBOE EDGX EXCHANGE, INC. ($34,730), CBOE BZX EXCHANGE, INC. ($44,450), AND CBOE BYX EXCHANGE, INC. ($12,690), FOR A TOTAL FINE OF $120,000. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, JPMS ENTERED INTO THE LETTER OF CONSENT, WITHOUT ADMITTING OR DENYING THE FINDINGS. THE ALLEGATIONS, DISPOSITION, FINDINGS, AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT, FROM MARCH 2014 THROUGH MARCH 2019,JPMS FAILED TO REASONABLY SUPERVISE A FORMER REGISTERED REPRESENTATIVE WHO ENGAGED IN UNSUITABLE AND UNAUTHORIZED TRADING IN THE ACCOUNT OF A SENIOR CUSTOMER IN VIOLATION OF NASD RULE 3010 AND FINRA RULES 3110 AND 2010. Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $200,000, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT, FROM JANUARY 2019 TO JULY 2022, JPMS' FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT CERTAIN ERRONEOUS ORDERS THAT EXCEEDED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME, OR THAT INDICATED DUPLICATIVE ORDERS, IN VIOLATION OF SECTION 15(C)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, RULE 15C3-5(B) AND (C)(1)(II) THEREUNDER, NASDAQ RULES 3010, 2010A, AND GENERAL 9, SECTIONS 20 AND 1(A). Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $562,500, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE FIRM SIMULTANEOUSLY RESOLVED A SIMILAR MATTER BROUGHT BY THE FINANCIAL INDUSTRY REGULATORY AUTHORITY. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, J.P. MORGAN SECURITIES (THE "FIRM") CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, FROM JANUARY 2019 TO JULY 2022, THE FIRM'S FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT CERTAIN ERRONEOUS ORDERS THAT EXCEEDED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME, OR THAT INDICATED DUPLICATIVE ORDERS, IN VIOLATION OF SECTION 15(C)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, RULE 15C3-5(B) AND (C)(1)(II) THEREUNDER, AND FINRA RULE 2010. Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $187,500, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE FIRM SIMULTANEOUSLY RESOLVED A SIMILAR MATTER BROUGHT BY THE NASDAQ STOCK EXCHANGE, LLC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND BZX RULE 11.9(D), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND BZX RULES 3.2 AND 11.9(D), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS' SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND BZX RULE 11.9(D), IN VIOLATION OF BZX RULE 5.1. Status: Final Sanction Detail: THE LETTER OF CONSENT CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $3,435, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE LETTER OF CONSENT. THE LETTER OF CONSENT WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND BYX RULE 11.9(D), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND BYX RULES 3.2 AND 11.9(D), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS' SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND BYX RULE 11.9(D), IN VIOLATION OF BYX RULE 5.1. Status: Final Sanction Detail: THE LETTER OF CONSENT CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $9,000, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE LETTER OF CONSENT. THE LETTER OF CONSENT WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND EDGX RULE 11.8(C), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND EDGX RULES 3.2 AND 11.8(C), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS' SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND EDGX RULE 11.8(C), IN VIOLATION OF EDGX RULE 5.1. Status: Final Sanction Detail: THE LETTER OF CONSENT CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $3,225, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE LETTER OF CONSENT. THE LETTER OF CONSENT WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE BZX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND EDGA RULE 11.8(C), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND EDGA RULES 3.2 AND 11.8(C), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS' SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND EDGA RULE 11.8(C), IN VIOLATION OF EDGA RULE 5.1. Status: Final Sanction Detail: THE LETTER OF CONSENT CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $3,200, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE LETTER OF CONSENT. THE LETTER OF CONSENT WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE LETTER OF CONSENT ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND NYSE AMERICAN RULE 7.31E(E)(3), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND AMERICAN RULE 7.31E(E)(3), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND AMERICAN RULE 7.31E(E)(3), IN VIOLATION OF AMERICAN RULES 3110(A) AND (B). Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $8,090, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND NYSE ARCA RULE 7.31-E(E)(3), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND ARCA RULE 7.31-E(E)(3), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND ARCA RULE 7.31-E(E)(3), IN VIOLATION OF ARCA RULES 11.18(B) AND (C). Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $3,090, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND NYSE NATIONAL RULE 7.31(E)(3), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND NATIONAL RULE 7.31(E)(3), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND NATIONAL RULE 7.31(E)(3), IN VIOLATION OF NATIONAL RULES 11.3.2 AND 11.5.1. Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $6,590, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS AND NYSE RULE 7.31(E)(3), IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND NYSE RULE 7.31(E)(3), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND NYSE RULE 7.31(E)(3), IN VIOLATION OF NYSE RULES 3110(A) AND (B). Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $36,100, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS DID NOT TAKE REASONABLE STEPS TO ESTABLISH THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS, IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND CHICAGO RULE 7.31(E)(3), AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS' SUPERVISORY SYSTEM, INCLUDING ITS WRITTEN SUPERVISORY PROCEDURES, WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS AND CHICAGO RULE 7.31(E)(3), IN VIOLATION OF CHICAGO ARTICLE 6, RULES 5(A) AND 5(C). Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $3,090, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER. THE ORDER WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., AND NYSE NATIONAL, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENT SET FORTH IN RULE 600(B)(31) OF REGULATION NMS, IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND FINRA RULE 2010, AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS, IN VIOLATION OF FINRA RULES 3110(A), 3110(B) AND 2010. Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $18,090, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., INVESTORS EXCHANGE LLC, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) BETWEEN SEPTEMBER 2019 AND MAY 2021, JPMS FAILED TO TAKE REASONABLE STEPS TO ENSURE THAT THE INTERMARKET SWEEP ORDERS IT ROUTED MET THE REQUIREMENTS SET FORTH IN RULE 600(B)(31) OF REGULATION NMS, IN VIOLATION OF RULE 611(C) OF REGULATION NMS AND IEX RULES 11.190(B)(12) AND 3.120, AND (2) BETWEEN SEPTEMBER 2019 AND JULY 2021, JPMS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 611(C) OF REGULATION NMS, IN VIOLATION OF IEX RULES 5.110(A) AND 5.110(B)(1). Status: Final Sanction Detail: THE AWC CENSURED JPMS AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $6,090, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE AWC. THE AWC WAS PART OF A TOTAL SETTLEMENT JPMS REACHED WITH CBOE EDGA EXCHANGE, INC., CBOE EDGX EXCHANGE, INC., CBOE BYX EXCHANGE, INC., CBOE BZX EXCHANGE, INC., THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, THE NEW YORK STOCK EXCHANGE LLC, NYSE AMERICAN LLC, NYSE ARCA, INC., NYSE NATIONAL, INC., AND NYSE CHICAGO, INC. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AWC ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: JPMS CONSENTED TO SANCTIONS AND TO ENTRY OF FINDINGS THAT (1) FROM OCTOBER 2020 THROUGH JANUARY 2022, THE FIRM PERMITTED 10 INDIVIDUALS IN THE FIRM'S U.S. INVESTMENT AND CORPORATE BANKING GROUP (ICB) TO PERFORM INVESTMENT BANKING ACTIVITIES REQUIRING REGISTRATION DURING PERIODS WHEN THEY WERE NOT REGISTERED WITH FINRA, IN VIOLATION OF FINRA RULES 1210 AND 2010; AND (2) DURING THE SAME PERIOD, THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA REGISTRATION REQUIREMENTS, IN VIOLATION OF FINRA RULES 3110(A) AND 2010. Status: Final Sanction Detail: THE LETTER OF ACCEPTANCE, WAIVER, AND CONSENT CENSURED JPMS, REQUIRED CERTIFICATION THAT IT HAS REMEDIATED THE ISSUES IDENTIFIED IN THE AWC AND IMPLEMENTED A REASONABLY DESIGNED SUPERVISORY SYSTEM, AND REQUIRED JPMS TO PAY A FINE IN THE AMOUNT OF $190,000, WHICH WAS PAID IN ACCORDANCE WITH THE TERMS OF THE LETTER OF ACCEPTANCE, WAIVER, AND CONSENT. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE LETTER OF ACCEPTANCE, WAIVER, AND CONSENT ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP OPERATED A REFERRAL HIRING PROGRAM WHEREBY CANDIDATES WHO WERE REFERRED, DIRECTLY OR INDIRECTLY, BY FOREIGN GOVERNMENT OFFICIALS AND EXISTING OR PROSPECTIVE COMMERCIAL CLIENTS, AND WHO IN MOST INSTANCES WERE LESS QUALIFIED THAN NON-REFERRED CANDIDATES WHO WERE HIRED THROUGH THE JPMC'S STANDARD HIRING PROGRAMS, WERE OFFERED INTERNSHIPS, TRAINING, AND OTHER EMPLOYMENT OPPORTUNITIES IN ORDER TO OBTAIN IMPROPER BUSINESS ADVANTAGES FOR JPMC. Status: Final Sanction Detail: THE ORDER DIRECTS JPMC TO CEASE-AND-DESIST AND TO PAY A CIVIL MONEY PENALTY OF $61,932,500, WHICH WAS PAID ON NOVEMBER 17, 2016. IN ADDITION, THE ORDER REQUIRES JPMC TO TAKE THE FOLLOWING STEPS: A) SUBMIT AN ACCEPTABLE WRITTEN PLAN, AND TIMELINE FOR IMPLEMENTATION, TO IMPROVE SENIOR MANAGEMENT'S OVERSIGHT OF JPMC'S FIRM-WIDE COMPLIANCE RISK MANAGEMENT PROGRAM WITH REGARD TO COMPLIANCE WITH APPLICABLE U.S. LAWS AND REGULATIONS AND APPLICABLE INTERNAL POLICIES AND PROCEDURES IN CONNECTION WITH THE FIRM'S HIRING OF CANDIDATES WHO WERE REFERRED, DIRECTLY OR INDIRECTLY, BY FOREIGN GOVERNMENT OFFICIALS AND EXISTING OR PROSPECTIVE COMMERCIAL CLIENTS ("REFERRAL HIRING PRACTICES"); B) SUBMIT AN ACCEPTABLE WRITTEN PLAN, AND TIMELINE FOR IMPLEMENTATION, TO ENHANCE THE EFFECTIVENESS OF JPMC'S FIRM-WIDE COMPLIANCE RISK MANAGEMENT PROGRAM WITH REGARD TO THE OVERSIGHT AND IMPLEMENTATION OF ANTI-BRIBERY PROCESSES AND PROCEDURES IN CONNECTION WITH THE FIRM'S REFERRAL HIRING PRACTICES; AND C) SUBMIT AN ACCEPTABLE WRITTEN PLAN, AND TIMELINE FOR IMPLEMENTATION, TO ENHANCE THE EFFECTIVENESS OF THE FIRM'S COMPLIANCE WITH INTERNAL POLICIES AND PROCEDURES AS WELL AS APPLICABLE U.S. LAWS AND REGULATIONS IN ITS REFERRAL HIRING PRACTICES. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12. IN COORDINATION WITH THE FRB SETTLEMENT, JPMC AND CERTAIN OF ITS AFFILIATES ALSO ENTERED INTO SETTLEMENTS WITH OTHER AGENCIES TO RESOLVE CONCURRENT INVESTIGATIONS ARISING OUT OF THE SAME CONDUCT. THOSE SETTLEMENTS ARE AS FOLLOWS: JPMORGAN APAC ENTERED INTO A NON-PROSECUTION AGREEMENT WITH THE DEPARTMENT OF JUSTICE AND CONSENTED TO THE ISSUANCE OF A CRIMINAL FINE FOR VIOLATIONS OF FEDERAL ANTI-BRIBERY LAWS AND THE U.S. SECURITIES AND EXCHANGE COMMISSION ENTERED AN ADMINISTRATIVE CEASE-AND-DESIST ORDER AGAINST JPMC FINDING VIOLATIONS OF FEDERAL ANTI-BRIBERY AND SECURITIES LAWS.
Allegations: THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. Status: Final Sanction Detail: THE FINE WAS PAID ON JUNE 25, 2014. THE FINE REPRESENTS THE NORTH CAROLINA PORTION OF A TOTAL FINE OF $25 MILLION NEGOTIATED WITH THE NYAG AND THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION ON BEHALF OF THE NASAA TASK FORCE. THE REMAINING AMOUNT WILL BE PAID SEPARATELY TO OTHER STATES. ALSO PAID WAS $15,000 TO NASAA AS REIMBURSEMENT FOR INVESTIGATIVE COSTS INCURRED BY NASAA. Summary: THE ACTION RELATED TO ALLEGATIONS WITH RESPECT TO MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. AS DESCRIBED HEREIN, THE PRINCIPAL TERMS OF THE SETTLEMENT WERE NEGOTIATED WITH THE NYAG AND THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION ON BEHALF OF THE NASAA TASK FORCE THAT CONTEMPLATES SEPARATE SIMILAR AGREEMENTS WITH OTHER STATES.
