Stifel, Nicolaus & Company, Incorporated
- Regulatory AUM
- $198B
- Discretionary
- $127B
- Clients
- 236,191
- Avg AUM / client
- $836K
- Accounts
- 394,160
- Employees
- 6,478
AUM over time
Annual snapshots from Form ADV filings · as of Jul 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 156,989 | $41.0B | 20.8% |
| High net worth individuals | 73,687 | $137B | 69.6% |
| Banking or thrift institutions | 551 | $2.7B | 1.36% |
| Pooled investment vehicles (non-investment companies) | 22 | $367M | 0.19% |
| Pension and profit sharing plans | 1,481 | $2.6B | 1.3% |
| Charitable organizations | 1,426 | $5.3B | 2.71% |
| State or municipal government entities | 47 | $1.8B | 0.89% |
| Insurance companies | Fewer than 5 clients | $31.5M | 0.02% |
| Sovereign wealth funds and foreign official institutions | 13 | $135M | 0.07% |
| Corporations and other businesses | 1,967 | $6.2B | 3.14% |
| Other | 8 | $1.9M | 0.0% |
Private funds (23)
View all →Reported in Form ADV Section 7.B.(1), filing of Nov 2024 · $267M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Rc Iv Llc feeder | Other Private Fund | Missouri | $53.3M | 59 |
| Kcp Liberty City Ventures Lp feeder | Other Private Fund | Delaware | $28.3M | 75 |
| Kcp Bridge 33 Fund Lp feeder | Other Private Fund | Delaware | $21.8M | 47 |
| Leg Iv And Opportunities Fund, Llc | Other Private Fund | Missouri | $21.2M | 39 |
| Rc V, Llc feeder | Other Private Fund | Missouri | $14.7M | 20 |
| Kcp Finback Lp feeder | Other Private Fund | Delaware | $14.0M | 32 |
| Kcp Seaside Equity Fund Lp feeder | Other Private Fund | Delaware | $13.0M | 40 |
| Kcp North Branch Fund Lp feeder | Other Private Fund | Delaware | $12.3M | 33 |
| Kcp Valiant Peregrine Fund Lp feeder | Other Private Fund | Delaware | $11.1M | 19 |
| Leg Ii, Llc feeder | Other Private Fund | Missouri | $10.7M | 36 |
| Opportunistic Real Estate Fund, Llc feeder | Other Private Fund | Indiana | $10.5M | 39 |
| Kcp Accolade Fund Lp | Other Private Fund | Delaware | $9.3M | 27 |
| International Select Investments Llc | Other Private Fund | Indiana | $9.2M | 96 |
| Mp Concentrated Fund I feeder | Other Private Fund | Missouri | $7.8M | 23 |
| Kcp Access Fund Lp feeder | Other Private Fund | Delaware | $6.7M | 11 |
People (3,343)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Douglas Wayne Noll | Principal Operations Officer | Jun 1995 (31y) | Less than 5% | |
| James Mark Zemlyak | Executive Vice President & Director | Aug 2002 (24y) | Less than 5% | |
| Ronald James Kruszewski | President, Chief Executive Office & Chairman Of The Board | Aug 2002 (24y) | Less than 5% | |
| Geoffrey Clyde Bright | Chief Compliance Officer Private Client Group | Jun 2005 (21y) | Less than 5% | |
| Brooks, Patrick Rodgers | Rosfp Capital Markets | May 2009 (17y) | Less than 5% | |
| Fisher, Mark Philip | General Counsel, Secretary | Jun 2014 (12y) | Less than 5% | |
| Paul Joseph Ayd | Chief Compliance Officer Capital Markets | May 2015 (11y) | Less than 5% | |
| Hyde, Gina Elizabeth | Chief Compliance Officer Capital Markets | Aug 2016 (10y) | Less than 5% | |
| Schrick, Frederick Richard | Principal Financial Officer | Aug 2017 (9y) | Less than 5% | |
| Nesi, Victor John | Executive Vice President & Director | Jun 2018 (8y) | Less than 5% | |
| Adam Scott Melinger | Rosfp Pcg | Jul 2019 (7y) | Less than 5% | |
| Sliney, David Dean | Senior Vice President & Director | Jul 2020 (6y) | Less than 5% | |
| Charles Edward Dodson | Cco Advisory Services | Jan 2022 (5y) | Less than 5% | |
| Duane Keith Thomas | Registered representative | Oct 1995 (31y) | ||
| James Kenneth Schuman | Registered representative | Oct 1995 (31y) | ||
| Jeffrey Wayne Brummet | Registered representative | Oct 1995 (31y) | ||
| John Hoff Russell | Registered representative | Oct 1995 (31y) | ||
| John Melvin Surgant | Registered representative | Oct 1995 (31y) | ||
| Mark Edward Riordan | Registered representative | Oct 1995 (31y) | ||
| Mark Pendleton Goddard | Registered representative | Oct 1995 (31y) | ||
| Paul Scott Carothers | Registered representative | Oct 1995 (31y) | ||
| Paul Treuman Putzel | Registered representative | Oct 1995 (31y) | ||
| Robert James Stockdale | Registered representative | CFP | Oct 1995 (31y) | |
| Sean London Rosenthal | Registered representative | Oct 1995 (31y) | ||
| Stephen Solon Wasserman | Registered representative | Oct 1995 (31y) | ||
| Steven Lee Goldberg | Registered representative | Oct 1995 (31y) | ||
| William Andrew Fleming | Registered representative | Oct 1995 (31y) | ||
| Edward Joseph Flesch | Registered representative | Jan 1998 (29y) | ||
| James Richard Livasy | Registered representative | Jan 1998 (29y) | ||
| Todd Allen Rinderer | Registered representative | Jan 1998 (29y) | ||
| Peter James Nazos | Registered representative | Feb 1998 (28y) | ||
| Gerald William Wunderlich | Registered representative | Sep 1998 (28y) | ||
| Jeffrey Scott Luedke | Registered representative | Sep 1998 (28y) | ||
| Gregory Clay Barron | Registered representative | Feb 1999 (27y) | ||
| Brian Thomas Dunn | Registered representative | Feb 1999 (27y) | ||
| David Joseph Schulte | Registered representative | Feb 1999 (27y) | ||
| Ellen Joy Liss | Registered representative | Feb 1999 (27y) | ||
| James Byron Estes | Registered representative | Feb 1999 (27y) | ||
| Jason Tyler Becker | Registered representative | Feb 1999 (27y) | ||
| John David Rosenthal | Registered representative | Feb 1999 (27y) | ||
| Kathleen Marie Brockmeier | Registered representative | Feb 1999 (27y) | ||
| Keith Roger Thompson | Registered representative | Feb 1999 (27y) | ||
| Kerry Lee Auer | Registered representative | Feb 1999 (27y) | ||
| Larry Rust Toole | Registered representative | Feb 1999 (27y) | ||
| Mark Douglas Nuelle | Registered representative | Feb 1999 (27y) | ||
| Staci Lynn Atwood | Registered representative | Feb 1999 (27y) | ||
| Steven Michael Levin | Registered representative | Feb 1999 (27y) | ||
| Timothy James Clark | Registered representative | Feb 1999 (27y) | ||
| David Stuart Weiss | Registered representative | Jun 1999 (27y) | ||
| William Robert Mielke | Registered representative | Dec 1999 (27y) | ||
| Michael Charles Purdy | Registered representative | Jan 2000 (27y) | ||
| Aimee Elizabeth Jacobs | Registered representative | Jan 2000 (27y) | ||
| Anthony Connor Shanley | Registered representative | Jan 2000 (27y) | ||
| Michael Robert Petri | Registered representative | Jan 2000 (27y) | ||
| Sherri Lynn Kramer | Registered representative | Jan 2000 (27y) | ||
| David Carl Lickovitch | Registered representative | Mar 2000 (26y) | ||
| Kurt Frank Schlemitz | Registered representative | Mar 2000 (26y) | ||
| Terry Michael Roberts | Registered representative | Apr 2000 (26y) | ||
| Troy Jonathon Wallace | Registered representative | May 2000 (26y) | ||
| Andrea D Contini | Registered representative | Jul 2000 (26y) | ||
| Bradley Roy Miller | Registered representative | Jul 2000 (26y) | ||
| John Michael Taylor | Registered representative | Jul 2000 (26y) | ||
| George Eliot Friedman | Registered representative | Aug 2000 (26y) | ||
| Wayne Deloss Breyfogle | Registered representative | Nov 2000 (26y) | ||
| Phillip Arthur Hamilton | Registered representative | Feb 2001 (25y) | ||
| Thomas Lee Sickler | Registered representative | Mar 2001 (25y) | ||
| Brad Allen Bouse | Registered representative | Apr 2001 (25y) | ||
| Jerome Charles Gendron | Registered representative | Jun 2001 (25y) | ||
| Mary Sarah Contreras | Registered representative | Jun 2001 (25y) | ||
| James John Baudo | Registered representative | Aug 2001 (25y) | ||
| John Alex Doneff | Registered representative | Nov 2001 (25y) | ||
| Leadale Monty Mccutcheon | Registered representative | CFP | Jan 2002 (25y) | |
| Gary Kenneth Moss | Registered representative | Jul 2002 (24y) | ||
| Hector Baruch Gonzalez | Registered representative | Jul 2002 (24y) | ||
| James Douglas Burney | Registered representative | Jul 2002 (24y) | ||
| Daniel James Statz | Registered representative | Aug 2002 (24y) | ||
| Alan Leroy Olsen | Registered representative | Aug 2002 (24y) | ||
| Timothy John Bressers | Registered representative | CFP | Aug 2002 (24y) | |
| Donald Eugene Yohon | Registered representative | Jan 2003 (24y) | ||
| Michael Keith Mccallum | Registered representative | Mar 2003 (23y) | ||
| Vincent Ross Cameron | Registered representative | May 2003 (23y) | ||
| James Joseph Eberle | Registered representative | Sep 2003 (23y) | ||
| Elliott Katz | Registered representative | Sep 2003 (23y) | ||
| Robert David Kremer | Registered representative | Sep 2003 (23y) | ||
| Phillip Michael Carapella | Registered representative | Oct 2003 (23y) | ||
| Robert Carlton Boronow | Registered representative | Nov 2003 (23y) | ||
| Howard Prives Cohen | Registered representative | Dec 2003 (23y) | ||
| Robert William Beckmann | Registered representative | CFA | Jan 2004 (23y) | |
| Harvey Novack | Registered representative | Jan 2004 (23y) | ||
| Michael Shane Hatley | Registered representative | Jan 2004 (23y) | ||
| Sherry Carpenter Leavell | Registered representative | Feb 2004 (22y) | ||
| Jason Filip Murphy | Registered representative | Mar 2004 (22y) | ||
| Lynn Anne Friend | Registered representative | Apr 2004 (22y) | ||
| Kevin Marc Zeldin | Registered representative | May 2004 (22y) | ||
| Kathleen Elisabeth Frank | Registered representative | Jun 2004 (22y) | ||
| John Christopher Allen | Registered representative | Sep 2004 (22y) | ||
| Paul Scott Rogers | Registered representative | Oct 2004 (22y) | ||
| David Francis Priest | Registered representative | Oct 2004 (22y) | ||
| John Paul Klaus | Registered representative | Mar 2005 (21y) | ||
| Nicholas Peter Dickinson | Registered representative | CFP | May 2005 (21y) | |
| Edward Joseph Valdettaro | Registered representative | Jun 2005 (21y) | ||
| John Patrick Abels | Registered representative | Jun 2005 (21y) | ||
| Patrick Crawley | Registered representative | Aug 2005 (21y) | ||
| Laura Marie Bertagnolli | Registered representative | Sep 2005 (21y) | ||
| Nathan Louis Karras | Registered representative | Sep 2005 (21y) | ||
| David John Cornet | Registered representative | Oct 2005 (21y) | ||
| Scott Howard Litwin | Registered representative | Nov 2005 (21y) | ||
| Mark Charles Hamm | Registered representative | Nov 2005 (21y) | ||
| Lynn Heatwole | Registered representative | Dec 2005 (21y) | ||
| Brett Michael Stedge | Registered representative | Dec 2005 (21y) | ||
| James Clair Culver | Registered representative | Dec 2005 (21y) | ||
| Katharine Hutchinson Boyer | Registered representative | Jan 2006 (21y) | ||
| Philip Bernard Meisel | Registered representative | CFA | Jan 2006 (21y) | |
| Robert Lee Woosley | Registered representative | Jan 2006 (21y) | ||
| Jeffrey Gordon Lenz | Registered representative | Jan 2006 (21y) | ||
| Charles Larry Bridgers | Registered representative | Jan 2006 (21y) | ||
| David Scott Whitty | Registered representative | Jan 2006 (21y) | ||
| Thomas Michael Mulherin | Registered representative | Feb 2006 (20y) | ||
| Timothy Alan Guthrie | Registered representative | CFP | Feb 2006 (20y) | |
| Jack Dillard Williams | Registered representative | CFP | Apr 2006 (20y) | |
| Robert William Doerr | Registered representative | Apr 2006 (20y) | ||
| James Kimbrough Sheek | Registered representative | Apr 2006 (20y) | ||
| John Atkinson Shinkle | Registered representative | Apr 2006 (20y) | ||
| Dan Eugene Anderson | Registered representative | Personal Financial Specialist | Apr 2006 (20y) | |
| Steven Alan Boff | Registered representative | CFA | Apr 2006 (20y) | |
| Brett Brian Faulk | Registered representative | Jun 2006 (20y) | ||
| James Thomas Braun | Registered representative | Jun 2006 (20y) | ||
| Wade Lindsey Turner | Registered representative | Jul 2006 (20y) | ||
| Hal William Johnson | Registered representative | CFP | Aug 2006 (20y) | |
| David B Macphail | Registered representative | Aug 2006 (20y) | ||
| Travis Terrance Thompson | Registered representative | Aug 2006 (20y) | ||
| Anthony James Seaborn | Registered representative | Aug 2006 (20y) | ||
| Anthony Viglucci | Registered representative | Sep 2006 (20y) | ||
| Daniel William Carnevale | Registered representative | Sep 2006 (20y) | ||
| Robert Allen Andresen | Registered representative | Oct 2006 (20y) | ||
| Bruce James Loder | Registered representative | Dec 2006 (20y) | ||
| Arthur Joseph Kennedy | Registered representative | CFA | Dec 2006 (20y) | |
| Brad Lee Braunberger | Registered representative | Jan 2007 (20y) | ||
| Beth Lynn Young | Registered representative | Jan 2007 (20y) | ||
| Becky Marie Loggins | Registered representative | Jan 2007 (20y) | ||
| Richard William Comstock | Registered representative | Jan 2007 (20y) | ||
| Michael Salinaro | Registered representative | Jan 2007 (20y) | ||
| Harold Alois Bindreiter | Registered representative | Jan 2007 (20y) | ||
| David Lennart Anderson | Registered representative | Feb 2007 (19y) | ||
| Rick Gene Hawkes | Registered representative | Feb 2007 (19y) | ||
| Jason Lawrence Newell | Registered representative | Mar 2007 (19y) | ||
| Terry Max Beeman | Registered representative | Mar 2007 (19y) | ||
| Barry Lewis Cohn | Registered representative | Apr 2007 (19y) | ||
| Christopher Rawlings Larkey | Registered representative | Apr 2007 (19y) | ||
| John William Abe | Registered representative | Apr 2007 (19y) | ||
| Michael Joseph Staufenberger | Registered representative | Apr 2007 (19y) | ||
| Richard Todd Zuckerman | Registered representative | Apr 2007 (19y) | ||
| Ryan Jason Hilliard | Registered representative | CFP | Apr 2007 (19y) | |
| John Brian Frailey | Registered representative | Apr 2007 (19y) | ||
| Patrick Michael Hoch | Registered representative | Apr 2007 (19y) | ||
| Paul Andrew Higgins | Registered representative | Apr 2007 (19y) | ||
| Brent Lane Baumberger | Registered representative | Jun 2007 (19y) | ||
| Damian Lawrance Campagnano | Registered representative | Jun 2007 (19y) | ||
| George Athas | Registered representative | Jun 2007 (19y) | ||
| Gerald Bruce Nearier | Registered representative | Jun 2007 (19y) | ||
| Heather Lynn Joynes | Registered representative | Jun 2007 (19y) | ||
| John David Doris | Registered representative | Jun 2007 (19y) | ||
| John Fraser Lomax | Registered representative | Jun 2007 (19y) | ||
| Joseph Edward Ries | Registered representative | Chartered Financial Consultant | Jun 2007 (19y) | |
| Karin Andrea Mottus | Registered representative | CFA | Jun 2007 (19y) | |
| Michael Alan Leclair | Registered representative | Jun 2007 (19y) | ||
| Robert Bennett Naeny | Registered representative | Jun 2007 (19y) | ||
| Walter Story Twetten | Registered representative | Jun 2007 (19y) | ||
| Adam Keith Cadwallader | Registered representative | Jul 2007 (19y) | ||
| Blaine William Fritsch | Registered representative | Jul 2007 (19y) | ||
| Brett Needham Holland | Registered representative | CFP | Jul 2007 (19y) | |
| Christie Louise Smith | Registered representative | CFP | Jul 2007 (19y) | |
| Donna Ann Leffler | Registered representative | Jul 2007 (19y) | ||
| Jennifer Lee Ormond | Registered representative | Jul 2007 (19y) | ||
| Michael David Battistelli | Registered representative | Jul 2007 (19y) | ||
| Brenda Smith Falkenstein | Registered representative | Jul 2007 (19y) | ||
| Susan L Goucher | Registered representative | Jul 2007 (19y) | ||
| Bert Anthony Costales | Registered representative | Jul 2007 (19y) | ||
| Carol Ann Albano | Registered representative | Jul 2007 (19y) | ||
| Christopher Joseph Cerniglia | Registered representative | Jul 2007 (19y) | ||
| David Ernest Farina | Registered representative | Jul 2007 (19y) | ||
| Gopalsamy Paul Manoharan | Registered representative | Jul 2007 (19y) | ||
| John Raymond Lisowski | Registered representative | Jul 2007 (19y) | ||
| Jonathan David Farina | Registered representative | Jul 2007 (19y) | ||
| Michael Anthony Coates | Registered representative | Jul 2007 (19y) | ||
| Michael K Mazor | Registered representative | Jul 2007 (19y) | ||
| Richard Marty Waggener | Registered representative | Jul 2007 (19y) | ||
| Robert David Traitz | Registered representative | CFP | Jul 2007 (19y) | |
| Ronald Cameron Short | Registered representative | Jul 2007 (19y) | ||
| Ronald Scott Wilkins | Registered representative | Jul 2007 (19y) | ||
| Steven Wayne Warner | Registered representative | Jul 2007 (19y) | ||
| Valerie Ann Lyle | Registered representative | Jul 2007 (19y) | ||
| Vincent Kenneth Kasievich | Registered representative | CFP | Jul 2007 (19y) | |
| Kimaron Jaye Gardner | Registered representative | Aug 2007 (19y) | ||
| James Byron Tennill | Registered representative | Aug 2007 (19y) | ||
| Scott Edward Alberding | Registered representative | CFP Chartered Financial Consultant | Aug 2007 (19y) | |
| David Aaron Lanson | Registered representative | Aug 2007 (19y) | ||
| Andrew Jay Lieb | Registered representative | Aug 2007 (19y) | ||
| Andrew Michael Nacht | Registered representative | Aug 2007 (19y) | ||
| Cari Robyn Pakula | Registered representative | Aug 2007 (19y) | ||
| Chester Josef Geveda | Registered representative | Aug 2007 (19y) | ||
| Craig Stephen Eckenthal | Registered representative | Aug 2007 (19y) | ||
| David Louis Okun | Registered representative | Aug 2007 (19y) | ||
| Dennis Gregory Collins | Registered representative | Aug 2007 (19y) | ||
| Eric Theodore Gauss | Registered representative | Aug 2007 (19y) | ||
| Glenn Lawrence Weiss | Registered representative | Aug 2007 (19y) | ||
| Graham Fitzpatrick Starr | Registered representative | Aug 2007 (19y) | ||
| James Edward Dzikowski | Registered representative | Aug 2007 (19y) | ||
| Kenneth Alan Spielman | Registered representative | Aug 2007 (19y) | ||
| Marc Efram Sukoneck | Registered representative | Aug 2007 (19y) | ||
| Mark Steven Stierman | Registered representative | Aug 2007 (19y) | ||
| Michael John Petrucelli | Registered representative | Aug 2007 (19y) | ||
| Robert Howard Lewit | Registered representative | CFP | Aug 2007 (19y) | |
| Scott Edward Mack | Registered representative | Aug 2007 (19y) | ||
| William John Yaegel | Registered representative | Aug 2007 (19y) | ||
| Steven Danieli | Registered representative | Aug 2007 (19y) | ||
| Thomas John Kelley | Registered representative | CFP | Aug 2007 (19y) | |
| Greg Allen Feldberg | Registered representative | Sep 2007 (19y) | ||
| Robert Merle Zahn | Registered representative | Sep 2007 (19y) | ||
| Paul Michael Maccrory | Registered representative | Sep 2007 (19y) | ||
| David Ray Oakley | Registered representative | Sep 2007 (19y) | ||
| Jasper Whitfield Lee | Registered representative | Sep 2007 (19y) | ||
| Richard Joseph Reardon | Registered representative | CFP | Sep 2007 (19y) | |
| Dennis Lee Hottel | Registered representative | Sep 2007 (19y) | ||
| Samuel David Slayden | Registered representative | Sep 2007 (19y) | ||
| Patrick Leo Hassna | Registered representative | Sep 2007 (19y) | ||
| Richard Albert Samolovitch | Registered representative | Sep 2007 (19y) | ||
| David Philip Luna | Registered representative | Sep 2007 (19y) | ||
| Henry Anthony Otten | Registered representative | Sep 2007 (19y) | ||
| Henry Delgado | Registered representative | Sep 2007 (19y) | ||
| Jason Earle Baer | Registered representative | Sep 2007 (19y) | ||
| Kelly Ann Stromgren | Registered representative | Oct 2007 (19y) | ||
| Jerry Schapira | Registered representative | Oct 2007 (19y) | ||
| Douglas Edward Getzke | Registered representative | Oct 2007 (19y) | ||
| James Collins Citro | Registered representative | Oct 2007 (19y) | ||
| Jon Andrew Bostrom | Registered representative | Oct 2007 (19y) | ||
| Manuel David Lozano | Registered representative | Oct 2007 (19y) | ||
| Christina Mcgettigan | Registered representative | Oct 2007 (19y) | ||
| Michael Sean Okeefe | Registered representative | Nov 2007 (19y) | ||
| Jon Michael Smith | Registered representative | Chartered Financial Consultant | Nov 2007 (19y) | |
| Patrick Daniel Hayes | Registered representative | Nov 2007 (19y) | ||
| Robert Craig Shirley | Registered representative | Nov 2007 (19y) | ||
| Jody Gordon Scheiman | Registered representative | Nov 2007 (19y) | ||
| Richard William Penn | Registered representative | Nov 2007 (19y) | ||
| Kevin John Gallagher | Registered representative | CFP | Nov 2007 (19y) | |
| David Albert Maxton | Registered representative | Nov 2007 (19y) | ||
| Peter Albert Seppi | Registered representative | Dec 2007 (19y) | ||
| Richard Edward Miller | Registered representative | Dec 2007 (19y) | ||
| Vincent James Benvenuto | Registered representative | Dec 2007 (19y) | ||
| Kenneth Todd Mackenzie | Registered representative | Dec 2007 (19y) | ||
| Anthony Allen Russo | Registered representative | CFP | Jan 2008 (19y) | |
| Linda M Scipione | Registered representative | Jan 2008 (19y) | ||
| Lynn Anne Sunseri | Registered representative | Jan 2008 (19y) | ||
| Milton Gay Tynch | Registered representative | Feb 2008 (18y) | ||
| Stephanie Renee Gerstner | Registered representative | Mar 2008 (18y) | ||
| Danny Lee Stockton | Registered representative | Mar 2008 (18y) | ||
| Robert Nelson Adrian | Registered representative | Mar 2008 (18y) | ||
| Kerry James Lapp | Registered representative | Mar 2008 (18y) | ||
| Randall Lee Otto | Registered representative | Mar 2008 (18y) | ||
| Alan Scott Plotkin | Registered representative | Apr 2008 (18y) | ||
| Daniel Adam Griminger | Registered representative | CFP | May 2008 (18y) | |
| Vito Anthony Bianco | Registered representative | Jun 2008 (18y) | ||
| Delwin Robert Frew | Registered representative | Jun 2008 (18y) | ||
| Kathy L Ray | Registered representative | Jun 2008 (18y) | ||
| Vickie Lynn Miller | Registered representative | CFP | Jun 2008 (18y) | |
| Leann Denise St. Germain | Registered representative | Jun 2008 (18y) | ||
| William Leo Hadden | Registered representative | Jun 2008 (18y) | ||
| Jeanne Marie Kisner | Registered representative | Jul 2008 (18y) | ||
| Stephen George Mitchell | Registered representative | Jul 2008 (18y) | ||
| James Frank Collini | Registered representative | Aug 2008 (18y) | ||
| Carmine Manna | Registered representative | Aug 2008 (18y) | ||
| Jerald Joseph Ciekot | Registered representative | CFP | Aug 2008 (18y) | |
| Deborah Lynn Sobrero | Registered representative | Aug 2008 (18y) | ||
| John Whitney Nelson | Registered representative | Aug 2008 (18y) | ||
| Michael David Sanford | Registered representative | Aug 2008 (18y) | ||
| Michael Joseph Dorsey | Registered representative | Aug 2008 (18y) | ||
| Jeffery Kendall Mason | Registered representative | Aug 2008 (18y) | ||
| Sherri Ann Parr | Registered representative | Aug 2008 (18y) | ||
| Frank A Dyer | Registered representative | Aug 2008 (18y) | ||
| William Charles Twisselman | Registered representative | Aug 2008 (18y) | ||
| Christopher Dennis Jaques | Registered representative | Aug 2008 (18y) | ||
| Lawrence Edward Feldmesser | Registered representative | Sep 2008 (18y) | ||
| Dana Victoria Jones | Registered representative | Sep 2008 (18y) | ||
| Anthony L Campanale | Registered representative | Sep 2008 (18y) | ||
| Jeffrey Stephen Miller | Registered representative | Oct 2008 (18y) | ||
| Michael Halbert Lansden | Registered representative | Oct 2008 (18y) | ||
| Barry Devan Gangwer | Registered representative | Oct 2008 (18y) | ||
| John David Reilly | Registered representative | Oct 2008 (18y) | ||
| Heidi Jo Koeppel | Registered representative | Nov 2008 (18y) | ||
| Bruce Loren Baker | Registered representative | Nov 2008 (18y) | ||
| Jill Marie Connelly | Registered representative | Nov 2008 (18y) | ||
| Marvin Earl Slaughter | Registered representative | CFP | Nov 2008 (18y) | |
| Robert William Kuech | Registered representative | Nov 2008 (18y) | ||
| Stephen Nall Jones | Registered representative | CFP | Nov 2008 (18y) | |
| Philip Dewitt Estabrook | Registered representative | Nov 2008 (18y) | ||
| Jana Marie Swenson | Registered representative | Nov 2008 (18y) | ||
| Kimberly Sue Bakos | Registered representative | Nov 2008 (18y) | ||
| Bradford Kelly Marshall | Registered representative | CFP | Nov 2008 (18y) | |
| May Yee Jin | Registered representative | Dec 2008 (18y) | ||
| Robert William Burns | Registered representative | CFP | Dec 2008 (18y) | |
| Jeffrey Kenneth Johannes | Registered representative | Dec 2008 (18y) | ||
| Monica Lynn Peterson | Registered representative | Dec 2008 (18y) | ||
| Lloyd Mcmillan Pompey | Registered representative | Dec 2008 (18y) | ||
| John Lawrence Haase | Registered representative | Dec 2008 (18y) | ||
| Jessica Allen Fischer | Registered representative | CFP | Dec 2008 (18y) | |
| Abbey L Inlow | Registered representative | Dec 2008 (18y) | ||
| Kenneth Robert Klauber | Registered representative | Jan 2009 (18y) | ||
| Janelle Andrea Galbierz | Registered representative | Jan 2009 (18y) | ||
| Paul Clifford Ruble | Registered representative | Jan 2009 (18y) | ||
| Perry James Wright | Registered representative | CFP | Jan 2009 (18y) | |
| Robert Joseph Buttarazzi | Registered representative | Jan 2009 (18y) | ||
| Christa Marie Kloss | Registered representative | Jan 2009 (18y) | ||
| Brian Joseph Odelli | Registered representative | Jan 2009 (18y) | ||
| Keith Joseph Ryan | Registered representative | Jan 2009 (18y) | ||
| Andrew Ernest Jones | Registered representative | Feb 2009 (17y) | ||
| James Phillip Campbell | Registered representative | Feb 2009 (17y) | ||
| Jeffrey Scott Mccoy | Registered representative | Feb 2009 (17y) | ||
| Floyd Joseph Carl | Registered representative | Feb 2009 (17y) | ||
| Patrick Francis Sinclair | Registered representative | Feb 2009 (17y) | ||
| Joseph Ray Ogden | Registered representative | Feb 2009 (17y) | ||
| Mark Edward Ridley | Registered representative | Feb 2009 (17y) | ||
| Robert E Franz | Registered representative | Feb 2009 (17y) | ||
| Todd Howard Crutchley | Registered representative | CFP | Feb 2009 (17y) | |
| Jacqueline Annette Webster | Registered representative | Mar 2009 (17y) | ||
| Teri Roxanne Wilson | Registered representative | Mar 2009 (17y) | ||
| Brenda Daneen Fogle | Registered representative | Mar 2009 (17y) | ||
| Charles Marion Baker | Registered representative | CFA | Mar 2009 (17y) | |
| David Campbell Bennett | Registered representative | Mar 2009 (17y) | ||
| David Michael Irish | Registered representative | Mar 2009 (17y) | ||
| Douglas John Thorpe | Registered representative | Mar 2009 (17y) | ||
| Eric John Johnson | Registered representative | Mar 2009 (17y) | ||
| James Howard Williams | Registered representative | Mar 2009 (17y) | ||
| Joseph Anthony Musolino | Registered representative | Mar 2009 (17y) | ||
| Keith Edwin Downard | Registered representative | Mar 2009 (17y) | ||
| Kim Fielding Smith | Registered representative | Mar 2009 (17y) | ||
| Matthew Stephen Morgan | Registered representative | CFP | Mar 2009 (17y) | |
| Robert Brian Gardner | Registered representative | Mar 2009 (17y) | ||
| Scott Richard Gindlesberger | Registered representative | Mar 2009 (17y) | ||
| William Russell Liber | Registered representative | Mar 2009 (17y) | ||
| Robert Thomas Friedmann | Registered representative | Mar 2009 (17y) | ||
| Theodore Michael Sanders | Registered representative | Mar 2009 (17y) | ||
| George David Mooter | Registered representative | Mar 2009 (17y) | ||
| Sam James Vogel | Registered representative | CFP | Mar 2009 (17y) | |
| Howard Lee Douglas | Registered representative | CFP | Mar 2009 (17y) | |
| Victoria Lee Kugler | Registered representative | Mar 2009 (17y) | ||
| Eric Joseph Robert | Registered representative | CFP | Mar 2009 (17y) | |
| David Philip De Dufour | Registered representative | Mar 2009 (17y) | ||
| John Douglas Orcutt | Registered representative | Mar 2009 (17y) | ||
| Stephen William Drachnik | Registered representative | Mar 2009 (17y) | ||
| Daniel Aloysius Burns | Registered representative | Apr 2009 (17y) | ||
| Donald Ray Farabough | Registered representative | Apr 2009 (17y) | ||
| Eric A Reinholz | Registered representative | Apr 2009 (17y) | ||
| Gary Alan King | Registered representative | Apr 2009 (17y) | ||
| Larry Allen Goad | Registered representative | Apr 2009 (17y) | ||
| Michael Joseph Thomas | Registered representative | Apr 2009 (17y) | ||
| Amon Merrell Clark | Registered representative | CFP | Apr 2009 (17y) | |
| Gary Paul Endres | Registered representative | Apr 2009 (17y) | ||
| Jerry Russell Browning | Registered representative | Apr 2009 (17y) | ||
| Monte P (Freeman) Custer | Registered representative | Apr 2009 (17y) | ||
| Lawrence John Connelly | Registered representative | Apr 2009 (17y) | ||
| James Kyle Rockford | Registered representative | CFP | Apr 2009 (17y) | |
| Thomas Allen Singletary | Registered representative | CFP | Apr 2009 (17y) | |
| Thomas Anthony Giordano | Registered representative | CFP | Apr 2009 (17y) | |
| Don William Hoeft | Registered representative | Apr 2009 (17y) | ||
| Evan Rohrbough | Registered representative | Apr 2009 (17y) | ||
| Cynthia Marie Wren Burke | Registered representative | Apr 2009 (17y) | ||
| Gail Veronica Helmick | Registered representative | Apr 2009 (17y) | ||
| James Earl Dickman | Registered representative | CFP | Apr 2009 (17y) | |
| Richard Russell Palmer | Registered representative | Apr 2009 (17y) | ||
| William Robert Eastman | Registered representative | CFP | Apr 2009 (17y) | |
| Mary Schroeder Giersz | Registered representative | May 2009 (17y) | ||
| Richard Alphonse Ray | Registered representative | May 2009 (17y) | ||
| Magay Lyn Shepard | Registered representative | CFP | May 2009 (17y) | |
| Bradford Charles Greenawald | Registered representative | May 2009 (17y) | ||
| John Wesley Thomas | Registered representative | May 2009 (17y) | ||
| Todd Steven Harvey | Registered representative | CFP | May 2009 (17y) | |
| Todd Brian Richardson | Registered representative | CFP | May 2009 (17y) | |
| Dana Jacar Mumford | Registered representative | CFP | May 2009 (17y) | |
| Michael Raymond Becker | Registered representative | May 2009 (17y) | ||
| Kevin James Radcliffe | Registered representative | CFP | May 2009 (17y) | |
| Scott A Heimdahl | Registered representative | May 2009 (17y) | ||
| Scott William Coffee | Registered representative | CFP | May 2009 (17y) | |
| Theodore Andrew Sinal | Registered representative | May 2009 (17y) | ||
| Timothy Arnold Sinal | Registered representative | May 2009 (17y) | ||
| Patrick Timothy King | Registered representative | May 2009 (17y) | ||
| Terrance James Blessing | Registered representative | May 2009 (17y) | ||
| Elizabeth Joan Cure | Registered representative | May 2009 (17y) | ||
| Joseph Wilson Rotta | Registered representative | CFP | May 2009 (17y) | |
| Koy Miles Hoover | Registered representative | CFP | May 2009 (17y) | |
| Shawn Michael Hertz | Registered representative | May 2009 (17y) | ||
| Charles Jonathan Tonkin | Registered representative | May 2009 (17y) | ||
| David Kent Palagi | Registered representative | May 2009 (17y) | ||
| Clay Harrison Evans | Registered representative | May 2009 (17y) | ||
| Elizabeth Ann Ness | Registered representative | May 2009 (17y) | ||
| Eric Michael May | Registered representative | CFP | May 2009 (17y) | |
| Holly Michelle Baroway | Registered representative | CFP | May 2009 (17y) | |
| Thomas Nicholas Hemleben | Registered representative | Jun 2009 (17y) | ||
| Angelo Capetola | Registered representative | Jun 2009 (17y) | ||
| Nickolette Lee Beery | Registered representative | Jun 2009 (17y) | ||
| Howard Earl Struble | Registered representative | Jun 2009 (17y) | ||
| Mary Lynne Vereb | Registered representative | Jun 2009 (17y) | ||
| Michael Kevin Rhodes | Registered representative | Jun 2009 (17y) | ||
| James Scott Salmon | Registered representative | Jun 2009 (17y) | ||
| Christopher Gregg Matheson | Registered representative | Jun 2009 (17y) | ||
| Cameron Cole Williams | Registered representative | CFP | Jun 2009 (17y) | |
| Bruce Allen Edelsohn | Registered representative | Jun 2009 (17y) | ||
| James R Sevilla | Registered representative | Jun 2009 (17y) | ||
| Robert Michael Wolff | Registered representative | Jun 2009 (17y) | ||
| James Melin Wilday | Registered representative | Jun 2009 (17y) | ||
| Mark Bryan Lewis | Registered representative | Jun 2009 (17y) | ||
| Thomas John Cavalier | Registered representative | Jun 2009 (17y) | ||
| Patricia Gates Fabrizio | Registered representative | Jun 2009 (17y) | ||
| Robert Louis Capone | Registered representative | Jun 2009 (17y) | ||
| Steven John Bartos | Registered representative | Jun 2009 (17y) | ||
| Frederick Louis Ridgway | Registered representative | Jun 2009 (17y) | ||
| Michael Lewis Clabaugh | Registered representative | Jun 2009 (17y) | ||
| Robert Stephen Bacskai | Registered representative | Jun 2009 (17y) | ||
| William Kerry Harrison | Registered representative | Jun 2009 (17y) | ||
| Michael Joseph Poponyak | Registered representative | Jun 2009 (17y) | ||
| Robert John Stangel | Registered representative | Jun 2009 (17y) | ||
| Larry Charles Gulotta | Registered representative | Jun 2009 (17y) | ||
| Mark Stephen Lazart | Registered representative | Jun 2009 (17y) | ||
| Susan Jean Allan | Registered representative | CFP | Jun 2009 (17y) | |
| Christian Hax Mccullough | Registered representative | CFP | Jun 2009 (17y) | |
| Daniel John O'mara | Registered representative | Jun 2009 (17y) | ||
| David Bennett Woffindin | Registered representative | Jul 2009 (17y) | ||
| Harold Jay Meyers | Registered representative | Jul 2009 (17y) | ||
| Jessica Brianne Marlow | Registered representative | CFA | Jul 2009 (17y) | |
| Roger Albert Baughman | Registered representative | Jul 2009 (17y) | ||
| Charles Havnor Coakley | Registered representative | Jul 2009 (17y) | ||
| Mark Joseph Hammond | Registered representative | Jul 2009 (17y) | ||
| Mark Anthony Otten | Registered representative | Jul 2009 (17y) | ||
| Michael Thomas Puente | Registered representative | Jul 2009 (17y) | ||
| Kathleen Driscoll Reasor | Registered representative | Aug 2009 (17y) | ||
| Kevin Lee Fronek | Registered representative | Aug 2009 (17y) | ||
| Shelly Ann Howard | Registered representative | Aug 2009 (17y) | ||
| Andrew Hunt Johann | Registered representative | CFP | Aug 2009 (17y) | |
| Andrew Ryan Foucault | Registered representative | Aug 2009 (17y) | ||
| Barksdale Jordan | Registered representative | Aug 2009 (17y) | ||
| Brent James Gilmore | Registered representative | Aug 2009 (17y) | ||
| Brian Johnson Robb | Registered representative | Aug 2009 (17y) | ||
| Cameron Allen Brown | Registered representative | Aug 2009 (17y) | ||
| Carla Sue Register | Registered representative | Aug 2009 (17y) | ||
| Charles William Shirey | Registered representative | Aug 2009 (17y) | ||
| Christopher E Bolles | Registered representative | CFP | Aug 2009 (17y) | |
| Claudia Lamie Twilley | Registered representative | Aug 2009 (17y) | ||
| Craig Murphey | Registered representative | Aug 2009 (17y) | ||
| Damon Smith | Registered representative | Aug 2009 (17y) | ||
| David Howard Blaugh | Registered representative | Aug 2009 (17y) | ||
| Deborah L Rossi | Registered representative | Aug 2009 (17y) | ||
| Eric L Moxon | Registered representative | Aug 2009 (17y) | ||
| Jacqueline Marie Zuleger | Registered representative | Aug 2009 (17y) | ||
| James O Lenaghan | Registered representative | Aug 2009 (17y) | ||
| Jeffery Lyn Howard | Registered representative | CFP | Aug 2009 (17y) | |
| Jonathan Scott Larson | Registered representative | Aug 2009 (17y) | ||
| Joseph Stephen Greco | Registered representative | Aug 2009 (17y) | ||
| Julian A Lively | Registered representative | Aug 2009 (17y) | ||
| Julian Ashton Lively | Registered representative | Aug 2009 (17y) | ||
| Kevin Schroepfer | Registered representative | Aug 2009 (17y) | ||
| Kristina Lyn Price | Registered representative | Aug 2009 (17y) | ||
| Lowell Shepley | Registered representative | Aug 2009 (17y) | ||
| Marcus Skinner Childers | Registered representative | Aug 2009 (17y) | ||
| Mark Eugene Hannum | Registered representative | Aug 2009 (17y) | ||
| Matthew C Arness | Registered representative | Aug 2009 (17y) | ||
| Melissa Scott Glazner | Registered representative | Aug 2009 (17y) | ||
| Michael Dewayne Douglas | Registered representative | CFP | Aug 2009 (17y) | |
| Phillip C Jenkins | Registered representative | Aug 2009 (17y) | ||
| Robert Barrett Boatner | Registered representative | Aug 2009 (17y) | ||
| Robert Mccord Kilpatrick | Registered representative | Aug 2009 (17y) | ||
| Samuel V Morse Jr | Registered representative | Aug 2009 (17y) | ||
| Scott I Sewell | Registered representative | Aug 2009 (17y) | ||
| Starlitte Chatgnier Townsend | Registered representative | Aug 2009 (17y) | ||
| Steven Randall Summers | Registered representative | Aug 2009 (17y) | ||
| Terrell Temple | Registered representative | Aug 2009 (17y) | ||
| William Boehme | Registered representative | Aug 2009 (17y) | ||
| William Reed Allison | Registered representative | CFP | Aug 2009 (17y) | |
| William Zealy | Registered representative | Aug 2009 (17y) | ||
| Carl Willert | Registered representative | Aug 2009 (17y) | ||
| Michael Furman | Registered representative | CFP | Aug 2009 (17y) | |
| Joseph Depasqua | Registered representative | Aug 2009 (17y) | ||
| Mei L Lowery | Registered representative | Aug 2009 (17y) | ||
| Stanley F Stockhammer | Registered representative | CFP | Aug 2009 (17y) | |
| William Francis | Registered representative | Chartered Financial Consultant | Aug 2009 (17y) | |
| Alicia Marie Smith | Registered representative | Aug 2009 (17y) | ||
| Kimberly Ann Garcia | Registered representative | Aug 2009 (17y) | ||
| Susan Diane Hills | Registered representative | Aug 2009 (17y) | ||
| David Scott Remey | Registered representative | CFP | Aug 2009 (17y) | |
| Martha Jones | Registered representative | Aug 2009 (17y) | ||
| Mary Carruthers | Registered representative | CFP | Aug 2009 (17y) | |
| Robert Ratcliffe Heinze | Registered representative | CFP | Aug 2009 (17y) | |
| Deanna Marie St. Hilaire | Registered representative | Sep 2009 (17y) | ||
| Robert Carl Miller | Registered representative | Sep 2009 (17y) | ||
| Robert Max Decker | Registered representative | Sep 2009 (17y) | ||
| Bruce Eugene Ostrum | Registered representative | Sep 2009 (17y) | ||
| Carter James Johnsen | Registered representative | CFP | Sep 2009 (17y) | |
| Craig Steven Freidel | Registered representative | Sep 2009 (17y) | ||
| Dale Steven Bourne | Registered representative | Sep 2009 (17y) | ||
| George W Schuler | Registered representative | Sep 2009 (17y) | ||
| Graham Claus Peterson | Registered representative | Sep 2009 (17y) | ||
| James Anthony Behrendt | Registered representative | Sep 2009 (17y) | ||
| Jane Renee Reede | Registered representative | Sep 2009 (17y) | ||
| Jay Nathan Dickenson | Registered representative | CFP | Sep 2009 (17y) | |
| Jeffrey Dow Tomlinson | Registered representative | Sep 2009 (17y) | ||
| Jennifer Kay Stammeyer | Registered representative | Sep 2009 (17y) | ||
| Jerald Lloyd Samp | Registered representative | Sep 2009 (17y) | ||
| Joel Newton Cousins | Registered representative | Sep 2009 (17y) | ||
| John Robert Westbee | Registered representative | Sep 2009 (17y) | ||
| Jon Edward Ellefson | Registered representative | Sep 2009 (17y) | ||
| Joseph Michael Militello | Registered representative | Sep 2009 (17y) | ||
| Kevin Charles Murphy | Registered representative | Sep 2009 (17y) | ||
| Kristen Brammer Taylor | Registered representative | Sep 2009 (17y) | ||
| Mark Anthony Kennedy | Registered representative | Sep 2009 (17y) | ||
| Milo Paul Nelson | Registered representative | Sep 2009 (17y) | ||
| Patrick Francis Johnson | Registered representative | CFP | Sep 2009 (17y) | |
| Peter Joseph Krause | Registered representative | Sep 2009 (17y) | ||
| Rodney Bryan Miller | Registered representative | Personal Financial Specialist | Sep 2009 (17y) | |
| Roger Dale Lovelady | Registered representative | Sep 2009 (17y) | ||
| Roxanne Young Bryant | Registered representative | Sep 2009 (17y) | ||
| Sharon R. Nalivka Hancock | Registered representative | Sep 2009 (17y) | ||
| Sheri Aline Baldwin | Registered representative | Sep 2009 (17y) | ||
| Stacy A Polzar | Registered representative | Sep 2009 (17y) | ||
| Terry Justin Jacquinot | Registered representative | Sep 2009 (17y) | ||
| Thomas Charles Nagel | Registered representative | Sep 2009 (17y) | ||
| Thomas John Monson | Registered representative | Sep 2009 (17y) | ||
| Thomas William Lohmeyer | Registered representative | Sep 2009 (17y) | ||
| William Allen Pritchard | Registered representative | Sep 2009 (17y) | ||
| Zachary Scot Davies | Registered representative | CFP | Sep 2009 (17y) | |
| Jason Lee Millner | Registered representative | CFP | Sep 2009 (17y) | |
| Charles Angelo Galli | Registered representative | CFP | Sep 2009 (17y) | |
| Kurt Douglass Gilge | Registered representative | Sep 2009 (17y) | ||
| Sandra Sue Sailer | Registered representative | Sep 2009 (17y) | ||
| Jerri Lynn Murray | Registered representative | Sep 2009 (17y) | ||
| Kenneth Richard Kinder | Registered representative | Sep 2009 (17y) | ||
| Ryan M. Ackerman | Registered representative | Sep 2009 (17y) | ||
| William Dewey Carson | Registered representative | Sep 2009 (17y) | ||
| Carly Lyons | Registered representative | Sep 2009 (17y) | ||
| Chad Anthony Lojewski | Registered representative | Sep 2009 (17y) | ||
| Clifton Bryan Stott | Registered representative | Sep 2009 (17y) | ||
| Dana Therese Pahkala | Registered representative | Sep 2009 (17y) | ||
| Daniel Scott Wigton | Registered representative | Sep 2009 (17y) | ||
| David Patrick Kurcon | Registered representative | Sep 2009 (17y) | ||
| Debra Lynn Moore | Registered representative | Sep 2009 (17y) | ||
| Howard Francis Lewis | Registered representative | Sep 2009 (17y) | ||
| John Michael Stone | Registered representative | CFA | Sep 2009 (17y) | |
| Lacey Ann York | Registered representative | Sep 2009 (17y) | ||
| Lawrence Dean Johnston | Registered representative | Sep 2009 (17y) | ||
| Loy Loraine Gotham | Registered representative | Sep 2009 (17y) | ||
| Melissa Futch | Registered representative | Sep 2009 (17y) | ||
| Patrick L Carey | Registered representative | Sep 2009 (17y) | ||
| Ralph Michael Fajack | Registered representative | Sep 2009 (17y) | ||
| Renee A Costantino | Registered representative | Sep 2009 (17y) | ||
| Ryan David Campbell | Registered representative | CFP Chartered Financial Consultant | Sep 2009 (17y) | |
| Steven Craig Bacon | Registered representative | Sep 2009 (17y) | ||
| Thomas David Thomson | Registered representative | Sep 2009 (17y) | ||
| Thomas Leroy Weimer | Registered representative | Sep 2009 (17y) | ||
| Timm Brian Schreiber | Registered representative | Sep 2009 (17y) | ||
| Norman William Speight | Registered representative | Sep 2009 (17y) | ||
| Kim Marie Smith | Registered representative | Sep 2009 (17y) | ||
| Jeffrey Adair Pierce | Registered representative | Oct 2009 (17y) | ||
| Kenneth Erling Hansen | Registered representative | CFA | Oct 2009 (17y) | |
| John Paul Troiano | Registered representative | Oct 2009 (17y) | ||
| Maryanne W Eckels | Registered representative | Oct 2009 (17y) | ||
| Barry Thomas Compton | Registered representative | Oct 2009 (17y) | ||
| Karen Koast Schraff | Registered representative | Oct 2009 (17y) | ||
| Robert D Fink | Registered representative | Oct 2009 (17y) | ||
| Robert M Roskosh | Registered representative | Oct 2009 (17y) | ||
| Theresa Marie Bogovich | Registered representative | Oct 2009 (17y) | ||
| Travis Marshall Mcchessney | Registered representative | Oct 2009 (17y) | ||
| Walter Mancing | Registered representative | Oct 2009 (17y) | ||
| Michael A Corson | Registered representative | Oct 2009 (17y) | ||
| Bradford Lee Beukelman | Registered representative | Oct 2009 (17y) | ||
| Chalmers Lanier Glenn | Registered representative | Oct 2009 (17y) | ||
| Christopher Mickey Berg | Registered representative | Oct 2009 (17y) | ||
| Dabney Lee Sharp | Registered representative | Oct 2009 (17y) | ||
| Daniel P Divine | Registered representative | Oct 2009 (17y) | ||
| Daryl David Schulz | Registered representative | Oct 2009 (17y) | ||
| David William Morgan | Registered representative | CFP | Oct 2009 (17y) | |
| Dennis Gary Dashner | Registered representative | Oct 2009 (17y) | ||
| Donna Jean Billings | Registered representative | Oct 2009 (17y) | ||
| Edwin Jerry Kinney | Registered representative | Oct 2009 (17y) | ||
| Jeffrey Leo Morenz | Registered representative | Oct 2009 (17y) | ||
| John Wayne Johnson | Registered representative | Oct 2009 (17y) | ||
| Joseph Adams Wallace | Registered representative | Oct 2009 (17y) | ||
| Karla Ann Sexton | Registered representative | Oct 2009 (17y) | ||
| Kathy Ann Lessard | Registered representative | CFP | Oct 2009 (17y) | |
| Kellyn Rozier Drayer | Registered representative | CFP | Oct 2009 (17y) | |
| Linda Sue Baier | Registered representative | Oct 2009 (17y) | ||
| Lisa Jill Abramson | Registered representative | Oct 2009 (17y) | ||
| Mark Anthony Rogo | Registered representative | Oct 2009 (17y) | ||
| Mark Harber Sebring | Registered representative | Oct 2009 (17y) | ||
| Matthew Dean Phillips | Registered representative | Oct 2009 (17y) | ||
| Michael Patrick Toutant | Registered representative | CFP | Oct 2009 (17y) | |
| Milton J Smylie Jr. | Registered representative | Oct 2009 (17y) | ||
| Mitchel Cea Peterson | Registered representative | Oct 2009 (17y) | ||
| Renee Ann Cramer | Registered representative | Oct 2009 (17y) | ||
| Robert Franklin Shultz | Registered representative | Oct 2009 (17y) | ||
| Scott S Webb | Registered representative | Oct 2009 (17y) | ||
| Thomas Brian Sernett | Registered representative | CFP | Oct 2009 (17y) | |
| Daniel Richard Judd | Registered representative | Oct 2009 (17y) | ||
| Kenneth Joe Melichar | Registered representative | Oct 2009 (17y) | ||
| Erik Earl Finanger | Registered representative | Oct 2009 (17y) | ||
| Justin Joseph Frawley | Registered representative | Oct 2009 (17y) | ||
| Jeremiah Maxwell Evarts | Registered representative | Oct 2009 (17y) | ||
| Mark Steven Merryfield | Registered representative | Oct 2009 (17y) | ||
| Michael Thomas Colbridge | Registered representative | Nov 2009 (17y) | ||
| Guy William Richardson | Registered representative | Nov 2009 (17y) | ||
| Terry Euell Morrison | Registered representative | Nov 2009 (17y) | ||
| Malcolm Patterson Keers | Registered representative | Nov 2009 (17y) | ||
| Staci Dawn Smith Lantagne | Registered representative | Nov 2009 (17y) | ||
| Deborah Ann Williams | Registered representative | Nov 2009 (17y) | ||
| Jonathan B. Ricks | Registered representative | Nov 2009 (17y) | ||
| David Dexter Almquist | Registered representative | Dec 2009 (17y) | ||
| Kimberly A Kettler | Registered representative | Dec 2009 (17y) | ||
| Barbara Ann Howard | Registered representative | Dec 2009 (17y) | ||
| Brady S. Burton | Registered representative | Dec 2009 (17y) | ||
| Henry Robert Gerlach | Registered representative | Dec 2009 (17y) | ||
| Michael Carter Vanstraaten | Registered representative | Dec 2009 (17y) | ||
| Kimberli Jo Victorine | Registered representative | Dec 2009 (17y) | ||
| Timothy Patrick O'connell | Registered representative | Dec 2009 (17y) | ||
| Louis Thomas Pellegrini | Registered representative | Jan 2010 (17y) | ||
| Kimberly Rae Kletschke | Registered representative | Jan 2010 (17y) | ||
| Michael Victor Switchenko | Registered representative | Jan 2010 (17y) | ||
| Kyle Dustin Travis | Registered representative | Jan 2010 (17y) | ||
| Stephen Allan Watkins | Registered representative | CFP | Jan 2010 (17y) | |
| Robert E Maloney | Registered representative | Jan 2010 (17y) | ||
| Keith Allen Walker | Registered representative | Feb 2010 (16y) | ||
| Alan Cecil Crumley | Registered representative | Feb 2010 (16y) | ||
| Betty Kathryn Merck | Registered representative | Feb 2010 (16y) | ||
| William Edward Hicks | Registered representative | CFP | Feb 2010 (16y) | |
| Robert Kyle Ratcliff | Registered representative | Feb 2010 (16y) | ||
| Donald A Debiase | Registered representative | Feb 2010 (16y) | ||
| David Allen Zachmeyer | Registered representative | Mar 2010 (16y) | ||
| Tricia Zellman Beevers | Registered representative | Mar 2010 (16y) | ||
| Kirk David List | Registered representative | Mar 2010 (16y) | ||
| Harry L Goldsmith | Registered representative | CFP | Mar 2010 (16y) | |
| Jeffrey Stuart Malavsky | Registered representative | Mar 2010 (16y) | ||
| Christopher Glenn Newey | Registered representative | Mar 2010 (16y) | ||
| Jared Ronald Wruck | Registered representative | Apr 2010 (16y) | ||
| David Braxton Gay | Registered representative | Apr 2010 (16y) | ||
| David William Harris | Registered representative | Apr 2010 (16y) | ||
| James Austin Walne | Registered representative | Apr 2010 (16y) | ||
| John Askin Fuger | Registered representative | Apr 2010 (16y) | ||
| John Edward Mccloskey | Registered representative | Apr 2010 (16y) | ||
| Steven Michael Thompson | Registered representative | CFP | Apr 2010 (16y) | |
| Michael Joseph Dal Pozzo | Registered representative | Apr 2010 (16y) | ||
| Christopher Storey Bybee | Registered representative | CFP | Apr 2010 (16y) | |
| Eric Andrew Robb | Registered representative | Apr 2010 (16y) | ||
| Timothy Jon Wade | Registered representative | Apr 2010 (16y) | ||
| William Christopher Lacy | Registered representative | Apr 2010 (16y) | ||
| Jacky William Smith | Registered representative | Apr 2010 (16y) | ||
| Cynthia Gail Peters | Registered representative | May 2010 (16y) | ||
| Gary Lee Tibbs | Registered representative | May 2010 (16y) | ||
| George Abraham Williams | Registered representative | May 2010 (16y) | ||
| Benjamin Watson Walker | Registered representative | May 2010 (16y) | ||
| James Edward Klingler | Registered representative | May 2010 (16y) | ||
| Kathleen Mary Schoudel | Registered representative | May 2010 (16y) | ||
| Katye S Delashaw | Registered representative | May 2010 (16y) | ||
| Mary Beth Briscoe | Registered representative | May 2010 (16y) | ||
| Robert Emmet Seibels | Registered representative | May 2010 (16y) | ||
| Sheree Armstrong Luker | Registered representative | May 2010 (16y) | ||
| Lynn Ann Scully | Registered representative | May 2010 (16y) | ||
| Lori Ann Stephenson | Registered representative | Jun 2010 (16y) | ||
| Amy Keiko Dosier | Registered representative | Jun 2010 (16y) | ||
| Donald Arthur Bernard | Registered representative | Jun 2010 (16y) | ||
| Mark Lee Breeden | Registered representative | Jul 2010 (16y) | ||
| Anthony Victor Stais | Registered representative | Jul 2010 (16y) | ||
| David John Drozdowicz | Registered representative | Jul 2010 (16y) | ||
| Christopher Scott Hurst | Registered representative | CFP | Jul 2010 (16y) | |
| Ben Palazzo | Registered representative | Aug 2010 (16y) | ||
| Michael E Stein | Registered representative | Aug 2010 (16y) | ||
| Jacqueline A Caywood | Registered representative | Aug 2010 (16y) | ||
| Mark Charles Darnell | Registered representative | Aug 2010 (16y) | ||
| David Anthony Smith | Registered representative | CFP | Aug 2010 (16y) | |
| Joseph Everett Kenyon | Registered representative | Aug 2010 (16y) | ||
| Margaret Ann Smith | Registered representative | Aug 2010 (16y) | ||
| Susan Marie Dixon | Registered representative | Sep 2010 (16y) | ||
| Dowie Peter Vanderschaaf | Registered representative | Sep 2010 (16y) | ||
| Matthew Carl Ehinger | Registered representative | Chartered Financial Consultant | Sep 2010 (16y) | |
| Lehman Benjamin Easterling | Registered representative | Sep 2010 (16y) | ||
| Barth Carl Roberts | Registered representative | Sep 2010 (16y) | ||
| Buz Edward Zamarron | Registered representative | Sep 2010 (16y) | ||
| Paul Charles Drueke | Registered representative | Sep 2010 (16y) | ||
| Rex Anthony Stanczak | Registered representative | Sep 2010 (16y) | ||
| Steven Austin Yenshaw | Registered representative | Sep 2010 (16y) | ||
| Brett E Sweers | Registered representative | Sep 2010 (16y) | ||
| Philip George Tatchell | Registered representative | Sep 2010 (16y) | ||
| Peter D Vanderschaaf | Registered representative | Sep 2010 (16y) | ||
| Michael J Comfort | Registered representative | Sep 2010 (16y) | ||
| Johnny Floyd Dunn | Registered representative | Oct 2010 (16y) | ||
| Brett Evan Gortsema | Registered representative | Oct 2010 (16y) | ||
| Kevin Gerald Niekamp | Registered representative | Oct 2010 (16y) | ||
| Melissa Begbie | Registered representative | Oct 2010 (16y) | ||
| James Robert Leonard | Registered representative | Oct 2010 (16y) | ||
| Robert Anthony Sniezek | Registered representative | Oct 2010 (16y) | ||
| Russell Leon Proctor | Registered representative | Oct 2010 (16y) | ||
| Douglas Gerald Keesling | Registered representative | Oct 2010 (16y) | ||
| Thomas Meredith Bolton | Registered representative | Nov 2010 (16y) | ||
| Zadoc White Brown | Registered representative | Nov 2010 (16y) | ||
| Christopher Raye Howell | Registered representative | Nov 2010 (16y) | ||
| Jody Marie Chalhoub | Registered representative | Nov 2010 (16y) | ||
| Richard Stewart Campbell | Registered representative | Nov 2010 (16y) | ||
| Douglas Charles Houtz | Registered representative | Nov 2010 (16y) | ||
| Anna Viera Steblina | Registered representative | Nov 2010 (16y) | ||
| Gary Arthur Keesling | Registered representative | Nov 2010 (16y) | ||
| David F. Evans | Registered representative | Nov 2010 (16y) | ||
| Tawnee A Hosick Evers | Registered representative | Dec 2010 (16y) | ||
| John Henry Fleenor | Registered representative | Dec 2010 (16y) | ||
| Kimberly Kay Savoie | Registered representative | CFP | Dec 2010 (16y) | |
| Scott Frank Hanna | Registered representative | Jan 2011 (16y) | ||
| Edward Harbert Marshall | Registered representative | Jan 2011 (16y) | ||
| Dale Edward Lewis | Registered representative | Jan 2011 (16y) | ||
| Kimberly S Williamson | Registered representative | Jan 2011 (16y) | ||
| Gregory Edward Joseph Galloway | Registered representative | Jan 2011 (16y) | ||
| Kevin Delton Zeitler | Registered representative | Jan 2011 (16y) | ||
| James Harvey Moll | Registered representative | Jan 2011 (16y) | ||
| Mered Oren | Registered representative | Jan 2011 (16y) | ||
| Robert Louis Rosenberg | Registered representative | Feb 2011 (15y) | ||
| Marc Yukio Kozuki | Registered representative | Feb 2011 (15y) | ||
| John Alexander Lastinger | Registered representative | Feb 2011 (15y) | ||
| Stanton Konrad Jones | Registered representative | Mar 2011 (15y) | ||
| Tammy Lynn Welch | Registered representative | Mar 2011 (15y) | ||
| Michelle Thornton Taylor | Registered representative | Apr 2011 (15y) | ||
| Mark Alan Mcrobert | Registered representative | Apr 2011 (15y) | ||
| Kent Douglas Struck | Registered representative | Apr 2011 (15y) | ||
| Russell Richard Reinsch | Registered representative | Apr 2011 (15y) | ||
| Sharon M Decampo | Registered representative | Apr 2011 (15y) | ||
| Brett Kribs | Registered representative | May 2011 (15y) | ||
| Jeffrey Marc Walzer | Registered representative | May 2011 (15y) | ||
| Editha Santos Shemke | Registered representative | May 2011 (15y) | ||
| Tracy Leigh Brinkmeier | Registered representative | May 2011 (15y) | ||
| Carol Marie Carr | Registered representative | Jun 2011 (15y) | ||
| Jonathan L Warren | Registered representative | CFP | Jun 2011 (15y) | |
| Barry Allen Barr | Registered representative | Jun 2011 (15y) | ||
| Stanley Keith Price | Registered representative | Jun 2011 (15y) | ||
| Donald Angelo Vincenti | Registered representative | CFP | Jun 2011 (15y) | |
| Rodney David Vaught | Registered representative | Jun 2011 (15y) | ||
| Lila Renee Marantz | Registered representative | Jun 2011 (15y) | ||
| Thomas K Cook | Registered representative | Jun 2011 (15y) | ||
| Louisa Sakkis | Registered representative | Jun 2011 (15y) | ||
| John Hanenburg | Registered representative | Jun 2011 (15y) | ||
| Michelle Marie Paris | Registered representative | Jun 2011 (15y) | ||
| John J Morningstar | Registered representative | Jul 2011 (15y) | ||
| Michael Andrew Faulkenbury | Registered representative | Jul 2011 (15y) | ||
| Clara Teresa Asensio | Registered representative | Jul 2011 (15y) | ||
| Kyle Anthony Henriksen | Registered representative | Jul 2011 (15y) | ||
| Michael Perritt Grice | Registered representative | Jul 2011 (15y) | ||
| Brenda Lynn Westbeld | Registered representative | Jul 2011 (15y) | ||
| Michael Jon Linse | Registered representative | Aug 2011 (15y) | ||
| Michelle Mcgraw | Registered representative | Sep 2011 (15y) | ||
| Randy Allyn Hulett | Registered representative | Sep 2011 (15y) | ||
| Charles Crawford Shimer | Registered representative | Sep 2011 (15y) | ||
| Joseph Vitello | Registered representative | Sep 2011 (15y) | ||
| Elizabeth Hartwig | Registered representative | Sep 2011 (15y) | ||
| James Moore Gabal | Registered representative | Sep 2011 (15y) | ||
| Tobias Michael Martyn | Registered representative | Oct 2011 (15y) | ||
| Joseph George Brazil | Registered representative | Oct 2011 (15y) | ||
| Stephanie Taylor Schulz | Registered representative | Oct 2011 (15y) | ||
| Brent Allen Buller | Registered representative | CFP | Nov 2011 (15y) | |
| Brian Douglas Talgo | Registered representative | Nov 2011 (15y) | ||
| Jennifer Carroll Green | Registered representative | Nov 2011 (15y) | ||
| Robert Anthony Ramirez | Registered representative | Nov 2011 (15y) | ||
| Todd Leland Stone | Registered representative | Nov 2011 (15y) | ||
| Andrew Preston Peterson | Registered representative | Nov 2011 (15y) | ||
| Dennis Joseph Janssen | Registered representative | Nov 2011 (15y) | ||