Allegations: THE ASIC LICENSING EXEMPTIONS REQUIRED THE J.P. MORGAN ENTITIES (JPMS LLC, JPMS PLC, JPMS APL) TO PROVIDE WRITTEN DISCLOSURE TO ALL PERSONS TO WHOM FINANCIAL SERVICES ARE PROVIDED IN AUSTRALIA (BEFORE THE FINANCIAL SERVICES ARE PROVIDED) CONTAINING PROMINENT STATEMENTS TO THE EFFECT THAT THEY ARE EXEMPT FROM THE REQUIREMENT TO HOLD AN AUSTRALIAN FINANCIAL SERVICES LICENSE UNDER THE CORPORATIONS ACT IN RESPECT OF THE FINANCIAL SERVICES; AND THEY ARE AUTHORIZED AND REGULATED BY RELEVANT FOREIGN REGULATORY AUTHORITIES UNDER THE FOREIGN LAWS, WHICH DIFFER FROM AUSTRALIAN LAWS. IN 2014, THE J.P. MORGAN ENTITIES REPORTED BREACHES OF THE DISCLOSURE CONDITIONS TO ASIC. THE BREACHES AFFECTED A LARGE NUMBER OF WHOLESALE CLIENTS OVER APPROXIMATELY SIX YEARS. IN ADDITION TO THE BREACHES REPORTED IN 2014, BREACHES OF THE DISCLOSURE CONDITION WERE ALSO REPORTED BY THE J.P. MORGAN ENTITIES IN 2008 AND, FOR JPMSPLC IN 2005. Status: Final Sanction Detail: THE J.P. MORGAN ENTITIES MUST APPOINT AN ASIC-APPROVED INDEPENDENT EXPERT TO REVIEW ITS COMPLIANCE FRAMEWORK IMPLEMENTED FOR THE DISCLOSURE CONDITION OF THE RELEVANT CLASS ORDER RELIEF, REPORT ANY DEFICIENCIES AND MAKE RECOMMENDATIONS ON HOW TO RECTIFY THOSE DEFICIENCIES TO ENSURE COMPLIANCE WITH DISCLOSURE CONDITIONS, PROVIDE AND IMPLEMENT A REMEDIATION ACTION PLAN TO ADDRESS ANY DEFICIENCIES AND RECOMMENDATIONS FROM THE INDEPENDENT EXPERT'S REPORT. THE INDEPENDENT EXPERT WILL ASSESS AND TEST THE REMEDIAL ACTIONS IMPLEMENTED BY THE J.P. MORGAN ENTITIES IN A TWO-STEP REVIEW PROCESS.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE STATE OF NEW JERSEY BUREAU OF SECURITIES ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN NEW JERSEY IN VIOLATION OF N.J.S.A. 49:3-56(H), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NEW JERSEY IN VIOLATION OF N.J.S.A. 49:3-58(A)(2)(XI), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF N.J.S.A. 49:3-59(B). Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE STATE OF NEW JERSEY BUREAU OF SECURITIES (THE "BUREAU"). THE FIRM ALSO AGREED TO PAY THE BUREAU A SUM IN THE AMOUNT OF $50,460.00, WHICH WAS REMITTED ON OR ABOUT MAY 8, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE STATE OF NEW JERSEY BUREAU OF SECURITIES (THE "BUREAU") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NEW JERSEY THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN NEW JERSEY AND THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED N.J.S.A. 49:3-56(H), 49:3-58(A)(2)(XI) AND 49:3-59(B). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE BUREAU A SUM IN THE AMOUNT OF $50,460.00. FINALLY, THE BUREAU AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN NEW HAMPSHIRE IN VIOLATION OF RSA 421-B:6(I), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF RSA 421-B:8(X). Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION (THE "BUREAU"). THE FIRM ALSO AGREED TO PAY THE BUREAU A SUM IN THE AMOUNT OF $235,210, WHICH WAS REMITTED ON OR ABOUT MARCH 27, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION (THE "BUREAU") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NEW HAMPSHIRE THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN NEW HAMPSHIRE AND THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED RSA 421-B:6(I) AND 421-B:8(X). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE BUREAU A SUM IN THE AMOUNT OF $235,210, WHICH COMPRISED OF A FINE OF $45,000, PAST REGISTRATION FEES FOR SALES ASSISTANTS WHO SHOULD HAVE BEEN REGISTERED IN NEW HAMPSHIRE IN THE AMOUNT OF $15,210, AND COSTS OF THE INVESTIGATION IN THE AMOUNT OF $175,000. FINALLY, THE BUREAU AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE TEXAS STATE SECURITIES BOARD ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN TEXAS, THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN TEXAS IN VIOLATION OF SECTIONS 115.10(A) AND 115.10(B)(1) OF THE RULES AND REGULATIONS OF THE TEXAS STATE SECURITIES BOARD ("BOARD RULES"), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF SECTION 115.5(B)(6)(A) OF THE BOARD RULES. Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE TEXAS STATE SECURITIES BOARD (THE "BOARD"). THE FIRM ALSO AGREED TO PAY THE BOARD A SUM IN THE AMOUNT OF $74,355.00, WHICH WAS REMITTED ON OR ABOUT MAY 8, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE TEXAS STATE SECURITIES BOARD (THE "BOARD") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN TEXAS THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN TEXAS AND THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED SECTIONS 115.10(A), 115.10(B)(1) AND 115.5(B)(6)(A) OF THE RULES AND REGULATIONS OF THE TEXAS STATE SECURITIES BOARD. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE BOARD A SUM IN THE AMOUNT OF $74,355.00, TEXAS' ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE BOARD AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE NEW MEXICO SECURITIES DIVISION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN NEW MEXICO IN VIOLATION OF NEW MEXICO UNIFORM SECURITIES ACT ("NMSA") SECTION 58-13C- 401(A), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NEW MEXICO IN VIOLATION OF NMSA SECTION 58-13C-604(C) AND NEW MEXICO ADMINISTRATIVE CODE ("NMAC") RULE 12.11.4.10, AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF NMAC RULE 12.11.3.8. Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE NEW MEXICO SECURITIES DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,800.00, WHICH WAS REMITTED ON OR ABOUT JUNE 20, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE NEW MEXICO SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NEW MEXICO THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN NEW MEXICO AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED NEW MEXICO UNIFORM SECURITIES ACT SECTIONS 58-13C-401(A) AND 58-13C-604(C) AND NEW MEXICO ADMINISTRATIVE CODE RULES 12.11.3.8 AND 12.11.4.10. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,800.00, NEW MEXICO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE CONNECTICUT DEPARTMENT OF BANKING ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN CONNECTICUT IN VIOLATION OF CONNECTICUT UNIFORM SECURITIES ACT (THE "ACT") SECTION 36B-6(B), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN CONNECTICUT IN VIOLATION OF THE REGULATIONS OF CONNECTICUT STATE AGENCIES 36B-31-6F(B), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF SECTION 36B-14(A)(2) OF THE ACT. Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE CONNECTICUT DEPARTMENT OF BANKING (THE "DEPARTMENT"). THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $53,800.00, WHICH WAS REMITTED ON OR ABOUT JUNE 24, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE CONNECTICUT DEPARTMENT OF BANKING (THE "DEPARTMENT") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN CONNECTICUT THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN CONNECTICUT AND, IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED CONNECTICUT UNIFORM SECURITIES ACT SECTIONS 36B-6(B) AND 36B-14(A)(2) AND REGULATIONS OF CONNECTICUT STATE AGENCIES 36B-31-6F(B). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $53,800.00, CONNECTICUT'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE STATE OF WASHINGTON SECURITIES DIVISION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN WASHINGTON IN RCW 21.20.040(2), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN WASHINGTON IN VIOLATION OF RCW 21.20.110(1)(J), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF RCW 21.20.100(1) AND WAC 460-21B-050(1). Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE STATE OF WASHINGTON SECURITIES DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,000.00, WHICH WAS REMITTED ON OR ABOUT JUNE 25, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE STATE OF WASHINGTON SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN WASHINGTON THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN WASHINGTON AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED RCW SECTIONS 21.20.040(2), 21.20.100(1) AND 21.20.110(1)(J) AND WAC 460-21B-050(1). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,000.00, WASHINGTON'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN CALIFORNIA IN VIOLATION OF CALIFORNIA CORPORATE SECURITIES LAW OF 1968 ("CSL") SECTION 25210(B), , THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN CALIFORNIA IN VIOLATION OF CSL SECTION 25217(A) AND CALIFORNIA CODE OF REGULATIONS, TITLE 10, SECTION 260.218.4, AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF CSL SECTION 25241. Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT (THE "DEPARTMENT"). THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $47,550.00, WHICH WAS REMITTED IN OR ABOUT JUNE 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT (THE "DEPARTMENT") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN CALIFORNIA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN CALIFORNIA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED CALIFORNIA CORPORATE SECURITIES LAW OF 1968 SECTIONS 25210(B), 25217(A) AND 25241, AND CALIFORNIA CODE OF REGULATIONS, TITLE 10, SECTION 260.218.4. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $47,500.00, CALIFORNIA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE IOWA INSURANCE DIVISION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN IOWA IN VIOLATION OF IOWA CODE SECTION 502.402(1), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN IOWA IN VIOLATION OF IOWA CODE SECTION 502.412(4)(I), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF IOWA CODE SECTION 502.411(3). Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE IOWA INSURANCE DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,120.00, WHICH WAS REMITTED IN OR ABOUT JUNE 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE IOWA INSURANCE DIVISION (THE "DIVISION") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN IOWA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN IOWA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED IOWA CODE SECTIONS 502.402(1), 502.412(4)(I) AND 502.411(3). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,120.00, IOWA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE MISSISSIPPI SECURITIES DIVISION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN MISSISSIPPI, THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MISSISSIPPI IN VIOLATION OF MISSISSIPPI SECURITIES ACT RULE 519 AND ITS PREDECESSOR RULE, RULE 521, AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF MISSISSIPPI SECURITIES ACT RULE 515A AND ITS PREDECESSOR RULE, RULE 515A. Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE MISSISSIPPI SECURITIES DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,550.00, WHICH WAS REMITTED IN OR ABOUT JUNE 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE MISSISSIPPI SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT THE FIRM'S FAILURE TO MONITOR THE REGISTRATION STATUS OF SALES ASSISTANTS THAT ACCEPTED CLIENT ORDERS IN MISSISSIPPI AND WHO WERE NOT REGISTERED IN MISSISSIPPI, AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED MISSISSIPPI SECURITIES ACT RULES 519 AND 515A AND ITS PREDECESSOR RULES, RULES 521 AND 515A. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,550.00, MISSISSIPPI'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN RHODE ISLAND IN VIOLATION OF R.I. GEN. LAWS SECTION 7-11-201(A), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN RHODE ISLAND IN VIOLATION OF R.I. GEN. LAWS SECTION 7-11-212(B)(11), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF R.I. GEN. LAWS SECTION 7-11-209(D). Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION (THE "DEPARTMENT"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,720.00, WHICH WAS REMITTED ON OR ABOUT JUNE 23, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION (THE "DEPARTMENT") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN RHODE ISLAND THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN RHODE ISLAND AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED R.I. GEN. LAWS SECTIONS 7-11-201(A), 7-11-212(B)(11) AND 7-11-209(D). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $51,720.00, RHODE ISLAND'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE GEORGIA SECURITIES DIVISION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN GEORGIA IN VIOLATION OF SECTION 10-5-3(A) OF THE GEORGIA SECURITIES ACT OF 1973 ("1973 ACT") AND SECTION 10-5-31(D) OF THE GEORGIA UNIFORM SECURITIES ACT OF 2008 ("2008 ACT"), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN GEORGIA IN VIOLATION SECTION 10-5-4(A)(11) AND RULE 590-4-5-.07(1) OF THE 1973 ACT AND SECTION 10-5-41(D)(9) AND RULE 590-4-5-.12(1) OF THE 2008 ACT, AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF RULE 590-4-2-.03(1) OF THE 1973 ACT AND SECTION 10-5-40(C)(1) AND RULE 590-4-5-.06(1) OF THE 2008 ACT. Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE GEORGIA SECURITIES DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,050.00 WHICH WAS REMITTED IN OR ABOUT JUNE 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE GEORGIA SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN GEORGIA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN GEORGIA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED SECTIONS 10-5-3(A) AND 10-5- 4(A)(11) AND RULES 590-4-2-.03(1) AND 590-4-2.07(1) OF THE GEORGIA SECURITIES ACT OF 1973 AND SECTIONS 10-5-31(D), 10-5-4(C)(1) AND 10-5-41(D)(9) AND RULES 590-4-5-.06(1) AND 590-4-5.12(1) OF GEORGIA UNIFORM SECURITIES ACT OF 2008. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,050.00, WHICH CONSISTED OF $5,050.00 AS AN ASSESSMENT OF REGISTRATION FEES AND $45,000.00 TO REIMBURSE THE DIVISION FOR COSTS INCURRED DURING THE INVESTIGATION OF THIS MATTER. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE SOUTH CAROLINA SECURITIES DIVISION ALLEGED THAT J.P. MORGAN SECURITIES, LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN SOUTH CAROLINA IN VIOLATION OF S.C. CODE ANN. SECTION 35-1-402(D), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN SOUTH CAROLINA IN VIOLATION OF S.C. CODE ANN. SECTION 35-1-412(D)(9), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF SOUTH CAROLINA REGULATION 13-405(A). Status: Final Sanction Detail: J.P. MORGAN SECURITIES, LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE SOUTH CAROLINA SECURITIES DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $59,520.00, WHICH WAS REMITTED ON JUNE 20, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES, LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE SOUTH CAROLINA SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN SOUTH CAROLINA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN SOUTH CAROLINA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED S.C. CODE ANN. SECTIONS 35-1-402(D) AND 35-1-412(D)(9) AND SOUTH CAROLINA REGULATION 13-405(A). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $59,520.00, SOUTH CAROLINA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE VIRGINIA DIVISION OF SECURITIES AND RETAIL FRANCHISING ALLEGED THAT J.P. MORGAN SECURITIES LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN VIRGINIA IN VIOLATION OF SECTION 13.1-504 A OF THE VIRGINIA SECURITIES ACT, THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN VIRGINIA IN VIOLATION OF RULES 21 VAC 5-20-260 B AND 21 VAC 5-20-260 D OF THE VIRGINIA ADMINISTRATIVE CODE (THE "CODE"), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF RULE 21 VAC 5-20-240 OF THE CODE. Status: Final Sanction Detail: J.P. MORGAN SECURITIES LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE VIRGINIA DIVISION OF SECURITIES AND RETAIL FRANCHISING (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $48,900.00 WHICH WAS REMITTED ON OR ABOUT JUNE 24, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE VIRGINIA DIVISION OF SECURITIES AND RETAIL FRANCHISING (THE "DIVISION") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN VIRGINIA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN VIRGINIA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED SECTION 13.1-504 A OF THE VIRGINIA SECURITIES ACT AND RULES 21 VAC 5-20-240, 21 VAC 5-20-260 B AND 21 VAC 5-20-260 D OF THE VIRGINIA ADMINISTRATIVE CODE. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $48,900.00, WHICH CONSISTED OF A CIVIL PENALTY IN THE AMOUNT OF $45,000.00 AND $3,900.00 TO REIMBURSE THE DIVISION FOR COSTS INCURRED DURING THE INVESTIGATION OF THIS MATTER. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE NEVADA SECURITIES DIVISION ALLEGED THAT J.P. MORGAN SECURITIES LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN NEVADA IN VIOLATION OF NRS 90.310(2), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NEVADA IN VIOLATION OF NRS 90.310(2) AND 90.4630(2)(D) AND FINRA RULE 3010, AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF NAC 90.321 AND FINRA RULE 4511(A). Status: Final Sanction Detail: J.P. MORGAN SECURITIES LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE NEVADA SECURITIES DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $62,500.00, WHICH WAS REMITTED ON OR ABOUT JULY 21, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE NEVADA SECURITIES DIVISION (THE "DIVISION")ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NEVADA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN NEVADA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED NRS 90.310(2), NRS 90.4630(2)(D), NAC 90.321 AND FINRA RULES 3010 AND 4511(A). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $62,500.00, NEVADA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE MONTANA SECURITIES DEPARTMENT ALLEGED THAT J.P. MORGAN SECURITIES LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN MONTANA IN VIOLATION OF MONT. CODE ANN. § 30-10-201(2), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MONTANA IN VIOLATION OF MONT. CODE ANN. § 30-10-201(13)(K), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF MONT. CODE ANN. § 30-10-201(12)(A) AND ADMIN. R MONT. 6.10.504. Status: Final Sanction Detail: J.P. MORGAN SECURITIES LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE MONTANA SECURITIES DEPARTMENT (THE "DEPARTMENT"). THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $50,150.00, WHICH WAS REMITTED ON OR ABOUT JULY 22, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE MONTANA SECURITIES DEPARTMENT (THE "DEPARTMENT") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MONTANA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN MONTANA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED MONT. CODE ANN. §§ 30-10-201(2), 30-10-201(12)(A) AND 30-10-201(13)(K), AND ADMIN. R MONT. 6.10.504. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $50,150.00, MONTANA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA,PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE VERMONT SECURITIES DIVISION ALLEGED THAT J.P. MORGAN SECURITIES LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN VERMONT IN VIOLATION OF 9 V.S.A. § 5401(C), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN VERMONT IN VIOLATION OF 9 V.S.A. § 5412(D)(9), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF 9 V.S.A. 5411(C)(1). Status: Final Sanction Detail: J.P. MORGAN SECURITIES LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE VERMONT SECURITIES DIVISION (THE "DIVISION"). THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,840.00, WHICH WAS REMITTED ON OR ABOUT JULY 21, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE VERMONT SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN VERMONT THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN VERMONT AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED 9 V.S.A. §§ 5401(C), 5411(C)(1) AND 5412(D)(9). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,840.00, VERMONT'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE ARKANSAS SECURITIES DEPARTMENT ALLEGED THAT J.P. MORGAN SECURITIES LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN ARKANSAS IN VIOLATION OF ARKANSAS CODE ANN. § 23-42-301(B)(1), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN ARKANSAS IN VIOLATION OF ARKANSAS CODE ANN. § 23-42-308(A)(2)(J), AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF ARKANSAS CODE ANN. § 23-42-306(A) AND RULE 306.01(A). Status: Final Sanction Detail: J.P. MORGAN SECURITIES LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE ARKANSAS SECURITIES DEPARTMENT (THE "DEPARTMENT"). THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $53,925.00, WHICH WAS REMITTED ON OR ABOUT JULY 21, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE ARKANSAS SECURITIES DEPARTMENT (THE "DEPARTMENT") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN ARKANSAS THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN ARKANSAS AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED ARKANSAS CODE ANN. §§ 23-42-301(B)(1), 23-42-306(A) AND 23-42-308(A)(2)(J), AND RULE 306.01(A). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $53,925.00, ARKANSAS'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE MINNESOTA DEPARTMENT OF COMMERCE ALLEGED THAT J.P. MORGAN SECURITIES LLC (THE "FIRM") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN MINNESOTA IN VIOLATION OF MINN. STAT. § 80A.57(A), THE FIRM FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MINNESOTA IN VIOLATION OF MINN. STAT. § 80A.67(D)(9) 2012, AND IN CERTAIN INSTANCES, THE FIRM FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF MINN. R. 2876.4114 SUBP. 4. Status: Final Sanction Detail: J.P. MORGAN SECURITIES LLC (THE "FIRM") NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE MINNESOTA DEPARTMENT OF COMMERCE (THE "DEPARTMENT"). THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $49,600.00, WHICH WAS REMITTED ON OR ABOUT JULY 21, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY J.P. MORGAN SECURITIES LLC (THE "FIRM") WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"). AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH THE FIRM NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE MINNESOTA DEPARTMENT OF COMMERCE (THE "DEPARTMENT") ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MINNESOTA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN MINNESOTA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS ANDRECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED MINN. STAT. §§ 80A.57(A) AND 80A.67(D)(9) 2012, AND MINN. R. 2876.4114 SUBP. 4. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. THE FIRM ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $49,600.00, MINNESOTA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND THE FIRM AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT THE FIRM TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF ALASKA DIVISION OF BANKING AND SECURITIES (THE "DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN ALASKA IN VIOLATION OF ALASKA STATUTE 45.55.030(A), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN ALASKA IN VIOLATION OF ALASKA STATUTE 45.55.060(B)(1), AND IN CERTAIN INSTANCES, JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF ALASKA SECURITIES REGULATION 3 AAC 08.030(A)(2). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,120.00, WHICH WAS REMITTED ON OR ABOUT JUNE 20, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF THE NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN ALASKA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN ALASKA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED ALASKA STATUES 45.55.030(A) AND 45.55.060(B)(1) AND ALASKA SECURITIES REGULATION 3 AAC 08.030(A)(2). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,120.00, ALASKA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC., THE ALABAMA SECURITIES COMMISSION (THE "COMMISSION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN ALABAMA IN VIOLATION OF THE CODE OF ALABAMA OF 1975 § 8-6-3(A), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN ALABAMA IN VIOLATION OF ALABAMA SECURITIES COMMISSION'S RULE 830-X-3-.13(3), AND IN CERTAIN INSTANCES, JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF ALABAMA SECURITIES COMMISSION'S RULE 830-X-3-.14(M). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE COMMISSION. JPMS ALSO AGREED TO PAY THE COMMISSION A SUM IN THE AMOUNT OF $52,680.00, WHICH WAS REMITTED ON OR ABOUT AUGUST 15, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE COMMISSION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN ALABAMA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN ALABAMA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED THE CODE OF ALABAMA OF 1975 § 8-6-3(A), AND ALABAMA SECURITIES COMMISSION'S RULES 830-X-3-.13(3) AND 830-X-3-.14(M). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE COMMISSION A SUM IN THE AMOUNT OF $52,680.00, ALABAMA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE COMMISSION AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE INDIANA SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN INDIANA IN VIOLATION OF THE IND. CODE § 23-19-4-2(D), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN INDIANA IN VIOLATION OF 710 IND. ADMIN. CODE § 4-7-6(D)(1), AND IN CERTAIN INSTANCES, JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF 710 IND. ADMIN. CODE § 23-19-4-11(C). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $47,175.00, WHICH WAS REMITTED ON OR ABOUT AUGUST 15, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN INDIANA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN INDIANA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED IND. CODE § 23-19-4-2(D) AND 710 IND. ADMIN. CODE §§ 4-7-6(D)(1) AND 23-19-4-11(C). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $47,175.00, INDIANA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE NORTH DAKOTA SECURITIES DEPARTMENT (THE "DEPARTMENT") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN NORTH DAKOTA IN VIOLATION OF THE N.D.C.C. § 10-04-10(2), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NORTH DAKOTA IN VIOLATION OF N.D.C.C. § 10-04-11(1)(M), AND IN CERTAIN INSTANCES, JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF N.D.C.C. § 10-04-10.3(1)(A)(1). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE DEPARTMENT. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $51,240.00, WHICH WAS REMITTED ON OR ABOUT AUGUST 15, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NORTH DAKOTA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN NORTH DAKOTA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED N.D.C.C. §§ 10-04-10(2); 10-04-11(1)(M) AND 10-04-10.3(1)(A)(1). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $51,240.00, NORTH DAKOTA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF MAINE OFFICE OF SECURITIES (THE "OFFICE") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN MAINE IN VIOLATION OF THE MAINE UNIFORM SECURITIES ACT, 32 M.R.S. ("32 M.R.S.") § 16402(4), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MAINE IN VIOLATION OF 32 M.R.S. § 16412(4)(1) AND MAINE OFFICE OF SECURITIES RULE (THE "RULE") CHAPTER 504 § 7(2), AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF 32 M.R.S. § 16411(3)(A)(2). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE OFFICE. JPMS ALSO AGREED TO PAY THE OFFICE A SUM IN THE AMOUNT OF $51,150.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFFICE ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MAINE THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN MAINE AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED 32 M.R.S. §§ 16402(4), 16412(4)(1) AND 16411(3)(A)(2) AND CHAPTER 504 § 7(2) OF THE RULE. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE OFFICE A SUM IN THE AMOUNT OF $51,150.00, MAINE'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE OFFICE AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MISSOURI SECURITIES DIVISION (THE "DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN MISSOURI IN VIOLATION OF RSMO. (CUM. SUPP. 2012) ("RSMO.") § 409.4-402(D), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MISSOURI IN VIOLATION OF RSMO. § 409.4-412(D)(9), JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF RSMO. § 409.4-411(C)(1). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,200.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MISSOURI THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN MISSOURI AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED RSMO. §§ 409.4-402(D), 409.4-412(D)(9) AND 409.4-411(C)(1). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,200.00, MISSOURI'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE OKLAHOMA DEPARTMENT OF SECURITIES (THE "DEPARTMENT") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN OKLAHOMA IN VIOLATION OF THE OKLAHOMA UNIFORM SECURITIES ACT (THE "ACT") § 1-402(D), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN OKLAHOMA IN VIOLATION OF § 1-411 OF THE ACT AND RULE 660:11-5-42(B)(22)(A), JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF RULE 660:11-5-42(B)(18)(A). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE DEPARTMENT. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $50,600.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN OKLAHOMA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN OKLAHOMA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED §§ 1-402(D) AND 1-411 OF THE ACT AND RULES 660:11-5-42(B)(22)(A) AND 660:11-5-42(B)(18)(A). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $50,600.00, OKLAHOMA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF DELAWARE INVESTOR PROTECTION UNIT (THE "UNIT") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN DELAWARE IN VIOLATION OF THE DELAWARE SECURITIES ACT (THE "ACT") §§ 73-301(B) AND 73-304(A)(10), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN DELAWARE IN VIOLATION OF §§ 73-301(B), 73-304(A)(10), 73-304(A) AND 73-601 OF THE ACT, AND IN CERTAIN INSTANCES, JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF RULE 606 UNDER THE ACT. Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY THE UNIT. JPMS ALSO AGREED TO PAY THE UNIT A SUM IN THE AMOUNT OF $51,40.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE UNIT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN DELAWARE THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN DELAWARE AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED §§ 73-301(B), 73-304(A)(10), 73-301(B), 73-304(A), 73-601 AND RULE 606 OF THE ACT. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE UNIT A SUM IN THE AMOUNT OF $51,400.00, DELAWARE'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE UNIT AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION ("OFFICE") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN FLORIDA IN VIOLATION OF FLORIDA STATUES ("F.S.")§ 517.12(1); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN FLORIDA, WHICH CONSTITUTES GROUNDS TO IMPOSE SANCTIONS/DISCIPLINE PURSUANT TO F.S. §§ 517.161(1)(H) AND 517.221(3), AND FLORIDA ADMINISTRATIVE CODE RULE ("RULE") 69W-600.013(1)(H)1; AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF F.S. § 517.161(1)(A) AND RULE 69W-600.012(1)(D). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE STIPULATION AND CONSENT AGREEMENT ("AGREEMENT"), AND CONSENTS TO THE ENTRY OF THE AGREEMENT BY THE OFFICE. JPMS ALSO AGREED TO PAY THE OFFICE A SUM IN THE AMOUNT OF $50,400.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE OFFICE ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN FLORIDA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN FLORIDA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED F.S. §§ 517.12(1), 517.161(1)(A) AND RULE 69W-600.012(1)(D), WHICH CONSTITUTED GROUNDS TO IMPOSE SANCTIONS/DISCIPLINE PURSUANT TO F.S. §§ 517.161(1)(H) AND 517.221(3), AND RULE 69W-600.013(1)(H)1. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE OFFICE A SUM IN THE AMOUNT OF $50,400.00, FLORIDA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE OFFICE AND JPMS AGREED THAT THE AGREEMENT WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF LOUISIANA OFFICE OF FINANCIAL INSTITUTIONS ("OFI") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN LOUISIANA IN VIOLATION OF THE LOUISIANA SECURITIES LAW, LSA-R.S. 51:703, SECTION (A), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN LOUISIANA IN VIOLATION OF LAC 10:XIII.1901, AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF LAC 10:XIII.1701. Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER, AND CONSENTS TO THE ENTRY OF THE CONSENT ORDER BY OFI. JPMS ALSO AGREED TO PAY OFI A SUM IN THE AMOUNT OF $51,900.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, OFI ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN LOUISIANA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN LOUISIANA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED LSA-R.S. 51:703, SECTION(A), LAC 10:XIII.1901 AND LAC 10:XIII.1701. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY OFI A SUM IN THE AMOUNT OF $51,900.00, LOUISIANA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, OFI AND JPMS AGREED THAT THE CONSENT ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE UTAH DIVISION OF SECURITIES (THE "DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN UTAH IN VIOLATION OF THE UTAH UNIFORM SECURITIES ACT ("ACT") § 61-1-3(2)(A), JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN UTAH IN VIOLATION THE ACT § 61-1-6(2)(A)(II)(J), AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF UTAH ADMIN. CODE RULE ("RULE") R164-5-1(C)(1). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE STIPULATION AND CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,000.00, WHICH WAS REMITTED ON OR ABOUT SEPTEMBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN UTAH THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN UTAH AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED THE ACT §§ 61-1-3(2)(A) AND 61-1-6(2)(A)(II)(J), AND RULE R164-5-1(C)(1). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,000.00, UTAH'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS ("DFI") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN KENTUCKY IN VIOLATION OF THE SECURITIES ACT OF KENTUCKY ("KRS") §§ 292.330(1) AND 292.330(7); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN KENTUCKY IN VIOLATION OF KRS § 292.337(2)(K) AND THE KENTUCKY ADMINISTRATIVE REGULATIONS ("KAR") 808 KAR 10:030, § 4, WHICH CONSTITUTED GROUNDS TO IMPOSE SANCTIONS PURSUANT TO KRS § 292.500(14); AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF KRS §§ 292.336(1)(C) AND 292.336(2)(B). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DFI. JPMS ALSO AGREED TO PAY THE DFI A SUM IN THE AMOUNT OF $50,800.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DFI ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN KENTUCKY THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN KENTUCKY AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED KRS §§ 292.330(1), 292.330(7), 292.337(2)(K), 292.336(1)(C), AND 292.336(2)(B), AND 808 KAR 10:030, § 4, WHICH CONSTITUTED GROUNDS TO IMPOSE SANCTIONS PURSUANT TO KRS § 292.500(14). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DFI A SUM IN THE AMOUNT OF $50,800.00, KENTUCKY'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DFI AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS ("DFI") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN WISCONSIN IN VIOLATION OF WISCONSIN STATUES ("WIS.STATS.") §§ 551.402(4) AND 551.412(4)(P); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN WISCONSIN, WHICH CONSTITUTEDGROUNDS TO IMPOSE SANCTIONS/DISCIPLINE PURSUANT TO WIS.STATS. §§ 551.412 AND 551.412(4)(I)AND WISCONSIN ADMINISTRATIVE CODE DFI ("CODE") § 4.05(2); AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF § 4.03 OF THE CODE. Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DFI. JPMS ALSO AGREED TO PAY THE DFI A SUM IN THE AMOUNT OF $52,200.00, WHICH WAS REMITTED ON OR ABOUT OCTOBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DFI ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN WISCONSIN THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN WISCONSIN AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED WIS.STATS. § 551.402(4) AND § 4.03 OF THE CODE, WHICH CONSTITUTED GROUNDS TO IMPOSE SANCTIONS/DISCIPLINE PURSUANT TO WIS.STATS. §§ 551.412 AND 551.412(4)(I) AND § 4.05(2)OF THE CODE. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, ANDALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DFI A SUM IN THE AMOUNT OF $52,200.00, WISCONSIN'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DFI AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE STATE OF KANSAS OFFICE OF SECURITIES COMMISSIONER ("KSC") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN KANSAS IN VIOLATION OF THE SECURITIES UNIFORM SECURITIES ACT ("K.S.A.") § 17-12A402(A); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN KANSAS WHICH CONSTITUTED GROUNDS TO IMPOSE SANCTIONS PURSUANT TO K.S.A. § 17-12A412(D)(9); AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF K.S.A. § 17-12A411(C). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE KSC. JPMS ALSO AGREED TO PAY THE KSC A SUM IN THE AMOUNT OF $50,280.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 10, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE KSC ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN KANSAS THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN KANSAS AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED K.S.A. §§ 17-12A402(A) AND 17-12A411(C), AND WHICH CONSTITUTED GROUNDS TO IMPOSE SANCTIONS PURSUANT TO K.S.A. § 17-12A412(D)(9). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE KSC A SUM IN THE AMOUNT OF $50,280.00, KANSAS' ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE KSC AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE COLORADO DIVISION OF SECURITIES (THE "DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN COLORADO IN VIOLATION OF C.R.S. § 11-51-401(2); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN COLORADO IN VIOLATION OF C.R.S. § 11-51-410(L)(I); AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS AS REQUIRED BY RULE 51-4.5 UNDER THE C.R.S Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $45,990.00, WHICH WAS REMITTED ON OR ABOUT OCTOBER 30, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN COLORADO THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN COLORADO VIOLATED C.R.S. §§ 11-51-401(2) AND 11-51-410(1)(I) AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS DID NOT COMPLY WITH RULE 51-4.5 UNDER THE C.R.S. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $45,990.00, COLORADO'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES (THE "DEPARTMENT") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN PENNSYLVANIA IN VIOLATION OF THE PENNSYLVANIA SECURITIES ACT OF 1972 ("1972 ACT") § 301(A), 70 P.S. §1-301(A); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN PENNSYLVANIA IN VIOLATION OF THE 1972 ACT § 305(A)(VII), 70 P.S. § 1-305(A)(VII) AND REGULATION § 305.011(A), 10 PA. CODE § 1-305.011(A); AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF THE 1972 ACT § 304(A), 70 P.S. § 1-304 AND REGULATION § 304.011, 10 PA. CODE § 304.011. Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $60,720.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 30, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN PENNSYLVANIA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN PENNSYLVANIA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED THE 1972 ACT §§ 301(A), 70 P.S. §1-301(A), 305(A)(VII), 70 P.S. § 1-305(A)(VII), § 304(A), 70 P.S. § 1-304 AND REGULATIONS §§ 304.011, 10 PA. CODE § 304.011 AND 305.011(A), 10 PA. CODE § 1-305.011(A). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $60,720.00, PENNSYLVANIA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE WEST VIRGINIA SECURITIES DIVISION ("DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN WEST VIRGINIA; JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN WEST VIRGINIA IN VIOLATION OF WEST VIRGINIA CODE §§ 32-2-204(A)(J) AND 32-4-407A; AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF WEST VIRGINIA CODE § 32-2-203 AND LEGISLATIVE RULE 111-1-12.1. Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $55,480.00 WHICH WAS REMITTED ON OR ABOUT OCTOBER 30, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN WEST VIRGINIA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN WEST VIRGINIA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED WEST VIRGINIA CODE §§32-2-204(A)(J), 32-4-407A AND 32-2-203 AND LEGISLATIVE RULE 111-1-12.1. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $55,480.00, WEST VIRGINIA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MASSACHUSETTS SECURITIES DIVISION ("DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN MASSACHUSETTS IN VIOLATION OF MASS. GEN. LAWS CH. 110A § 201(B); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MASSACHUSETTS, WHICH CONSTITUTED GROUNDS TO IMPOSE SANCTIONS/DISCIPLINE PURSUANT TO MASS. GEN. LAWS CH. 110A § 204(A)(2)(J); AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF MASS. GEN. LAWS CH. 110A § 203(A). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $52,875.00 WHICH WAS REMITTED ON OR ABOUT DECEMBER 18, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MASSACHUSETTS THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN MASSACHUSETTS AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED MASS. GEN. LAWS CH. 110A §§ 201(B) AND 203(A) AND CONSTITUTED A BASIS TO IMPOSE AN ADMINISTRATIVE FINE PURSUANT TO MASS. GEN. LAWS CH. 110A §§ 204 AND 407A. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $52,875.00, MASSACHUSETTS' ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE TENNESSEE SECURITIES DIVISION ("DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN TENNESSEE; JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN TENNESSEE; AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS. THE ALLEGED CONDUCT CONSTITUTED A BASIS FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE IN ACCORDANCE WITH TENN. CODE ANN. §§ 48-1-109(E) AND 48-1-112(D). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,200.00 WHICH WAS REMITTED ON OR ABOUT JANUARY 9, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN TENNESSEE THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN TENNESSEE AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS CONSTITUTED A BASIS TO IMPOSE AN ADMINISTRATIVE FINE PURSUANT TO TENN. CODE ANN. §§ 48-1-109(E) AND 48-1-112(D). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $51,200.00, TENNESSEE'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE OREGON DIVISION OF FINANCE AND CORPORATE SECURITIES ("DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN OREGON IN VIOLATION OF OREGON REVISED STATUES ("ORS") § 59.165(3); JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN OREGON IN VIOLATION OF OREGON ADMINISTRATIVE RULES ("OAR") 441-205-0210(3); AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS IN VIOLATION OF ORS § 59.195 AND OAR 441-195-0020(1)(F). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,995.00 WHICH WAS REMITTED ON OR ABOUT DECEMBER 18, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN OREGON THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN OREGON AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS VIOLATED ORS §§59.165(3) AND 59.195 AND OAR 441-195-0020(1)(F) AND 441-205-0210(3). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $50,995.00, OREGON'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE NEBRASKA DEPARTMENT OF BANKING AND FINANCE ("DEPARTMENT") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN NEBRASKA; JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN NEBRASKA; AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS. THE ALLEGED CONDUCT CONSTITUTED A BASIS FOR THE IMPOSITION OF AN ADMINISTRATIVE ACTION IN ACCORDANCE WITH NEB. REV. STAT. §8-1103(9)(A)(REISSUE 2012). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $49,600.00 WHICH WAS REMITTED ON OR ABOUT DECEMBER 18, 2014. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NEBRASKA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN NEBRASKA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS CONSTITUTED A BASIS TO IMPOSE AN ADMINISTRATIVE ACTION PURSUANT TO NEB. REV. STAT. §8-1103(9)(A)(REISSUE 2012). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $49,600.00, NEBRASKA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE MARYLAND SECURITIES DIVISION ("DIVISION") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN MARYLAND; JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN MARYLAND; AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS. THE ALLEGED CONDUCT CONSTITUTED A BASIS FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE IN ACCORDANCE WITH THE MARYLAND SECURITIES ACT (THE "ACT") §§ 11-411(A) AND 11-701.1(B)(4) AND THE CODE OF MARYLAND REGULATION ("COMAR") 02.02.02.10. Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DIVISION. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $49,550.00 WHICH WAS REMITTED ON OR ABOUT MARCH 12, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DIVISION ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN MARYLAND THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN MARYLAND AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS CONSTITUTED A BASIS TO IMPOSE AN ADMINISTRATIVE FINE PURSUANT TO THE ACT §§ 11-411(A) AND 11-701.1(B)(4) AND COMAR 02.02.02.10. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DIVISION A SUM IN THE AMOUNT OF $49,550.00, MARYLAND'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DIVISION AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE DISTRICT OF COLUMBIA DEPARTMENT OF INSURANCE, SECURITIES AND BANKING ("DEPARTMENT") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN THE DISTRICT OF COLUMBIA; JPMS FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS AND ENFORCE ITS SUPERVISORY PROCEDURES TO ENSURE THAT THESE PERSONS WERE REGISTERED IN THE DISTRICT OF COLUMBIA; AND JPMS FAILED TO RECORD THE IDENTITY OF SALES ASSISTANTS ACCEPTING CLIENT ORDERS. THE ALLEGED CONDUCT CONSTITUTED A BASIS FOR THE ASSESSMENT OF AN ADMINISTRATIVE FINE IN ACCORDANCE WITH THE D.C. OFFICIAL CODE § 31-5606.02(B). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE CONSENT ORDER ("ORDER"), AND CONSENTS TO THE ENTRY OF THE ORDER BY THE DEPARTMENT. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $50,400.00 WHICH WAS REMITTED ON OR ABOUT APRIL 9, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE DEPARTMENT ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN THE DISTRICT OF COLUMBIA THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN THE DISTRICT OF COLUMBIA AND IN CERTAIN INSTANCES, THE MAINTENANCE OF BOOKS AND RECORDS PERTAINING TO THE IDENTITY OF SALES ASSISTANTS WHO ACCEPTED CERTAIN ORDERS CONSTITUTED A BASIS TO IMPOSE AN ADMINISTRATIVE FINE PURSUANT TO THE D.C. OFFICIAL CODE § 31-5606.02(B). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE DEPARTMENT A SUM IN THE AMOUNT OF $50,400.00, THE DISTRICT OF COLUMBIA'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE DEPARTMENT AND JPMS AGREED THAT THE ORDER WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: IN CONNECTION WITH COORDINATED INVESTIGATIONS BY A MULTISTATE TASK FORCE WITH THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. ("NASAA"), THE NEW YORK INVESTOR PROTECTION BUREAU ("BUREAU") ALLEGED THAT J.P. MORGAN SECURITIES LLC ("JPMS") ACCEPTED CLIENT ORDERS THROUGH SALES ASSISTANTS WHO WERE NOT REGISTERED IN NEW YORK AND FAILED TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS. THE ALLEGED CONDUCT CONSTITUTED VIOLATIONS OF NEW YORK GENERAL BUSINESS LAW ("GBL") § 359-E(3). Status: Final Sanction Detail: JPMS NEITHER ADMITS NOR DENIES THE FINDINGS OF FACT AND CONCLUSIONS OF LAW CONTAINED IN THE ASSURANCE OF DISCONTINUANCE ("AOD"), AND CONSENTS TO THE ENTRY OF THE AOD BY THE BUREAU. JPMS ALSO AGREED TO PAY THE BUREAU A SUM IN THE AMOUNT OF $50,040.00 WHICH WAS REMITTED ON OR ABOUT MAY 7, 2015. Summary: THIS ACTION IS PART OF A GLOBAL SETTLEMENT REGARDING THE ACTIVITIES OF SALES ASSISTANTS AND THE SUPERVISION OF SALES ASSISTANTS' REGISTRATION STATUS DURING THE PERIOD JANUARY 1, 2004 THROUGH DECEMBER 31, 2011 REACHED BY JPMS WITH A MULTISTATE TASK FORCE COMPOSED OF MEMBERS OF NASAA. AS PART OF THE GLOBAL SETTLEMENT, INDIVIDUAL STATES MAY ENTER CONSENT ORDERS, IN WHICH JPMS NEITHER ADMITS NOR DENIES THE ALLEGATIONS. IN THIS INSTANCE, THE BUREAU ALLEGED THAT THE ACCEPTANCE OF CLIENT ORDERS IN NEW YORK THROUGH SALES ASSISTANTS THAT WERE NOT REGISTERED IN NEW YORK AND THE FAILURE TO MONITOR THE REGISTRATION STATUS OF THESE SALES ASSISTANTS CONSTITUTED VIOLATIONS OF GBL § 359-E(3). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, JPMS AGREED TO MAKE, AND ALREADY HAS MADE, CERTAIN REMEDIAL CHANGES TO ITS REGISTRATION POLICIES, PROCEDURES AND OTHER PROCESSES. JPMS ALSO AGREED TO PAY THE BUREAU A SUM IN THE AMOUNT OF $50,040.00, NEW YORK'S ALLOCATED PORTION OF THE AMOUNT AGREED TO WITH NASAA. FINALLY, THE BUREAU AND JPMS AGREED THAT THE AOD WOULD NOT SUBJECT JPMS TO ANY DISQUALIFICATIONS UNDER THE FEDERAL LAWS, ANY STATE, THE DISTRICT OF COLUMBIA, PUERTO RICO, OR THE U.S. VIRGIN ISLANDS, OR UNDER THE RULES OR REGULATIONS OF ANY SECURITIES OR COMMODITIES REGULATORY OR SELF-REGULATORY ORGANIZATION, WHICH WAS ALSO PART OF THE AGREEMENT WITH NASAA.