| Gregory Stuart Young | Registered representative | Nov 2011 (15y) | ||
| Jeffrey Donald Green | Registered representative | Nov 2011 (15y) | ||
| John Patrick Mccarthy | Registered representative | Nov 2011 (15y) | ||
| Robert A Goddard | Registered representative | CFP | Nov 2011 (15y) | |
| Joanne Ellen Mcafee | Registered representative | Nov 2011 (15y) | ||
| Phillip Dwane Newsome | Registered representative | Nov 2011 (15y) | ||
| Dennis Curtis | Registered representative | Dec 2011 (15y) | ||
| Kelley Mcqueen Dunlap | Registered representative | Dec 2011 (15y) | ||
| Thomas Alan Eisenstadt | Registered representative | Dec 2011 (15y) | ||
| John Charles Marcolla | Registered representative | CFP | Dec 2011 (15y) | |
| Kyle Marcolla | Registered representative | CFP | Dec 2011 (15y) | |
| Albert Elrod | Registered representative | Jan 2012 (15y) | ||
| Jeremy Lynn Jones | Registered representative | CFP | Jan 2012 (15y) | |
| John William Lawrence | Registered representative | Jan 2012 (15y) | ||
| Johnathan Michael Wilson | Registered representative | CFP | Jan 2012 (15y) | |
| Ryan Gregory Curtis | Registered representative | CFP | Jan 2012 (15y) | |
| Cindy L Bergin | Registered representative | Jan 2012 (15y) | ||
| David Jay Lowi | Registered representative | Jan 2012 (15y) | ||
| Gene Stephen Mcabee | Registered representative | Jan 2012 (15y) | ||
| Sean Patrick Hogan | Registered representative | Jan 2012 (15y) | ||
| Craig Stephen Bonelli Jr. | Registered representative | Jan 2012 (15y) | ||
| Ryan Kenneth Lohmeyer | Registered representative | CFP | Jan 2012 (15y) | |
| Diana Gayle Dorn | Registered representative | Jan 2012 (15y) | ||
| David Robert Lee | Registered representative | CFP | Feb 2012 (14y) | |
| David Dwayne Westerfeld | Registered representative | Feb 2012 (14y) | ||
| John Frederick Bush | Registered representative | Feb 2012 (14y) | ||
| Alan Carl Wolman | Registered representative | Feb 2012 (14y) | ||
| Daniel Loren Holligan | Registered representative | Mar 2012 (14y) | ||
| Jeffrey John Bergholt | Registered representative | Mar 2012 (14y) | ||
| Lori Landau Nurge | Registered representative | CFP | Mar 2012 (14y) | |
| Michael Landau | Registered representative | Mar 2012 (14y) | ||
| Scott Robert Schulick | Registered representative | Mar 2012 (14y) | ||
| Thomas Mccrae Lane | Registered representative | Mar 2012 (14y) | ||
| Sean Michael Dean | Registered representative | Mar 2012 (14y) | ||
| Kenneth Floyd Williams | Registered representative | Mar 2012 (14y) | ||
| George Lewis Mardre | Registered representative | Mar 2012 (14y) | ||
| Matthew Charles Land | Registered representative | Mar 2012 (14y) | ||
| Shonic Troy Lee | Registered representative | Mar 2012 (14y) | ||
| Joseph A Maglaque | Registered representative | Mar 2012 (14y) | ||
| Craig Allen Herrington | Registered representative | Mar 2012 (14y) | ||
| Rahn Stuart Lund | Registered representative | Mar 2012 (14y) | ||
| Vincent A Rojas | Registered representative | CFP | Apr 2012 (14y) | |
| Brent Woolstenhulme | Registered representative | Apr 2012 (14y) | ||
| Frances S Jones | Registered representative | Apr 2012 (14y) | ||
| Kevin Joseph Van De Steene | Registered representative | Apr 2012 (14y) | ||
| Patricia Bayer Walsh | Registered representative | Apr 2012 (14y) | ||
| Robert Schumann Richard | Registered representative | Apr 2012 (14y) | ||
| Mitchell Fredrick Dubina | Registered representative | May 2012 (14y) | ||
| Brian M Dieckmann | Registered representative | CFP | May 2012 (14y) | |
| Richard James Ward | Registered representative | CFP | May 2012 (14y) | |
| Joseph Robert Green | Registered representative | May 2012 (14y) | ||
| Nicholas John Dimenna | Registered representative | May 2012 (14y) | ||
| Lawrence Michael Counen | Registered representative | May 2012 (14y) | ||
| William Francis Fusco | Registered representative | May 2012 (14y) | ||
| Thomas James Gerger | Registered representative | May 2012 (14y) | ||
| Gregory Gerard Schuette | Registered representative | CFP | Jun 2012 (14y) | |
| Jeffrey Allen Anderson | Registered representative | Jun 2012 (14y) | ||
| Michelle Lea Hill | Registered representative | Jun 2012 (14y) | ||
| Michael John Desi | Registered representative | Jun 2012 (14y) | ||
| Julie A Lerch | Registered representative | Jun 2012 (14y) | ||
| Jeffrey Andrew Richardson | Registered representative | Jun 2012 (14y) | ||
| Mark Edward Hall | Registered representative | Jul 2012 (14y) | ||
| Benjamin Dean Doughty | Registered representative | Jul 2012 (14y) | ||
| Corrina Kay Phillips | Registered representative | Jul 2012 (14y) | ||
| Susan Marie Mccourt | Registered representative | Jul 2012 (14y) | ||
| Janeen E Gregory | Registered representative | Jul 2012 (14y) | ||
| Elaina Friesel Garvin | Registered representative | Jul 2012 (14y) | ||
| Aaron Mathew Hattem | Registered representative | Jul 2012 (14y) | ||
| Neil Hattem | Registered representative | Jul 2012 (14y) | ||
| Janet Margaret Barnes | Registered representative | Jul 2012 (14y) | ||
| Amy Torstrick | Registered representative | Sep 2012 (14y) | ||
| Sherrie Lu Ferragine | Registered representative | Sep 2012 (14y) | ||
| Mark Aaron Strong | Registered representative | CFP | Sep 2012 (14y) | |
| Stephen Charles Kally | Registered representative | CFP | Sep 2012 (14y) | |
| Larry Paul Harteck | Registered representative | Sep 2012 (14y) | ||
| Christopher Robert Lesser | Registered representative | CFP | Sep 2012 (14y) | |
| Robert Jeffrey Sander | Registered representative | CFP | Sep 2012 (14y) | |
| Kimberly Kris Poetzscher | Registered representative | Sep 2012 (14y) | ||
| Matthew James Costello | Registered representative | Oct 2012 (14y) | ||
| James Robert Vellutini | Registered representative | Oct 2012 (14y) | ||
| Joseph Adam Hanna | Registered representative | Nov 2012 (14y) | ||
| Robert Patrick Poling | Registered representative | CFP | Nov 2012 (14y) | |
| Tamie R Austin | Registered representative | Nov 2012 (14y) | ||
| Michael Lee Ball | Registered representative | Nov 2012 (14y) | ||
| Nicholas Newberry | Registered representative | Nov 2012 (14y) | ||
| Oleksa E Kyj | Registered representative | Dec 2012 (14y) | ||
| Daniel J Robinson | Registered representative | Dec 2012 (14y) | ||
| Lynn Louise Colby | Registered representative | Dec 2012 (14y) | ||
| Matthew Edward Eccles | Registered representative | Dec 2012 (14y) | ||
| Larry Randolph Isley | Registered representative | Jan 2013 (14y) | ||
| Eric Norris Haley | Registered representative | Jan 2013 (14y) | ||
| Thomas Alan Bevan | Registered representative | Jan 2013 (14y) | ||
| Michael Allan Schold | Registered representative | CFP | Jan 2013 (14y) | |
| Jennifer Elizabeth Crouse | Registered representative | Jan 2013 (14y) | ||
| Edward J Yen | Registered representative | Jan 2013 (14y) | ||
| Gregory Searcy Buckner | Registered representative | Feb 2013 (13y) | ||
| Ronald William Oliver | Registered representative | Feb 2013 (13y) | ||
| Daniel William Emmons | Registered representative | CFP | Feb 2013 (13y) | |
| Eileen Merri Hochstadt | Registered representative | Mar 2013 (13y) | ||
| Gerard John Kelly | Registered representative | Mar 2013 (13y) | ||
| Mark Andrew Smith | Registered representative | Mar 2013 (13y) | ||
| Christopher Brian Daughtry | Registered representative | Mar 2013 (13y) | ||
| Daphne Michelle Inman | Registered representative | Mar 2013 (13y) | ||
| James Patrick Carps | Registered representative | CFP | Mar 2013 (13y) | |
| Cynthia Elaine Touchton | Registered representative | Mar 2013 (13y) | ||
| Phil T Harris | Registered representative | Mar 2013 (13y) | ||
| Beverly Ann Avera | Registered representative | Mar 2013 (13y) | ||
| Andrew Odea Campbell | Registered representative | Apr 2013 (13y) | ||
| David Ray Smith | Registered representative | Apr 2013 (13y) | ||
| Glen John Ness | Registered representative | CFP | Apr 2013 (13y) | |
| Jeffrey Michael Wirth | Registered representative | Apr 2013 (13y) | ||
| Joan Charmaine Fisher | Registered representative | Apr 2013 (13y) | ||
| Kameon Teresa Thompson | Registered representative | Apr 2013 (13y) | ||
| Kari Ann Hayden | Registered representative | Apr 2013 (13y) | ||
| Katherine Sue Knowlton | Registered representative | Apr 2013 (13y) | ||
| Lance Raymond Mcintosh | Registered representative | Apr 2013 (13y) | ||
| Michael James Tucker | Registered representative | Apr 2013 (13y) | ||
| Timothy Kevin Tucker | Registered representative | Apr 2013 (13y) | ||
| Mark Allan Mcclure | Registered representative | Apr 2013 (13y) | ||
| Michael Joseph Harkins | Registered representative | Apr 2013 (13y) | ||
| Christopher D Ray | Registered representative | Apr 2013 (13y) | ||
| Ryan Thomas Wilson | Registered representative | Apr 2013 (13y) | ||
| David Bruce Holz | Registered representative | Apr 2013 (13y) | ||
| Bradley Richardson | Registered representative | Apr 2013 (13y) | ||
| Fahrudin Velic | Registered representative | Apr 2013 (13y) | ||
| Robert Alan Lucas | Registered representative | Apr 2013 (13y) | ||
| Michael Robert Schulte Beck | Registered representative | Apr 2013 (13y) | ||
| Angela Marie Jansen | Registered representative | May 2013 (13y) | ||
| Donald Bruce Scharenberg | Registered representative | May 2013 (13y) | ||
| Guy Edwin Gerber | Registered representative | May 2013 (13y) | ||
| Michael William Armon | Registered representative | CFP | May 2013 (13y) | |
| Stacy Ann Jew | Registered representative | May 2013 (13y) | ||
| Christopher James Simms | Registered representative | May 2013 (13y) | ||
| Jeffrey Kilpatrick Evans | Registered representative | May 2013 (13y) | ||
| Daniel Edward Strobo | Registered representative | Jun 2013 (13y) | ||
| Margaret Pacheco | Registered representative | Jun 2013 (13y) | ||
| Michael Peter Wallace | Registered representative | Jun 2013 (13y) | ||
| Todd Joseph Belfiore | Registered representative | Jun 2013 (13y) | ||
| Lori Elaine Galbraith | Registered representative | Jun 2013 (13y) | ||
| Nicolas James Firment | Registered representative | Jun 2013 (13y) | ||
| Brandon Lashaun Arnold | Registered representative | Jun 2013 (13y) | ||
| Brian Zachary Borger | Registered representative | Jun 2013 (13y) | ||
| Elizabeth N Borger | Registered representative | Jun 2013 (13y) | ||
| Faiz Ali Khoja | Registered representative | Jun 2013 (13y) | ||
| Leslie Ann Navarre | Registered representative | Jun 2013 (13y) | ||
| Tamora Rosanne Markham | Registered representative | Jun 2013 (13y) | ||
| Nolan Dudley Baird | Registered representative | Jul 2013 (13y) | ||
| Bradley Franklin Pendleton | Registered representative | CFA | Jul 2013 (13y) | |
| Stephen Courtney Knudson | Registered representative | CFP | Jul 2013 (13y) | |
| Ryan Michael Franzen | Registered representative | CFP | Jul 2013 (13y) | |
| Anthony Paul Stella | Registered representative | Jul 2013 (13y) | ||
| Noah Corrigan Burns | Registered representative | CFP | Jul 2013 (13y) | |
| Rodney Glen Naylor | Registered representative | Jul 2013 (13y) | ||
| Craig Louis Skelly | Registered representative | Aug 2013 (13y) | ||
| John S Mayer | Registered representative | Aug 2013 (13y) | ||
| Scott Aaron Lindermann | Registered representative | Aug 2013 (13y) | ||
| Joshua Aaron Weiland | Registered representative | Aug 2013 (13y) | ||
| Daniel James Mcmillan | Registered representative | CFP | Aug 2013 (13y) | |
| Russell L Proctor | Registered representative | Aug 2013 (13y) | ||
| Timothy D Howard | Registered representative | CFA | Sep 2013 (13y) | |
| Julie Ann Gampp | Registered representative | Sep 2013 (13y) | ||
| Steven Keith Brisgel | Registered representative | Sep 2013 (13y) | ||
| Craig Leslie Grable | Registered representative | Sep 2013 (13y) | ||
| Leeann Reents Leonard | Registered representative | Sep 2013 (13y) | ||
| Lyle Ernest Officer | Registered representative | Sep 2013 (13y) | ||
| John Chris Kamkutis | Registered representative | Sep 2013 (13y) | ||
| Richard Deveny Reynolds | Registered representative | Oct 2013 (13y) | ||
| Philip William Sloan | Registered representative | Oct 2013 (13y) | ||
| John Michael Dierking | Registered representative | Oct 2013 (13y) | ||
| Kent Robert Huntoon | Registered representative | Oct 2013 (13y) | ||
| Nicholas Ambrose Perotta | Registered representative | Oct 2013 (13y) | ||
| Carol Kelley Harrison | Registered representative | Oct 2013 (13y) | ||
| Leonard Ernest Weyeneth | Registered representative | CFP | Oct 2013 (13y) | |
| Martin Firestone Bowers | Registered representative | Oct 2013 (13y) | ||
| Adam Herbert Silvers | Registered representative | Oct 2013 (13y) | ||
| Mary Catherine Heltzel | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Michael A Kalloz | Registered representative | CFP | Oct 2013 (13y) | |
| Shawn Thomas Pendleton | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Susan Marie Hagerty | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Stephen Lee Carter | Registered representative | Oct 2013 (13y) | ||
| Kevin Andrew Mclain | Registered representative | Nov 2013 (13y) | ||
| Breanna Rae Malin | Registered representative | Nov 2013 (13y) | ||
| David Henry Gilchrist | Registered representative | Nov 2013 (13y) | ||
| Deborah Smill Burlingame | Registered representative | Nov 2013 (13y) | ||
| Joshua Michael Bledsoe | Registered representative | CFP | Nov 2013 (13y) | |
| Michael Joseph Sullivan | Registered representative | Nov 2013 (13y) | ||
| Pamela Jean Henry | Registered representative | Nov 2013 (13y) | ||
| Patrick J Gaffney | Registered representative | Nov 2013 (13y) | ||
| Richard David Ophoven | Registered representative | Dec 2013 (13y) | ||
| Andrea C Johnson | Registered representative | Dec 2013 (13y) | ||
| Steven Earl Anderson | Registered representative | Dec 2013 (13y) | ||
| Michael John Adams | Registered representative | Dec 2013 (13y) | ||
| David John Rode | Registered representative | Dec 2013 (13y) | ||
| David Marvin Born | Registered representative | CFP | Dec 2013 (13y) | |
| Dean Chandler Larson | Registered representative | CFP | Dec 2013 (13y) | |
| Dean Neil Thompson | Registered representative | Dec 2013 (13y) | ||
| Kelly Therese Lavine | Registered representative | Dec 2013 (13y) | ||
| Lisa Marie Peterson | Registered representative | Dec 2013 (13y) | ||
| Joseph Justin Buska | Registered representative | Dec 2013 (13y) | ||
| Michael John Lavine | Registered representative | Dec 2013 (13y) | ||
| Gregory Samuel Massey | Registered representative | Dec 2013 (13y) | ||
| Franklin Woodward Shepard | Registered representative | Jan 2014 (13y) | ||
| Cory Stephen Lazart | Registered representative | Jan 2014 (13y) | ||
| Mark Allen Hainer | Registered representative | Jan 2014 (13y) | ||
| Andrew John Foster | Registered representative | Jan 2014 (13y) | ||
| Daniel John Fritz | Registered representative | Jan 2014 (13y) | ||
| David Sterling Clausen | Registered representative | CFP | Jan 2014 (13y) | |
| Emanuel Recardo Lopez | Registered representative | Jan 2014 (13y) | ||
| Eric Edward Davidge | Registered representative | CFP | Jan 2014 (13y) | |
| James Alan Crenna | Registered representative | CFP | Jan 2014 (13y) | |
| Jon Patrick Marley | Registered representative | Jan 2014 (13y) | ||
| Kenneth John Meixner | Registered representative | Jan 2014 (13y) | ||
| Kurt Byron Nelson | Registered representative | Jan 2014 (13y) | ||
| Kurt David Yelle | Registered representative | Jan 2014 (13y) | ||
| Lora Lee Graumann | Registered representative | Jan 2014 (13y) | ||
| Mary Kathryn Johnston | Registered representative | Jan 2014 (13y) | ||
| Matthew John Hogan | Registered representative | CFP | Jan 2014 (13y) | |
| Jill Ann Lentz | Registered representative | Jan 2014 (13y) | ||
| John Erik William Anderson | Registered representative | Jan 2014 (13y) | ||
| John Eric Suess | Registered representative | Jan 2014 (13y) | ||
| Richard James Ratterman | Registered representative | Jan 2014 (13y) | ||
| Richard Robert Sims | Registered representative | Jan 2014 (13y) | ||
| Kari Lynn Leuthner | Registered representative | Jan 2014 (13y) | ||
| John Dean Piccolo | Registered representative | Jan 2014 (13y) | ||
| Paul Malcolm Pettus | Registered representative | Jan 2014 (13y) | ||
| Gilbert J Riojas | Registered representative | Jan 2014 (13y) | ||
| Stephen Michael Lestmann | Registered representative | Jan 2014 (13y) | ||
| Joseph Anthony Galluzzo | Registered representative | Feb 2014 (12y) | ||
| Leland Brian Mcdonough | Registered representative | Feb 2014 (12y) | ||
| Richard John Johnson | Registered representative | Feb 2014 (12y) | ||
| Susan Bolen Lowry | Registered representative | Feb 2014 (12y) | ||
| Timothy Alexis Johnson | Registered representative | Feb 2014 (12y) | ||
| Derek Matthew Gage | Registered representative | Feb 2014 (12y) | ||
| Richard John Johnson | Registered representative | Feb 2014 (12y) | ||
| Amy Rose Robert | Registered representative | Feb 2014 (12y) | ||
| Edward John Tierney | Registered representative | Feb 2014 (12y) | ||
| Gloria Jennie Mondschein | Registered representative | Feb 2014 (12y) | ||
| Michael Andrew Mulhaul | Registered representative | Feb 2014 (12y) | ||
| Bryan Andrew Ruder | Registered representative | CFP | Feb 2014 (12y) | |
| Gail Renee Graham | Registered representative | Feb 2014 (12y) | ||
| Robert William Price | Registered representative | Feb 2014 (12y) | ||
| Andrew Duane Torgerson | Registered representative | Feb 2014 (12y) | ||
| John Paul Simmons | Registered representative | Feb 2014 (12y) | ||
| Paul Simmons | Registered representative | Feb 2014 (12y) | ||
| Gary Robert Whinery | Registered representative | Mar 2014 (12y) | ||
| Jeffrey Robert Gordon | Registered representative | Mar 2014 (12y) | ||
| Robert Marshall Jelderks | Registered representative | Mar 2014 (12y) | ||
| Waitus Hampton Avant | Registered representative | Mar 2014 (12y) | ||
| Barre Mcleod Butler | Registered representative | Mar 2014 (12y) | ||
| Joshua James Delong | Registered representative | Apr 2014 (12y) | ||
| James Michael Pingleton | Registered representative | Apr 2014 (12y) | ||
| Judith Irene Enochs | Registered representative | Apr 2014 (12y) | ||
| Todd M Frediani | Registered representative | Apr 2014 (12y) | ||
| Jon David Bowe | Registered representative | Apr 2014 (12y) | ||
| Ross Randall Jensen | Registered representative | CFP | Apr 2014 (12y) | |
| Eric James Krueger | Registered representative | Apr 2014 (12y) | ||
| Michael Duane Gronlund | Registered representative | Apr 2014 (12y) | ||
| Brian Edward Scigliano | Registered representative | Apr 2014 (12y) | ||
| James Robert Lewis | Registered representative | May 2014 (12y) | ||
| David Jay Raabe | Registered representative | May 2014 (12y) | ||
| Gregory Edward Gonzales | Registered representative | May 2014 (12y) | ||
| Jacqueline Taylor Wieland | Registered representative | May 2014 (12y) | ||
| Paul A Vidovich | Registered representative | CFP | May 2014 (12y) | |
| Phillip Hardin Joyce | Registered representative | May 2014 (12y) | ||
| Richard Eric Niederhaus | Registered representative | May 2014 (12y) | ||
| Martin Allen Stevens | Registered representative | May 2014 (12y) | ||
| Lewis Nolen Lamberth | Registered representative | May 2014 (12y) | ||
| Margaret Ann Dubil | Registered representative | May 2014 (12y) | ||
| Dawne Boswell Rehm | Registered representative | May 2014 (12y) | ||
| Nikola Eftimov | Registered representative | CFA | May 2014 (12y) | |
| N. David Hoover | Registered representative | May 2014 (12y) | ||
| Randall Scott Johnson | Registered representative | CFP | May 2014 (12y) | |
| Joe T Bozarth | Registered representative | Jun 2014 (12y) | ||
| Patricia Ann Stark | Registered representative | Jun 2014 (12y) | ||
| Phillip Clinton Weaver | Registered representative | CFP | Jun 2014 (12y) | |
| Robert Stewart Stauffer | Registered representative | Jun 2014 (12y) | ||
| Becky Lynn Vogel | Registered representative | Jun 2014 (12y) | ||
| Larry Neal Phillips | Registered representative | Jun 2014 (12y) | ||
| Kenneth J Christman | Registered representative | Jun 2014 (12y) | ||
| Theresa Ann Scott | Registered representative | Jun 2014 (12y) | ||
| Taylor A Loughlin | Registered representative | Jun 2014 (12y) | ||
| David Richard Milling | Registered representative | Jul 2014 (12y) | ||
| William Curtis Blackwill | Registered representative | Jul 2014 (12y) | ||
| Robert Burkhead Hill | Registered representative | Jul 2014 (12y) | ||
| Bradley Winsor Simmons | Registered representative | Jul 2014 (12y) | ||
| David Thomas Midkiff | Registered representative | Jul 2014 (12y) | ||
| Cindy Ann Reilly | Registered representative | Jul 2014 (12y) | ||
| Joseph A Foster | Registered representative | Jul 2014 (12y) | ||
| John E Mcallister | Registered representative | Jul 2014 (12y) | ||
| Karen Okamura Rowe | Registered representative | Aug 2014 (12y) | ||
| Michael Gregory Foster | Registered representative | Aug 2014 (12y) | ||
| James Lebaron Springer | Registered representative | Aug 2014 (12y) | ||
| Rachael Kathe Reeves | Registered representative | Aug 2014 (12y) | ||
| Mary Amato | Registered representative | Aug 2014 (12y) | ||
| Sean Michael Mcfarland | Registered representative | Aug 2014 (12y) | ||
| Jeremy Bradford Duck | Registered representative | Aug 2014 (12y) | ||
| Gregory Eugene Griffin | Registered representative | Aug 2014 (12y) | ||
| Cynthia L Buckman | Registered representative | Sep 2014 (12y) | ||
| Maurice James Griffin | Registered representative | Sep 2014 (12y) | ||
| Sean Malcolm Drinan | Registered representative | Sep 2014 (12y) | ||
| William Solomon Kass | Registered representative | Sep 2014 (12y) | ||
| Eric Wayne Katten | Registered representative | Sep 2014 (12y) | ||
| Kenneth Thomas Bruno | Registered representative | Sep 2014 (12y) | ||
| James Benton Stambaugh | Registered representative | Oct 2014 (12y) | ||
| James Peter Goetz | Registered representative | Oct 2014 (12y) | ||
| Mark Richard Schreder | Registered representative | Oct 2014 (12y) | ||
| Stephen Scott Brown | Registered representative | Oct 2014 (12y) | ||
| Bradley Farrell Richardson | Registered representative | CFP | Oct 2014 (12y) | |
| Charles Michael Kiehn | Registered representative | Oct 2014 (12y) | ||
| Henry Edward Frenzel | Registered representative | CFP | Oct 2014 (12y) | |
| James Edward Klingler | Registered representative | Oct 2014 (12y) | ||
| Phillip Wayne Gann | Registered representative | Oct 2014 (12y) | ||
| Gerald Wayne Fuller | Registered representative | Oct 2014 (12y) | ||
| Raymond Bruce Brady | Registered representative | Oct 2014 (12y) | ||
| Patrick M Dever | Registered representative | Oct 2014 (12y) | ||
| Jennifer Sue Landers | Registered representative | Nov 2014 (12y) | ||
| Rebecca Ann Offerdahl | Registered representative | Nov 2014 (12y) | ||
| Morgan Stanton Nix | Registered representative | Nov 2014 (12y) | ||
| Alan Jeffrey Login | Registered representative | Nov 2014 (12y) | ||
| John Marinus Van Donge | Registered representative | Nov 2014 (12y) | ||
| Marie Aardema Rutherford | Registered representative | Nov 2014 (12y) | ||
| Adam Gewiss | Registered representative | CFP | Dec 2014 (12y) | |
| Garth O Young | Registered representative | CFP | Jan 2015 (12y) | |
| Joellen Wheeler | Registered representative | Jan 2015 (12y) | ||
| Matthew Gregory Wilhelm | Registered representative | Jan 2015 (12y) | ||
| Thomas Alan Weil | Registered representative | Jan 2015 (12y) | ||
| George Jeffrey Edds | Registered representative | Jan 2015 (12y) | ||
| Martin Deyo Lawson | Registered representative | Jan 2015 (12y) | ||
| James Daniel Elston | Registered representative | Jan 2015 (12y) | ||
| Mark Jay Elston | Registered representative | Jan 2015 (12y) | ||
| Timothy Charles Metcalf | Registered representative | Jan 2015 (12y) | ||
| Thomas Andrew Ruder | Registered representative | Jan 2015 (12y) | ||
| Alan Douglas Beatty | Registered representative | CFP | Jan 2015 (12y) | |
| Ellen S Reed | Registered representative | Jan 2015 (12y) | ||
| Theodore James Sturges | Registered representative | Jan 2015 (12y) | ||
| Heidi Melissa Chomatil | Registered representative | Jan 2015 (12y) | ||
| Jonathan Craig Cherkas | Registered representative | Jan 2015 (12y) | ||
| Samanta Billauer | Registered representative | Jan 2015 (12y) | ||
| Kishen Michael Mahendra | Registered representative | Feb 2015 (11y) | ||
| Michael Andrew Kinney | Registered representative | Feb 2015 (11y) | ||
| David Harrison Kinney | Registered representative | Feb 2015 (11y) | ||
| Patricia J Greene | Registered representative | Feb 2015 (11y) | ||
| Joseph Geofrey Travis | Registered representative | Mar 2015 (11y) | ||
| Scott Douglas Baldwin | Registered representative | Mar 2015 (11y) | ||
| Christian Curtis Molvig | Registered representative | Mar 2015 (11y) | ||
| David Wade Kuhns | Registered representative | Mar 2015 (11y) | ||
| Alan Abraham Linker | Registered representative | Mar 2015 (11y) | ||
| Diane Rothberg | Registered representative | CFP | Mar 2015 (11y) | |
| Alison Walker Beirlein Barkley | Registered representative | CFP | Mar 2015 (11y) | |
| Kyle Allen Grossart | Registered representative | Mar 2015 (11y) | ||
| Amy J Aichholz Pachan | Registered representative | Apr 2015 (11y) | ||
| William Harrison Mcwilliams | Registered representative | Apr 2015 (11y) | ||
| Frank Johnson Brand | Registered representative | Apr 2015 (11y) | ||
| Mark Daniel O'loughlin | Registered representative | Apr 2015 (11y) | ||
| Sibyl Catherine Saager Zekic | Registered representative | Apr 2015 (11y) | ||
| William Michael O'malley | Registered representative | Apr 2015 (11y) | ||
| Kenneth Patrick Hanley | Registered representative | Apr 2015 (11y) | ||
| Ashley Breanne Haley | Registered representative | May 2015 (11y) | ||
| Elizabeth Waschow | Registered representative | May 2015 (11y) | ||
| Thomas Edward Martin | Registered representative | May 2015 (11y) | ||
| Fredrick Ross Bennett | Registered representative | May 2015 (11y) | ||
| Anthony Scaglione | Registered representative | May 2015 (11y) | ||
| Dori R Schwartz | Registered representative | Jun 2015 (11y) | ||
| Jeffrey L Haiken | Registered representative | Jun 2015 (11y) | ||
| Lori Ann Riffle | Registered representative | Jun 2015 (11y) | ||
| Christopher Thompson | Registered representative | Jun 2015 (11y) | ||
| Barry Clarence Bruner | Registered representative | Jul 2015 (11y) | ||
| April Lynn Mcdaniel | Registered representative | Jul 2015 (11y) | ||
| Chappell Henry Lipscomb Hill | Registered representative | Jul 2015 (11y) | ||
| Christopher Harris Lane | Registered representative | CFP | Jul 2015 (11y) | |
| Craig Barrow | Registered representative | Jul 2015 (11y) | ||
| Craig L Siena | Registered representative | CFP | Jul 2015 (11y) | |
| David Crenshaw Barrow | Registered representative | Jul 2015 (11y) | ||
| Douglas Edward Duch | Registered representative | Jul 2015 (11y) | ||
| Evan J Price | Registered representative | Jul 2015 (11y) | ||
| G. Cyrus Harden | Registered representative | CFA | Jul 2015 (11y) | |
| Gary Phillip Weaks | Registered representative | Jul 2015 (11y) | ||
| George H Barrow | Registered representative | Jul 2015 (11y) | ||
| Harold Dudley Shollmier | Registered representative | Jul 2015 (11y) | ||
| Harry Duvall Childers | Registered representative | Jul 2015 (11y) | ||
| Henry Andrew Holliday | Registered representative | Jul 2015 (11y) | ||
| Henry Sharpe Lynn | Registered representative | Jul 2015 (11y) | ||
| Holley Katharine Dean | Registered representative | Jul 2015 (11y) | ||
| James Douglas Harris | Registered representative | Jul 2015 (11y) | ||
| James Franklin Dixon | Registered representative | Jul 2015 (11y) | ||
| James Hedges Ferguson | Registered representative | Jul 2015 (11y) | ||
| James Kennerly Werner | Registered representative | Jul 2015 (11y) | ||
| James Robert Alguire | Registered representative | Jul 2015 (11y) | ||
| James Taylor Mcelroy | Registered representative | Jul 2015 (11y) | ||
| James W Adams | Registered representative | Jul 2015 (11y) | ||
| Jeffrey Blair Seton | Registered representative | Jul 2015 (11y) | ||
| Jeffrey W Chase | Registered representative | Jul 2015 (11y) | ||
| John Mark Holliday | Registered representative | CFP | Jul 2015 (11y) | |
| John Medlin Inzer | Registered representative | Jul 2015 (11y) | ||
| John Michael Arthur | Registered representative | Jul 2015 (11y) | ||
| John Ralph Lynch | Registered representative | Jul 2015 (11y) | ||
| John Reese Hamn | Registered representative | Jul 2015 (11y) | ||
| John Vincent Rucker | Registered representative | Jul 2015 (11y) | ||
| Joseph Edward Ringhoffer | Registered representative | Jul 2015 (11y) | ||
| Katherine Elizabeth Starr | Registered representative | Jul 2015 (11y) | ||
| Larry Steve Weddle | Registered representative | Jul 2015 (11y) | ||
| Linda Mcwhirter Daniel | Registered representative | Jul 2015 (11y) | ||
| Mark Richard Myers | Registered representative | Jul 2015 (11y) | ||
| Mat Murfree Johnson | Registered representative | Jul 2015 (11y) | ||
| Michael Owen Barry | Registered representative | Jul 2015 (11y) | ||
| Mona Delaine Mikell | Registered representative | Jul 2015 (11y) | ||
| Neal John Clement | Registered representative | Jul 2015 (11y) | ||
| Neil Morgan Kennedy | Registered representative | Jul 2015 (11y) | ||
| Norman Mcinnis Nicolson | Registered representative | Jul 2015 (11y) | ||
| Patrick James David | Registered representative | Jul 2015 (11y) | ||
| Ralph Lanier Allison | Registered representative | Jul 2015 (11y) | ||
| Reynolds Davis Whatley | Registered representative | Jul 2015 (11y) | ||
| Robert Matthew Muller | Registered representative | Jul 2015 (11y) | ||
| Robert Michael Burkarth | Registered representative | Chartered Financial Consultant | Jul 2015 (11y) | |
| Roger Alan Huse | Registered representative | Jul 2015 (11y) | ||
| Russell Alan Barton | Registered representative | Jul 2015 (11y) | ||
| Ron A Josey | Registered representative | Jul 2015 (11y) | ||
| Sherry D Parker | Registered representative | Jul 2015 (11y) | ||
| Sissy Schram Levy | Registered representative | Jul 2015 (11y) | ||
| Sarah Grace Shannon | Registered representative | Jul 2015 (11y) | ||
| Thomas Emory Ward | Registered representative | Jul 2015 (11y) | ||
| Thomas Griffin Mason | Registered representative | Jul 2015 (11y) | ||
| Thornton Deas Barrow | Registered representative | Jul 2015 (11y) | ||
| Vicki Elaine Cherry | Registered representative | Jul 2015 (11y) | ||
| William Geary Mason | Registered representative | Jul 2015 (11y) | ||
| William Hoke Poe | Registered representative | Jul 2015 (11y) | ||
| William M.K. Oehmig | Registered representative | Jul 2015 (11y) | ||
| William March Moore | Registered representative | Jul 2015 (11y) | ||
| William Warren Barbour Rhett | Registered representative | Jul 2015 (11y) | ||
| Wimberly Dillard Mccoy | Registered representative | Jul 2015 (11y) | ||
| Young Wilkerson Stevenson | Registered representative | Jul 2015 (11y) | ||
| Stephanie Ann Jaso | Registered representative | Jul 2015 (11y) | ||
| David Michael Wittenberg | Registered representative | Jul 2015 (11y) | ||
| Jack Alford Nicholl | Registered representative | Jul 2015 (11y) | ||
| Alexander Stephen Monroe | Registered representative | Jul 2015 (11y) | ||
| Deborah Ann Muenchow | Registered representative | Jul 2015 (11y) | ||
| Robert James Willgoss | Registered representative | CFP | Jul 2015 (11y) | |
| Mark E Johnson | Registered representative | Aug 2015 (11y) | ||
| Kenneth S Alter | Registered representative | Aug 2015 (11y) | ||
| William Clarke Moynihan | Registered representative | Sep 2015 (11y) | ||
| Robert Cristian Kozsan | Registered representative | CFP | Sep 2015 (11y) | |
| Lauren Y Cheung | Registered representative | Sep 2015 (11y) | ||
| Thomas Stanchfield Lee | Registered representative | CFP | Sep 2015 (11y) | |
| Harvey Frank | Registered representative | Sep 2015 (11y) | ||
| Theodore James Lenz | Registered representative | Sep 2015 (11y) | ||
| Andrew Scott Harvey | Registered representative | Sep 2015 (11y) | ||
| Brett David Levinson | Registered representative | Sep 2015 (11y) | ||
| Carla Renee Osbourne | Registered representative | Sep 2015 (11y) | ||
| Wyatt Thomas Farmer | Registered representative | Sep 2015 (11y) | ||
| Catherine Mary Carr | Registered representative | Oct 2015 (11y) | ||
| Lewis H Skinner | Registered representative | Oct 2015 (11y) | ||
| Marcus Alan Causey | Registered representative | Oct 2015 (11y) | ||
| William S Humber | Registered representative | Oct 2015 (11y) | ||
| Steven Lee Hagood | Registered representative | Oct 2015 (11y) | ||
| John Ming Yuen Ark | Registered representative | Oct 2015 (11y) | ||
| Malia Ark Uota | Registered representative | Oct 2015 (11y) | ||
| Michael Wong Ark | Registered representative | Oct 2015 (11y) | ||
| Benjamin Broadbent Weible | Registered representative | Oct 2015 (11y) | ||
| Michael Anthony Phillips | Registered representative | Oct 2015 (11y) | ||
| James Richard Walls | Registered representative | CFP | Oct 2015 (11y) | |
| Kevin R Walls | Registered representative | Oct 2015 (11y) | ||
| Angela Marie Chronister | Registered representative | Oct 2015 (11y) | ||
| James Andrew Williams | Registered representative | Oct 2015 (11y) | ||
| John Kevin O'keefe | Registered representative | Nov 2015 (11y) | ||
| Justin M Carr | Registered representative | Nov 2015 (11y) | ||
| Joann Michell Franklin | Registered representative | Nov 2015 (11y) | ||
| Amanda Leigh Campbell | Registered representative | Dec 2015 (11y) | ||
| Michael Patrick O'keeffe | Registered representative | Dec 2015 (11y) | ||
| Adam Christopher Morgens | Registered representative | CFA | Dec 2015 (11y) | |
| Adam Vartan Topalian | Registered representative | Dec 2015 (11y) | ||
| Adrian Gabriel Sanchez | Registered representative | Dec 2015 (11y) | ||
| Amy Susan Stender | Registered representative | Dec 2015 (11y) | ||
| Ana V Infante | Registered representative | Dec 2015 (11y) | ||
| Andrew Hutsell | Registered representative | Dec 2015 (11y) | ||
| Anthony Whiteman | Registered representative | Dec 2015 (11y) | ||
| Armen K Salbashian | Registered representative | Dec 2015 (11y) | ||
| Brandon Ross Feldman | Registered representative | Dec 2015 (11y) | ||
| Brian Kent Maddox | Registered representative | Dec 2015 (11y) | ||
| Carol Ann Ball | Registered representative | Dec 2015 (11y) | ||
| Caroline Alyssa Sharp | Registered representative | Dec 2015 (11y) | ||
| Chris Myron Boley | Registered representative | Dec 2015 (11y) | ||
| Christopher James Gardner | Registered representative | Dec 2015 (11y) | ||
| Christopher Jerome Prassas | Registered representative | Dec 2015 (11y) | ||
| Christopher Thomas Harrington | Registered representative | Dec 2015 (11y) | ||
| Dale Cash Teat | Registered representative | Dec 2015 (11y) | ||
| David Leslie Bowlin | Registered representative | Dec 2015 (11y) | ||
| David Louis Barker | Registered representative | Dec 2015 (11y) | ||
| David Melamed | Registered representative | Dec 2015 (11y) | ||
| David Rocco Yaccino | Registered representative | Dec 2015 (11y) | ||
| Debbie Sue Hines | Registered representative | Dec 2015 (11y) | ||
| Douglas Robert Bayer | Registered representative | Dec 2015 (11y) | ||
| Edward Robert Phillipp | Registered representative | Dec 2015 (11y) | ||
| Elyssa Joy Kupferberg | Registered representative | Dec 2015 (11y) | ||
| Eric Parker Dennett | Registered representative | Dec 2015 (11y) | ||
| Erik Muller | Registered representative | Dec 2015 (11y) | ||
| Fay Duke Brownlow | Registered representative | Dec 2015 (11y) | ||
| Gary Edward Adkin | Registered representative | Dec 2015 (11y) | ||
| Gary Everett Krieger | Registered representative | Dec 2015 (11y) | ||
| George Makrys | Registered representative | Dec 2015 (11y) | ||
| Gregory Allen Delmonte | Registered representative | Dec 2015 (11y) | ||
| Hovick M Babajanian | Registered representative | Dec 2015 (11y) | ||
| James Gardner Brand | Registered representative | Dec 2015 (11y) | ||
| James Michael Egan | Registered representative | Dec 2015 (11y) | ||
| Jeffrey Sutton Galloway | Registered representative | CFA | Dec 2015 (11y) | |
| Jenny Marie Foley | Registered representative | Dec 2015 (11y) | ||
| John Geras Krimigis | Registered representative | Dec 2015 (11y) | ||
| John Hugh Devlin | Registered representative | Dec 2015 (11y) | ||
| John L Hage | Registered representative | Dec 2015 (11y) | ||
| John Paul Cirigliano | Registered representative | Dec 2015 (11y) | ||
| Jon Gary Brause | Registered representative | Dec 2015 (11y) | ||
| Jonathan H Pakula | Registered representative | Dec 2015 (11y) | ||
| Jordan Roland Larimore | Registered representative | Dec 2015 (11y) | ||
| Katherine Grace Cordtz | Registered representative | Dec 2015 (11y) | ||
| Katherine K Sheridan | Registered representative | CFP | Dec 2015 (11y) | |
| Katherine Margaret Scott | Registered representative | Dec 2015 (11y) | ||
| Kimberly D Koydemir | Registered representative | Dec 2015 (11y) | ||
| Lauren Beth Goldman | Registered representative | Dec 2015 (11y) | ||
| Lori Amoroso | Registered representative | Dec 2015 (11y) | ||
| Lyndsey L Handschiegel | Registered representative | Dec 2015 (11y) | ||
| Mark James Stevenson | Registered representative | Dec 2015 (11y) | ||
| Mark Loren Myers | Registered representative | Dec 2015 (11y) | ||
| Martin Donald Shafiroff | Registered representative | Dec 2015 (11y) | ||
| Matthew Aaron Hodus | Registered representative | Dec 2015 (11y) | ||
| Michael John Reiser | Registered representative | CFA | Dec 2015 (11y) | |
| Michael Joseph Ferrara | Registered representative | Dec 2015 (11y) | ||
| Michael Louis Arpaia | Registered representative | Dec 2015 (11y) | ||
| Michael Steven Gordon | Registered representative | Dec 2015 (11y) | ||
| Michele Huff Powell | Registered representative | Dec 2015 (11y) | ||
| Myles Wagner | Registered representative | CFA | Dec 2015 (11y) | |
| Michelle Colquhoun | Registered representative | Dec 2015 (11y) | ||
| Neil Campbell Stone | Registered representative | Dec 2015 (11y) | ||
| Noble Waggoner Nash | Registered representative | Dec 2015 (11y) | ||
| Paul Cohn Mcclung | Registered representative | Dec 2015 (11y) | ||
| Ria M Hart | Registered representative | CFA | Dec 2015 (11y) | |
| Robert Eric Miller | Registered representative | CFA | Dec 2015 (11y) | |
| Robert Peter Budakian | Registered representative | CFA | Dec 2015 (11y) | |
| Robert Steven Barcellona | Registered representative | Dec 2015 (11y) | ||
| Roger Harris Saks | Registered representative | Dec 2015 (11y) | ||
| Scott Evan Zelnick | Registered representative | Dec 2015 (11y) | ||
| Scott William Macolino | Registered representative | Dec 2015 (11y) | ||
| Sheryl Faye Goldman | Registered representative | Dec 2015 (11y) | ||
| Steven David Alper | Registered representative | Dec 2015 (11y) | ||
| Steven Louis Sweetwood | Registered representative | Dec 2015 (11y) | ||
| Stewart Fred Levy | Registered representative | Dec 2015 (11y) | ||
| Stuart Drummond Buck | Registered representative | Dec 2015 (11y) | ||
| Thomas Mcdonnell | Registered representative | Dec 2015 (11y) | ||
| Thomas Michael Liquori | Registered representative | Dec 2015 (11y) | ||
| Thomas William Lee | Registered representative | Dec 2015 (11y) | ||
| Varun Thomas John | Registered representative | Dec 2015 (11y) | ||
| William Harold Scherr | Registered representative | Dec 2015 (11y) | ||
| William Tryon Jennings | Registered representative | Dec 2015 (11y) | ||
| Yu Fan Chiang | Registered representative | Dec 2015 (11y) | ||
| Jason Scott Parker | Registered representative | Dec 2015 (11y) | ||
| Peter Anthony Nicoletti | Registered representative | Dec 2015 (11y) | ||
| Ron Anthony Bekins | Registered representative | Dec 2015 (11y) | ||
| Robin Lynn Harney | Registered representative | Dec 2015 (11y) | ||
| David James Altman | Registered representative | Jan 2016 (11y) | ||
| Richard Lee Nelson | Registered representative | Jan 2016 (11y) | ||
| Truman Aubie Day | Registered representative | Jan 2016 (11y) | ||
| John Christopher Vernon | Registered representative | Jan 2016 (11y) | ||
| John M Vernon | Registered representative | Jan 2016 (11y) | ||
| Monica Shawn Marti | Registered representative | Jan 2016 (11y) | ||
| Joshua Dillard Williams | Registered representative | CFP | Jan 2016 (11y) | |
| Donald Hite Kinsey | Registered representative | Jan 2016 (11y) | ||
| Shawn James Ezzo | Registered representative | Jan 2016 (11y) | ||
| Travis Penhollow Moss | Registered representative | Jan 2016 (11y) | ||
| Breanna L Mccallum | Registered representative | CFP | Jan 2016 (11y) | |
| Brent Lynn Koetter | Registered representative | Jan 2016 (11y) | ||
| Matthew Joseph Pickett | Registered representative | Feb 2016 (11y) | ||
| Russell Andrew Dibenedetto | Registered representative | Feb 2016 (10y) | ||
| Robert Michael Tomlinson | Registered representative | Feb 2016 (10y) | ||
| David Saul Mann | Registered representative | Feb 2016 (10y) | ||
| Simeon Gavriel Mann | Registered representative | Feb 2016 (10y) | ||
| Brenda Lee Eckenrode | Registered representative | Feb 2016 (10y) | ||
| Michael Paul Niemeier | Registered representative | CFA | Feb 2016 (10y) | |
| Paul Joseph Delongis | Registered representative | Feb 2016 (10y) | ||
| Robert Matthew Bainey | Registered representative | Feb 2016 (10y) | ||
| Graham Walker Curchin | Registered representative | Feb 2016 (10y) | ||
| Timothy Darragh | Registered representative | Feb 2016 (10y) | ||
| Gary Albert Durchholz | Registered representative | CFP | Feb 2016 (10y) | |
| Paul Albert Lariviere | Registered representative | CFP | Mar 2016 (10y) | |
| Tyler Charles Connelly | Registered representative | Mar 2016 (10y) | ||
| Carla Lamb | Registered representative | CFP | Mar 2016 (10y) | |
| Julie Kristine Yother | Registered representative | Mar 2016 (10y) | ||
| Mike Edward Yother | Registered representative | Mar 2016 (10y) | ||
| Richard David Stone | Registered representative | Mar 2016 (10y) | ||
| Karen Lynne Heltzel | Registered representative | Mar 2016 (10y) | ||
| Aron Charles Ewen | Registered representative | Mar 2016 (10y) | ||
| Scott Michael Duff | Registered representative | Mar 2016 (10y) | ||
| Keith Robin Hamer | Registered representative | Mar 2016 (10y) | ||
| Jason William Reed | Registered representative | Apr 2016 (10y) | ||
| Lisa Marie Hartung | Registered representative | Apr 2016 (10y) | ||
| Alexander Charles Gendron | Registered representative | CFP | Apr 2016 (10y) | |
| Gregory Scott Risse | Registered representative | Apr 2016 (10y) | ||
| Adam J Wetli | Registered representative | Apr 2016 (10y) | ||
| James Peter Manos | Registered representative | Apr 2016 (10y) | ||
| Brett Alan Schroeder | Registered representative | Apr 2016 (10y) | ||
| Traci Lynn Murray | Registered representative | May 2016 (10y) | ||
| Brian Payne Wilkinson | Registered representative | May 2016 (10y) | ||
| Christy Lynn Frank | Registered representative | May 2016 (10y) | ||
| Larry Dean Watts | Registered representative | CFP | May 2016 (10y) | |
| Robert John Thompson | Registered representative | May 2016 (10y) | ||
| Caroline Elizabeth Wilson | Registered representative | May 2016 (10y) | ||
| Henry Bradford Berg | Registered representative | May 2016 (10y) | ||
| James Scott Link | Registered representative | May 2016 (10y) | ||
| Tami Peters Bradford | Registered representative | May 2016 (10y) | ||
| Daniel Victor Stolper | Registered representative | May 2016 (10y) | ||
| Aislinn Burkett Baker | Registered representative | May 2016 (10y) | ||
| Jeffrey Barry Levine | Registered representative | May 2016 (10y) | ||
| Sydney Walker | Registered representative | CFP | May 2016 (10y) | |
| Brad Lee Froman | Registered representative | May 2016 (10y) | ||
| Gary Steven Brochin | Registered representative | Jun 2016 (10y) | ||
| Brenda Kay Gooderl | Registered representative | Jun 2016 (10y) | ||
| Rachel Elizabeth Hughes | Registered representative | Jun 2016 (10y) | ||
| Robert William Voorhees | Registered representative | CFP | Jun 2016 (10y) | |
| David Bruce Topkin | Registered representative | Jun 2016 (10y) | ||
| Thomas Shane Launer | Registered representative | Jun 2016 (10y) | ||
| Brian Keith Zirkle | Registered representative | Jun 2016 (10y) | ||
| Matthew John Hickey | Registered representative | CFP | Jun 2016 (10y) | |
| Debra Susan Nygaard | Registered representative | Jun 2016 (10y) | ||
| Lori Ann Lenhof | Registered representative | Jul 2016 (10y) | ||
| Andrew Joseph Means | Registered representative | Jul 2016 (10y) | ||
| William Kablack | Registered representative | Jul 2016 (10y) | ||
| Anitra Jean Kalagian | Registered representative | Jul 2016 (10y) | ||
| Rosemary Ellen Gebhardt | Registered representative | Jul 2016 (10y) | ||
| Bradley William Cook | Registered representative | Jul 2016 (10y) | ||
| Daniel Alexander Long | Registered representative | Jul 2016 (10y) | ||
| Robert Vincent Martin | Registered representative | Jul 2016 (10y) | ||
| Ruth Anne Ludtke | Registered representative | Jul 2016 (10y) | ||
| William Walton Hendry | Registered representative | Jul 2016 (10y) | ||
| Richard Patrick Macdonald | Registered representative | Jul 2016 (10y) | ||
| Mason Converse Billings | Registered representative | Aug 2016 (10y) | ||
| Andrew Robert Wilson | Registered representative | Aug 2016 (10y) | ||
| Jessica Jill Mariucci Kurylowicz | Registered representative | CFP | Aug 2016 (10y) | |
| June Renae Matthysse | Registered representative | Aug 2016 (10y) | ||
| Matthew Benjamin Waldman | Registered representative | Aug 2016 (10y) | ||
| Shawn Michael Kersjes | Registered representative | Aug 2016 (10y) | ||
| Susan Louise Rose | Registered representative | Aug 2016 (10y) | ||
| Valeri Renee Lawson | Registered representative | Aug 2016 (10y) | ||
| Kevin Patrick Cusack | Registered representative | Aug 2016 (10y) | ||
| Steven Barry Disser | Registered representative | Aug 2016 (10y) | ||
| Katherine Nicole Brummet | Registered representative | Aug 2016 (10y) | ||
| Stephen Elliot Dolan | Registered representative | Aug 2016 (10y) | ||
| Paul Matthew Schwerdt | Registered representative | Aug 2016 (10y) | ||
| Karthik Raghupathy | Registered representative | Aug 2016 (10y) | ||
| Dustin Michael Behan | Registered representative | Aug 2016 (10y) | ||
| Natalie Rose Norman | Registered representative | Aug 2016 (10y) | ||
| Evan Andrew Dienstag | Registered representative | Sep 2016 (10y) | ||
| Timothy Joseph Walsh | Registered representative | Sep 2016 (10y) | ||
| Robert Edward Vanes | Registered representative | Sep 2016 (10y) | ||
| Samuel Freeman Russell | Registered representative | Sep 2016 (10y) | ||
| Bradley Thomas Schmidt | Registered representative | Sep 2016 (10y) | ||
| Thomas Ray Schmidt | Registered representative | Sep 2016 (10y) | ||
| James Jason Miller | Registered representative | Sep 2016 (10y) | ||
| Bruce Stanley Dimicco | Registered representative | Sep 2016 (10y) | ||
| Jason M Lefler | Registered representative | Sep 2016 (10y) | ||
| Melissa Jane Falkenbach | Registered representative | Sep 2016 (10y) | ||
| Tricia Louise Sjoholm | Registered representative | Sep 2016 (10y) | ||
| Joseph Phillip Hagen | Registered representative | Sep 2016 (10y) | ||
| Kathryn Elizabeth Peltz | Registered representative | Oct 2016 (10y) | ||
| Gwendolyn May Pooley | Registered representative | Oct 2016 (10y) | ||
| William Eldon Krueger | Registered representative | Oct 2016 (10y) | ||
| Constance Lucille Jones | Registered representative | Oct 2016 (10y) | ||
| John Ronald Honovich | Registered representative | Oct 2016 (10y) | ||
| Richard Charles Zalakar | Registered representative | Oct 2016 (10y) | ||
| James Stephen Myatt | Registered representative | Oct 2016 (10y) | ||
| Kimberly Ann Watkins | Registered representative | Oct 2016 (10y) | ||
| Edward Galbreath Blackman | Registered representative | Oct 2016 (10y) | ||
| Marcus Alexander Wheeler | Registered representative | Oct 2016 (10y) | ||
| Randall Jay Powers | Registered representative | Oct 2016 (10y) | ||
| Hattie Marian Ritchey | Registered representative | Oct 2016 (10y) | ||
| Tricia Lyn Dorcheff | Registered representative | Oct 2016 (10y) | ||
| Jason Robert Rudolph | Registered representative | Oct 2016 (10y) | ||
| Matthew Joseph Portnoy | Registered representative | Oct 2016 (10y) | ||
| Daniel William Wright | Registered representative | Oct 2016 (10y) | ||
| Laurie Anne Anderson | Registered representative | Oct 2016 (10y) | ||
| Michael Robert Anderson | Registered representative | Oct 2016 (10y) | ||
| Ryan Douglas Patton | Registered representative | CFP CFA | Oct 2016 (10y) | |
| Ellen J Cunningham | Registered representative | Nov 2016 (10y) | ||
| Shelley Lynn Taylor Short | Registered representative | Nov 2016 (10y) | ||
| Kathrina Tabangcura Papio | Registered representative | Nov 2016 (10y) | ||
| Raymond Edward Breckenkamp | Registered representative | CFA | Nov 2016 (10y) | |
| James Sean Lebaron | Registered representative | Nov 2016 (10y) | ||
| Edward John Hecker | Registered representative | CFP | Nov 2016 (10y) | |
| Susan E. Whitlock Mercado | Registered representative | Nov 2016 (10y) | ||
| Leland Charles Roider | Registered representative | Nov 2016 (10y) | ||
| Thomas Salvatore Valenza | Registered representative | Dec 2016 (10y) | ||
| Christopher Nicholas Armour | Registered representative | CFA | Dec 2016 (10y) | |
| Melissa Russell | Registered representative | Dec 2016 (10y) | ||
| Richard Ross Williams | Registered representative | Dec 2016 (10y) | ||
| Michael M Anderson | Registered representative | Dec 2016 (10y) | ||
| Kevin Matthew Zawodniak | Registered representative | CFP | Dec 2016 (10y) | |
| Lucas Martin Bruggeman | Registered representative | Jan 2017 (10y) | ||
| David Allen Goldman | Registered representative | Jan 2017 (10y) | ||
| John Patrick Rice | Registered representative | Jan 2017 (10y) | ||
| James Matthew Duncan | Registered representative | Jan 2017 (10y) | ||
| Ryan James Carter | Registered representative | Jan 2017 (10y) | ||
| Zachary Ness Evans | Registered representative | Jan 2017 (10y) | ||
| David Andrew Thomas | Registered representative | Jan 2017 (10y) | ||
| Geoffrey Carl Miller | Registered representative | Jan 2017 (10y) | ||
| William Lewis Milnes | Registered representative | CFP | Feb 2017 (10y) | |
| Zachary Garrett Hageman | Registered representative | Feb 2017 (10y) | ||
| Carlin Todd Murphy | Registered representative | Feb 2017 (9y) | ||
| Mark Andrew Wielinga | Registered representative | Feb 2017 (9y) | ||
| Rosario Joseph Petrizzo | Registered representative | Feb 2017 (9y) | ||
| Gregory Allen Seiler | Registered representative | CFP | Feb 2017 (9y) | |
| Jeffrey Thomas Siefert | Registered representative | CFP | Feb 2017 (9y) | |
| Kent Arthur Ray | Registered representative | Feb 2017 (9y) | ||
| Norma Houser Sellors | Registered representative | Feb 2017 (9y) | ||
| Andrea L. Blassaras | Registered representative | Feb 2017 (9y) | ||
| Andrew Everett Gleaves | Registered representative | Feb 2017 (9y) | ||
| Bonita Anne Prewett Straub | Registered representative | Feb 2017 (9y) | ||
| Brian Howard Jacobson | Registered representative | Feb 2017 (9y) | ||
| Cheri Lynn Jones | Registered representative | Feb 2017 (9y) | ||
| Dante Alighieri Raggio | Registered representative | Feb 2017 (9y) | ||
| Debra Lee Powell | Registered representative | Feb 2017 (9y) | ||
| Diane Therese South | Registered representative | Feb 2017 (9y) | ||
| Elisha Davis Porterfield | Registered representative | CFP | Feb 2017 (9y) | |
| Evan Keith Griffin | Registered representative | CFP | Feb 2017 (9y) | |
| Gregory James Matthews | Registered representative | Feb 2017 (9y) | ||
| Jack Howard Ebbeler | Registered representative | Feb 2017 (9y) | ||
| Jack Michael Harlos | Registered representative | CFP | Feb 2017 (9y) | |
| John Frederick Whitaker | Registered representative | Feb 2017 (9y) | ||
| John Joseph Kennedy | Registered representative | Feb 2017 (9y) | ||
| Kathy Francine Daly | Registered representative | Feb 2017 (9y) | ||
| Leonard Eugene Tanner | Registered representative | Feb 2017 (9y) | ||
| Leslie Ann Shaw | Registered representative | Feb 2017 (9y) | ||
| Malcolm Richardson Frost | Registered representative | Feb 2017 (9y) | ||
| Matthew Robert Burnett | Registered representative | Feb 2017 (9y) | ||
| Paul Christopher Dietz | Registered representative | Feb 2017 (9y) | ||
| Randall Kent Minas | Registered representative | CFP | Feb 2017 (9y) | |
| Robert Dwight Ravensberg | Registered representative | Feb 2017 (9y) | ||
| Sarah Samantha Tallent | Registered representative | CFP | Feb 2017 (9y) | |
| Sharon Marie Williams | Registered representative | Feb 2017 (9y) | ||
| Shawn Allen Sabau | Registered representative | CFP | Feb 2017 (9y) | |
| Suzanne M Marshall | Registered representative | Feb 2017 (9y) | ||
| Thomas Alan Welch | Registered representative | CFP | Feb 2017 (9y) | |
| Thomas Edward Davis | Registered representative | Feb 2017 (9y) | ||
| Timothy Russell Harris | Registered representative | Feb 2017 (9y) | ||
| Teia E Stapleton | Registered representative | Feb 2017 (9y) | ||
| Weston Marc Smith | Registered representative | Mar 2017 (9y) | ||
| Russell Stuart Bailenson | Registered representative | Mar 2017 (9y) | ||
| Jeffrey John Kartheiser | Registered representative | Mar 2017 (9y) | ||
| Judy Ann Barbot | Registered representative | Mar 2017 (9y) | ||
| Christopher D Stoddard | Registered representative | Mar 2017 (9y) | ||
| Michael Scott Hemken | Registered representative | Mar 2017 (9y) | ||
| John G. Scott | Registered representative | CFP | Mar 2017 (9y) | |
| Rebecca Marie Hellman | Registered representative | Mar 2017 (9y) | ||
| Eric Todd Dimino | Registered representative | CFP | Mar 2017 (9y) | |
| Matthew Clifford Battenberg | Registered representative | Mar 2017 (9y) | ||
| Jennifer Elizabeth Miller | Registered representative | Mar 2017 (9y) | ||
| Stacey Maria Hayes | Registered representative | Apr 2017 (9y) | ||
| Jon Randall Garberg | Registered representative | Apr 2017 (9y) | ||
| Brian Sisler Drochelman | Registered representative | Apr 2017 (9y) | ||
| Amy Faye Cranfill | Registered representative | Apr 2017 (9y) | ||
| Donna J. Kane | Registered representative | CFP | May 2017 (9y) | |
| Eleanor Loyce Jordan | Registered representative | May 2017 (9y) | ||
| Rena Marie Fields | Registered representative | May 2017 (9y) | ||
| Nicholas Paul De Longis | Registered representative | Jun 2017 (9y) | ||
| Christopher Thomas Barbee | Registered representative | CFP | Jun 2017 (9y) | |
| Jennifer Lee Cockman | Registered representative | Jun 2017 (9y) | ||
| Murray B Segal | Registered representative | Jun 2017 (9y) | ||
| Kevin James Ortmeyer | Registered representative | Jun 2017 (9y) | ||
| Kimberly Minter Perry | Registered representative | Jun 2017 (9y) | ||
| Patrick John Mclaughlin | Registered representative | Jun 2017 (9y) | ||
| Craig Raymond Slosson | Registered representative | Jun 2017 (9y) | ||
| Patricia Jeannine Tippins | Registered representative | Jun 2017 (9y) | ||
| James J Ferrie | Registered representative | Jul 2017 (9y) | ||
| Alice Ann Cameron Roth | Registered representative | Jul 2017 (9y) | ||
| Pratik Nitin Jhaveri | Registered representative | Jul 2017 (9y) | ||
| Bradley Robert Beckmann | Registered representative | Aug 2017 (9y) | ||
| Bobbi Michelle Johnson | Registered representative | Aug 2017 (9y) | ||
| Nicholas George Dukas | Registered representative | Aug 2017 (9y) | ||
| Henry Scott Kruse | Registered representative | Aug 2017 (9y) | ||
| Robert Edward Schmidt | Registered representative | Aug 2017 (9y) | ||
| Mark Ernest Cissel | Registered representative | Aug 2017 (9y) | ||
| Susan Elizabeth Ramsey | Registered representative | Aug 2017 (9y) | ||
| Brent Lee King | Registered representative | Aug 2017 (9y) | ||
| Kathleen Brown | Registered representative | Aug 2017 (9y) | ||
| Nicholas Charles Distefano | Registered representative | Aug 2017 (9y) | ||
| Angela Marie Johnson | Registered representative | Sep 2017 (9y) | ||
| Christopher Manion Brennan | Registered representative | CFP | Sep 2017 (9y) | |
| Elizabeth I Walz | Registered representative | Sep 2017 (9y) | ||
| Lia M Read | Registered representative | Sep 2017 (9y) | ||
| Steven Mark Friese | Registered representative | Sep 2017 (9y) | ||
| Timothy Alan Parkison | Registered representative | Sep 2017 (9y) | ||
| Amandus Conrad Frey | Registered representative | Sep 2017 (9y) | ||
| Omar Latif | Registered representative | Sep 2017 (9y) | ||
| Harold Robert Sorley | Registered representative | Sep 2017 (9y) | ||
| Brian Christopher Klos | Registered representative | CFA | Oct 2017 (9y) | |
| Korey Cleaver Kletschke | Registered representative | CFP Chartered Financial Consultant | Oct 2017 (9y) | |
| Katrina Pauline Browne | Registered representative | Oct 2017 (9y) | ||
| Jason Nicholas Dukas | Registered representative | Oct 2017 (9y) | ||
| Steven Daniel Dailey | Registered representative | CFP | Oct 2017 (9y) | |
| Danny L Mcneely | Registered representative | Oct 2017 (9y) | ||
| Mark P Sullivan | Registered representative | Oct 2017 (9y) | ||
| Richard Francis Crosby | Registered representative | Oct 2017 (9y) | ||
| Misty Claerbout | Registered representative | Oct 2017 (9y) | ||
| Phillip Robert Rogers | Registered representative | Oct 2017 (9y) | ||
| Brandt James Hakanson | Registered representative | Nov 2017 (9y) | ||
| Henry Michael Enno | Registered representative | Nov 2017 (9y) | ||
| Christa Rosina Dibiase | Registered representative | Nov 2017 (9y) | ||
| Kenneth Carl Ramos | Registered representative | Nov 2017 (9y) | ||