Allegations: ON JULY 27, 2016, J.P. MORGAN SECURITIES LLC ("JPMS") AND JPMORGAN CHASE BANK, N.A. ("JPMCB", TOGETHER "RESPONDENTS") ENTERED INTO A CONSENT AGREEMENT ("AGREEMENT") WITH THE INDIANA SECURITIES DIVISION ("ISD"). THE RESPONDENTS CONSENTED TO THE ENTRY OF THE AGREEMENT THAT ALLEGED THAT CERTAIN CONDUCT OF THE RESPONDENTS WAS OUTSIDE THE STANDARDS OF HONESTY AND ETHICS GENERALLY ACCEPTED IN THE SECURITIES TRADE AND INDUSTRY, IN VIOLATION OF 710 IND. ADMIN. CODE§ 4-10-1(23) (2016). SPECIFICALLY, THE AGREEMENT ALLEGED THAT, BETWEEN 2008 AND 2013, JPMS FAILED TO DISCLOSE TO INDIANA INVESTORS THAT CERTAIN PROPRIETARY MUTUAL FUNDS PURCHASED FOR CHASE STRATEGIC PORTFOLIO ("CSP") CLIENTS OFFERED INSTITUTIONAL SHARES THAT WERE LESS EXPENSIVE THAN THE INSTITUTIONAL SHARES JPMS CHOSE FOR CSP CLIENTS. IN ADDITION, THE AGREEMENT ALLEGED THAT, FROM FEBRUARY 2011 TO JANUARY 2014, NO ACCOUNT OPENING DOCUMENT OR MARKETING MATERIALS DISCLOSED TO INDIANA INVESTMENT MANAGEMENT ACCOUNT CLIENTS OR INDIANA J.P. MORGAN INVESTMENT PORTFOLIO CLIENTS THAT JPMCB PREFERRED TO INVEST CLIENT ASSETS IN PROPRIETARY MUTUAL FUNDS, AND THAT BETWEEN 2008 AND JANUARY 2014, JPMCB DID NOT DISCLOSE ITS PREFERENCE FOR INVESTING CERTAIN INVESTMENT MANAGEMENT ACCOUNT ASSETS IN CERTAIN PROPRIETARY HEDGE FUNDS TO INDIANA CLIENTS. LASTLY, THE AGREEMENT ALLEGED THAT, JPMCB DID NOT DISCLOSE ITS PREFERENCE FOR PLACEMENT-AGENT-FEE-PAYING THIRD-PARTY HEDGE FUND MANAGERS IN CERTAIN INVESTMENT MANAGEMENT ACCOUNTS TO INDIANA CLIENTS UNTIL AUGUST 2015. Status: Final Sanction Detail: IN THE CONSENT AGREEMENT, THE RESPONDENTS AGREED TO PAY A TOTAL OF $950,000 TO RESOLVE THE ISD'S INVESTIGATION, WHICH WAS PAID ON AUGUST 1, 2016. Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, THE RESPONDENTS CONSENTED TO THE AGREEMENT, WITH NO ADMISSIONS AS TO LIABILITY. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE AGREEMENT ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON OCTOBER 10, 2017, J.P. MORGAN SECURITIES LLC ("JPMS") ENTERED INTO AN ADMINISTRATIVE CONSENT ORDER ("ORDER") WITH THE NORTH CAROLINA SECURITIES DIVISION ("NCSD"). JPMS CONSENTED TO THE ENTRY OF THE ORDER THAT FOUND VIOLATIONS OF NCGS §78A-36(B) AND 18 NCAC 06A.1411(A). THE ORDER ALLEGED THAT CERTAIN JPMS SALES ASSISTANTS ("SAS") FOR PRIVATE WEALTH MANAGEMENT ("PWM") AND PRIVATE CLIENT SERVICES ("PCS") ACCEPTED UNSOLICITED ORDERS AT TIMES WHEN THE SAS WERE NOT APPROPRIATELY REGISTERED IN THE STATE OF NORTH CAROLINA, AND THAT JPMS FAILED TO ESTABLISH AN ADEQUATE SUPERVISORY SYSTEM TO MONITOR THE REGISTRATION STATUS OF PERSONS ACCEPTING CLIENT ORDERS, FAILED TO ENSURE ITS SAS WERE REGISTERED IN ACCORDANCE WITH JPMS'S WRITTEN PROCEDURES, AND FAILED IN CERTAIN INSTANCES TO RECORD THE IDENTITY OF THE PERSONS ACCEPTING CLIENT ORDERS THROUGH THE TOPAZ SYSTEM UNTIL JUNE OF 2011. Status: Final Sanction Detail: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, JPMS CONSENTED TO THE ORDER, WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT OR CONCLUSIONS OF LAW CONTAINED IN THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: THE SECURITIES AND EXCHANGE BOARD OF INDIA ("SEBI") ALLEGED THAT JPMORGAN ASSET MANAGEMENT (ASIA PACIFIC) LIMITED (JPMAM(AP)), THEN KNOWN AS JF ASSET MANAGEMENT LIMITED, VIOLATED REGULATION 19(2) OF THE SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES AND CLEARING CORPORATIONS) REGULATIONS, 2012 RESCINDED AND REPLACED WITH SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES AND CLEARING CORPORATIONS) REGULATIONS, 2018. Status: Final Sanction Detail: ON FEBRUARY 11, 2019, JPMAM(AP) ACCEPTED THE PROPOSED SETTLEMENT AND PAID THE SETTLEMENT AMOUNT OF 515,625 RUPEES (APPROXIMATELY $7,500). Summary: ON MARCH 5, 2019 THE SECURITIES AND EXCHANGE BOARD OF INDIA ("SEBI") PASSED A SETTLEMENT ORDER REGARDING THE LATE APPLICATION TO ACQUIRE SHARES IN MULTI COMMODITY EXCHANGE OF INDIA LIMITED ("MCX"), A RECOGNIZED STOCK EXCHANGE IN INDIA. PURSUANT TO REGULATION 19(2) OF THE SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES AND CLEARING CORPORATIONS) REGULATIONS, 2012 RESCINDED AND REPLACED WITH SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES AND CLEARING CORPORATIONS) REGULATIONS, 2018, JPMAM(AP) WAS REQUIRED TO APPLY FOR SEBI'S APPROVAL WITHIN FIFTEEN DAYS OF ITS AGGREGATED SHAREHOLDING REPRESENTING GREATER THAN 2% OF MCX. JPMAM(AP), ON BEHALF OF CERTAIN CLIENT ACCOUNTS, ACQUIRED SHARES REPRESENTING IN AGGREGATE GREATER THAN 2% OF MCX ON JANUARY 27, 2017 AND, UPON REALIZING THE INADVERTENT OMISSION IN SEEKING APPROVAL FROM SEBI, JPMAM(AP) SUBMITTED THE APPLICATION FOR APPROVAL ON FEBRUARY 28, 2018. SEBI GRANTED APPROVAL ON APRIL 23, 2018. ON JANUARY 15, 2019 SEBI ISSUED A NOTICE OF SUMMARY SETTLEMENT REGARDING THE ABOVE MATTER. ON FEBRUARY 11, 2019, JPMAM(AP) ACCEPTED THE PROPOSED SETTLEMENT AND PAID THE SETTLEMENT AMOUNT OF 515,625 RUPEES (APPROXIMATELY $7,500).
Allegations: ON MARCH 9, 2020, J.P. MORGAN SECURITIES LLC ("JPMS" OR THE "RESPONDENT") ENTERED INTO A SETTLEMENT WITH THE KENTUCKY DEPARTMENT OF FINANCIAL INSTITUTIONS ("DFI") RESULTING IN THE DFI ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). THE RESPONDENT CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS VIOLATED KRS 292.320, 808 KAR 10:450§2(8)(C) AND 808 KAR 10:450§2(11)(A). THE ORDER FOUND THAT JPMS NEGLIGENTLY FAILED TO DISCLOSE, BOTH GENERALLY AND IN FORM ADVS FILED WITH THE DFI, THAT FROM 2008 TO 2013: (A) IT DESIGNED AND OPERATED A RETAIL UNIFIED MANAGED ACCOUNT PROGRAM WITH A PREFERENCE FOR PROPRIETARY MUTUAL FUNDS; (B) DISCOUNTED PRICING OF SERVICES PROVIDED BY AN AFFILIATE WAS TIED TO THE AMOUNT OF THE PROGRAM'S ASSETS THAT JPMS INVESTED IN PROPRIETARY MUTUAL FUNDS; AND (C) CERTAIN PROPRIETARY MUTUAL FUNDS PURCHASED FOR PROGRAM CLIENTS OFFERED LESS EXPENSIVE SHARE CLASSES. Status: Final Sanction Detail: THE ORDER DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING ANY FURTHER VIOLATIONS OF THE SECURITIES ACT OF KENTUCKY AND TO PAY A CIVIL FINE IN THE AMOUNT OF $325,000, WHICH WAS PAID ON MARCH 13, 2020. Summary: WITHOUT ADMITTING THE FACTS, FINDINGS, AND CONCLUSIONS SET FORTH IN THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"). THE ORDER FINDS THAT JPMC VIOLATED THE ANTI-BRIBERY PROVISIONS OF THE FEDERAL SECURITIES LAWS BY CORRUPTLY PROVIDING VALUABLE INTERNSHIPS AND EMPLOYMENT TO RELATIVES AND FRIENDS OF FOREIGN GOVERNMENT OFFICIALS ("REFERRAL HIRES") IN ORDER TO ASSIST JPMC IN RETAINING AND OBTAINING BUSINESS. IN ADDITION, THE ORDER FINDS THAT JPMC VIOLATED THE BOOKS AND RECORDS PROVISIONS AND THE INTERNAL ACCOUNTING CONTROLS PROVISIONS OF THE FOREIGN CORRUPT PRACTICES ACT ("FCPA") IN CONJUNCTION WITH CERTAIN REFERRAL HIRES. Status: Final Sanction Detail: THE ORDER DIRECTS JPMC TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF THE ABOVE-ENUMERATED STATUTORY PROVISIONS. ADDITIONALLY, THE ORDER REQUIRES JPMC TO PAY A TOTAL OF $105,507,668 IN DISGORGEMENT AND PREJUDGMENT INTEREST OF $25,083,737, WHICH WAS PAID ON NOVEMBER 27, 2016. IN ADDITION, JPMC WAS ORDERED TO COMPLY WITH CERTAIN UNDERTAKINGS, INCLUDING REPORTING TO THE SEC STAFF PERIODICALLY, AT NO LESS THAN NINE-MONTH INTERVALS DURING A THREE-YEAR TERM, THE STATUS OF JPMC'S REMEDIATION AND IMPLEMENTATION OF COMPLIANCE MEASURES RELATING TO FCPA AND APPLICABLE ANTI-CORRUPTION LAWS, AND CERTIFYING THAT JPMC HAS MADE A GOOD FAITH EFFORT TO COMPLY WITH THE UNDERTAKINGS. THE SEC DID NOT IMPOSE A CIVIL PENALTY BASED UPON THE IMPOSITION OF A $72,000,000 CRIMINAL FINE AS PART OF JPMORGAN SECURITIES (ASIA PACIFIC) LIMITED'S ("JPMORGAN APAC") SETTLEMENT WITH THE UNITED STATES DEPARTMENT OF JUSTICE. Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, JPMC ADMITTED THE SEC'S JURISDICTION AND THE SUBJECT MATTER OF THESE PROCEEDINGS AND CONSENTED TO THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12. IN COORDINATION WITH THE SEC SETTLEMENT, JPMC AND CERTAIN OF ITS AFFILIATES ALSO ENTERED INTO SETTLEMENTS WITH OTHER AGENCIES TO RESOLVE CONCURRENT INVESTIGATIONS ARISING OUT OF THE SAME CONDUCT. THOSE SETTLEMENTS ARE AS FOLLOWS: JPMORGAN APAC ENTERED INTO A NON-PROSECUTION AGREEMENT WITH THE DEPARTMENT OF JUSTICE THAT ACKNOWLEDGES RESPONSIBILITY FOR CRIMINAL CONDUCT RELATING TO CERTAIN FINDINGS IN THE ORDER AND THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ENTERED AN ADMINISTRATIVE CEASE-AND-DESIST ORDER AGAINST JPMC.
Allegations: CBOE FUTURES EXCHANGE, LLC ("CFE") CONDUCTED A REVIEW OF ORDER ENTRY OPERATOR IDS ("OEO ID") SUBMITTED BY J.P. MORGAN SECURITIES LLC ("JPMS") FOR THE PERIOD FROM MAY 2012 THROUGH JULY 2014, AND FOUND THAT JPMS SUBMITTED OEO IDS THAT WERE NOT UNIQUE AND DID NOT REPRESENT THE NATURAL PERSON OR THE AUTOMATED TRADING SYSTEM THAT ENTERED THE ORDER INTO CFE'S SYSTEM, IN VIOLATION OF CFE RULE 303A. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THAT IT HAD VIOLATED CFE RULE 303A, JPMS EXECUTED A LETTER OF CONSENT ON MARCH 19, 2015, WHICH INCLUDED A SANCTION IN THE AMOUNT OF $7,500. THE BUSINESS CONDUCT COMMITTEE PANEL OF THE CFE ISSUED ITS DECISION ACCEPTING LETTER OF CONSENT ON APRIL 22, 2015. JPMS LLC SUBMITTED PAYMENT ON MAY 12, 2015. Summary: THIS IS A FINAL ACTION RESOLVED BY LETTER OF CONSENT ON APRIL 22, 2015.