| Scott A Fuhrman | Registered representative | Nov 2017 (9y) | ||
| Kevin Scott Monton | Registered representative | Nov 2017 (9y) | ||
| Philip James Macdonald | Registered representative | Nov 2017 (9y) | ||
| Daniel John Caputa | Registered representative | Nov 2017 (9y) | ||
| Leslie Marie Nelson | Registered representative | Nov 2017 (9y) | ||
| Stephen Mark Bender | Registered representative | Nov 2017 (9y) | ||
| Simon N Dickinson | Registered representative | Nov 2017 (9y) | ||
| Eric Steven Schmittgens | Registered representative | Nov 2017 (9y) | ||
| David Herman Safarian | Registered representative | Nov 2017 (9y) | ||
| Matthew Forrest Welborn | Registered representative | CFP | Nov 2017 (9y) | |
| Analisa Renee Eilers | Registered representative | Dec 2017 (9y) | ||
| Joseph Bailey Vaughan | Registered representative | CFP | Dec 2017 (9y) | |
| Mista Ann Siagel | Registered representative | Dec 2017 (9y) | ||
| Tamara Denice Fain | Registered representative | Dec 2017 (9y) | ||
| Andrea Attwood | Registered representative | Dec 2017 (9y) | ||
| Christopher John Rodriguez | Registered representative | CFP | Dec 2017 (9y) | |
| Keith Alan Holzwarth | Registered representative | Dec 2017 (9y) | ||
| Sonia A Gross | Registered representative | Dec 2017 (9y) | ||
| Timothy J Hantak | Registered representative | CFP | Dec 2017 (9y) | |
| Christopher William Marcus | Registered representative | Dec 2017 (9y) | ||
| Evan James Sturges | Registered representative | Dec 2017 (9y) | ||
| Anthony R Ruscigno | Registered representative | Jan 2018 (9y) | ||
| Laura Ann Schnell | Registered representative | Jan 2018 (9y) | ||
| Mark Daniel Chirgwin | Registered representative | Jan 2018 (9y) | ||
| Michael Chun Chieh Lee | Registered representative | Jan 2018 (9y) | ||
| Geoffrey Paul Espe | Registered representative | CFA | Jan 2018 (9y) | |
| Devon Kobuke Schmidt | Registered representative | Jan 2018 (9y) | ||
| Anthony James Lauzon | Registered representative | Jan 2018 (9y) | ||
| Thomas William Hankins | Registered representative | Jan 2018 (9y) | ||
| Allison Justine Kenly | Registered representative | Jan 2018 (9y) | ||
| Gregory Charles Greenberg | Registered representative | CFP | Jan 2018 (9y) | |
| Joanne L Hoffman | Registered representative | Jan 2018 (9y) | ||
| Blake Richard Hamer | Registered representative | CFP | Jan 2018 (9y) | |
| Deryk Thomsen | Registered representative | Jan 2018 (9y) | ||
| Gregory John Nelson | Registered representative | CFP | Jan 2018 (9y) | |
| Frederick Charles Shibel | Registered representative | Jan 2018 (9y) | ||
| Jon M Randall | Registered representative | Jan 2018 (9y) | ||
| Samuel Harrison Williams | Registered representative | CFP | Jan 2018 (9y) | |
| Christy N Hornaday | Registered representative | Jan 2018 (9y) | ||
| Eric Shawn Richter | Registered representative | Jan 2018 (9y) | ||
| Bryan Lee Sachan | Registered representative | Feb 2018 (8y) | ||
| Adam Michael Chustz | Registered representative | Feb 2018 (8y) | ||
| Michael Ward Silverman | Registered representative | Feb 2018 (8y) | ||
| Alison Margaret Lucille Mc Quaid | Registered representative | Feb 2018 (8y) | ||
| Stephen M Thomsen | Registered representative | CFP | Feb 2018 (8y) | |
| Blakely Chase Hall | Registered representative | Feb 2018 (8y) | ||
| Harmony Star Bozes Sherlock | Registered representative | Feb 2018 (8y) | ||
| Daniel Stuart Newell | Registered representative | Mar 2018 (8y) | ||
| Herbert Charles Buchbinder | Registered representative | Mar 2018 (8y) | ||
| Mary J Swanson | Registered representative | Mar 2018 (8y) | ||
| Sailing David Adler | Registered representative | Mar 2018 (8y) | ||
| Donald Peter Frio | Registered representative | Mar 2018 (8y) | ||
| Ashley Renee Dutta | Registered representative | Mar 2018 (8y) | ||
| Andrew J Bransky | Registered representative | Mar 2018 (8y) | ||
| Andrew Michael Wiziarde | Registered representative | CFP | Mar 2018 (8y) | |
| Angela Marie Jaeger | Registered representative | Mar 2018 (8y) | ||
| Antony Kasimir Close | Registered representative | Mar 2018 (8y) | ||
| Bradley James Wehner | Registered representative | Mar 2018 (8y) | ||
| Cassandra Jean Meixelsperger | Registered representative | CFP | Mar 2018 (8y) | |
| Caleb Pick Keshemberg | Registered representative | Mar 2018 (8y) | ||
| Chris Allen Williams | Registered representative | Mar 2018 (8y) | ||
| Daniel Jay Aiken | Registered representative | Mar 2018 (8y) | ||
| David John Vollmar | Registered representative | Mar 2018 (8y) | ||
| Denise Marie Klemens | Registered representative | CFP | Mar 2018 (8y) | |
| Dennis James Johnson | Registered representative | Mar 2018 (8y) | ||
| Dryden James Geronimi | Registered representative | Mar 2018 (8y) | ||
| Jacob William Bain | Registered representative | Mar 2018 (8y) | ||
| Jason James Crouch | Registered representative | Mar 2018 (8y) | ||
| Joan W Markus | Registered representative | Mar 2018 (8y) | ||
| Joseph Henry Murphy | Registered representative | Mar 2018 (8y) | ||
| Judith K Schultz | Registered representative | Mar 2018 (8y) | ||
| Kurt Deforest Waid | Registered representative | Mar 2018 (8y) | ||
| Lay Carl Rosenheimer | Registered representative | Mar 2018 (8y) | ||
| Mark Wayne Severson | Registered representative | CFP | Mar 2018 (8y) | |
| Matthew John Andrews | Registered representative | Mar 2018 (8y) | ||
| Melinda Agnes Wacker | Registered representative | Mar 2018 (8y) | ||
| Michael Alan Kramer | Registered representative | Mar 2018 (8y) | ||
| Michael Gordon Knutson | Registered representative | Mar 2018 (8y) | ||
| Nathan T Farr | Registered representative | CFP | Mar 2018 (8y) | |
| Nicholas James Corrente | Registered representative | Mar 2018 (8y) | ||
| Peter Shanovich | Registered representative | Mar 2018 (8y) | ||
| Richard John Pesich | Registered representative | Mar 2018 (8y) | ||
| Robert Joseph Hellman | Registered representative | Mar 2018 (8y) | ||
| Scott Allen Measner | Registered representative | Mar 2018 (8y) | ||
| Scott David Steinke | Registered representative | Mar 2018 (8y) | ||
| Steven Louis Zimmermann | Registered representative | Mar 2018 (8y) | ||
| Steven Michael Luterbach | Registered representative | Mar 2018 (8y) | ||
| Shannon A Witt | Registered representative | Mar 2018 (8y) | ||
| Trent Allen Barringer | Registered representative | Mar 2018 (8y) | ||
| Wayne Spencer Frank | Registered representative | Mar 2018 (8y) | ||
| Willard Eldon Bransky | Registered representative | Mar 2018 (8y) | ||
| William Gerard Morse | Registered representative | CFP | Mar 2018 (8y) | |
| William Peter Lynch | Registered representative | CFP | Mar 2018 (8y) | |
| Chase Barstad Metcalf | Registered representative | Mar 2018 (8y) | ||
| Douglas John Jobman | Registered representative | CFP | Mar 2018 (8y) | |
| Elizabeth Andrea Allen | Registered representative | Mar 2018 (8y) | ||
| Robert Anthony Johnson | Registered representative | Apr 2018 (8y) | ||
| Eric Mitchell Keling | Registered representative | Apr 2018 (8y) | ||
| Michael John Witous | Registered representative | Apr 2018 (8y) | ||
| Thomas Joseph Thives | Registered representative | Apr 2018 (8y) | ||
| Antonel Urdes | Registered representative | Apr 2018 (8y) | ||
| Bianca F. Urdes | Registered representative | Apr 2018 (8y) | ||
| Kenneth David Miller | Registered representative | Apr 2018 (8y) | ||
| Ryan Ashton Josey | Registered representative | Apr 2018 (8y) | ||
| Cheryl Lynn Wilczak | Registered representative | Apr 2018 (8y) | ||
| William Joseph Hance | Registered representative | Apr 2018 (8y) | ||
| Dane Allan Anderson | Registered representative | Apr 2018 (8y) | ||
| Randall Kyle Anderson | Registered representative | Apr 2018 (8y) | ||
| Robin J Goff | Registered representative | May 2018 (8y) | ||
| Robert Joseph Fenton | Registered representative | May 2018 (8y) | ||
| Asma Mahmood | Registered representative | May 2018 (8y) | ||
| Kevin Charles Wilday | Registered representative | CFP | May 2018 (8y) | |
| Michelle Christine Stebbins | Registered representative | May 2018 (8y) | ||
| Cynthia Vita Vogel | Registered representative | May 2018 (8y) | ||
| Christian Asmus Comberg | Registered representative | May 2018 (8y) | ||
| Kenneth Lauranzano | Registered representative | May 2018 (8y) | ||
| Michael J Heckmann | Registered representative | May 2018 (8y) | ||
| James Scott Auw | Registered representative | CFP | Jun 2018 (8y) | |
| Joseph Charles Rathert | Registered representative | Jun 2018 (8y) | ||
| Tashia Union Joseph | Registered representative | Jun 2018 (8y) | ||
| Kevin John Schindler | Registered representative | Jun 2018 (8y) | ||
| Patrick Merrill | Registered representative | CFP CFA | Jun 2018 (8y) | |
| Michael B Mc Namee | Registered representative | Jun 2018 (8y) | ||
| Jeffrey Harold Hughes | Registered representative | Jun 2018 (8y) | ||
| Janet Lisa Stamato | Registered representative | Jun 2018 (8y) | ||
| Joe Anthony Wiss | Registered representative | CFP | Jun 2018 (8y) | |
| Morgan Crutchley | Registered representative | Jun 2018 (8y) | ||
| David Anthony Beach | Registered representative | Jun 2018 (8y) | ||
| Ashlee L Ashlock | Registered representative | Jun 2018 (8y) | ||
| Howard Ashlock | Registered representative | CFP | Jun 2018 (8y) | |
| Jonathan Isler | Registered representative | Jun 2018 (8y) | ||
| Steven Elliot Gottesman | Registered representative | Jun 2018 (8y) | ||
| Lee C O'rourke | Registered representative | Jun 2018 (8y) | ||
| John Brendan Wolverton | Registered representative | Jun 2018 (8y) | ||
| Joshua Brendan Wolverton | Registered representative | Jun 2018 (8y) | ||
| John David Williams | Registered representative | CFP | Jul 2018 (8y) | |
| Michael Anthony Vaughn | Registered representative | Jul 2018 (8y) | ||
| Kristen Elizabeth Samp | Registered representative | Jul 2018 (8y) | ||
| Scot Gilbert Sinkler | Registered representative | Jul 2018 (8y) | ||
| Shelley Schudlich | Registered representative | Jul 2018 (8y) | ||
| Kerry John Mangano | Registered representative | Jul 2018 (8y) | ||
| Jeffrey Tyler Luedke | Registered representative | Jul 2018 (8y) | ||
| Michael William Armon | Registered representative | Jul 2018 (8y) | ||
| Thomas Wren Bell | Registered representative | Jul 2018 (8y) | ||
| Jeffrey Stewart Sutton | Registered representative | Jul 2018 (8y) | ||
| Margaret Sangster Jimenez | Registered representative | Jul 2018 (8y) | ||
| Craig Alan Braun | Registered representative | Aug 2018 (8y) | ||
| Matt Scott Turnbull | Registered representative | CFP | Aug 2018 (8y) | |
| Brenda Ann Stone | Registered representative | Aug 2018 (8y) | ||
| Russ Brian Schwartz | Registered representative | Aug 2018 (8y) | ||
| Paul Kim | Registered representative | Aug 2018 (8y) | ||
| Michael Joe Anderson | Registered representative | CFP | Aug 2018 (8y) | |
| Theodore Lawrence Korodan | Registered representative | Aug 2018 (8y) | ||
| Scott John Helland | Registered representative | Aug 2018 (8y) | ||
| Craig Edward Johnson | Registered representative | Aug 2018 (8y) | ||
| Amy Lanning | Registered representative | CFP | Aug 2018 (8y) | |
| David William Manning | Registered representative | Aug 2018 (8y) | ||
| Patrick Todd Strehl | Registered representative | Aug 2018 (8y) | ||
| Virginia K Panjvani | Registered representative | Sep 2018 (8y) | ||
| Jerod Raymond Havel | Registered representative | Sep 2018 (8y) | ||
| Vicki Lynn Bayley | Registered representative | Sep 2018 (8y) | ||
| Johnson Powell Noerdlinger | Registered representative | Sep 2018 (8y) | ||
| Thomas Joseph Cotrone | Registered representative | Sep 2018 (8y) | ||
| Eric P Conover | Registered representative | Sep 2018 (8y) | ||
| John Barry Jenkins | Registered representative | Sep 2018 (8y) | ||
| Brian Patrick Thomas | Registered representative | Sep 2018 (8y) | ||
| Jeff F Schimmelpfennig | Registered representative | Sep 2018 (8y) | ||
| Krystal J Tambling | Registered representative | Sep 2018 (8y) | ||
| Michael Joseph Bruner | Registered representative | Sep 2018 (8y) | ||
| Ronald Stuart Ouwenga | Registered representative | CFP | Sep 2018 (8y) | |
| Zachary J. Birkey | Registered representative | CFP | Sep 2018 (8y) | |
| Craig Laurence Whitten | Registered representative | Sep 2018 (8y) | ||
| Daniel Colgan Riley | Registered representative | CFP | Sep 2018 (8y) | |
| John Mark Cash | Registered representative | Sep 2018 (8y) | ||
| Patrick Edward Phillipp | Registered representative | Sep 2018 (8y) | ||
| Erin Isler | Registered representative | Sep 2018 (8y) | ||
| Thomas Phillip Laporte | Registered representative | Sep 2018 (8y) | ||
| Von Alan Hallauer | Registered representative | Sep 2018 (8y) | ||
| David Motsonelidze | Registered representative | CFA | Oct 2018 (8y) | |
| Robert David Cohen | Registered representative | Oct 2018 (8y) | ||
| Daniel Long | Registered representative | Oct 2018 (8y) | ||
| Heidi Rae Lafave | Registered representative | Oct 2018 (8y) | ||
| Terrance Dandridge | Registered representative | Oct 2018 (8y) | ||
| Brian Richard Drozdowicz | Registered representative | Oct 2018 (8y) | ||
| Elliot Clayton Treece | Registered representative | Oct 2018 (8y) | ||
| Kevin Patrick Vogel | Registered representative | Oct 2018 (8y) | ||
| Carl Thomas Petersen | Registered representative | Oct 2018 (8y) | ||
| Christopher Joseph Buccheri | Registered representative | CFP | Oct 2018 (8y) | |
| David John Harris | Registered representative | Oct 2018 (8y) | ||
| Nancy J Van Loo | Registered representative | Oct 2018 (8y) | ||
| William Stuart Scott | Registered representative | Nov 2018 (8y) | ||
| James Montgomery Gregg | Registered representative | Nov 2018 (8y) | ||
| Eric Kenneth Judd | Registered representative | Nov 2018 (8y) | ||
| Frederick Martin Ross | Registered representative | CFP | Nov 2018 (8y) | |
| Perry Deane Stannard | Registered representative | Nov 2018 (8y) | ||
| Andrew T Lenda | Registered representative | Nov 2018 (8y) | ||
| Kyle Jaron Adams | Registered representative | Nov 2018 (8y) | ||
| Lisa Kay Reichert | Registered representative | Nov 2018 (8y) | ||
| Richard Vern Hueter | Registered representative | Nov 2018 (8y) | ||
| Kellie Lea Hueter | Registered representative | Nov 2018 (8y) | ||
| Douglas Keith Creech | Registered representative | Nov 2018 (8y) | ||
| Samuel Andrew Gleaves | Registered representative | CFP | Nov 2018 (8y) | |
| Anne Cole Billings | Registered representative | Dec 2018 (8y) | ||
| Robert Andrew Mayer | Registered representative | CFA | Dec 2018 (8y) | |
| Mark Pablo Enriquez | Registered representative | Dec 2018 (8y) | ||
| Kelly Andrews | Registered representative | CFP | Dec 2018 (8y) | |
| Erin Catherine Brady | Registered representative | Dec 2018 (8y) | ||
| Joseph P Brady | Registered representative | Dec 2018 (8y) | ||
| John Michael Mccormick | Registered representative | Dec 2018 (8y) | ||
| James Henry Cummings | Registered representative | Jan 2019 (8y) | ||
| William Johnston Darby | Registered representative | Jan 2019 (8y) | ||
| Austin Hamilton | Registered representative | Jan 2019 (8y) | ||
| Todd A Metcalf | Registered representative | Jan 2019 (8y) | ||
| Bradley Aaron Clasen | Registered representative | Jan 2019 (8y) | ||
| Jeffrey Allen Scheper | Registered representative | CFP | Jan 2019 (8y) | |
| Todd Addison Haacke | Registered representative | Jan 2019 (8y) | ||
| Todd Allen Hicks | Registered representative | Jan 2019 (8y) | ||
| Frances Ann Peeples | Registered representative | Jan 2019 (8y) | ||
| Michael Chris Nielsen | Registered representative | Jan 2019 (8y) | ||
| Toni Lynn Rose | Registered representative | Jan 2019 (8y) | ||
| Anna Marie Chevrier | Registered representative | Jan 2019 (8y) | ||
| Matt T Ardoyno | Registered representative | Jan 2019 (8y) | ||
| Nicole Jacqueline Hansen | Registered representative | Jan 2019 (8y) | ||
| Lori Rose Attanasio | Registered representative | Jan 2019 (8y) | ||
| Sarah M Mccarthy | Registered representative | Feb 2019 (7y) | ||
| Leigh Anne Gage | Registered representative | CFP | Feb 2019 (7y) | |
| Stuart Mark Swift | Registered representative | CFP | Feb 2019 (7y) | |
| Thomas Eugene Lieser | Registered representative | CFP | Feb 2019 (7y) | |
| Tom Awadalla | Registered representative | CFP | Feb 2019 (7y) | |
| George Charter Harrison | Registered representative | Feb 2019 (7y) | ||
| Michele Antoinette Behling | Registered representative | CFP | Feb 2019 (7y) | |
| Beth Marie Radcliff | Registered representative | Feb 2019 (7y) | ||
| James Lawrence Diblasi | Registered representative | Feb 2019 (7y) | ||
| Denise M Williams | Registered representative | Feb 2019 (7y) | ||
| James Lin | Registered representative | Feb 2019 (7y) | ||
| Larry Howard Lehrman | Registered representative | Feb 2019 (7y) | ||
| Michael Emmett Flood | Registered representative | CFP | Feb 2019 (7y) | |
| William Dickinson Linas | Registered representative | Feb 2019 (7y) | ||
| John Kevin Schmidt | Registered representative | CFP | Feb 2019 (7y) | |
| Grayson Glenn Hopper | Registered representative | Mar 2019 (7y) | ||
| Leah Anne Goldenthal | Registered representative | Mar 2019 (7y) | ||
| Mark Phillip Melillo | Registered representative | Mar 2019 (7y) | ||
| David Raymond Parker | Registered representative | Mar 2019 (7y) | ||
| Michael Joseph Connors | Registered representative | Mar 2019 (7y) | ||
| Francine Lee Frechter | Registered representative | Mar 2019 (7y) | ||
| Jennifer Lynn Standley | Registered representative | Mar 2019 (7y) | ||
| David Fielding Havens | Registered representative | Mar 2019 (7y) | ||
| John Francis Lee | Registered representative | Mar 2019 (7y) | ||
| Kevin Brian Lyall | Registered representative | Mar 2019 (7y) | ||
| Kerrie L Kik | Registered representative | Mar 2019 (7y) | ||
| Michael John Hubbard Thompson | Registered representative | Mar 2019 (7y) | ||
| Robert Craig Henry | Registered representative | Mar 2019 (7y) | ||
| Derek John Downing | Registered representative | Mar 2019 (7y) | ||
| Dylan Steven Levy | Registered representative | Mar 2019 (7y) | ||
| Geoffrey Blair Ringstad | Registered representative | Mar 2019 (7y) | ||
| Jeremy Tyler Lucas | Registered representative | Mar 2019 (7y) | ||
| Luke Donenfeld | Registered representative | Mar 2019 (7y) | ||
| Maria Nina Morhous | Registered representative | Mar 2019 (7y) | ||
| Terry Lee Froeber | Registered representative | Mar 2019 (7y) | ||
| Daniel Stewart Houston | Registered representative | CFA | Mar 2019 (7y) | |
| Gregory Peter Wirthmann | Registered representative | CFA | Mar 2019 (7y) | |
| Barry Michael Butera | Registered representative | Mar 2019 (7y) | ||
| Trissa Yvonne Monaghan | Registered representative | Mar 2019 (7y) | ||
| Paul Christian Slivon | Registered representative | Mar 2019 (7y) | ||
| Jonathan S Peris | Registered representative | Mar 2019 (7y) | ||
| Kyle Ray Owens | Registered representative | Mar 2019 (7y) | ||
| William J Supper | Registered representative | CFP | Mar 2019 (7y) | |
| Anna E Owens | Registered representative | Apr 2019 (7y) | ||
| Gary Allen | Registered representative | Apr 2019 (7y) | ||
| Jon Anton Ondracek | Registered representative | Apr 2019 (7y) | ||
| Peggy Lee Allen | Registered representative | Apr 2019 (7y) | ||
| Ron Armand Benoit | Registered representative | Apr 2019 (7y) | ||
| Robert B Babcock | Registered representative | Apr 2019 (7y) | ||
| Annie Yang | Registered representative | Apr 2019 (7y) | ||
| Craig Michael Bentley | Registered representative | Apr 2019 (7y) | ||
| Raymond Dean Martin | Registered representative | Apr 2019 (7y) | ||
| John Hunter Tillotson | Registered representative | Apr 2019 (7y) | ||
| Meaghan Anne Schulte | Registered representative | Apr 2019 (7y) | ||
| Scott R Dolan | Registered representative | Apr 2019 (7y) | ||
| Jonathan Drew Uffelman | Registered representative | Apr 2019 (7y) | ||
| Maral Thomas | Registered representative | Apr 2019 (7y) | ||
| Michael Clark Pascarella | Registered representative | Apr 2019 (7y) | ||
| John Robert Patterson | Registered representative | Apr 2019 (7y) | ||
| John R Koeijmans | Registered representative | Apr 2019 (7y) | ||
| Lance Clayton Whitworth | Registered representative | Apr 2019 (7y) | ||
| Nicole Qui Sumer | Registered representative | Apr 2019 (7y) | ||
| Ryan M Schack | Registered representative | Apr 2019 (7y) | ||
| Mark Scaglione | Registered representative | Apr 2019 (7y) | ||
| Timothy R Sickler | Registered representative | Apr 2019 (7y) | ||
| Marco Angelo Comichista | Registered representative | May 2019 (7y) | ||
| Eric Wendell Allen | Registered representative | May 2019 (7y) | ||
| Bruce Joseph Ticknor | Registered representative | May 2019 (7y) | ||
| Alec Christopher Jones | Registered representative | May 2019 (7y) | ||
| Clinton Edward Anderson | Registered representative | May 2019 (7y) | ||
| Kurt Muller | Registered representative | May 2019 (7y) | ||
| Bradford John Jackson | Registered representative | May 2019 (7y) | ||
| Deanna Jean Mercurio | Registered representative | May 2019 (7y) | ||
| Joshua Kaleb Wiley | Registered representative | May 2019 (7y) | ||
| Bart Alan Reese | Registered representative | CFP | May 2019 (7y) | |
| Kendall Elkins | Registered representative | May 2019 (7y) | ||
| Teresa J Black | Registered representative | May 2019 (7y) | ||
| Zachary R Williams | Registered representative | May 2019 (7y) | ||
| Gina Berry | Registered representative | Jun 2019 (7y) | ||
| Taylor Edward Browman | Registered representative | Jun 2019 (7y) | ||
| Tyler Mark Weaver | Registered representative | Jun 2019 (7y) | ||
| Erik Mclean Melville | Registered representative | CFP | Jun 2019 (7y) | |
| Jason Bruce Yaeger | Registered representative | Jun 2019 (7y) | ||
| Mitchell Ahrash Farsad | Registered representative | Jun 2019 (7y) | ||
| Amanda L Dodson | Registered representative | Jun 2019 (7y) | ||
| Jeanine Marie Gaston | Registered representative | Jun 2019 (7y) | ||
| Stephen John Sosangelis | Registered representative | Jun 2019 (7y) | ||
| David Michael Bry | Registered representative | Jun 2019 (7y) | ||
| Steven J Clark | Registered representative | Jun 2019 (7y) | ||
| Mark Alan Siver | Registered representative | Jun 2019 (7y) | ||
| Eric Leigh Jacobs | Registered representative | Jun 2019 (7y) | ||
| Thomas L Lawrence Huber | Registered representative | Jun 2019 (7y) | ||
| Christopher J Patterson | Registered representative | CFP | Jun 2019 (7y) | |
| Katelyn Rene Smith | Registered representative | CFP | Jun 2019 (7y) | |
| Lynn Christine Syler | Registered representative | Jun 2019 (7y) | ||
| Mark Alan Gallinatti | Registered representative | Jun 2019 (7y) | ||
| Rhonda Lynn Smith | Registered representative | Jun 2019 (7y) | ||
| David William Holler | Registered representative | Jun 2019 (7y) | ||
| Ranjeet Rai | Registered representative | Jun 2019 (7y) | ||
| Tracy K Johnston | Registered representative | CFP | Jun 2019 (7y) | |
| Robert George Rix | Registered representative | CFP | Jun 2019 (7y) | |
| Josephine Frances Mastilak | Registered representative | CFP | Jun 2019 (7y) | |
| Sean Edward Andrew Westbrook | Registered representative | Jun 2019 (7y) | ||
| Donald Arthur Bernard | Registered representative | Jul 2019 (7y) | ||
| Robyn Lyn Parks | Registered representative | Jul 2019 (7y) | ||
| Jacquelyn P Pleimann Hern | Registered representative | Jul 2019 (7y) | ||
| John William Madison | Registered representative | Jul 2019 (7y) | ||
| Christina A Karas | Registered representative | Jul 2019 (7y) | ||
| William Hubert Fitzgerald | Registered representative | Jul 2019 (7y) | ||
| Debra Abrahams Weiner | Registered representative | Jul 2019 (7y) | ||
| Robert G Walker | Registered representative | Jul 2019 (7y) | ||
| William Herbert Caruana | Registered representative | Jul 2019 (7y) | ||
| Thomas Paul Brehm | Registered representative | Jul 2019 (7y) | ||
| William Bradford Jolly | Registered representative | Jul 2019 (7y) | ||
| Gary Lynn Williams | Registered representative | Jul 2019 (7y) | ||
| Kevin John Bay | Registered representative | Jul 2019 (7y) | ||
| Dawn Inez Castro | Registered representative | Jul 2019 (7y) | ||
| Stephen Alexander Samter | Registered representative | Jul 2019 (7y) | ||
| Bruce John Keenan | Registered representative | CFP | Aug 2019 (7y) | |
| Richard Elliot Griffler | Registered representative | Aug 2019 (7y) | ||
| James Howard Campbell | Registered representative | Aug 2019 (7y) | ||
| Frederick Scott Witham | Registered representative | Aug 2019 (7y) | ||
| John Pethokoukis | Registered representative | Aug 2019 (7y) | ||
| Cameron Blair Huggins | Registered representative | Aug 2019 (7y) | ||
| Stephen C Huggins | Registered representative | Aug 2019 (7y) | ||
| Eric Daniel Wigton | Registered representative | Aug 2019 (7y) | ||
| Edward Franklin Abbey | Registered representative | Aug 2019 (7y) | ||
| Jeremy Daniel Huggins | Registered representative | Sep 2019 (7y) | ||
| Harold Perry Uszerowicz | Registered representative | Sep 2019 (7y) | ||
| Joshua Glass | Registered representative | Sep 2019 (7y) | ||
| Natalie M Phinny | Registered representative | Sep 2019 (7y) | ||
| Rachelle Ng | Registered representative | Sep 2019 (7y) | ||
| Daniel Patrick Long | Registered representative | Sep 2019 (7y) | ||
| James Eugene Taylor | Registered representative | CFP | Sep 2019 (7y) | |
| Ilene Stacy Kernozek | Registered representative | Sep 2019 (7y) | ||
| Laura Bienz | Registered representative | CFP | Sep 2019 (7y) | |
| Sandra Hedstrom Wheeler | Registered representative | Sep 2019 (7y) | ||
| Shane Michael Rebert | Registered representative | Sep 2019 (7y) | ||
| Michael Stephen Boulos | Registered representative | Sep 2019 (7y) | ||
| Paul Anthony Holt | Registered representative | Oct 2019 (7y) | ||
| Chauncey Munger Pegram | Registered representative | Oct 2019 (7y) | ||
| Anthony Luke Sausville | Registered representative | CFA | Oct 2019 (7y) | |
| Jason Daniel Jungberg | Registered representative | Oct 2019 (7y) | ||
| Michael Clark Ketterbaugh | Registered representative | Oct 2019 (7y) | ||
| Eugene Butler Carter | Registered representative | Oct 2019 (7y) | ||
| Kathleen Ann Tribout | Registered representative | Oct 2019 (7y) | ||
| Kevyn Francine Schroeder | Registered representative | Oct 2019 (7y) | ||
| Peter Allen Flanigan | Registered representative | CFP | Oct 2019 (7y) | |
| Richard Stephen Murphy | Registered representative | Oct 2019 (7y) | ||
| Joseph C Marshall | Registered representative | Oct 2019 (7y) | ||
| James S Scott Fleck | Registered representative | Oct 2019 (7y) | ||
| Jason Patrick Fleck | Registered representative | Oct 2019 (7y) | ||
| Landon Dean Meyers | Registered representative | Oct 2019 (7y) | ||
| Gregory J Schaller | Registered representative | Oct 2019 (7y) | ||
| Jennifer Knapp | Registered representative | Oct 2019 (7y) | ||
| John P Zicari | Registered representative | CFP | Oct 2019 (7y) | |
| Phillip John Meyer | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Robert Hugh Winter | Registered representative | Oct 2019 (7y) | ||
| Samuel Merrell Clark | Registered representative | CFP | Oct 2019 (7y) | |
| Alison V Masopust | Registered representative | Nov 2019 (7y) | ||
| Christopher Brent Metcalf | Registered representative | Nov 2019 (7y) | ||
| Douglas Leonard Bowcock | Registered representative | Nov 2019 (7y) | ||
| Jeffrey Howard Cole | Registered representative | CFP | Nov 2019 (7y) | |
| Kevin Douglas Bowcock | Registered representative | CFP | Nov 2019 (7y) | |
| Cole Wendel Montgomery | Registered representative | Nov 2019 (7y) | ||
| Larry Allen Hammonds | Registered representative | Nov 2019 (7y) | ||
| Alfredo Serrano | Registered representative | Nov 2019 (7y) | ||
| Gary Lynn Phelps | Registered representative | Nov 2019 (7y) | ||
| Sheri Lee Johnnie | Registered representative | CFP | Nov 2019 (7y) | |
| Matthew Fredrick Neis | Registered representative | Nov 2019 (7y) | ||
| Christopher Elliot Moran | Registered representative | CFP | Nov 2019 (7y) | |
| Christopher Mark Moran | Registered representative | Nov 2019 (7y) | ||
| Peter Joseph Borrello | Registered representative | Nov 2019 (7y) | ||
| Daniel G Raupp | Registered representative | Nov 2019 (7y) | ||
| Chet Steven Eisenmayer | Registered representative | Nov 2019 (7y) | ||
| Elizabeth Reinke | Registered representative | Nov 2019 (7y) | ||
| Zachary Joseph Harveth | Registered representative | Nov 2019 (7y) | ||
| Steven P Lipp | Registered representative | Nov 2019 (7y) | ||
| Art Anthony Ignacio | Registered representative | Dec 2019 (7y) | ||
| Anthony Wayne Miller | Registered representative | Dec 2019 (7y) | ||
| Lloyd Murray Frick | Registered representative | Dec 2019 (7y) | ||
| Kevin W Byrne | Registered representative | Dec 2019 (7y) | ||
| Justin Kevin Porrett | Registered representative | CFP | Dec 2019 (7y) | |
| Jeffrey Philip Elman | Registered representative | Dec 2019 (7y) | ||
| Jasmine Haley Hutson | Registered representative | Dec 2019 (7y) | ||
| John Theodore Surgant | Registered representative | Dec 2019 (7y) | ||
| Mark Chandler Sosey | Registered representative | Dec 2019 (7y) | ||
| Michael Andrew Romanelli | Registered representative | CFP | Dec 2019 (7y) | |
| Christopher Ryan Knight | Registered representative | Dec 2019 (7y) | ||
| Hanna Marie Koss | Registered representative | Dec 2019 (7y) | ||
| Angela Moreno | Registered representative | Jan 2020 (7y) | ||
| Kerry Elizabeth Snook | Registered representative | Jan 2020 (7y) | ||
| Robert King Adams | Registered representative | CFP | Jan 2020 (7y) | |
| Brad A Ransom | Registered representative | Jan 2020 (7y) | ||
| Montgomery Howard Meeks | Registered representative | Jan 2020 (7y) | ||
| Frank F Bellar Jr. | Registered representative | Jan 2020 (7y) | ||
| Frank Ferrell Bellar | Registered representative | Jan 2020 (7y) | ||
| Chase Akira Nishida | Registered representative | CFP | Jan 2020 (7y) | |
| Ashley Roxanne Stump | Registered representative | Jan 2020 (7y) | ||
| Randy William Seymour | Registered representative | CFP | Jan 2020 (7y) | |
| Timothy Patrick Scanlan | Registered representative | CFP | Jan 2020 (7y) | |
| Gary Raymond Denis | Registered representative | Jan 2020 (7y) | ||
| Amelia Sherrill Pate | Registered representative | Jan 2020 (7y) | ||
| Zachary James Karr | Registered representative | CFP | Jan 2020 (7y) | |
| James Cole Abbott | Registered representative | Jan 2020 (7y) | ||
| David Benjamin Vegh | Registered representative | Jan 2020 (7y) | ||
| Joseph Roy Destromp | Registered representative | Jan 2020 (7y) | ||
| Randy Lee Baker | Registered representative | Jan 2020 (7y) | ||
| Alicia E Rivera | Registered representative | Feb 2020 (6y) | ||
| Oliver Asher Hudesman | Registered representative | CFP | Feb 2020 (6y) | |
| Suzanne Lynne Walsh | Registered representative | Feb 2020 (6y) | ||
| Alan Howard Cohn | Registered representative | CFP | Feb 2020 (6y) | |
| Andrew B. Woolworth | Registered representative | Feb 2020 (6y) | ||
| Jeffrey Steven Kramer | Registered representative | Feb 2020 (6y) | ||
| John Joseph Calaman | Registered representative | Feb 2020 (6y) | ||
| Mary Elizabeth Haislip | Registered representative | Feb 2020 (6y) | ||
| Robert Charles Ungerer | Registered representative | CFP | Feb 2020 (6y) | |
| Stephen Jay Cohen | Registered representative | CFP | Feb 2020 (6y) | |
| Buck Wj Kipper | Registered representative | Feb 2020 (6y) | ||
| Cydney Dunavan | Registered representative | Feb 2020 (6y) | ||
| Lamar Montgomery Morris | Registered representative | CFP | Feb 2020 (6y) | |
| Marie Helene Steinman | Registered representative | CFP | Feb 2020 (6y) | |
| Michael Allen Reimer | Registered representative | Feb 2020 (6y) | ||
| Kristen Marguerite Low | Registered representative | Feb 2020 (6y) | ||
| Colin Edward Austin Wells | Registered representative | Feb 2020 (6y) | ||
| Jeffrey James Wells | Registered representative | Feb 2020 (6y) | ||
| Neil Benjiman Isler | Registered representative | Feb 2020 (6y) | ||
| Marc Robert Pines | Registered representative | Feb 2020 (6y) | ||
| Michael A Lieberman | Registered representative | Feb 2020 (6y) | ||
| Emily C Heimann | Registered representative | Feb 2020 (6y) | ||
| Kevin Thomas Maxim | Registered representative | Feb 2020 (6y) | ||
| Laura Ann Netemeyer | Registered representative | Feb 2020 (6y) | ||
| Paul Sam Carothers | Registered representative | Feb 2020 (6y) | ||
| William Edgar Tienken | Registered representative | Mar 2020 (6y) | ||
| James Michael Mclendon | Registered representative | CFP | Mar 2020 (6y) | |
| Joseph Paul Moceri | Registered representative | Mar 2020 (6y) | ||
| Paul Joseph Moceri | Registered representative | Mar 2020 (6y) | ||
| Robert Mark Steinman | Registered representative | Mar 2020 (6y) | ||
| Tricia M O Hearn | Registered representative | Mar 2020 (6y) | ||
| Eric Eugene Owens | Registered representative | CFP | Mar 2020 (6y) | |
| Christian Adam Maldonado | Registered representative | Mar 2020 (6y) | ||
| Jennifer Ann Rydzewski | Registered representative | Mar 2020 (6y) | ||
| Lisa Angela Volpari | Registered representative | Mar 2020 (6y) | ||
| Nathaniel Omeltchenko | Registered representative | Mar 2020 (6y) | ||
| Paul Thomas Lang | Registered representative | CFP | Apr 2020 (6y) | |
| Suzanna Marie Otte | Registered representative | CFP | May 2020 (6y) | |
| Gregory Scott Waters | Registered representative | May 2020 (6y) | ||
| Gretchen Suzanne Watkin | Registered representative | May 2020 (6y) | ||
| Lisa Rose Anderson | Registered representative | May 2020 (6y) | ||
| Amanda Marie Schuetz | Registered representative | May 2020 (6y) | ||
| Cory Hargrave | Registered representative | May 2020 (6y) | ||
| Brandt Burton | Registered representative | May 2020 (6y) | ||
| Jeb Stuart Henry Newman | Registered representative | May 2020 (6y) | ||
| William Kerry Ames | Registered representative | May 2020 (6y) | ||
| Joshua Louis Hinkle | Registered representative | May 2020 (6y) | ||
| Mervat Sabry Hassan | Registered representative | May 2020 (6y) | ||
| Robert William Beck | Registered representative | May 2020 (6y) | ||
| Jonathan Brandt | Registered representative | CFP | Jun 2020 (6y) | |
| Curtis John Finnicum | Registered representative | Jun 2020 (6y) | ||
| Mark Willard Finnicum | Registered representative | Jun 2020 (6y) | ||
| Amy Elizabeth Edington | Registered representative | Jun 2020 (6y) | ||
| Bobby Guy Lucas | Registered representative | CFP | Jun 2020 (6y) | |
| Geoffrey Lyle Gilbert | Registered representative | Jun 2020 (6y) | ||
| Bruce Arnold Chappell | Registered representative | Jun 2020 (6y) | ||
| Dale Franklin Johnson | Registered representative | Jun 2020 (6y) | ||
| Diane G Mcnamara | Registered representative | Jun 2020 (6y) | ||
| Jennifer Thompson Santaniello | Registered representative | Jun 2020 (6y) | ||
| Meg Michelle Speece | Registered representative | CFP | Jun 2020 (6y) | |
| Hannah Jo Witt | Registered representative | Jun 2020 (6y) | ||
| Hunter O Doyle | Registered representative | Jun 2020 (6y) | ||
| Gregory Keith Lowery | Registered representative | Jun 2020 (6y) | ||
| Bjorn Kristian Leach | Registered representative | Jun 2020 (6y) | ||
| Daniel Joseph Bottomley | Registered representative | CFP | Jun 2020 (6y) | |
| Kimberly Ilene Morse | Registered representative | Jun 2020 (6y) | ||
| Paul Bradley Church | Registered representative | CFP | Jun 2020 (6y) | |
| John Russell Wood | Registered representative | Jun 2020 (6y) | ||
| Jonathan David Stewart | Registered representative | Jun 2020 (6y) | ||
| Ryan A M Barrick | Registered representative | Jun 2020 (6y) | ||
| Blase Joseph Sparma | Registered representative | Jun 2020 (6y) | ||
| Brad Raymond Rippelmeyer | Registered representative | Jun 2020 (6y) | ||
| Kristen S Hurley | Registered representative | Jun 2020 (6y) | ||
| Michael Stephen Long | Registered representative | CFP | Jun 2020 (6y) | |
| Wade Hampton Ballard | Registered representative | Jun 2020 (6y) | ||
| Adam John Jaehnke | Registered representative | Jun 2020 (6y) | ||
| Steven Lewis Sellman | Registered representative | Jun 2020 (6y) | ||
| Jeffrey David Bolwell | Registered representative | Jul 2020 (6y) | ||
| Kristi Lynn Jund | Registered representative | Jul 2020 (6y) | ||
| Vonda Rhea Nicol | Registered representative | Jul 2020 (6y) | ||
| Christian David Thomas | Registered representative | CFP | Jul 2020 (6y) | |
| Elliott Max Gilbert | Registered representative | Jul 2020 (6y) | ||
| William Slater Cornwell | Registered representative | Jul 2020 (6y) | ||
| Ryan Green | Registered representative | Jul 2020 (6y) | ||
| Edward Davis Wilder | Registered representative | Jul 2020 (6y) | ||
| David Gayle Bomar | Registered representative | Jul 2020 (6y) | ||
| Frank Herman Dworsky | Registered representative | CFP | Jul 2020 (6y) | |
| John M Berard | Registered representative | Jul 2020 (6y) | ||
| Richard Edward Dworsky | Registered representative | Jul 2020 (6y) | ||
| Vanessa Zwigart Haythorn | Registered representative | CFP | Jul 2020 (6y) | |
| William Joseph Monroe | Registered representative | Jul 2020 (6y) | ||
| Alex Bryan Person | Registered representative | CFP | Jul 2020 (6y) | |
| Allie E Underberg | Registered representative | Jul 2020 (6y) | ||
| Bryan Keith Person | Registered representative | Jul 2020 (6y) | ||
| Jesse Lee Wright | Registered representative | Jul 2020 (6y) | ||
| Marcia Lynn Bucher | Registered representative | Jul 2020 (6y) | ||
| Stephen Alan Bottomley | Registered representative | Jul 2020 (6y) | ||
| Cameron Ray Ratcliff | Registered representative | Jul 2020 (6y) | ||
| Adrianne Marie Vickers | Registered representative | Jul 2020 (6y) | ||
| Mark M. Rossi | Registered representative | Jul 2020 (6y) | ||
| Brad John Polo | Registered representative | CFP | Jul 2020 (6y) | |
| Robert H Langdale | Registered representative | Aug 2020 (6y) | ||
| Gary Martin Bice | Registered representative | Aug 2020 (6y) | ||
| John Carroll Prebay | Registered representative | Aug 2020 (6y) | ||
| Michael R. Leach | Registered representative | CFP Chartered Financial Consultant | Aug 2020 (6y) | |
| John William Herman | Registered representative | Aug 2020 (6y) | ||
| Robert Claire Potter | Registered representative | Aug 2020 (6y) | ||
| Edward James Aders | Registered representative | Aug 2020 (6y) | ||
| Christine L Mueller | Registered representative | Aug 2020 (6y) | ||
| David James Hood | Registered representative | Aug 2020 (6y) | ||
| Kelly Jane Morrison | Registered representative | Aug 2020 (6y) | ||
| Paul Alan Schluckebier | Registered representative | CFP | Aug 2020 (6y) | |
| Amy Marie Thien | Registered representative | Aug 2020 (6y) | ||
| Jerome Vance Raders | Registered representative | Aug 2020 (6y) | ||
| Jonathan Ross Montgomery | Registered representative | Aug 2020 (6y) | ||
| Teresa J Hunter | Registered representative | Aug 2020 (6y) | ||
| Kyle James Gowen | Registered representative | CFP | Aug 2020 (6y) | |
| Rita Kay Mahn | Registered representative | CFP | Aug 2020 (6y) | |
| John Wood Abbott | Registered representative | Aug 2020 (6y) | ||
| Shane R Stein | Registered representative | Aug 2020 (6y) | ||
| Breton W Bonnette | Registered representative | CFP | Aug 2020 (6y) | |
| Edward Ellis | Registered representative | Aug 2020 (6y) | ||
| Emily Pease Bonnette | Registered representative | Aug 2020 (6y) | ||
| Richard Albert Bonnette | Registered representative | Aug 2020 (6y) | ||
| Richard M Bonnette | Registered representative | Aug 2020 (6y) | ||
| Alisa Ann Franklin | Registered representative | CFP | Aug 2020 (6y) | |
| Bailey Y Throgmorton | Registered representative | Aug 2020 (6y) | ||
| Beau Nelson Bryant | Registered representative | Aug 2020 (6y) | ||
| Christopher Vanhorn | Registered representative | Sep 2020 (6y) | ||
| Nora Semerjian | Registered representative | Sep 2020 (6y) | ||
| Robert Peter Campolongo | Registered representative | CFP | Sep 2020 (6y) | |
| Joseph Patrick Lieser | Registered representative | CFP | Sep 2020 (6y) | |
| James Clark Standish | Registered representative | Sep 2020 (6y) | ||
| Susan Marie Eastman | Registered representative | Sep 2020 (6y) | ||
| Adam Gerald Higgins | Registered representative | Sep 2020 (6y) | ||
| Steven Anthony Strambi | Registered representative | Sep 2020 (6y) | ||
| Karl Christian Slivon | Registered representative | Sep 2020 (6y) | ||
| Jacquelyn Elizabeth Rizzo | Registered representative | Sep 2020 (6y) | ||
| Mary E Macukas | Registered representative | CFP | Sep 2020 (6y) | |
| Robin C Riddle | Registered representative | Sep 2020 (6y) | ||
| John Anthony Macukas | Registered representative | CFP | Sep 2020 (6y) | |
| Andrew Kaye Klinger | Registered representative | Sep 2020 (6y) | ||
| Brittne Rivera | Registered representative | Sep 2020 (6y) | ||
| Steven Michael Nowland | Registered representative | Sep 2020 (6y) | ||
| Kelly A. Manzer | Registered representative | Sep 2020 (6y) | ||
| Steven J Vitale | Registered representative | CFP CFA | Sep 2020 (6y) | |
| Seamus Mac Crory | Registered representative | CFP | Sep 2020 (6y) | |
| Caroline Macolino Reid | Registered representative | Oct 2020 (6y) | ||
| Jack Linzy Ransom | Registered representative | Oct 2020 (6y) | ||
| Mark Thomas Kappel | Registered representative | Oct 2020 (6y) | ||
| Christy Mae Amsden | Registered representative | Oct 2020 (6y) | ||
| Kerry A Kelly | Registered representative | Oct 2020 (6y) | ||
| Laurel Browning Pressley | Registered representative | Oct 2020 (6y) | ||
| Brian Thomas Kelley | Registered representative | Oct 2020 (6y) | ||
| Ernest Lee Coffindaffer | Registered representative | Oct 2020 (6y) | ||
| George Leslie Tackett | Registered representative | Oct 2020 (6y) | ||
| Paulette Michele Davis | Registered representative | Oct 2020 (6y) | ||
| Thomas William Fox | Registered representative | Oct 2020 (6y) | ||
| Christopher P Williams | Registered representative | Oct 2020 (6y) | ||
| Jacob C Allen | Registered representative | CFP | Oct 2020 (6y) | |
| Chasity Louise Goshorn | Registered representative | Oct 2020 (6y) | ||
| Tony Edward Witty | Registered representative | Oct 2020 (6y) | ||
| Scott Raymond Carlson | Registered representative | Oct 2020 (6y) | ||
| Faisal Raza | Registered representative | Oct 2020 (6y) | ||
| David Stephen Kaminsky | Registered representative | Nov 2020 (6y) | ||
| Shannon Symmonds Hayden | Registered representative | Nov 2020 (6y) | ||
| John Robert Carpenter | Registered representative | Nov 2020 (6y) | ||
| Anthony Wayne Mabry | Registered representative | Nov 2020 (6y) | ||
| Patti Lynn Mcgrew | Registered representative | Nov 2020 (6y) | ||
| Michael Stephen Long | Registered representative | Nov 2020 (6y) | ||
| Christopher James Bartolomeo | Registered representative | Nov 2020 (6y) | ||
| Connor Anthony Williams | Registered representative | Nov 2020 (6y) | ||
| Gary Stenson | Registered representative | Nov 2020 (6y) | ||
| David Berton Hood | Registered representative | Nov 2020 (6y) | ||
| Stephen Scherer | Registered representative | Nov 2020 (6y) | ||
| Amelia Madai Tobias | Registered representative | Nov 2020 (6y) | ||
| Emily Schram | Registered representative | Nov 2020 (6y) | ||
| Dennis Robert Stolz | Registered representative | Nov 2020 (6y) | ||
| Doak Russell Stolz | Registered representative | CFP | Nov 2020 (6y) | |
| Jacob Russell Smith | Registered representative | CFP | Nov 2020 (6y) | |
| Ryan Douglas Anderson | Registered representative | Nov 2020 (6y) | ||
| Scott Alexander Smith | Registered representative | CFP | Nov 2020 (6y) | |
| Jeffrey Jay Ruck | Registered representative | Nov 2020 (6y) | ||
| Robert L Finkle | Registered representative | CFP | Nov 2020 (6y) | |
| Steven Brian Waxgiser | Registered representative | Nov 2020 (6y) | ||
| Kaitlyn Shuman Jackson | Registered representative | Nov 2020 (6y) | ||
| James H Fellhauer | Registered representative | Nov 2020 (6y) | ||
| Jay Arthur Pender | Registered representative | Nov 2020 (6y) | ||
| Donny Dwain Vogler | Registered representative | Dec 2020 (6y) | ||
| Harry Edward Fischer | Registered representative | Dec 2020 (6y) | ||
| Kevin Verne Bates | Registered representative | Dec 2020 (6y) | ||
| Ted Michael Davis | Registered representative | Dec 2020 (6y) | ||
| Jeremy David Fung | Registered representative | Dec 2020 (6y) | ||
| Anna M Hauck | Registered representative | Dec 2020 (6y) | ||
| Thomas Andrew Fledderman | Registered representative | Dec 2020 (6y) | ||
| Thomas J Doherty | Registered representative | Dec 2020 (6y) | ||
| Jacob Stephen Bender | Registered representative | CFP | Dec 2020 (6y) | |
| Tracy M Druzisky | Registered representative | Dec 2020 (6y) | ||
| Samuel John Fahsholtz | Registered representative | CFP | Dec 2020 (6y) | |
| Michael John Capute | Registered representative | Jan 2021 (6y) | ||
| Thom Raemdonck Williams | Registered representative | Jan 2021 (6y) | ||
| Clark Robert Durham | Registered representative | Jan 2021 (6y) | ||
| Randy S Anderson | Registered representative | CFP | Jan 2021 (6y) | |
| Robert Kirby Sasser | Registered representative | Jan 2021 (6y) | ||
| John Eric Shirey | Registered representative | CFP | Jan 2021 (6y) | |
| Paul Albert Laurell | Registered representative | Jan 2021 (6y) | ||
| Max A Cameau | Registered representative | Chartered Financial Consultant | Jan 2021 (6y) | |
| Robert Christopher Garrett | Registered representative | Jan 2021 (6y) | ||
| Asaf Glaich | Registered representative | Jan 2021 (6y) | ||
| Matthew Kendall Mason | Registered representative | CFP | Jan 2021 (6y) | |
| John David Mcatee | Registered representative | Jan 2021 (6y) | ||
| Michael Blake Hanna | Registered representative | Jan 2021 (6y) | ||
| Robert James Debeer | Registered representative | Jan 2021 (6y) | ||
| Russell William May | Registered representative | CFP | Jan 2021 (6y) | |
| Stephen J Debeer | Registered representative | CFP | Jan 2021 (6y) | |
| Steven Lee Sedler | Registered representative | Feb 2021 (5y) | ||
| Patrick Dylan Buckley | Registered representative | Feb 2021 (5y) | ||
| Anthony M Small | Registered representative | CFP | Feb 2021 (5y) | |
| Joseph Fewsmith Lord | Registered representative | Mar 2021 (5y) | ||
| Leslie Sharon Beier | Registered representative | Mar 2021 (5y) | ||
| Timothy Brian Williams | Registered representative | Mar 2021 (5y) | ||
| Stephanie Jo Lyles | Registered representative | Mar 2021 (5y) | ||
| Kyle J Borkowski | Registered representative | CFP | Mar 2021 (5y) | |
| Levi James Laws | Registered representative | Mar 2021 (5y) | ||
| Lyndsay Nicole Hemmick | Registered representative | Mar 2021 (5y) | ||
| David M Caruana | Registered representative | Mar 2021 (5y) | ||
| Gregory Arndt Hicks | Registered representative | Mar 2021 (5y) | ||
| Kevin Edwin Dunklow | Registered representative | Mar 2021 (5y) | ||
| Joseph A Muro | Registered representative | Apr 2021 (5y) | ||
| Victoria Klacik | Registered representative | Apr 2021 (5y) | ||
| Wendy Sue Clark | Registered representative | Apr 2021 (5y) | ||
| Michael Maddox | Registered representative | Apr 2021 (5y) | ||
| Kreg Alan Urquhart | Registered representative | Apr 2021 (5y) | ||
| Trace Aaron Urquhart | Registered representative | Apr 2021 (5y) | ||
| Sheryl Tuttle Martin | Registered representative | Apr 2021 (5y) | ||
| Stephen Gerard Mosca | Registered representative | CFP | Apr 2021 (5y) | |
| Daniel Landa | Registered representative | CFP | Apr 2021 (5y) | |
| Paul Richard Bridgers | Registered representative | Apr 2021 (5y) | ||
| Tina M Avelar | Registered representative | Apr 2021 (5y) | ||
| Stephen James Simon | Registered representative | CFP | Apr 2021 (5y) | |
| Michelle Crawford Hill | Registered representative | Apr 2021 (5y) | ||
| Michelle Plugge Scarcelli | Registered representative | May 2021 (5y) | ||
| Peter Albert Goudy | Registered representative | May 2021 (5y) | ||
| Philip Roman Kochman | Registered representative | May 2021 (5y) | ||
| Roger Lowell Wilkie | Registered representative | May 2021 (5y) | ||
| Benjamin John Hammes | Registered representative | CFP | May 2021 (5y) | |
| Catherine B Choi | Registered representative | May 2021 (5y) | ||
| Alexander G Reiss | Registered representative | May 2021 (5y) | ||
| Alexander Sergeevich Strukov | Registered representative | CFA | May 2021 (5y) | |
| Andrew Warren Rifkin | Registered representative | May 2021 (5y) | ||
| Brad Daniel Foster | Registered representative | May 2021 (5y) | ||
| Brian Michael Schneiweiss | Registered representative | May 2021 (5y) | ||
| Carl Edward Schulman | Registered representative | May 2021 (5y) | ||
| Christine L Parrett | Registered representative | May 2021 (5y) | ||
| Christopher Scott Longo | Registered representative | May 2021 (5y) | ||
| Clifford Adams Bartlett | Registered representative | May 2021 (5y) | ||
| Christopher Hagar | Registered representative | CFA | May 2021 (5y) | |
| David Alan Weiner | Registered representative | May 2021 (5y) | ||
| David Asulin | Registered representative | May 2021 (5y) | ||
| David Harold Petrie | Registered representative | CFA | May 2021 (5y) | |
| David Gerard Powers | Registered representative | May 2021 (5y) | ||
| Elijah Joseph Conte | Registered representative | May 2021 (5y) | ||
| Fredric Greenstein | Registered representative | May 2021 (5y) | ||
| Gail Sokol | Registered representative | May 2021 (5y) | ||
| Georgina A Eriksen | Registered representative | May 2021 (5y) | ||
| Gina Marie Accolla | Registered representative | May 2021 (5y) | ||
| Harrison Spencer Phillips | Registered representative | CFA | May 2021 (5y) | |
| James David Oestreich | Registered representative | May 2021 (5y) | ||
| James Franklin Bernard | Registered representative | May 2021 (5y) | ||
| Jeffrey Alan Feder | Registered representative | May 2021 (5y) | ||
| John Angelo Catanzaro | Registered representative | May 2021 (5y) | ||
| John Michael Murphy | Registered representative | May 2021 (5y) | ||
| Jonathan David Sopher | Registered representative | May 2021 (5y) | ||
| Kevin Douglas Laurie | Registered representative | May 2021 (5y) | ||
| Kilian Jeson Loeb | Registered representative | May 2021 (5y) | ||
| Larry Alan Jacobs | Registered representative | CFP | May 2021 (5y) | |
| Marc B Karp | Registered representative | May 2021 (5y) | ||
| Mark Anthony Demo | Registered representative | May 2021 (5y) | ||
| Michael Anthony Meyers | Registered representative | May 2021 (5y) | ||
| Michael Anthony Turansky | Registered representative | CFP | May 2021 (5y) | |
| Michael Daniel Cox | Registered representative | May 2021 (5y) | ||
| Michael E Nitka | Registered representative | CFA | May 2021 (5y) | |
| Michael Hal Cohen | Registered representative | May 2021 (5y) | ||
| Michael Loebenstein | Registered representative | May 2021 (5y) | ||
| Michael Mordecai Feder | Registered representative | May 2021 (5y) | ||
| Michael Scott Paternostro | Registered representative | May 2021 (5y) | ||
| Neal Martin Manfredi | Registered representative | May 2021 (5y) | ||
| Norman Martin Fishbein | Registered representative | May 2021 (5y) | ||
| Paul Ernst Orrson | Registered representative | May 2021 (5y) | ||
| Perry Evan Fishbein | Registered representative | May 2021 (5y) | ||
| Peter John Sabatino | Registered representative | May 2021 (5y) | ||
| Peter Lasser Gray | Registered representative | May 2021 (5y) | ||
| Peter Stewart Okin | Registered representative | May 2021 (5y) | ||
| Renu Jain | Registered representative | May 2021 (5y) | ||
| Richard Anthony Grasso | Registered representative | CFP | May 2021 (5y) | |
| Robert Fulton Mason | Registered representative | May 2021 (5y) | ||
| Robert Paul Codignotto | Registered representative | May 2021 (5y) | ||
| Roxanne D. Mcelroy | Registered representative | May 2021 (5y) | ||
| Scott Michael Klein | Registered representative | May 2021 (5y) | ||
| Stanley Bruce Finkelberg | Registered representative | May 2021 (5y) | ||
| Stephen Jerome Stern | Registered representative | May 2021 (5y) | ||
| Steven Nan Gwon | Registered representative | May 2021 (5y) | ||
| Steven Vincent Pulvirent | Registered representative | May 2021 (5y) | ||
| Stephen P O Flaherty | Registered representative | May 2021 (5y) | ||
| Thomas Joseph Odonnell | Registered representative | May 2021 (5y) | ||
| Victor Joseph Costa | Registered representative | May 2021 (5y) | ||
| William Joseph La Mura | Registered representative | May 2021 (5y) | ||
| Jeffrey Edward Aders | Registered representative | Jun 2021 (5y) | ||
| Todd Louis Antonucci | Registered representative | Jun 2021 (5y) | ||
| Justin Allan Brooks | Registered representative | Jun 2021 (5y) | ||
| Raymond Brian Patraw | Registered representative | Jun 2021 (5y) | ||
| Gregory Braun | Registered representative | Jun 2021 (5y) | ||
| Marc Robert Parson | Registered representative | Jun 2021 (5y) | ||
| Steven Jay Hudgins | Registered representative | Jun 2021 (5y) | ||
| Reid R Berry | Registered representative | Jun 2021 (5y) | ||
| William Howard Wade | Registered representative | Jun 2021 (5y) | ||
| Brendan Ward | Registered representative | Jun 2021 (5y) | ||
| Christina M Walter | Registered representative | Jun 2021 (5y) | ||
| Derek Wayne Hull | Registered representative | CFP | Jun 2021 (5y) | |
| John Andrew Martin | Registered representative | Jun 2021 (5y) | ||
| Andrea Renae Alejandre | Registered representative | Jul 2021 (5y) | ||
| Donna Mitnik Bowen | Registered representative | Jul 2021 (5y) | ||
| Laura Kathleen Hussey | Registered representative | Jul 2021 (5y) | ||
| Cody James Paningsoro | Registered representative | CFP | Jul 2021 (5y) | |
| Kathy Lynn Jimeno | Registered representative | Jul 2021 (5y) | ||
| Kevin Christopher Rutten | Registered representative | Jul 2021 (5y) | ||
| Michael Armand Bas | Registered representative | Jul 2021 (5y) | ||
| Arthur Andrew Sconochia | Registered representative | Jul 2021 (5y) | ||
| Eduardo Antonio Coloma | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Lee Crader | Registered representative | CFP | Jul 2021 (5y) | |
| Lawrence Xavier Hrbek | Registered representative | Jul 2021 (5y) | ||
| Robert Emmet Cleary | Registered representative | Jul 2021 (5y) | ||
| Jacob Tague | Registered representative | Jul 2021 (5y) | ||
| Paul David Antonenko | Registered representative | Jul 2021 (5y) | ||
| Michael Roy Jeremiah | Registered representative | Jul 2021 (5y) | ||
| Richard M Cohen | Registered representative | CFP | Jul 2021 (5y) | |
| Maurice Gerard Schutte | Registered representative | Aug 2021 (5y) | ||
| Michelle Marie Daniels Sabo | Registered representative | Aug 2021 (5y) | ||
| Taylor Nicole Stockdale | Registered representative | Aug 2021 (5y) | ||
| Brenda Sue Robertson | Registered representative | Aug 2021 (5y) | ||
| Ryan Charles Kennedy | Registered representative | Aug 2021 (5y) | ||
| Jennifer Anne Taylor Medolla | Registered representative | Aug 2021 (5y) | ||
| John Marvin Mebane | Registered representative | Aug 2021 (5y) | ||
| Laura E Fryhover | Registered representative | Aug 2021 (5y) | ||
| Sonia Rose Ginnell | Registered representative | Aug 2021 (5y) | ||
| Deborah Love Briest | Registered representative | Aug 2021 (5y) | ||
| Gerardo R Fuentes | Registered representative | Aug 2021 (5y) | ||
| Tim Sellenriek | Registered representative | Aug 2021 (5y) | ||
| Fernando Omar Barzana | Registered representative | Aug 2021 (5y) | ||
| Fernando Omar Barzana | Registered representative | Aug 2021 (5y) | ||
| Guillermo Gonzalez | Registered representative | Aug 2021 (5y) | ||
| Martha Dolores Vasallo | Registered representative | Aug 2021 (5y) | ||
| Kenneth Edward Chapin | Registered representative | CFP | Sep 2021 (5y) | |
| Robert Alan Rubarth | Registered representative | Sep 2021 (5y) | ||
| Stephen R Barbera | Registered representative | Sep 2021 (5y) | ||
| Kelsey Elizabeth Feeley | Registered representative | CFP | Sep 2021 (5y) | |
| Daniel Alexander Schneider | Registered representative | Sep 2021 (5y) | ||
| Deborah Ann Alice | Registered representative | Sep 2021 (5y) | ||
| Wesley Hunter Strandberg | Registered representative | CFP | Sep 2021 (5y) | |
| Chelsea Ann Woods | Registered representative | Sep 2021 (5y) | ||
| Esther Bullard | Registered representative | CFP | Sep 2021 (5y) | |
| David Jonathan Moreland | Registered representative | Sep 2021 (5y) | ||
| Jason Trent Scoggins | Registered representative | Sep 2021 (5y) | ||
| Steven Arthur Bullard | Registered representative | Sep 2021 (5y) | ||
| William Carr White | Registered representative | Sep 2021 (5y) | ||
| William Herbert White | Registered representative | Sep 2021 (5y) | ||
| Elizabeth Diane Scoggins | Registered representative | Sep 2021 (5y) | ||
| Kristina A Gretzschel | Registered representative | CFP | Sep 2021 (5y) | |
| James Anthony Odorczuk | Registered representative | Sep 2021 (5y) | ||
| John Eugene Adamkiewicz | Registered representative | Sep 2021 (5y) | ||
| Joseph Michael Mazza | Registered representative | Sep 2021 (5y) | ||
| Kayla Olsen | Registered representative | CFP | Sep 2021 (5y) | |
| Michael Eugene Adamkiewicz | Registered representative | Sep 2021 (5y) | ||
| Marcy Lynne Oliver | Registered representative | Sep 2021 (5y) | ||
| Rhiannon Renee Steinkamp | Registered representative | Sep 2021 (5y) | ||
| Arthur Vincent Gorman | Registered representative | Sep 2021 (5y) | ||
| Gregory Joseph Wallace | Registered representative | CFA | Sep 2021 (5y) | |
| Pamela Elizabeth Smith | Registered representative | Sep 2021 (5y) | ||
| Shelly Denise Hall | Registered representative | Sep 2021 (5y) | ||
| Daniel Owen Westfield | Registered representative | Sep 2021 (5y) | ||
| Paul Werner Caan | Registered representative | Oct 2021 (5y) | ||
| Cara Marie Litke | Registered representative | Oct 2021 (5y) | ||
| Peter David Bargas | Registered representative | Oct 2021 (5y) | ||