Allegations: ON DECEMBER 17, 2021, J.P. MORGAN SECURITIES LLC ("JPMS"), JPMORGAN CHASE BANK, N.A. AND J.P. MORGAN SECURITIES PLC (COLLECTIVELY, "RESPONDENTS") ENTERED INTO A SETTLEMENT WITH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") RESULTING IN AN ADMINISTRATIVE ORDER (THE "ORDER"). THE RESPONDENTS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND (1) THE RESPONDENTS FAILED TO MAINTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("ACT") AND REGULATIONS 1.31, 23.201, 23.202(A)(1) AND (B)(1); (2) JPMS FAILED TO MAINTAIN REQUIRED RECORDS IN VIOLATION OF SECTION 4G OF THE ACT AND REGULATION 1.35; (3) RESPONDENTS FAILED TO DILIGENTLY SUPERVISE MATTERS RELATED TO ITS BUSINESS AS A CFTC REGISTRANT IN VIOLATION OF SECTION 4S(H)(1)(B) OF THE ACT AND REGULATION 23.602; AND (4) JPMS FAILED TO DILIGENTLY SUPERVISE MATTERS RELATED TO ITS BUSINESS AS A CFTC REGISTRANT IN VIOLATION OF REGULATION 166.3. THE ORDER FOUND THAT FROM AT LEAST JULY 2015, RESPONDENTS' EMPLOYEES USED UNAPPROVED METHODS TO ENGAGE IN BUSINESS-RELATED COMMUNICATIONS, INCLUDING MESSAGES RELATED TO RESPONDENTS' BUSINESSES AS CFTC REGISTRANTS THAT WERE REQUIRED TO BE MAINTAINED. THE ORDER FOUND THAT NONE OF THESE WRITTEN COMMUNICATIONS WERE MAINTAINED AND PRESERVED BY RESPONDENTS AND THEY WERE NOT ABLE TO BE FURNISHED PROMPTLY TO A CFTC REPRESENTATIVE WHEN REQUESTED. THE ORDER ALSO FOUND THAT RESPONDENTS FAILED TO DILIGENTLY SUPERVISE MATTERS RELATED TO ITS BUSINESS AS A CFTC REGISTRANT. Status: Final Sanction Detail: THE ORDER DIRECTED RESPONDENTS TO CEASE-AND-DESIST FROM VIOLATING SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE ACT, AND REGULATIONS 1.31, 23.201, 23.202(A)(1) AND (B)(1) AND 23.602; JPMS TO CEASE AND DESIST FROM VIOLATING SECTION 4G OF THE ACT AND REGULATIONS 1.35 AND 166.3; RESPONDENTS TO PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000, PLUS POST-JUDGMENT INTEREST, WHICH WAS PAID ON DECEMBER 23, 2021; AND RESPONDENTS TO COMPLY WITH CERTAIN UNDERTAKINGS. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON JULY 5, 2022, J.P. MORGAN SECURITIES LLC, JPMORGAN CHASE BANK, N.A., AND J.P. MORGAN SECURITIES, PLC (COLLECTIVELY "JPM") CONSENTED TO THE ENTRY OF AN ORDER, IN WHICH CFTC FOUND THAT, FROM AT LEAST SEPTEMBER 22, 2015 THROUGH AT LEAST FEBRUARY 14, 2020, JPM VIOLATED SECTIONS 2(A)(13)(G) AND 4R(A)(3) OF THE COMMODITIES EXCHANGE ACT AND CFTC REGULATION 45.3 BECAUSE IT FAILED TO REPORT CERTAIN SHORT-DATED FOREIGN EXCHANGE SWAP TRANSACTIONS. Status: Final Sanction Detail: THE ORDER CENSURED J.P. MORGAN SECURITIES LLC, JPMORGAN CHASE BANK, N.A., AND J.P. MORGAN SECURITIES, PLC (COLLECTIVELY "JPM") AND DIRECTED JPM TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF 2(A)(13)(G) AND 4R(A)(3) OF THE COMMODITIES EXCHANGE ACT AND REGULATION 45.3. ADDITIONALLY, THE ORDER REQUIRED JPM TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $850,000 AND COMPLY WITH CERTAIN CONDITIONS AND UNDERTAKINGS. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON SEPTEMBER 29, 2023, J.P. MORGAN SECURITIES LLC, JPMORGAN CHASE BANK, N.A., AND J.P. MORGAN SECURITIES PLC (COLLECTIVELY, THE "RESPONDENTS") ENTERED INTO A SETTLEMENT WITH THE COMMODITY FUTURES TRADING COMMISSION RESULTING IN AN ADMINISTRATIVE ORDER ("ORDER"). THE RESPONDENTS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT THEY VIOLATED SECTIONS 2(A)(13) AND 4R(A)(3) OF THE COMMODITY EXCHANGE ACT ("CEA") AND CFTC REGULATIONS 43.3 AND 45.3. THE ORDER FOUND THAT FROM AT LEAST NOVEMBER 2017, RESPONDENTS FAILED TO REPORT, OR FAILED TO CORRECTLY REPORT, MORE THAN 40 MILLION SWAP TRANSACTIONS. Status: Final Sanction Detail: THE ORDER DIRECTED RESPONDENTS TO CEASE AND DESIST FROM VIOLATING SECTIONS 2(A)(13(G) AND 4R(A)(3) OF THE CEA AND CFTC REGULATIONS 43.3 AND 45.3, AND TO PAY A CIVIL PENALTY IN THE AMOUNT OF $15,000,000. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON JULY 29, 2014, J.P. MORGAN SECURITIES LLC ("JPMS" OR THE "FIRM"), WITHOUT ADMITTING OR DENYING CERTAIN U.S. COMMODITY FUTURES TRADING COMMISSION (THE "COMMISSION") FINDINGS, CONSENTED TO A FINE OF $650,000, WAS ORDERED TO CEASE AND DESIST FROM VIOLATING SECTION 4G(A) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. § 6G(A) (2012), AND COMMISSION REGULATION 17.00(A)(L), 17 C.F.R. § 17.00(A)(I) (2013), AND AGREED TO COMPLY WITH AN UNDERTAKING. THE COMMISSION ALLEGED THAT JPMS: 1) SUBMITTED LARGE TRADER REPORTS THAT INCORRECTLY REPORTED THE NUMBER OF DELIVERY NOTICES ISSUED AND STOPPED AND THE NUMBER OF EXCHANGE FOR RELATED POSITIONS BOUGHT AND SOLD FROM FEBRUARY 1, 2013 TO FEBRUARY 2014 ("RELEVANT PERIOD") AND 2) DID NOT FULLY AND TIMELY CORRECT THE REPORTING ERRORS DURING THE RELEVANT PERIOD. Status: Final Sanction Detail: THE ORDER REQUIRES THAT JPMS LLC CEASE AND DESIST FROM VIOLATING SECTION 4 G(A) OF THE ACT, 7 U.S.C., 6G(A) (2012), AND COMMISSION REGULATION 17.00(A)(1), 17 C.F.R; 17.00(A)(1) (2013). THE ORDER ALSO REQUIRES JPMS LLC TO PAY A CIVIL MONEY PENALTY OF $650,000, WHICH WAS PAID ON AUGUST 6, 2014, AND COMPLY WITH AN UNDERTAKING. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ORDER AND TO THE ENTRY OF FINDINGS THAT DURING THE PERIOD FEBRUARY 1, 2013 THROUGH FEBRUARY 2014 ("REVIEW PERIOD") IT VIOLATED SECTION 4G(A) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. § 6G(A), AND COMMISSION REGULATION 17.00(A)(1),17 C.F.R. § 17.00(A)(1) IN THAT IT SUBMITTED LARGE TRADER REPORTS THAT INCORRECTLY REPORTED THE NUMBER OF DELIVERY NOTICES ISSUED AND STOPPED AND THE NUMBER OF EXCHANGE FOR RELATED POSITIONS BOUGHT AND SOLD. IN ADDITION, THE FIRM CONSENTED TO FINDINGS THAT IT FAILED TO FULLY AND TIMELY CORRECT THE REPORTING ERRORS DURING THE REVIEW PERIOD.
Allegations: ON NOVEMBER 3, 2014, JPMORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ORDER. JPMS CONSENTED TO THE ENTRY OF THE ORDER THAT FINDS THAT JPMS WILLFULLY VIOLATED RULE G-15(F) PROMULGATED BY THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") AND SECTION 15B(C)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), CENSURED JPMS, AND IMPOSED A $54,000 PENALTY INVOLVING THE SALE OF NON-INVESTMENT GRADE BONDS ISSUED BY THE COMMONWEALTH OF PUERTO RICO ("PUERTO RICO") BY JPMS TO A CUSTOMER IN AN AMOUNT BELOW THE MINIMUM DENOMINATION OF THE ISSUE. THE ORDER FINDS THAT JPMS WILLFULLY VIOLATED MSRB RULE 6-15(F) BY EXECUTING ONE SALES TRANSACTION IN THE PUERTO RICO BONDS WITH A CUSTOMER IN AN AMOUNT BELOW THE $100,000 MINIMUM DENOMINATION OF THE ISSUE. AS A RESULT OF JPMS'S WILLFUL VIOLATION OF MSRB RULE G-15(F), JPMS WILLFULLY VIOLATED SECTION 15B(C)(1) OF THE EXCHANGE ACT. Status: Final Sanction Detail: THE ORDER REQUIRES JPMS TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF EXCHANGE ACT SECTION 15B(C)(1) AND MSRB RULE G-15(F); CENSURES JPMS; AND REQUIRES JPMS TO PAY A CIVIL MONETARY PENALTY OF $54,000, WHICH JPMS PAID ON 11/5/2014. Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, JPMS CONSENTED TO THE ORDER WITHOUT ADMITTING OR DENYING THE MATTERS IN IT (EXCEPT THE SEC'S JURISDICTION). THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12. IN ADDITION, JPMS AGREED IN THE ORDER TO UNDERTAKE, AS A NON-SANCTION, TO REVIEW THE ADEQUACY OF ITS EXISTING POLICIES AND PROCEDURES RELATING TO COMPLIANCE WITH MSRB RULE G-15(F), MAKE NECESSARY CHANGES TO ITS POLICIES AND PROCEDURES, AND TO INFORM THE COMMISSION STAFF NO LATER THAN SIX MONTHS AFTER THAT ENTRY OF THE ORDER THAT IT HAS COMPLIED WITH THE UNDERTAKINGS.