| Brenda Louise Harrison | Registered representative | Oct 2021 (5y) | ||
| Gregory Chapin | Registered representative | Oct 2021 (5y) | ||
| Steven Bradley Seiler | Registered representative | Oct 2021 (5y) | ||
| Mark Fallon Kregor | Registered representative | Oct 2021 (5y) | ||
| Douglas Jason Hockett | Registered representative | Oct 2021 (5y) | ||
| Elgin Dewayne Rees | Registered representative | CFP | Oct 2021 (5y) | |
| Elizabeth Ann Byland | Registered representative | Oct 2021 (5y) | ||
| Joseph John Hartman | Registered representative | Oct 2021 (5y) | ||
| Kammeron Renee Hibdon | Registered representative | Oct 2021 (5y) | ||
| Timothy James Kertz | Registered representative | CFP | Oct 2021 (5y) | |
| Evanya Jean Skelly | Registered representative | Oct 2021 (5y) | ||
| John Murphy O'connor | Registered representative | Oct 2021 (5y) | ||
| Mary Ann Margaret Kelly | Registered representative | CFP | Oct 2021 (5y) | |
| Benjamin Jay Chuckrow | Registered representative | Oct 2021 (5y) | ||
| Danielle Lynn Cefalu | Registered representative | Nov 2021 (5y) | ||
| Francine Louise Foerst | Registered representative | Nov 2021 (5y) | ||
| Paul Cummings Smith | Registered representative | CFP | Nov 2021 (5y) | |
| Amy Leavell Cooper | Registered representative | Nov 2021 (5y) | ||
| Kian Homayoonfar | Registered representative | CFA | Nov 2021 (5y) | |
| Bradley Alan Roub | Registered representative | CFP | Nov 2021 (5y) | |
| Mandy Lee Bittner | Registered representative | Nov 2021 (5y) | ||
| John Dennis Carroll | Registered representative | Nov 2021 (5y) | ||
| Bradly Wayne Nelson | Registered representative | Nov 2021 (5y) | ||
| Emma Lou Hulse | Registered representative | Nov 2021 (5y) | ||
| Jerry Hong | Registered representative | Nov 2021 (5y) | ||
| Andrew Cherrick | Registered representative | Nov 2021 (5y) | ||
| Martha Rojas Beltran | Registered representative | Nov 2021 (5y) | ||
| Taylor Gobble | Registered representative | CFP | Nov 2021 (5y) | |
| Claud Earl Gobble | Registered representative | Nov 2021 (5y) | ||
| Andrew Scheier | Registered representative | Nov 2021 (5y) | ||
| Mark Gerald Billions | Registered representative | Nov 2021 (5y) | ||
| Stephen Czaicki | Registered representative | Nov 2021 (5y) | ||
| Daniel Hansen | Registered representative | Dec 2021 (5y) | ||
| Douglas Wayne Purucker | Registered representative | Dec 2021 (5y) | ||
| Howard Louis Margolis | Registered representative | Dec 2021 (5y) | ||
| William Wadsworth Young | Registered representative | Dec 2021 (5y) | ||
| Joseph Anthony Lauer | Registered representative | CFP | Dec 2021 (5y) | |
| Carter Henry Rusch | Registered representative | Dec 2021 (5y) | ||
| Robin Kay Barry | Registered representative | Dec 2021 (5y) | ||
| Evan Patrick Wilson | Registered representative | Dec 2021 (5y) | ||
| Robert Holmes Becker | Registered representative | Dec 2021 (5y) | ||
| Margaret Teresa Bridegum | Registered representative | Jan 2022 (5y) | ||
| Olivia Jordan Mae Griffith | Registered representative | CFP | Jan 2022 (5y) | |
| Steven Wayne Jackson | Registered representative | Jan 2022 (5y) | ||
| Victor Manuel Rojas | Registered representative | Jan 2022 (5y) | ||
| Gregg Douglas Mulder | Registered representative | Jan 2022 (5y) | ||
| Kristen April Kragt | Registered representative | Jan 2022 (5y) | ||
| Mark Lee Zichterman | Registered representative | Jan 2022 (5y) | ||
| Patrick Emmet Crowley | Registered representative | Jan 2022 (5y) | ||
| Julie Tener | Registered representative | Jan 2022 (5y) | ||
| Carlos Mieles | Registered representative | CFA | Jan 2022 (5y) | |
| John Joseph Mccarthy | Registered representative | CFP | Jan 2022 (5y) | |
| Joshua John Struble | Registered representative | Jan 2022 (5y) | ||
| Lisa C Lo | Registered representative | CFP | Jan 2022 (5y) | |
| Gregory Gene Garcia | Registered representative | Jan 2022 (5y) | ||
| Michael Patrick Garcia | Registered representative | Jan 2022 (5y) | ||
| Matthew Jenkins | Registered representative | Jan 2022 (5y) | ||
| Evan Bailey Klinger | Registered representative | Jan 2022 (5y) | ||
| Amber Barefoot | Registered representative | Jan 2022 (5y) | ||
| Gregory Wayne Seamster | Registered representative | Jan 2022 (5y) | ||
| William Bradley Howard | Registered representative | CFP | Jan 2022 (5y) | |
| Andrew B Combs | Registered representative | Jan 2022 (5y) | ||
| Jessica Marie Daniel | Registered representative | Feb 2022 (4y) | ||
| John Michael Murphy | Registered representative | CFP | Feb 2022 (4y) | |
| Jennifer Ellen Van Buren | Registered representative | Feb 2022 (4y) | ||
| Melissa Marie Alfsen | Registered representative | Feb 2022 (4y) | ||
| Mark Bucknall | Registered representative | CFA | Feb 2022 (4y) | |
| Grace Ann Suphan | Registered representative | Feb 2022 (4y) | ||
| Daniel J Robertson | Registered representative | Feb 2022 (4y) | ||
| Alexis Lopez | Registered representative | Feb 2022 (4y) | ||
| Kimberly Whitten Choiniere | Registered representative | Feb 2022 (4y) | ||
| Jerry Michael Heine | Registered representative | Mar 2022 (4y) | ||
| Alexander Joel Heckmann | Registered representative | Mar 2022 (4y) | ||
| Michelle Rebecca Marks | Registered representative | Mar 2022 (4y) | ||
| Sara Banks Uffelman | Registered representative | Mar 2022 (4y) | ||
| Robert J Smith | Registered representative | Mar 2022 (4y) | ||
| Benjamin Marshall | Registered representative | Mar 2022 (4y) | ||
| Shuzhen L Shao | Registered representative | Mar 2022 (4y) | ||
| John Lawrence Camp | Registered representative | Mar 2022 (4y) | ||
| Michael Glenn Ciccone | Registered representative | Mar 2022 (4y) | ||
| Adam J Oestreich | Registered representative | Apr 2022 (4y) | ||
| Luigi Anthony Scire | Registered representative | Apr 2022 (4y) | ||
| Edward Linn Adams | Registered representative | Apr 2022 (4y) | ||
| Dane Lee Fronek | Registered representative | Apr 2022 (4y) | ||
| Mason James Wright | Registered representative | Apr 2022 (4y) | ||
| Patrick Michael Dyas | Registered representative | Apr 2022 (4y) | ||
| Craig Stephen Murphey | Registered representative | Apr 2022 (4y) | ||
| Gregory Scott Maier | Registered representative | CFP | Apr 2022 (4y) | |
| Nicholas J Mc Coy | Registered representative | CFP | Apr 2022 (4y) | |
| Deann Xan Lopez | Registered representative | Apr 2022 (4y) | ||
| Darin James Sipe | Registered representative | Apr 2022 (4y) | ||
| Herman Joseph Dieckmann | Registered representative | CFP | Apr 2022 (4y) | |
| Jonathan Herman Dieckmann | Registered representative | Apr 2022 (4y) | ||
| Raymond Louis Demonte | Registered representative | Apr 2022 (4y) | ||
| Jennifer A Johnson | Registered representative | Apr 2022 (4y) | ||
| Katey Roskopf | Registered representative | Apr 2022 (4y) | ||
| Andrea Jones | Registered representative | Apr 2022 (4y) | ||
| Brett Jacob Jenne | Registered representative | CFP | Apr 2022 (4y) | |
| Kevin Daer Reich | Registered representative | Apr 2022 (4y) | ||
| Monica Pizano | Registered representative | Apr 2022 (4y) | ||
| Susan Yore | Registered representative | Apr 2022 (4y) | ||
| Tana Marie Reich | Registered representative | Apr 2022 (4y) | ||
| Alec Hubbard | Registered representative | CFP CFA | Apr 2022 (4y) | |
| Mark Stephen Lattanzi | Registered representative | May 2022 (4y) | ||
| Albert Kale Gallatin | Registered representative | May 2022 (4y) | ||
| Tracy Christine Shelton | Registered representative | May 2022 (4y) | ||
| Thomas Matthew Gallatin | Registered representative | May 2022 (4y) | ||
| Jacob Melby | Registered representative | May 2022 (4y) | ||
| James Michael Redinger | Registered representative | May 2022 (4y) | ||
| Pat John Bombard | Registered representative | May 2022 (4y) | ||
| John Patrick Mcshane | Registered representative | May 2022 (4y) | ||
| Nicolette M Fiermonte | Registered representative | May 2022 (4y) | ||
| Joseph Muscatello | Registered representative | May 2022 (4y) | ||
| Michelle Celeste White | Registered representative | May 2022 (4y) | ||
| Michael Raymond Reyna | Registered representative | May 2022 (4y) | ||
| Allison Beth Fliegler | Registered representative | May 2022 (4y) | ||
| Benjamin Franklin Garrison | Registered representative | May 2022 (4y) | ||
| Cecile R Komplita | Registered representative | May 2022 (4y) | ||
| Mark Alan Province | Registered representative | Jun 2022 (4y) | ||
| Melissa Lynn Hines | Registered representative | Jun 2022 (4y) | ||
| Edward Robert Murray | Registered representative | Jun 2022 (4y) | ||
| Ellen R Perlman | Registered representative | Jun 2022 (4y) | ||
| James Thomas Ciccone | Registered representative | Jun 2022 (4y) | ||
| Nathan Alan Nichols | Registered representative | Jun 2022 (4y) | ||
| Maryanne Kelly | Registered representative | Jun 2022 (4y) | ||
| Joseph Paul Sikma | Registered representative | CFP | Jun 2022 (4y) | |
| Christopher Karl Reichert | Registered representative | Jun 2022 (4y) | ||
| Constance Bergkessel | Registered representative | Jun 2022 (4y) | ||
| David M. Anderson | Registered representative | Jun 2022 (4y) | ||
| James Richard Mapplethorpe | Registered representative | Jun 2022 (4y) | ||
| Karla Davis Johnson | Registered representative | CFP | Jun 2022 (4y) | |
| Samantha Condon | Registered representative | Jun 2022 (4y) | ||
| Keith Newman | Registered representative | Jul 2022 (4y) | ||
| Thomas J Newberg | Registered representative | Jul 2022 (4y) | ||
| Michael Brian Adamik | Registered representative | Jul 2022 (4y) | ||
| Zachary Michael Klancnik | Registered representative | Jul 2022 (4y) | ||
| Christopher Swmy Ark | Registered representative | Jul 2022 (4y) | ||
| Edward Joseph Villanyi | Registered representative | Jul 2022 (4y) | ||
| Thomas Jeremiah Adams | Registered representative | Jul 2022 (4y) | ||
| Carol Jean Copenhaver | Registered representative | Jul 2022 (4y) | ||
| Benjamin Paul Alsop | Registered representative | Jul 2022 (4y) | ||
| Barry Francis Power | Registered representative | CFP | Jul 2022 (4y) | |
| Johnny Gin Yang Ng | Registered representative | CFP | Aug 2022 (4y) | |
| Grant Murphy | Registered representative | CFP | Aug 2022 (4y) | |
| Charbel Salem | Registered representative | CFP | Aug 2022 (4y) | |
| Jess Chambless Crabtree | Registered representative | Aug 2022 (4y) | ||
| Bradley Ray Mc Intyre | Registered representative | Aug 2022 (4y) | ||
| John Robert Seibly | Registered representative | CFA | Aug 2022 (4y) | |
| Beaux Corey Johnston | Registered representative | Aug 2022 (4y) | ||
| Tuananh Vu | Registered representative | Aug 2022 (4y) | ||
| Dominick Minicucci | Registered representative | CFP | Aug 2022 (4y) | |
| Kyle Scott Alvarez | Registered representative | CFP | Aug 2022 (4y) | |
| Raymond Minicucci | Registered representative | Aug 2022 (4y) | ||
| Tara Venneri | Registered representative | Aug 2022 (4y) | ||
| Thomas Bussone | Registered representative | Aug 2022 (4y) | ||
| Samantha King | Registered representative | Aug 2022 (4y) | ||
| Jake Louis Mc Guire | Registered representative | Aug 2022 (4y) | ||
| Jonathan Blake Hess | Registered representative | Aug 2022 (4y) | ||
| Mitchell Sam Greenblatt | Registered representative | Aug 2022 (4y) | ||
| Kathryn Starr Motchan | Registered representative | Aug 2022 (4y) | ||
| David Lee Denham | Registered representative | Sep 2022 (4y) | ||
| Michael Christopher Staufenberger | Registered representative | CFP | Sep 2022 (4y) | |
| Andrew Ahrens | Registered representative | Sep 2022 (4y) | ||
| Julie Alida Hassna | Registered representative | CFP Chartered Financial Consultant | Sep 2022 (4y) | |
| Luke Alfred Hoffman | Registered representative | CFP | Sep 2022 (4y) | |
| Alex D Ginnell | Registered representative | Sep 2022 (4y) | ||
| Ryan Joseph Vollkommer | Registered representative | Sep 2022 (4y) | ||
| Angela Dionne Ganger | Registered representative | Sep 2022 (4y) | ||
| Anthony Arnall Morrison | Registered representative | Sep 2022 (4y) | ||
| Arturo Jose Mesa | Registered representative | Sep 2022 (4y) | ||
| Michael James Kazacos | Registered representative | CFP | Sep 2022 (4y) | |
| Ian Engel | Registered representative | CFP | Oct 2022 (4y) | |
| Jeffrey Rettman | Registered representative | Oct 2022 (4y) | ||
| Edward Adams Ferguson | Registered representative | Oct 2022 (4y) | ||
| Richard Sidney Ferguson | Registered representative | Oct 2022 (4y) | ||
| Joseph Bradley Koetter | Registered representative | Oct 2022 (4y) | ||
| Scott Andrew Buchanan | Registered representative | Oct 2022 (4y) | ||
| Grant Gillespie | Registered representative | Oct 2022 (4y) | ||
| Michael E Newins | Registered representative | Oct 2022 (4y) | ||
| Francis Joseph Duff | Registered representative | Oct 2022 (4y) | ||
| Robert James La Penna | Registered representative | Oct 2022 (4y) | ||
| Colleen Virginia Dunaway | Registered representative | Oct 2022 (4y) | ||
| Kenneth Samuel Catlett | Registered representative | CFP | Oct 2022 (4y) | |
| Todd Russell Godin | Registered representative | Oct 2022 (4y) | ||
| Nathaniel Patrick Kane | Registered representative | CFP | Nov 2022 (4y) | |
| Jordan Malik Gaskins | Registered representative | Nov 2022 (4y) | ||
| Monica Sharma | Registered representative | CFP | Nov 2022 (4y) | |
| Derek C Albanese | Registered representative | Nov 2022 (4y) | ||
| Preston Cameron | Registered representative | CFP | Nov 2022 (4y) | |
| Sonja Elizabeth Cheadle | Registered representative | Nov 2022 (4y) | ||
| Christopher Gregory Klaus | Registered representative | Nov 2022 (4y) | ||
| Kyle Lee Miller | Registered representative | Dec 2022 (4y) | ||
| Matthew Steven Wegehaupt | Registered representative | Dec 2022 (4y) | ||
| Jacob Richard Hyett | Registered representative | Dec 2022 (4y) | ||
| Jonathan Douglas Isles | Registered representative | Dec 2022 (4y) | ||
| James Dustin Curbow | Registered representative | CFP | Dec 2022 (4y) | |
| Andrew Hicks | Registered representative | Dec 2022 (4y) | ||
| Joseph Bryan Boudreaux | Registered representative | Jan 2023 (4y) | ||
| Ryan James Hoogenakker | Registered representative | Jan 2023 (4y) | ||
| Stephen Taylor Agricola | Registered representative | CFP | Jan 2023 (4y) | |
| Zachary Joseph House | Registered representative | Jan 2023 (4y) | ||
| Jacob Watson | Registered representative | CFP | Jan 2023 (4y) | |
| Mark A Schuette | Registered representative | Jan 2023 (4y) | ||
| James Mitchell Lane | Registered representative | Jan 2023 (4y) | ||
| Sean David Manning | Registered representative | Jan 2023 (4y) | ||
| Norma I Barrandey | Registered representative | Jan 2023 (4y) | ||
| Jack Eric Fischer | Registered representative | Jan 2023 (4y) | ||
| Jason John Soukup | Registered representative | Jan 2023 (4y) | ||
| Michael King Fitzgerald | Registered representative | Jan 2023 (4y) | ||
| Roy Nunnally Roberts | Registered representative | CFP | Jan 2023 (4y) | |
| Asher S Alter | Registered representative | Jan 2023 (4y) | ||
| Christopher James Rivinius | Registered representative | Jan 2023 (4y) | ||
| Michael John Brewster | Registered representative | Jan 2023 (4y) | ||
| John Joseph Olohan | Registered representative | Jan 2023 (4y) | ||
| William Jacob Burke | Registered representative | Jan 2023 (4y) | ||
| Jared Lawrence Cernansky | Registered representative | Jan 2023 (4y) | ||
| Gilbert Todd Meadows | Registered representative | CFP | Jan 2023 (4y) | |
| Margaret Tylor Mcmanis | Registered representative | Jan 2023 (4y) | ||
| Pinnarorth John Peng | Registered representative | Jan 2023 (4y) | ||
| Brett Thomas Abell | Registered representative | Feb 2023 (3y) | ||
| Christina Martinez | Registered representative | Feb 2023 (3y) | ||
| Justin Michael Gerbino | Registered representative | Feb 2023 (3y) | ||
| Peter Martin Fierro | Registered representative | Feb 2023 (3y) | ||
| Scott William Bedell | Registered representative | Feb 2023 (3y) | ||
| Andrew Joseph Minicucci | Registered representative | CFP CFA | Mar 2023 (3y) | |
| Gary Michael Holstine | Registered representative | Mar 2023 (3y) | ||
| Craig Mcintosh | Registered representative | Mar 2023 (3y) | ||
| Kara K Kobosko | Registered representative | Mar 2023 (3y) | ||
| Caroline Brady Hardy | Registered representative | Mar 2023 (3y) | ||
| Michael Guldin | Registered representative | CFP | Mar 2023 (3y) | |
| Adam Saul Frankfort | Registered representative | Mar 2023 (3y) | ||
| James Blair Lathrop | Registered representative | Mar 2023 (3y) | ||
| Jack Joseph Donovan | Registered representative | Mar 2023 (3y) | ||
| Barry Doering | Registered representative | Mar 2023 (3y) | ||
| Kristina L Reyes | Registered representative | Mar 2023 (3y) | ||
| Michael C Doering | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Willard E Ulbricht | Registered representative | Mar 2023 (3y) | ||
| Andrew Scott Toback | Registered representative | Mar 2023 (3y) | ||
| George Shaneybrook | Registered representative | Mar 2023 (3y) | ||
| Jeremy T Downin | Registered representative | CFP | Mar 2023 (3y) | |
| Jessica Kirstie Morton | Registered representative | Mar 2023 (3y) | ||
| John Graham | Registered representative | Mar 2023 (3y) | ||
| Austin Hamer | Registered representative | Apr 2023 (3y) | ||
| Arnez Rodriguez | Registered representative | Apr 2023 (3y) | ||
| Sean Michael Van Etten | Registered representative | Apr 2023 (3y) | ||
| Michael Neal Rosenthal | Registered representative | Apr 2023 (3y) | ||
| Dale Richard Harris | Registered representative | Apr 2023 (3y) | ||
| Jordan Troy Bernstein | Registered representative | Apr 2023 (3y) | ||
| Blake Charles Hildenbrand | Registered representative | Apr 2023 (3y) | ||
| Brian Christopher Suthers | Registered representative | Apr 2023 (3y) | ||
| Douglas Emil Bryan | Registered representative | CFP | Apr 2023 (3y) | |
| Joseph Robert Watson | Registered representative | Apr 2023 (3y) | ||
| Jason Thomas Pepe | Registered representative | Apr 2023 (3y) | ||
| Marty Andrew Phillips | Registered representative | CFP | Apr 2023 (3y) | |
| John Cyril Burkhardt | Registered representative | Apr 2023 (3y) | ||
| Nancy Angela Stebner | Registered representative | May 2023 (3y) | ||
| Marisa Ann Griggs | Registered representative | CFP Chartered Financial Consultant | May 2023 (3y) | |
| Richard Godwin Joyce | Registered representative | May 2023 (3y) | ||
| Nicole Elizabeth Roach | Registered representative | CFP | May 2023 (3y) | |
| Kerri Ann Price | Registered representative | May 2023 (3y) | ||
| Michael Kevin Mcnichol | Registered representative | May 2023 (3y) | ||
| Abigail Kanning | Registered representative | May 2023 (3y) | ||
| Christine Parks | Registered representative | May 2023 (3y) | ||
| Leonard Stagnitti | Registered representative | May 2023 (3y) | ||
| Aaron B Capan | Registered representative | May 2023 (3y) | ||
| Jeronimo Ramirez | Registered representative | May 2023 (3y) | ||
| Jessica Lynn Faris | Registered representative | May 2023 (3y) | ||
| Peter Randall Benn | Registered representative | May 2023 (3y) | ||
| Collin Heitfeld | Registered representative | May 2023 (3y) | ||
| Christopher William Inglis | Registered representative | CFP | May 2023 (3y) | |
| Stacy Nadine Thomson | Registered representative | May 2023 (3y) | ||
| Ian Caputo | Registered representative | May 2023 (3y) | ||
| Matthew Boyer | Registered representative | May 2023 (3y) | ||
| Lauryn Andre | Registered representative | Jun 2023 (3y) | ||
| John Joseph Nelson | Registered representative | CFP | Jun 2023 (3y) | |
| James Sherman King | Registered representative | Jun 2023 (3y) | ||
| Michael Robert Sullivan | Registered representative | Jun 2023 (3y) | ||
| Robert Shannon Montgomery | Registered representative | Jun 2023 (3y) | ||
| Richard Russell Palmer | Registered representative | CFP | Jun 2023 (3y) | |
| John Francis Davis | Registered representative | Jun 2023 (3y) | ||
| Gregory Clyde Pittman | Registered representative | Jun 2023 (3y) | ||
| Nicole Di Massa | Registered representative | Jun 2023 (3y) | ||
| Oliver Choy | Registered representative | Jun 2023 (3y) | ||
| Shonna Janessa Parker | Registered representative | Jun 2023 (3y) | ||
| Hogan Roberts Disbrow | Registered representative | Jun 2023 (3y) | ||
| Marc Stuart Cohen | Registered representative | Jun 2023 (3y) | ||
| Stephanie Kay Morris | Registered representative | Jun 2023 (3y) | ||
| George Philip Tatchell | Registered representative | Jul 2023 (3y) | ||
| Abigail Loraine Spears | Registered representative | Jul 2023 (3y) | ||
| Alexis Fogle | Registered representative | Jul 2023 (3y) | ||
| Kit Fogle | Registered representative | Jul 2023 (3y) | ||
| Richard Joseph Salerno | Registered representative | Jul 2023 (3y) | ||
| Adrian Martin Majlis | Registered representative | CFA | Jul 2023 (3y) | |
| Hernan P Korin | Registered representative | CFA | Jul 2023 (3y) | |
| Jeremy P Phillips | Registered representative | Jul 2023 (3y) | ||
| Ailady Organvidez | Registered representative | Jul 2023 (3y) | ||
| Diego Canalda | Registered representative | Jul 2023 (3y) | ||
| Zachary Fisher | Registered representative | Jul 2023 (3y) | ||
| Chris G Kuczwara | Registered representative | Jul 2023 (3y) | ||
| Matthew David Daponte | Registered representative | Jul 2023 (3y) | ||
| Alejandro M Hasegawa | Registered representative | Jul 2023 (3y) | ||
| Kile Francis Shafer | Registered representative | CFP | Jul 2023 (3y) | |
| Steven Levy | Registered representative | Jul 2023 (3y) | ||
| William Raymond White | Registered representative | CFP | Jul 2023 (3y) | |
| Oliver Lavell Jones | Registered representative | Jul 2023 (3y) | ||
| Dmytro Golovko | Registered representative | Jul 2023 (3y) | ||
| Jerry Fields | Registered representative | Jul 2023 (3y) | ||
| Kirk Mathew Shelby | Registered representative | Jul 2023 (3y) | ||
| Martin Benno Welzmuller | Registered representative | CFP | Aug 2023 (3y) | |
| Kathy Ann Darcy | Registered representative | Aug 2023 (3y) | ||
| Madison Ryan Helphinstine | Registered representative | Aug 2023 (3y) | ||
| Jason W Wilson | Registered representative | Aug 2023 (3y) | ||
| Bruce C Mccaw | Registered representative | Aug 2023 (3y) | ||
| Jacob Daniel Statz | Registered representative | CFP | Aug 2023 (3y) | |
| Matthew Alan Lucas | Registered representative | Aug 2023 (3y) | ||
| Thomas Nate | Registered representative | Aug 2023 (3y) | ||
| Richard Andrew Murphy | Registered representative | Aug 2023 (3y) | ||
| Dayana Merchan Vega | Registered representative | Aug 2023 (3y) | ||
| Darlene Piantedosi | Registered representative | Aug 2023 (3y) | ||
| Clarke Baker | Registered representative | CFP | Aug 2023 (3y) | |
| Dustin L Albanese | Registered representative | Aug 2023 (3y) | ||
| Derrick W Hannah | Registered representative | Aug 2023 (3y) | ||
| Kayla Weeks | Registered representative | Aug 2023 (3y) | ||
| Ryan Matthew Citrano | Registered representative | Aug 2023 (3y) | ||
| Daniel Mark Hall | Registered representative | Sep 2023 (3y) | ||
| Montford Lee Turley | Registered representative | Sep 2023 (3y) | ||
| Michael Vincent Dubosky | Registered representative | Sep 2023 (3y) | ||
| Jacob Vance George | Registered representative | Sep 2023 (3y) | ||
| Robert Nicholas Edward Caine | Registered representative | Sep 2023 (3y) | ||
| Jerome Matthew Zitzmann | Registered representative | Sep 2023 (3y) | ||
| Lisa Zitzmann | Registered representative | Sep 2023 (3y) | ||
| Geri Lynn Dvorak | Registered representative | Sep 2023 (3y) | ||
| Karson Charles Nance | Registered representative | Sep 2023 (3y) | ||
| Zachary Vern Hueter | Registered representative | Sep 2023 (3y) | ||
| Nicole Roesch Rundle | Registered representative | Sep 2023 (3y) | ||
| Brian Patrick Austalosh | Registered representative | Sep 2023 (3y) | ||
| Stephen Carlos Vansuch | Registered representative | CFP | Sep 2023 (3y) | |
| Mary Ann Pittman Hall | Registered representative | Oct 2023 (3y) | ||
| David Lawrence Thomas | Registered representative | Oct 2023 (3y) | ||
| Dennis William Boneck | Registered representative | Oct 2023 (3y) | ||
| Lucas Hall Skinner | Registered representative | Oct 2023 (3y) | ||
| Annette M Principio | Registered representative | Oct 2023 (3y) | ||
| James Jordan | Registered representative | CFP | Oct 2023 (3y) | |
| Paola Robles | Registered representative | Oct 2023 (3y) | ||
| David E. Kloeckner | Registered representative | Oct 2023 (3y) | ||
| Emily K Cuba | Registered representative | CFP | Oct 2023 (3y) | |
| Leslie Ann Kollar | Registered representative | Oct 2023 (3y) | ||
| Natalea Renee Simmons | Registered representative | CFP | Oct 2023 (3y) | |
| Timothy W Illiam Sumner | Registered representative | Oct 2023 (3y) | ||
| Jonas Schrand Bieliauskas | Registered representative | Oct 2023 (3y) | ||
| Roman Meyerhans | Registered representative | Oct 2023 (3y) | ||
| Brian Deeds | Registered representative | Oct 2023 (3y) | ||
| Robin Taylor Dillon | Registered representative | Oct 2023 (3y) | ||
| William Eldon Culver | Registered representative | Oct 2023 (3y) | ||
| Benjamin Robert Maurer | Registered representative | Oct 2023 (3y) | ||
| Kaitlin Byrne | Registered representative | Oct 2023 (3y) | ||
| Rachel Hall | Registered representative | Oct 2023 (3y) | ||
| Sylvia Rheker | Registered representative | Oct 2023 (3y) | ||
| Gregory Scott Kerr | Registered representative | Oct 2023 (3y) | ||
| Matthew Anthony Siener | Registered representative | CFA | Oct 2023 (3y) | |
| Connor Montgomery Johnson | Registered representative | Oct 2023 (3y) | ||
| Hannah Joy Van Newkirk | Registered representative | CFP | Nov 2023 (3y) | |
| Brandon Matthew Thomas | Registered representative | Nov 2023 (3y) | ||
| William Michael Ianieri | Registered representative | Nov 2023 (3y) | ||
| Alfredo Baez | Registered representative | Nov 2023 (3y) | ||
| John Flayderman | Registered representative | Nov 2023 (3y) | ||
| Eric John Bartos | Registered representative | Nov 2023 (3y) | ||
| Anthony William Goodson | Registered representative | Nov 2023 (3y) | ||
| Katherine Tripp | Registered representative | Nov 2023 (3y) | ||
| Shannon Marie Seaders | Registered representative | Nov 2023 (3y) | ||
| Robert Tracy | Registered representative | Nov 2023 (3y) | ||
| Trisha G Keller | Registered representative | Nov 2023 (3y) | ||
| David Andrew Vogan | Registered representative | Nov 2023 (3y) | ||
| Noah Jacobson | Registered representative | Nov 2023 (3y) | ||
| Amanda Keely Fitzpatrick | Registered representative | CFP | Nov 2023 (3y) | |
| Cheston Don Malone | Registered representative | CFP | Dec 2023 (3y) | |
| Brian De Souza | Registered representative | Dec 2023 (3y) | ||
| Jacob Bauman | Registered representative | Dec 2023 (3y) | ||
| Barbara Sue Shellman | Registered representative | Dec 2023 (3y) | ||
| John Wichlenski | Registered representative | Dec 2023 (3y) | ||
| Angie Renee Keeley | Registered representative | Jan 2024 (3y) | ||
| David Thomas Palladino | Registered representative | Jan 2024 (3y) | ||
| Barry Marc Geltzeiler | Registered representative | Jan 2024 (3y) | ||
| Ethan Tod Grossman | Registered representative | Jan 2024 (3y) | ||
| Bryan Nathanael Benelli | Registered representative | Jan 2024 (3y) | ||
| Robert Hazelton | Registered representative | Jan 2024 (3y) | ||
| Christopher Merl Johnson | Registered representative | Feb 2024 (3y) | ||
| Cole Hissong | Registered representative | Feb 2024 (3y) | ||
| Tyler Nicholas King | Registered representative | Feb 2024 (2y) | ||
| Vivian Skye Roberts | Registered representative | Feb 2024 (2y) | ||
| Brandon James | Registered representative | CFP | Feb 2024 (2y) | |
| Shawn D Kinney | Registered representative | CFP | Feb 2024 (2y) | |
| Wiktor Gier | Registered representative | CFP | Feb 2024 (2y) | |
| Eric Andre Laorr | Registered representative | Feb 2024 (2y) | ||
| Sorcha Catherine Dolan | Registered representative | Feb 2024 (2y) | ||
| Cara Sadowski | Registered representative | Feb 2024 (2y) | ||
| Sarah Elizabeth White | Registered representative | Feb 2024 (2y) | ||
| Faith Marzolf | Registered representative | Feb 2024 (2y) | ||
| Lonn Sander Ensing | Registered representative | Feb 2024 (2y) | ||
| Deven Eric Pauls | Registered representative | Mar 2024 (2y) | ||
| Ethan Mayberry | Registered representative | Mar 2024 (2y) | ||
| Melanie D Kramer | Registered representative | Mar 2024 (2y) | ||
| Mitchell Schaedler | Registered representative | Mar 2024 (2y) | ||
| Timothy Carl Hodits | Registered representative | Mar 2024 (2y) | ||
| Michael Terence Stiuso | Registered representative | Mar 2024 (2y) | ||
| Alexandria Kirsten Macaluso | Registered representative | Mar 2024 (2y) | ||
| Kalisi Huhane | Registered representative | Apr 2024 (2y) | ||
| Alexander Efstathios Varidin | Registered representative | Apr 2024 (2y) | ||
| Gregory Joseph Akers | Registered representative | Apr 2024 (2y) | ||
| Victoria Ann Ronnei | Registered representative | Apr 2024 (2y) | ||