Allegations: JPMS CONSENTED TO THE ENTRY OF AN ORDER, IN WHICH SEC FOUND THAT, FROM AT LEAST JANUARY 1, 2017 THROUGH DECEMBER 31, 2019, JPMS WILLFULLY VIOLATED RULE 201 OF REGULATION S-ID BECAUSE ITS WRITTEN IDENTITY THEFT PREVENTION PROGRAMS ("PROGRAMS") FOR THE APPLICABLE LINES OF BUSINESS FAILED TO INCLUDE CERTAIN REASONABLE POLICIES AND PROCEDURES AND DID NOT PROVIDE FOR THE CONTINUED ADMINISTRATION OF ITS PROGRAMS BY FAILING TO (I) EXERCISE APPROPRIATE AND EFFECTIVE OVERSIGHT OF AL SERVICE PROVIDER ARRANGEMENTS; AND (II) TRAIN STAFF UNDER ONE LINE OF BUSINESS, AS NECESSARY, TO EFFECTIVELY IMPLEMENT THE PROGRAM IN 2017. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 201 OF REGULATION S-ID. ADDITIONALLY, THE ORDER REQUIRED JPMS TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $1,200,000, WHICH WILL BE PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON JUNE 22, 2023, J.P. MORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). JPMS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS WILLFULLY VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE "EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER. THE ORDER AROSE OUT OF THE DELETION OF APPROXIMATELY 47 MILLION ELECTRONIC COMMUNICATIONS, IN CONNECTION WITH A VENDOR ERROR, FROM THE TIME PERIOD JANUARY 1, 2018 THROUGH APRIL 23, 2018, CERTAIN OF WHICH WERE BUSINESS RECORDS REQUIRED TO BE RETAINED PURSUANT TO SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF EXCHANGE ACT SECTION 17(A) AND RULE 17A-4(B)(4) THEREUNDER. ADDITIONALLY, THE ORDER REQUIRED JPMS TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $4,000,000. JPMS HAS PAID THE CIVIL MONETARY PENALTY IN ACCORDANCE WITH THE TERMS OF THE ORDER. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON JANUARY 16, 2024, J.P. MORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). JPMS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS WILLFULLY VIOLATED RULE 21F-17(A) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (THE "EXCHANGE ACT"). THE ORDER AROSE OUT OF JPMS, FROM 2020 THROUGH JULY 2023, ASKING CERTAIN CLIENTS AND CUSTOMERS TO WHOM IT HAD ISSUED A CREDIT OR SETTLEMENT OVER $1000 IN VALUE TO SIGN A CONFIDENTIAL RELEASE AGREEMENT THAT REQUIRED THE CLIENTS TO KEEP CONFIDENTIAL THE RELEASE AGREEMENT AND ALL INFORMATION RELATING TO THE SPECIFIED ACCOUNT AT JPMS. THE CONFIDENTIAL RELEASE AGREEMENT NEITHER PROHIBITED NOR RESTRICTED CLIENTS FROM RESPONDING TO ANY INQUIRY ABOUT THE CONFIDENTIAL RELEASE AGREEMENT OR ITS UNDERLYING FACTS FROM FINRA, THE SEC, OR ANY OTHER GOVERNMENT ENTITY OR SELF-REGULATORY ORGANIZATION, OR AS REQUIRED BY LAW, BUT DID NOT PERMIT VOLUNTARY COMMUNICATIONS WITH SUCH REGULATORS. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 21F-17(A) UNDER THE EXCHANGE ACT. ADDITIONALLY, THE ORDER REQUIRED JPMS TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $18,000,000. JPMS HAS PAID THE CIVIL MONETARY PENALTY IN ACCORDANCE WITH THE TERMS OF THE ORDER. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12
Allegations: ON MAY 23, 2024, J.P. MORGAN SECURITIES LLC("JPMS") ENTERED INTO A SETTLEMENT WITH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") RESULTING IN AN ADMINISTRATIVE ORDER ("ORDER"). JPMS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT IT FAILED TO DILIGENTLY SUPERVISE ITS BUSINESS AS A CFTC REGISTRANT IN VIOLATION OF CFTC REGULATION 166.3 IN CONNECTION WITH MEANINGFUL GAPS IN ITS TRADE SURVEILLANCE ON MULTIPLE VENUES AND TRADING SYSTEMS DUE TO ITS SURVEILLANCE NOT OPERATING CORRECTLY. Status: Final Sanction Detail: JPMS ADMITTED TO CERTAIN FACTS IN THE ORDER, ACKNOWLEDGED THAT ITS CONDUCT SET FORTH IN CERTAIN SECTIONS OF THE ORDER VIOLATED CFTC REGULATIONS AND OTHERWISE NEITHER ADMITTED NOR DENIED THE FINDINGS OF FACT. THE ORDER DIRECTED JPMS TO CEASE AND DESIST FROM VIOLATING CFTC REGULATION 166.3, COMPLETE CERTAIN CONDITIONS AND UNDERTAKINGS, AND PAY A CIVIL PENALTY IN THE AMOUNT OF $200,000,000 (WHICH CONSTITUTES A PAYMENT OF $100,000,000 TO THE CFTC AND CREDITS PAYMENTS MADE TO THE OFFICE OF THE COMPTROLLER OF THE CURRENCY AND BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM IN RELATED ORDERS. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON OCTOBER 31, 2024, J.P. MORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). JPMS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS WILLFULLY VIOLATED SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT"). THE ORDER AROSE OUT OF JPMS, FROM JANUARY 2019 THROUGH JUNE 2022, USING INACCURATE DISCLOSURES WITH BROKERAGE CUSTOMERS INVESTING IN CERTAIN PRODUCTS THROUGH A PROGRAM WHICH POOLED CUSTOMER MONEY INTO A PRIVATE FUND ("PRIVATE FUND") AND THEN INVESTED IN PRIVATE EQUITY OR HEDGE FUNDS ("THIRD-PARTY FUND") THAT CUSTOMERS MIGHT NOT BE ABLE TO ACCESS DIRECTLY. THE ORDER FOUND THAT JPMS DID NOT DISCLOSE TO THE BROKERAGE CUSTOMERS INVESTED IN THE PRIVATE FUNDS THAT ONE OF ITS AFFILIATES WOULD BE EXERCISING COMPLETE INVESTMENT DISCRETION OVER THE TIMING OF SALES OF CERTAIN SHARES OF COMPANIES THAT HAD RECENTLY UNDERTAKEN AN INITIAL PUBLIC OFFERING OR ANOTHER LIQUIDITY EVENT AND HAD BEEN DISTRIBUTED BY THE THIRD-PARTY FUNDS BACK TO THE PRIVATE FUND IN WHICH THE BROKERAGE CUSTOMERS WERE INVESTED. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 17(A)(2) AND (3) OF THE SECURITIES ACT. ADDITIONALLY, THE ORDER REQUIRED JPMS TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $10,000,000. JPMS WILL ALSO MAKE VOLUNTARY PAYMENTS TO AFFECTED INVESTORS TOTALING $90,000,000 IN CONNECTION WITH THIS MATTER. THESE PAYMENTS WILL BE BORNE IN FULL BY JPMS. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON OCTOBER 31, 2024, J.P. MORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). JPMS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS WILLFULLY VIOLATED RULE 15L-1(A) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (THE "EXCHANGE ACT"). THE ORDER FINDS THAT, FROM AT LEAST JUNE 30, 2020 THROUGH JULY 14, 2022, JPMS, THROUGH ITS REGISTERED REPRESENTATIVES, RECOMMENDED CERTAIN MUTUAL FUND PRODUCTS TO ITS RETAIL BROKERAGE CUSTOMERS WHEN MATERIALLY LESS EXPENSIVE ETF PRODUCTS THAT OFFERED THE SAME INVESTMENT PORTFOLIO TO INVESTORS WERE ALSO AVAILABLE ON JPMS'S PLATFORM FOR RECOMMENDATION TO THESE CUSTOMERS. THE ORDER FURTHER FINDS THAT, THROUGH THIS CONDUCT, JPMS VIOLATED THE CARE OBLIGATION OF REGULATION BEST INTEREST ("REG BI") AND THAT JPMS ALSO VIOLATED REG BI'S COMPLIANCE OBLIGATION BY FAILING TO ENFORCE ITS WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH REG BI'S CARE OBLIGATION. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF 15L-1(A) UNDER THE EXCHANGE ACT. JPMS WAS NOT ORDERED TO PAY A CIVIL PENALTY IN CONNECTION WITH THE SETTLEMENT DUE TO ITS SELF-REPORT, COOPERATION WITH THE SEC INVESTIGATION AND REMEDIATION. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON OCTOBER 31, 2024, J.P. MORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). JPMS CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS WILLFULLY VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER. THE ORDER AROSE OUT OF JPMS, FROM AT LEAST JULY 2017 UNTIL OCTOBER 11, 2024, FAILING TO FULLY AND FAIRLY DISCLOSE THE FINANCIAL INCENTIVE OF ITSELF AND CERTAIN OF ITS FINANCIAL ADVISORS TO RECOMMEND A CERTAIN ADVISORY PROGRAM - THE PORTFOLIO MANAGER PROGRAM - OVER OTHER ADVISORY PROGRAMS OFFERED BY JPMS THAT USE THIRD-PARTY MANAGERS. THE ORDER ALSO FOUND THAT JPMS FAILED TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER IN CONNECTION WITH THE DISCLOSURE OF CONFLICTS OF INTEREST PRESENTED BY THE FEE STRUCTURE OF THE ADVISORY PROGRAMS FOR ITSELF AND ITS FINANCIAL ADVISORS. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER. ADDITIONALLY, THE ORDER REQUIRED JPMS TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $45,000,000. THE PAYMENT WILL BE BORNE IN FULL BY JPMS. Summary: THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON DECEMBER 18, 2015, J.P. MORGAN SECURITIES LLC ("JPMS") AND JPMORGAN CHASE BANK, N.A. ("JPMCB", TOGETHER "RESPONDENTS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ORDER ("ORDER"). THE RESPONDENTS CONSENTED TO THE ENTRY OF THE ORDER THAT FINDS THAT JPMS VIOLATED SECTIONS 206(2), 206(4), AND 207 OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 AND JPMCB VIOLATED SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT OF 1933. THE ORDER FINDS THAT JPMCB NEGLIGENTLY FAILED TO ADEQUATELY DISCLOSE (A) FROM FEBRUARY 2011 TO JANUARY 2014, A PREFERENCE FOR AFFILIATED MUTUAL FUNDS IN CERTAIN DISCRETIONARY INVESTMENT PORTFOLIOS (THE "DISCRETIONARY PORTFOLIOS") MANAGED BY JPMCB AND OFFERED THROUGH J.P. MORGAN'S U.S. PRIVATE BANK (THE "U.S. PRIVATE BANK") AND THE CHASE PRIVATE CLIENT LINES OF BUSINESS; (B) FROM 2008 TO 2014, A PREFERENCE FOR AFFILIATED HEDGE FUNDS IN CERTAIN OF THOSE PORTFOLIOS OFFERED THROUGH THE U.S. PRIVATE BANK; AND (C) FROM 2008 TO AUGUST 2015, A PREFERENCE FOR RETROCESSION-PAYING THIRD-PARTY HEDGE FUNDS IN CERTAIN OF THOSE PORTFOLIOS OFFERED THROUGH THE U.S. PRIVATE BANK. WITH RESPECT TO JPMS, THE ORDER FINDS THAT, FROM MAY 2008 TO 2013, JPMS NEGLIGENTLY FAILED TO ADEQUATELY DISCLOSE, INCLUDING IN DOCUMENTS FILED WITH THE SEC, CONFLICTS OF INTEREST ASSOCIATED WITH ITS USE OF AFFILIATED MUTUAL FUNDS IN THE CHASE STRATEGIC PORTFOLIO ("CSP") PROGRAM, SPECIFICALLY, A PREFERENCE FOR AFFILIATED MUTUAL FUNDS, THE RELATIONSHIP BETWEEN THE DISCOUNTED PRICING OF CERTAIN SERVICES PROVIDED BY AN AFFILIATE AND THE AMOUNT OF CSP ASSETS INVESTED IN AFFILIATED PRODUCTS, AND THAT CERTAIN AFFILIATED MUTUAL FUNDS OFFERED A LOWER-COST SHARE CLASS THAN THE SHARE CLASS PURCHASED FOR CSP. IN ADDITION, THE ORDER FINDS THAT JPMS FAILED TO IMPLEMENT WRITTEN POLICIES AND PROCEDURES ADEQUATE TO ENSURE DISCLOSURE OF THESE CONFLICTS OF INTEREST. SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, THE RESPONDENTS CONSENTED TO THE ORDER, ADMITTED TO THE CERTAIN FACTS SET FORTH IN THE ORDER AND ACKNOWLEDGED THAT CERTAIN CONDUCT SET FORTH IN THE ORDER VIOLATED THE 19 FEDERAL SECURITIES LAWS. THE ORDER CENSURES JPMS AND DIRECTS THE RESPONDENTS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF THE ABOVE-ENUMERATED STATUTORY PROVISIONS. ADDITIONALLY, THE ORDER REQUIRES THE RESPONDENTS TO PAY A TOTAL OF $ 266,815,000 IN DISGORGEMENT, INTEREST AND CIVIL PENALTY. CONCURRENTLY, ON DECEMBER 18, 2015, JPMCB REACHED A SETTLEMENT AGREEMENT WITH THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") TO RESOLVE ITS INVESTIGATION OF JPMCB'S DISCLOSURE OF CERTAIN CONFLICTS OF INTEREST TO DISCRETIONARY ACCOUNT CLIENTS OF J.P. MORGAN PRIVATE BANK'S U.S.-BASED WEALTH MANAGEMENT BUSINESS. IN CONNECTION WITH THE SETTLEMENT, THE CFTC ISSUED AN ORDER FINDING THAT JPMCB VIOLATED SECTION 4O(1)(B) OF THE COMMODITY EXCHANGE ACT ("CEA") AND REGULATION 4.41(A)(2) BY FAILING TO FULLY DISCLOSE TO CERTAIN CLIENTS ITS PREFERENCES FOR INVESTING CERTAIN DISCRETIONARY PORTFOLIO ASSETS IN CERTAIN COMMODITY POOLS OR EXEMPT POOLS, NAMELY (A) INVESTMENT FUNDS OPERATED BY JPMORGAN ASSET MANAGEMENT AND (B) THIRD-PARTY MANAGED HEDGE FUNDS THAT SHARED MANAGEMENT AND/OR PERFORMANCE FEES WITH AN AFFILIATE OF JPMCB. THE ORDER DIRECTS JPMCB TO CEASE-AND-DESIST FROM VIOLATING SECTION 4O(1)(B) OF THE CEA AND REGULATION 4.41(A)(2). ADDITIONALLY, JPMCB SHALL PAY $40 MILLION AS A CIVIL PENALTY TO THE CFTC AND DISGORGEMENT OF $60 MILLION SATISFIED BY DISGORGEMENT TO BE PAID TO THE SEC BY JPMCB AND AN AFFILIATE IN A RELATED AND CONCURRENT SETTLEMENT WITH THE SEC. Status: Final Sanction Detail: THE ORDER CENSURES JPMS AND DIRECTS THE RESPONDENTS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF THE ABOVE-ENUMERATED STATUTORY PROVISIONS. ADDITIONALLY, THE ORDER REQUIRES THE RESPONDENTS TO PAY A TOTAL OF $ 266,815,000 IN DISGORGEMENT, INTEREST AND CIVIL PENALTY, WHICH WAS PAID ON 12/18/2015. Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, THE RESPONDENTS CONSENTED TO THE ORDER, ADMITTED TO THE CERTAIN FACTS SET FORTH IN THE ORDER AND ACKNOWLEDGED THAT CERTAIN CONDUCT SET FORTH IN THE ORDER VIOLATED THE FEDERAL SECURITIES LAWS. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIES TRADING DESKS AT JPMORGAN CHASE BANK, N.A., J.P. MORGAN SECURITIES LLC ("JPMS"), AND JPMORGAN CHASE & CO. (COLLECTIVELY, "JPM") ENGAGED IN A MANIPULATIVE AND DECEPTIVE SCHEME BY ENGAGING IN THE PRACTICE OF "SPOOFING" (BIDDING OR OFFERING WITH THE INTENT TO CANCEL THE BID OR OFFER BEFORE EXECUTION) WHILE PLACING ORDERS FOR FUTURES CONTRACTS ON A REGISTERED ENTITY, RESULTING IN SIGNIFICANT BENEFIT TO THEMSELVES AND HARM TO OTHER MARKET PARTICIPANTS. BY VIRTUE OF THIS CONDUCT, JPM ENGAGED IN MANIPULATION AND ATTEMPTED MANIPULATION IN VIOLATION OF SECTION 9(A)(2) OF THE ACT, 7 U.S.C. § 13(A)(2) (2018); FOR CONDUCT OCCURRING ON OR AFTER JULY 16, 2011, ENGAGED IN SPOOFING IN VIOLATION OF SECTION 4C(A)(5)(C) OF THE ACT, 7 U.S.C. § 6C(A)(5)(C) (2018); AND FOR CONDUCT OCCURRING ON OR AFTER AUGUST 15, 2011, ENGAGED IN MANIPULATION AND ATTEMPTED MANIPULATION IN VIOLATION OF SECTION 6(C)(1) AND 6(C)(3) OF THE ACT, 7 U.S.C. § 9(1), (3) (2018), AND REGULATIONS 180.1(A)(1) AND (3) AND 180.2, 17 C.F.R. §§ 180.1(A)(1), (3), 180.2 (2019). FURTHER, IN CONJUNCTION WITH THE ABOVE-REFERENCED MISCONDUCT, JPMS FAILED TO DILIGENTLY SUPERVISE IN VIOLATION OF COMMISSION REGULATION 166.3, 17 C.F.R. § 166.3 (2019). Status: Final Sanction Detail: THE ORDER DIRECTS JPM TO CEASE AND DESIST FROM VIOLATING VIOLATING SECTIONS 4C(A)(5)(C), 6(C) (1), 6(C)(3), AND 9(A)(2) OF THE ACT, 7 U.S.C. §§ 6C(A)(5)(C), 9(1), (3), 13(A)(2) (2018), AND REGULATIONS 180.1(A)(1) AND (3) AND 180.2, 17 C.F.R. §§ 180.1(A)(1), (3), 180.2 (2019). ADDITIONALLY, THE ORDER REQUIRES JPMCB AND JPMC & CO. TO PAY RESTITUTION IN THE AMOUNT OF $205,992,102, JPMS AND JPMC & CO. TO PAY ADDITIONAL RESTITUTION IN THE AMOUNT OF $105,744,906. THE ORDER FURTHER REQUIRES JPM TO PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $436,431,811. THE ORDER ALSO REQUIRES JPMCB AND JPMC & CO. TO PAY DISGORGEMENT IN THE AMOUNT OF $120,332,430 AND JPMS AND JPMC & CO. TO PAY DISGORGEMENT IN THE AMOUNT OF $51,702,360. Summary: RESPONDENTS JPMS, JPMCB AND JPMC & CO. HAVE SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION HAS DETERMINED TO ACCEPT. ACCORDINGLY, IT IS HEREBY ORDERED THAT THE JPMS, JPMCB AND JPMC & CO SHALL CEASE AND DESIST FROM VIOLATING SECTIONS 4C(A)(5)(C), 6(C)(1), 6(C)(3), AND 9(A)(2) OF THE ACT AND REGULATIONS 180.1(A)(1) AND (3) AND 180.2, AND JPMS SHALL CEASE AND DESIST FROM VIOLATING REGULATION 166.3. JPMS SHALL PAY RESTITUTION OF ONE HUNDRED FIVE MILLION SEVEN HUNDRED FORTY-FOUR THOUSAND NINE HUNDRED SIX DOLLARS ($105,744,906), JOINTLY AND SEVERALLY WITH JPMC & CO; A CIVIL MONETARY PENALTY OF FOUR HUNDRED THIRTY-SIX MILLION FOUR HUNDRED THIRTY-ONE THOUSAND EIGHT HUNDRED ELEVEN DOLLARS ($436,431,811), JOINTLY AND SEVERALLY WITH JPMCB AND JPMC & CO; DISGORGEMENT IN THE AMOUNT OF FIFTY ONE MILLION SEVEN HUNDRED TWO THOUSAND THREE HUNDRED SIXTY DOLLARS ($51,702,360), JOINTLY AND SEVERALLY WITH JPMC & CO; ADDITIONALLY, JPMCB AND JPMC & CO SHALL PAY TWO HUNDRED FIVE MILLION NINE HUNDRED NINETY-TWTHOUSAND ONE HUNDRED TWO DOLLARS ($205,992,102) IN RESITUTION AND ONE HUNDRED TWENTY MILLION THREE HUNDRED THIRTY-TWO THOUSAND FOUR HUNDRED THIRTY DOLLARS ($120,332,430) IN DISGORGEMENT, JOINTLY AND SEVERALLY; JPMS, JPMCB & JPMC & CO SHALL COMPLY WITH THE UNDERTAKINGS SET FORTH IN THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ANNOUNCED THAT J.P. MORGAN SECURITIES LLC ("JPMS") AGREED TO A SETTLEMENT OF ALLEGATIONS PURSUANT TO THE COMMISSION'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION ("MCDC") INITIATIVE THAT, IN CONNECTION WITH JPMS'S UNDERWRITING OF CERTAIN MUNICIPAL SECURITIES OFFERINGS, IT WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS CONTAINED IN THE MCDC ORDER, WITH THE EXCEPTION OF THE COMMISSION'S JURISDICTION OVER IT AND THE SUBJECT MATTER OF THE PROCEEDINGS, JPMS AGREED TO CONSENT TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2) OF THE SECURITIES ACT, (B) PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000, AND (C) COMPLY WITH CERTAIN UNDERTAKINGS. THE PENALTY WAS PAID ON OR ABOUT JUNE 25, 2015. Summary: THE MCDC WAS A VOLUNTARY INITIATIVE IN WHICH THE SEC ENCOURAGED MUNICIPAL ISSUERS AND UNDERWRITERS TO SELF-REPORT VIOLATIONS INVOLVING MATERIALLY INACCURATE STATEMENTS RELATING TO PRIOR COMPLIANCE WITH THE CONTINUING DISCLOSURE OBLIGATIONS SPECIFIED IN RULE 15C2-12 UNDER THE SECURITIES EXCHANGE ACT OF 1934.
Allegations: ON JANUARY 6, 2016, J.P. MORGAN SECURITIES LLC ("JPMS") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ORDER ("ORDER"). WITHOUT ADMITTING OR DENYING THE FINDINGS, JPMS CONSENTED TO THE ENTRY OF THE ORDER THAT FINDS THAT JPMS VIOLATED 17(A)(2) OF THE SECURITIES ACT. ACCORDING TO THE ORDER THIS MATTER ARISES FROM FALSE AND MISLEADING STATEMENTS IN CERTAIN FIRM MARKETING MATERIALS REGARDING HOW IT COMPENSATED REGISTERED REPRESENTATIVES IN ITS U.S. PRIVATE BANK. THE ORDER STATES THAT, BETWEEN 2009 AND 2012, THE FIRM MADE FALSE AND MISLEADING STATEMENTS IN CERTAIN MARKETING MATERIALS DISTRIBUTED TO ITS PRIVATE BANKING CUSTOMERS AND PROSPECTS THAT IT "COMPENSATE[S] OUR ADVISORS BASED ON OUR CLIENTS' PERFORMANCE; NO ONE IS PAID ON COMMISSION" ("COMPENSATION MISSTATEMENT"). ALTHOUGH THE FIRM DID NOT PAY ITS PRIVATE BANK ADVISORS COMMISSIONS, THE ORDER STATES THAT CONTRARY TO ITS REPRESENTATIONS, ADVISOR COMPENSATION WAS NOT "BASED ON CLIENTS' PERFORMANCE" BUT WAS INSTEAD COMPRISED OF SALARY AND A DISCRETIONARY BONUS THAT TOOK INTO CONSIDERATION A NUMBER OF OTHER FACTORS. BETWEEN MARCH 2009 AND FEBRUARY 2011, THE COMPENSATION MISSTATEMENT WAS IDENTIFIED BY FIRM EMPLOYEES AS INACCURATE ON FOUR OCCASIONS BUT THE FIRM FAILED TO CORRECT THE MISSTATEMENT IN ALL THE PLACES IT APPEARS IN THE MARKETING MATERIALS. AS A RESULT OF THE CONDUCT DESCRIBED ABOVE, THE FIRM WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT. Status: Final Sanction Detail: THE ORDER CENSURES AND DIRECTS JPMS TO CEASE-AND-DESIST. THE ORDER REQUIRES JPMS TO PAY A TOTAL OF $4,000,000, WHICH WAS PAID ON 1/14/2016. Summary: SOLELY FOR THE PURPOSE OF SETTLING THESE PROCEEDINGS, JPMS LLC CONSENTED TO THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: ON JANUARY 9, 2020, J.P. MORGAN SECURITIES LLC ("JPMS" OR THE "RESPONDENT") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). THE RESPONDENT CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT JPMS VIOLATED SECTION 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT OF 1933. THE ORDER FOUND THAT JPMS NEGLIGENTLY OMITTED TO STATE FROM AT LEAST JANUARY 2010 THROUGH DECEMBER 2015 THAT (A) IT RECEIVED GREATER COMPENSATION FROM ELIGIBLE CUSTOMERS' PURCHASES OF MORE EXPENSIVE MUTUAL FUND SHARE CLASSES, RESULTING IN ELIGIBLE CUSTOMERS NOT HAVING SUFFICIENT INFORMATION TO UNDERSTAND THAT JPMS HAD A CONFLICT OF INTEREST FROM SALES OF THE MORE EXPENSIVE SHARE CLASSES; AND (B) THE PURCHASE OF THE MORE EXPENSIVE SHARE CLASSES, WHEN THE CUSTOMERS WERE OTHERWISE ELIGIBLE FOR LESS EXPENSIVE SHARE CLASSES, WOULD NEGATIVELY IMPACT THE OVERALL RETURN ON THE ELIGIBLE CUSTOMERS' INVESTMENTS, IN LIGHT OF THE DIFFERENT FEE STRUCTURES FOR THE DIFFERENT FUND SHARE CLASSES. THE ORDER ALSO FOUND THAT JPMS DID NOT HAVE ADEQUATE SYSTEMS AND CONTROLS IN PLACE TO DETERMINE WHETHER ELIGIBLE CUSTOMERS WERE ELIGIBLE TO PURCHASE THE LESS EXPENSIVE SHARE CLASSES. Status: Final Sanction Detail: THE ORDER CENSURED JPMS AND DIRECTED JPMS TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECURITIES ACT SECTIONS 17(A)(2) AND 17(A)(3). ADDITIONALLY, THE ORDER REQUIRED THE RESPONDENTS TO PAY A TOTAL OF $1,822,438 IN DISGORGEMENT, PRE-JUDGMENT INTEREST, AND CIVIL PENALTY, WHICH WAS PAID ON FEBRUARY 3, 2020. Summary: SOLELY FOR THE PURPOSE OF SETTLING THIS PROCEEDING, THE RESPONDENT CONSENTED TO THE ORDER, WITHOUT ADMITTING OR DENYING THE FINDINGS SET FORTH IN THE ORDER. THE ALLEGATIONS, DISPOSITIONS, FINDINGS AND SANCTIONS OF THE ORDER ARE DESCRIBED ABOVE IN ITEMS 7 AND 12.
Allegations: BETWEEN APRIL 2015 AND JANUARY 2016 (THE "RELEVANT PERIOD"), CERTAIN TRADERS ("TRADERS") ON THE U.S. TREASURIES TRADING DESK AT J.P. MORGAN SECURITIES LLC (THE "JPMS TREASURIES DESK") ENGAGED IN MANIPULATIVE TRADING OF U.S. TREASURY ("TREASURY") CASH SECURITIES IN THE SECONDARY MARKET. OVER THE COURSE OF THE RELEVANT PERIOD, THE JPMS TREASURIES DESK TRADERS ENGAGED IN HUNDREDS OF MANIPULATIVE TRADING "EVENTS" THAT GENERALLY INVOLVED PLACING BONA FIDE OR GENUINE ORDERS TO BUY OR SELL A PARTICULAR TREASURY SECURITY ON ONE SIDE OF THE MARKET, WHILE SIMULTANEOUSLY OR NEARLY SIMULTANEOUSLY PLACING MULTIPLE, LAYERED ORDERS ON THE OPPOSITE SIDE OF THE MARKET TO SELL OR BUY THAT PARTICULAR TREASURY SECURITY, WHICH THE TRADER DID NOT INTEND TO EXECUTE ("NON-BONA FIDE" OR "DECEPTIVE" ORDERS), IN ORDER TO CREATE A FALSE APPEARANCE OF BUY OR SELL INTEREST. THE JPMS TREASURIES DESK TRADERS ENTERED THESE NON-BONA FIDE ORDERS TO INDUCE OTHER MARKET PARTICIPANTS TO TRADE AGAINST JPMS'S BONA FIDE ORDERS ON THE OPPOSITE SIDE OF THE MARKET AT FAVORABLE PRICES OR PRICES THAT WERE ARTIFICIALLY RAISED OR ARTIFICIALLY DEPRESSED BY THE NON-BONA FIDE ORDERS. AFTER SECURING BENEFICIALLY PRICED EXECUTIONS FOR THEIR BONA FIDE ORDERS, THE JPMS TREASURIES DESK TRADERS TYPICALLY CANCELED THE NON-BONA FIDE ORDERS. DURING THE RELEVANT PERIOD, THIS MANIPULATIVE TRADING SCHEME OPERATED AS A FRAUD OR DECEIT ON NUMEROUS OTHER MARKET PARTICIPANTS AND RESULTED IN THE GENERATION OF ILLICIT PROFITS TO JPMS, IN VIOLATION OF FEDERAL SECURITIES LAWS, INCLUDING SECTION 17(A)(3) OF THE SECUTIES ACT. Status: Final Sanction Detail: JPMS IS CENSURED; ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(3) OF THE SECURITIES ACT; AND SHALL PAY DISGORGEMENT OF $10,000,000, AND A CIVIL PENALTY OF $25,000,000 TO THE COMMISSION, TO BE OFFSET IN AN AMOUNT EQUAL TO THE PENALTY IMPOSED PURSUANT TO A PARALLEL RESOLUTION WITH THE CFTC. Summary: JPMS HAS SUBMITTED AN OFFER OF SETTLEMENT THAT THE COMMISSION HAS DETERMINED TO ACCEPT. JPMS WILLFULLY VIOLATED SECTION 17(A)(3) OF THE SECURITIES ACT. ACCORDINGLY, IT IS HEREBY ORDERED THAT JPMS CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(3) OF THE SECURITIES ACT; IS CENSURED; AND SHALL PAY DISGORGEMENT OF $10,000,000, AND A CIVIL PENALTY OF $25,000,000 TO THE COMMISSION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Other fees
- • FEE COMPUTED BASED ON CENTS-PER-SHARE-DEPOSITED-INTO-THE-ACCOUNT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- J.P. Morgan $321B (75% 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: Jul 22, 2026.
View current Form ADV (SEC/IAPD) ↗