| Lamberth Palmares Reyes | Registered representative | Apr 2024 (2y) | ||
| Joshua Anthony Mell | Registered representative | Apr 2024 (2y) | ||
| Abigail Drummer | Registered representative | Apr 2024 (2y) | ||
| John Angelo Scarduzio | Registered representative | Apr 2024 (2y) | ||
| Robert Harbison | Registered representative | Apr 2024 (2y) | ||
| Avery Grace Davidge | Registered representative | Apr 2024 (2y) | ||
| James David Willey | Registered representative | Apr 2024 (2y) | ||
| Loren L Jones | Registered representative | Apr 2024 (2y) | ||
| Riley James Buller | Registered representative | Apr 2024 (2y) | ||
| Andrew Manna | Registered representative | CFP | Apr 2024 (2y) | |
| Colten Kordell Joseph | Registered representative | Apr 2024 (2y) | ||
| Jared Eggers | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Alan Wiese | Registered representative | Apr 2024 (2y) | ||
| Ryan Orr | Registered representative | Apr 2024 (2y) | ||
| Lynda Leibrand Rux | Registered representative | Apr 2024 (2y) | ||
| Justin Paul Vidovich | Registered representative | Apr 2024 (2y) | ||
| John Salmon | Registered representative | Apr 2024 (2y) | ||
| Michael Joseph Robino | Registered representative | CFP | Apr 2024 (2y) | |
| Nicholas John Mann | Registered representative | Apr 2024 (2y) | ||
| Alberto Calvo Mariaca | Registered representative | Apr 2024 (2y) | ||
| Charles Dillon Boatner | Registered representative | Apr 2024 (2y) | ||
| Dianilda Martinez | Registered representative | Apr 2024 (2y) | ||
| Hugh Mariaca | Registered representative | Apr 2024 (2y) | ||
| Kristian Bernal Mariaca | Registered representative | Apr 2024 (2y) | ||
| Sandra Arce | Registered representative | Apr 2024 (2y) | ||
| Nicandro Albert | Registered representative | Apr 2024 (2y) | ||
| Matthew T Zarrella | Registered representative | Apr 2024 (2y) | ||
| Cassie Elaine Conley | Registered representative | Apr 2024 (2y) | ||
| Helen R Gordon | Registered representative | Apr 2024 (2y) | ||
| Jessica Judith Gonzalez Calderon | Registered representative | Apr 2024 (2y) | ||
| Frederick Francis Telarico | Registered representative | Apr 2024 (2y) | ||
| Timothy Joseph Meirink | Registered representative | Apr 2024 (2y) | ||
| Christopher Alan Kolososki | Registered representative | May 2024 (2y) | ||
| Devin Reich | Registered representative | May 2024 (2y) | ||
| Heath Hollas | Registered representative | May 2024 (2y) | ||
| Colleen Boggess | Registered representative | May 2024 (2y) | ||
| Jacy Nicole Urquhart | Registered representative | May 2024 (2y) | ||
| Grant Goodman Clark | Registered representative | May 2024 (2y) | ||
| Mark D Malone | Registered representative | CFP | May 2024 (2y) | |
| Sara Rae Vinson | Registered representative | May 2024 (2y) | ||
| Tyler James Hogue | Registered representative | May 2024 (2y) | ||
| Danielle Keiko Narike | Registered representative | May 2024 (2y) | ||
| Megan Lynne Simmons | Registered representative | May 2024 (2y) | ||
| James A Fitzgerald | Registered representative | May 2024 (2y) | ||
| Ryan Strollo | Registered representative | May 2024 (2y) | ||
| Edwin Glenn Turnquist | Registered representative | May 2024 (2y) | ||
| Michael Allen Lawyer | Registered representative | May 2024 (2y) | ||
| Charles Phillips Langeland | Registered representative | Jun 2024 (2y) | ||
| Kelly Ann Coffindaffer | Registered representative | Jun 2024 (2y) | ||
| Jeffrey Scott Markham | Registered representative | Jun 2024 (2y) | ||
| Kathleen Renee Thomas | Registered representative | Jun 2024 (2y) | ||
| Sorin Tomas Marinescu | Registered representative | Jun 2024 (2y) | ||
| Jonathan Patrick Skouby | Registered representative | Jun 2024 (2y) | ||
| Julia Denise Lovejoy | Registered representative | Jun 2024 (2y) | ||
| Mary Ellen Warner | Registered representative | CFP | Jun 2024 (2y) | |
| Nathan Nguyen | Registered representative | Jun 2024 (2y) | ||
| Anyi Daniela Ferrer Castro | Registered representative | Jul 2024 (2y) | ||
| Hannah Susan Jennings | Registered representative | Jul 2024 (2y) | ||
| Kraig Michael Williams | Registered representative | Jul 2024 (2y) | ||
| Allison Balch | Registered representative | Jul 2024 (2y) | ||
| Joshua Griener Hickey | Registered representative | Jul 2024 (2y) | ||
| Richard Miller | Registered representative | Jul 2024 (2y) | ||
| Collin Seymour | Registered representative | CFP | Jul 2024 (2y) | |
| Jason Robert Heuton | Registered representative | Jul 2024 (2y) | ||
| Andrew Douglas Boyles | Registered representative | CFP | Jul 2024 (2y) | |
| Joshua J. Marson | Registered representative | CFP | Jul 2024 (2y) | |
| Nathan Drew Richey | Registered representative | CFP | Jul 2024 (2y) | |
| Patrick Sebastian Seuffert | Registered representative | Jul 2024 (2y) | ||
| Ryan Stephan Mastilak | Registered representative | CFP | Jul 2024 (2y) | |
| Brooks Turner | Registered representative | Aug 2024 (2y) | ||
| Christina Marie Mielke | Registered representative | Aug 2024 (2y) | ||
| Haley Hunt | Registered representative | Aug 2024 (2y) | ||
| Michael Clair Dulaney | Registered representative | Aug 2024 (2y) | ||
| Annette L Celentano | Registered representative | Aug 2024 (2y) | ||
| Bradwell Parker Skinner | Registered representative | Aug 2024 (2y) | ||
| Bradley Wright Mcintosh | Registered representative | Aug 2024 (2y) | ||
| John A Walsh | Registered representative | Aug 2024 (2y) | ||
| Daniel Sean Martin | Registered representative | Aug 2024 (2y) | ||
| Chloe C Mauceri | Registered representative | Aug 2024 (2y) | ||
| Blakely Covington Tepper | Registered representative | Aug 2024 (2y) | ||
| Phoebe Daimei Jaramillo | Registered representative | Aug 2024 (2y) | ||
| Matthew Ruzicka | Registered representative | Aug 2024 (2y) | ||
| Judd Azoulay | Registered representative | Aug 2024 (2y) | ||
| Tracee Linn Schraeder | Registered representative | CFP | Aug 2024 (2y) | |
| Jane A Martin | Registered representative | Aug 2024 (2y) | ||
| Sonja Premetz | Registered representative | Aug 2024 (2y) | ||
| Jody A Gudac | Registered representative | Sep 2024 (2y) | ||
| Wyatt Gudex | Registered representative | Sep 2024 (2y) | ||
| Bryan Edward Nolan | Registered representative | CFP | Sep 2024 (2y) | |
| Jared Lawrence Gorman | Registered representative | CFP | Sep 2024 (2y) | |
| Bryce Barber | Registered representative | CFP | Sep 2024 (2y) | |
| Thomas John Kanarek | Registered representative | Sep 2024 (2y) | ||
| William Barre Mc Leod Butler | Registered representative | Sep 2024 (2y) | ||
| Ariel E Jahnke | Registered representative | Sep 2024 (2y) | ||
| Jennifer Sanders | Registered representative | Sep 2024 (2y) | ||
| Jessica Laub | Registered representative | Sep 2024 (2y) | ||
| John Bernard Wright | Registered representative | Sep 2024 (2y) | ||
| Shane Alou Lyday | Registered representative | Sep 2024 (2y) | ||
| Anne Morgan Barbera | Registered representative | Sep 2024 (2y) | ||
| Dylan Sterling Sellers | Registered representative | Sep 2024 (2y) | ||
| James David Kniffin | Registered representative | Sep 2024 (2y) | ||
| Tondalaya Parker | Registered representative | Sep 2024 (2y) | ||
| Jacob Allen Shy | Registered representative | Oct 2024 (2y) | ||
| Kristian Danielle Quigless | Registered representative | CFP | Oct 2024 (2y) | |
| Sean Ryan Russell | Registered representative | Oct 2024 (2y) | ||
| Hugo John Warns | Registered representative | CFA | Oct 2024 (2y) | |
| Audrey Nicholas | Registered representative | Oct 2024 (2y) | ||
| Diane S Dawson | Registered representative | Oct 2024 (2y) | ||
| Timothy Juan Carlos Noa | Registered representative | Oct 2024 (2y) | ||
| Todd D Fanning | Registered representative | Oct 2024 (2y) | ||
| Nicholas Hinkle | Registered representative | Oct 2024 (2y) | ||
| Timothy Revell Roberson | Registered representative | Oct 2024 (2y) | ||
| Peter Hall Boggs | Registered representative | Oct 2024 (2y) | ||
| Robert Allen Boggs | Registered representative | Oct 2024 (2y) | ||
| Christina Marie Smith | Registered representative | Oct 2024 (2y) | ||
| Brian R Strand | Registered representative | Oct 2024 (2y) | ||
| Lauren Nicole Randazzo | Registered representative | CFP Personal Financial Specialist | Oct 2024 (2y) | |
| Dylan Cohen | Registered representative | Oct 2024 (2y) | ||
| Robert Clinton Landrum | Registered representative | Nov 2024 (2y) | ||
| Robert Michael Liebherr | Registered representative | Nov 2024 (2y) | ||
| John Raymond Thomas | Registered representative | Nov 2024 (2y) | ||
| Christopher Arthur Kern | Registered representative | CFP | Nov 2024 (2y) | |
| Manuel Alejandro Henriquez | Registered representative | Nov 2024 (2y) | ||
| Andrew Paul Johnson | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Parker Mitchell Leisses | Registered representative | Nov 2024 (2y) | ||
| Zachary John Litzinger | Registered representative | Nov 2024 (2y) | ||
| Beth Ann Woodson | Registered representative | Nov 2024 (2y) | ||
| Brian Richard Varel | Registered representative | Nov 2024 (2y) | ||
| Bruce Herbert Cross | Registered representative | Nov 2024 (2y) | ||
| Craig Eugene Motsinger | Registered representative | Nov 2024 (2y) | ||
| Daniel Brown | Registered representative | CFA | Nov 2024 (2y) | |
| Heidi Lynn Gebauer | Registered representative | Nov 2024 (2y) | ||
| Martin J Ghafoori | Registered representative | Nov 2024 (2y) | ||
| Michael James Croce | Registered representative | Nov 2024 (2y) | ||
| Nikki Ann Stueckel | Registered representative | Nov 2024 (2y) | ||
| Scott Lawrence Waeltz | Registered representative | Nov 2024 (2y) | ||
| Stephanie Colleen Smith | Registered representative | Nov 2024 (2y) | ||
| Thomas Marc Crabtree | Registered representative | Nov 2024 (2y) | ||
| Thomas Yacovino | Registered representative | Nov 2024 (2y) | ||
| Devon White | Registered representative | Nov 2024 (2y) | ||
| Alicia Stratman Donahue | Registered representative | CFP | Nov 2024 (2y) | |
| Elizabeth Ampagoomian Cooke | Registered representative | Nov 2024 (2y) | ||
| Robert Wayne Milstein | Registered representative | Nov 2024 (2y) | ||
| Robert Ryan Wilson Hobart | Registered representative | Nov 2024 (2y) | ||
| Natalie Janel Carlisle | Registered representative | Nov 2024 (2y) | ||
| Julia Marie Heine | Registered representative | Dec 2024 (2y) | ||
| Scott Richard Mues | Registered representative | Dec 2024 (2y) | ||
| Brendan Michael Jewell | Registered representative | Dec 2024 (2y) | ||
| Matthew David Heaton | Registered representative | Dec 2024 (2y) | ||
| Tammy Warnicke | Registered representative | Dec 2024 (2y) | ||
| Austin Stout | Registered representative | Dec 2024 (2y) | ||
| Erika Alete Martin | Registered representative | Dec 2024 (2y) | ||
| Jacob Tyler Rathgeb | Registered representative | Dec 2024 (2y) | ||
| Amy Lynn Rodenmeyer | Registered representative | Dec 2024 (2y) | ||
| Brent Heaton Fisher | Registered representative | Dec 2024 (2y) | ||
| Susan Joan Young | Registered representative | Dec 2024 (2y) | ||
| Quinten Elliott Daughtry | Registered representative | Dec 2024 (2y) | ||
| Sydney Ann Roberts | Registered representative | Dec 2024 (2y) | ||
| Ryan Watada | Registered representative | Dec 2024 (2y) | ||
| Larry Michael Flynn | Registered representative | Dec 2024 (2y) | ||
| Raquel Edith Torres | Registered representative | Dec 2024 (2y) | ||
| Abigail Grace Adams | Registered representative | Dec 2024 (2y) | ||
| Skyler Ja Lynn Saunders | Registered representative | Dec 2024 (2y) | ||
| Matthew Grant Shepley | Registered representative | Dec 2024 (2y) | ||
| Benjamin Fegenbush | Registered representative | Jan 2025 (2y) | ||
| Ryan Chapman | Registered representative | Jan 2025 (2y) | ||
| Benjamin Porter Hanna | Registered representative | Jan 2025 (2y) | ||
| Nicholas Andrew Stockhammer | Registered representative | Jan 2025 (2y) | ||
| Timothy Randall Flinn | Registered representative | Jan 2025 (2y) | ||
| Stephanie Hatch Leishman | Registered representative | Jan 2025 (2y) | ||
| Theodora Rose Braver | Registered representative | Jan 2025 (2y) | ||
| Carrie Orcutt Bock | Registered representative | Jan 2025 (2y) | ||
| John Mitchell Tellers | Registered representative | Jan 2025 (2y) | ||
| Sydney Paige Young | Registered representative | Jan 2025 (2y) | ||
| Keaton S Johnson | Registered representative | Jan 2025 (2y) | ||
| Thomas W Van Uffelen | Registered representative | Jan 2025 (2y) | ||
| Adam James Paiement | Registered representative | Jan 2025 (2y) | ||
| Joseph Torcaso | Registered representative | Jan 2025 (2y) | ||
| Tarah Thompson | Registered representative | Jan 2025 (2y) | ||
| Thomas Kelly | Registered representative | Jan 2025 (2y) | ||
| Joseph R Angelillo | Registered representative | Jan 2025 (2y) | ||
| Tyler Von Richter | Registered representative | Jan 2025 (2y) | ||
| Dane Parker | Registered representative | Jan 2025 (2y) | ||
| William P Macolino | Registered representative | Jan 2025 (2y) | ||
| Michael Edward Pope | Registered representative | Jan 2025 (2y) | ||
| Sean Willitts | Registered representative | Jan 2025 (2y) | ||
| Robert William Coleman | Registered representative | Jan 2025 (2y) | ||
| Camilo Cantor | Registered representative | Jan 2025 (2y) | ||
| Benjamin Evers | Registered representative | Jan 2025 (2y) | ||
| Jacob Michael Murray | Registered representative | CFP | Jan 2025 (2y) | |
| Erin M Sautter | Registered representative | Jan 2025 (2y) | ||
| Hayden Winter | Registered representative | Jan 2025 (2y) | ||
| Derek Carmichael | Registered representative | Jan 2025 (2y) | ||
| Alicia Porter | Registered representative | Jan 2025 (2y) | ||
| Brenden Wheeler | Registered representative | Jan 2025 (2y) | ||
| Keith Joseph Waters | Registered representative | Feb 2025 (1y) | ||
| Maria D Reynolds | Registered representative | Feb 2025 (1y) | ||
| Jay Berg | Registered representative | Feb 2025 (1y) | ||
| Mark D Vibostok | Registered representative | CFP | Feb 2025 (1y) | |
| Vincent William Vibostok | Registered representative | CFP | Feb 2025 (1y) | |
| Jameson Klein | Registered representative | Feb 2025 (1y) | ||
| Corey Jeanor | Registered representative | Feb 2025 (1y) | ||
| Oliver David Cornet | Registered representative | Feb 2025 (1y) | ||
| Eric Todd Counts | Registered representative | Feb 2025 (1y) | ||
| Tammy Christine Baumgarten | Registered representative | Mar 2025 (1y) | ||
| Samuel Jordan Clarke | Registered representative | Mar 2025 (1y) | ||
| Irene Alexandria Grendel | Registered representative | Mar 2025 (1y) | ||
| Wesley Caleb Spurgeon | Registered representative | Mar 2025 (1y) | ||
| Lawrence Elliott De St. Croix | Registered representative | Mar 2025 (1y) | ||
| Robert Lewit | Registered representative | Mar 2025 (1y) | ||
| Thelma Latrice Temple | Registered representative | Mar 2025 (1y) | ||
| Audrey Porter | Registered representative | Mar 2025 (1y) | ||
| George Smith Greer | Registered representative | Mar 2025 (1y) | ||
| Phillip Ryan Emory | Registered representative | Mar 2025 (1y) | ||
| Sheri Hall Haugabook | Registered representative | Mar 2025 (1y) | ||
| William Harold Greer | Registered representative | Mar 2025 (1y) | ||
| Maithili V Kulkarni | Registered representative | Mar 2025 (1y) | ||
| Margaret Lesley Greer | Registered representative | Mar 2025 (1y) | ||
| Brendon Slater Canavan | Registered representative | CFP CFA | Mar 2025 (1y) | |
| J'lynn E Harvey | Registered representative | Mar 2025 (1y) | ||
| Paul Brian Skarie | Registered representative | Mar 2025 (1y) | ||
| Julie Ann Hearn | Registered representative | Mar 2025 (1y) | ||
| Matthew Patrick Lucas | Registered representative | Mar 2025 (1y) | ||
| Matthew Ryan | Registered representative | Mar 2025 (1y) | ||
| James Anthony Haro Ruiz | Registered representative | Mar 2025 (1y) | ||
| Paul Weimer | Registered representative | Mar 2025 (1y) | ||
| Harrison Alden Robb | Registered representative | Mar 2025 (1y) | ||
| Wyatt Daniels Baldwin | Registered representative | Mar 2025 (1y) | ||
| Kyle Abruzzo | Registered representative | Apr 2025 (1y) | ||
| Ethan Joseph Griffin | Registered representative | Apr 2025 (1y) | ||
| Alfred Cutler Barnes Mcnevin | Registered representative | Apr 2025 (1y) | ||
| Andres Mejia Alfaro | Registered representative | Apr 2025 (1y) | ||
| Anthony James Bove | Registered representative | Apr 2025 (1y) | ||
| Darin Patrick Pope | Registered representative | CFP CFA | Apr 2025 (1y) | |
| David Than Richburg | Registered representative | CFP | Apr 2025 (1y) | |
| Gary William Jansen | Registered representative | Apr 2025 (1y) | ||
| Gissette Cruz | Registered representative | Apr 2025 (1y) | ||
| Jana Rene Fryar | Registered representative | Apr 2025 (1y) | ||
| Jane Brokaw Lutz | Registered representative | Apr 2025 (1y) | ||
| Jay Thoburn Brown | Registered representative | Apr 2025 (1y) | ||
| John Albert Hellwig Ii | Registered representative | Apr 2025 (1y) | ||
| Joseph Cameron Murphy | Registered representative | Apr 2025 (1y) | ||
| Kimberly Anne Figenbaum | Registered representative | CFP | Apr 2025 (1y) | |
| Kyle Edward Obrien | Registered representative | Apr 2025 (1y) | ||
| Margaret Wade Johnson | Registered representative | Apr 2025 (1y) | ||
| Mario Frank Frisella | Registered representative | Apr 2025 (1y) | ||
| Mark E Ingram | Registered representative | CFA | Apr 2025 (1y) | |
| Mark James Sindowski | Registered representative | CFP | Apr 2025 (1y) | |
| Norman Bernard Loewenstern | Registered representative | Apr 2025 (1y) | ||
| Rebecca Jean Earwood Grant | Registered representative | Apr 2025 (1y) | ||
| Rodolfo Eduardo Milani | Registered representative | Apr 2025 (1y) | ||
| Rune Medhus | Registered representative | Apr 2025 (1y) | ||
| Regina K Kolkhorst | Registered representative | Apr 2025 (1y) | ||
| Robert A Anthony | Registered representative | Apr 2025 (1y) | ||
| Thomas Lee Udelson | Registered representative | Apr 2025 (1y) | ||
| Aimee Marie Caraballo | Registered representative | Apr 2025 (1y) | ||
| Amanda Hinckley Burton | Registered representative | Apr 2025 (1y) | ||
| George Edward Thiergartner | Registered representative | Apr 2025 (1y) | ||
| Kyle Michael Rainwater | Registered representative | CFP | Apr 2025 (1y) | |
| Martin William Padilla | Registered representative | Apr 2025 (1y) | ||
| Richard Alan Wright | Registered representative | CFA | Apr 2025 (1y) | |
| Steven E Crouch | Registered representative | Apr 2025 (1y) | ||
| Thomas Joseph O'neil | Registered representative | Apr 2025 (1y) | ||
| Jan Willem Kamphuis | Registered representative | Apr 2025 (1y) | ||
| Jennifer Hardcastle | Registered representative | CFP | Apr 2025 (1y) | |
| Thomas Mallory Tucker | Registered representative | Apr 2025 (1y) | ||
| Christopher Dennis Warner | Registered representative | Apr 2025 (1y) | ||
| Cory Hart | Registered representative | Apr 2025 (1y) | ||
| Christopher Wilkinson Green | Registered representative | Apr 2025 (1y) | ||
| Deborah L Griffith | Registered representative | Apr 2025 (1y) | ||
| Laura K Martin Bernard | Registered representative | Apr 2025 (1y) | ||
| Michael Vincent Dressel | Registered representative | Apr 2025 (1y) | ||
| Ryan Bell | Registered representative | Apr 2025 (1y) | ||
| Virginia L. L Kase | Registered representative | Apr 2025 (1y) | ||
| Andrew Carl Mcgee | Registered representative | Apr 2025 (1y) | ||
| Elena Estrada Mischon | Registered representative | Apr 2025 (1y) | ||
| Lori Griffith Vorwerk | Registered representative | Apr 2025 (1y) | ||
| Mark Anthony Lopez | Registered representative | CFP | Apr 2025 (1y) | |
| Melissa Transier | Registered representative | CFA | Apr 2025 (1y) | |
| David Sean Cromack | Registered representative | Apr 2025 (1y) | ||
| John Carolyn | Registered representative | Apr 2025 (1y) | ||
| John Hall | Registered representative | May 2025 (1y) | ||
| Joseph Isler | Registered representative | May 2025 (1y) | ||
| Matthew Liam Mazur | Registered representative | May 2025 (1y) | ||
| Fiene Sophie Nagtegaal | Registered representative | May 2025 (1y) | ||
| Gerald Edward O'hara | Registered representative | CFA | May 2025 (1y) | |
| David James Monroe | Registered representative | May 2025 (1y) | ||
| John Edward Guerra | Registered representative | May 2025 (1y) | ||
| George William Bryan | Registered representative | May 2025 (1y) | ||
| Kimberly A Klingener | Registered representative | May 2025 (1y) | ||
| Brian Richard Strandskov | Registered representative | CFP | May 2025 (1y) | |
| Gregory Joseph Abbracciamento | Registered representative | CFP | May 2025 (1y) | |
| John Anthony Abbracciamento | Registered representative | May 2025 (1y) | ||
| James Gary Weimer | Registered representative | May 2025 (1y) | ||
| Michael Anthony Peczinka | Registered representative | May 2025 (1y) | ||
| Elizabeth Clark Lynn | Registered representative | May 2025 (1y) | ||
| Michael A Allen Sabota | Registered representative | May 2025 (1y) | ||
| Zachary Ross Sabota | Registered representative | May 2025 (1y) | ||
| Ashley Palmer | Registered representative | May 2025 (1y) | ||
| Donielle Christina Davis | Registered representative | May 2025 (1y) | ||
| Michael Dylan King | Registered representative | May 2025 (1y) | ||
| Trista Skye Brandt | Registered representative | May 2025 (1y) | ||
| Yajaira Alejandra Litwinski | Registered representative | May 2025 (1y) | ||
| David Michael Hollo | Registered representative | May 2025 (1y) | ||
| Gabriel Peykar | Registered representative | Jun 2025 (1y) | ||
| Colten Rappach Mc Fadden | Registered representative | Jun 2025 (1y) | ||
| Brian Keith Werdesheim | Registered representative | Jun 2025 (1y) | ||
| Carolyn Salazar Ives | Registered representative | Jun 2025 (1y) | ||
| David Andrew Allen | Registered representative | Jun 2025 (1y) | ||
| Gary Alan Chiate | Registered representative | Jun 2025 (1y) | ||
| Jeffrey Lane Werdesheim | Registered representative | Jun 2025 (1y) | ||
| Qiu Xue Yang | Registered representative | CFP | Jun 2025 (1y) | |
| Robert W Dalie | Registered representative | CFP | Jun 2025 (1y) | |
| Savannah L Pincus | Registered representative | Jun 2025 (1y) | ||
| Grant Wiebe | Registered representative | Jun 2025 (1y) | ||
| Zachary Jordan Abrahams | Registered representative | Jun 2025 (1y) | ||
| Megan Marie Schudlich | Registered representative | Jun 2025 (1y) | ||
| Beth Hurst Ross | Registered representative | Jun 2025 (1y) | ||
| Luis Simal | Registered representative | Jun 2025 (1y) | ||
| Brittany Wright | Registered representative | Jun 2025 (1y) | ||
| Brooke Cash | Registered representative | Jun 2025 (1y) | ||
| Steven Kerstein | Registered representative | Jun 2025 (1y) | ||
| Maxwell Mrakuzic | Registered representative | Jul 2025 (1y) | ||
| Juan Carlos Larrazabal | Registered representative | Jul 2025 (1y) | ||
| Angela Hall | Registered representative | Jul 2025 (1y) | ||
| Christine Ashley Hull | Registered representative | Jul 2025 (1y) | ||
| Terry Ann Zotos | Registered representative | Jul 2025 (1y) | ||
| Alexander Dale Hancock | Registered representative | CFP | Jul 2025 (1y) | |
| Ryan Craig Hetland | Registered representative | Jul 2025 (1y) | ||
| Andrew Sanders | Registered representative | Jul 2025 (1y) | ||
| Gaige De Shazer | Registered representative | Jul 2025 (1y) | ||
| Jacob Thomas Watson | Registered representative | Jul 2025 (1y) | ||
| Matthew Philip Mc Manus | Registered representative | Jul 2025 (1y) | ||
| Robert Scott Declercq | Registered representative | CFP | Jul 2025 (1y) | |
| Wilson Andress | Registered representative | Jul 2025 (1y) | ||
| Matthew Edward Conaway | Registered representative | Jul 2025 (1y) | ||
| Garrett Michael Wano | Registered representative | Jul 2025 (1y) | ||
| Owen Spellman | Registered representative | Jul 2025 (1y) | ||
| Courtney E Rowan | Registered representative | Jul 2025 (1y) | ||
| Jeremy Essary | Registered representative | Jul 2025 (1y) | ||
| Stanley Clark Scarvey | Registered representative | Jul 2025 (1y) | ||
| Jon Andersson Broden | Registered representative | Jul 2025 (1y) | ||
| Sally Antwiler Bingaman | Registered representative | Jul 2025 (1y) | ||
| Brett Shawn Bowles | Registered representative | Jul 2025 (1y) | ||
| Omer Nathan Sander | Registered representative | Aug 2025 (1y) | ||
| Tanner Allen Woodruff | Registered representative | Aug 2025 (1y) | ||
| Jack Howell | Registered representative | Aug 2025 (1y) | ||
| Samuel Riggs Reynolds | Registered representative | Aug 2025 (1y) | ||
| James Turner Johnson | Registered representative | Aug 2025 (1y) | ||
| Taina Louise Badalamenti | Registered representative | Aug 2025 (1y) | ||
| Veronica Ann Zamora | Registered representative | Aug 2025 (1y) | ||
| Thomas Stitely | Registered representative | Aug 2025 (1y) | ||
| Charles Edward Knox | Registered representative | Aug 2025 (1y) | ||
| George Richard Prezioso | Registered representative | Aug 2025 (1y) | ||
| George Victor Casazza | Registered representative | Aug 2025 (1y) | ||
| Goodwin Ruth Sauls | Registered representative | Aug 2025 (1y) | ||
| James L Knox | Registered representative | Aug 2025 (1y) | ||
| William Francis Scola | Registered representative | Aug 2025 (1y) | ||
| Jamie Merritta Morrow | Registered representative | Aug 2025 (1y) | ||
| Sean J Darroch | Registered representative | Aug 2025 (1y) | ||
| Robert Douglas Sullivan | Registered representative | Aug 2025 (1y) | ||
| Austin Cole Mc Kelvey | Registered representative | Aug 2025 (1y) | ||
| John Mark Rogers | Registered representative | Aug 2025 (1y) | ||
| Adam Charles Garen Greenleaf | Registered representative | Aug 2025 (1y) | ||
| Owen Paul Ley | Registered representative | Aug 2025 (1y) | ||
| Thomas Biesemeyer | Registered representative | Aug 2025 (1y) | ||
| Blake Jalovec | Registered representative | Aug 2025 (1y) | ||
| Lisa Joe Taylor | Registered representative | Aug 2025 (1y) | ||
| Charles Schaeffer | Registered representative | Sep 2025 (1y) | ||
| John E Meiners | Registered representative | Sep 2025 (1y) | ||
| Matthew P Mac Michael | Registered representative | Sep 2025 (1y) | ||
| Samuel Clifton Lawson | Registered representative | Sep 2025 (1y) | ||
| Vicki Marie Clark | Registered representative | Sep 2025 (1y) | ||
| Christina Marie Hannah | Registered representative | Sep 2025 (1y) | ||
| Grant Patrick Ahlheim | Registered representative | Sep 2025 (1y) | ||
| George Thompson | Registered representative | Sep 2025 (1y) | ||
| Helen Balalas Terenzi | Registered representative | Sep 2025 (1y) | ||
| Daniel Anthony Hellmann | Registered representative | Sep 2025 (1y) | ||
| Francis E Campagna | Registered representative | Sep 2025 (1y) | ||
| Jon James Toerner | Registered representative | Sep 2025 (1y) | ||
| Joseph Isidro Laxamana | Registered representative | Sep 2025 (1y) | ||
| David Smith Wilkins | Registered representative | Sep 2025 (1y) | ||
| Edmund Brett Nobles | Registered representative | Sep 2025 (1y) | ||
| Jose Sergio Bohon | Registered representative | CFP | Sep 2025 (1y) | |
| Donna Lee Mackie Campbell | Registered representative | Sep 2025 (1y) | ||
| Meredith Campbell | Registered representative | Sep 2025 (1y) | ||
| Seamus F Hamilton | Registered representative | Sep 2025 (1y) | ||
| Patrick Thomas Taylor | Registered representative | Sep 2025 (1y) | ||
| John W Dunn | Registered representative | Sep 2025 (1y) | ||
| Phoebe Del Castillo | Registered representative | Sep 2025 (1y) | ||
| Sonia Sternbach | Registered representative | Oct 2025 (1y) | ||
| Paige Nichole Gargus | Registered representative | Oct 2025 (1y) | ||
| Clayton Johnston | Registered representative | Oct 2025 (1y) | ||
| William Bruin | Registered representative | Oct 2025 (1y) | ||
| Brenda Marie Marzynski | Registered representative | CFP Chartered Financial Consultant | Oct 2025 (1y) | |
| James Austin Head | Registered representative | Oct 2025 (1y) | ||
| Gennell Elizabeth Warner | Registered representative | Oct 2025 (1y) | ||
| James Gregory Turner | Registered representative | Oct 2025 (1y) | ||
| Ryen James Ryba | Registered representative | Oct 2025 (1y) | ||
| Ruddens Edouard Jeanty | Registered representative | Oct 2025 (1y) | ||
| Michael Regis Gaetano | Registered representative | Oct 2025 (1y) | ||
| Marcus Allen Lane | Registered representative | Oct 2025 (1y) | ||
| John Witherspoon Wallace | Registered representative | Oct 2025 (1y) | ||
| James Marshall Steinmetz | Registered representative | Oct 2025 (1y) | ||
| Kyle Frederick Cornish | Registered representative | Oct 2025 (1y) | ||
| Jessica Rubino | Registered representative | Oct 2025 (1y) | ||
| Zachary Charles Anthony | Registered representative | Nov 2025 (1y) | ||
| Kim Marie Davis | Registered representative | Chartered Financial Consultant | Nov 2025 (1y) | |
| William Painter Littrell | Registered representative | Nov 2025 (1y) | ||
| Avis Nannette Chandler | Registered representative | Nov 2025 (1y) | ||
| Christopher G Sassone | Registered representative | Nov 2025 (1y) | ||
| John Gerard Sassone | Registered representative | CFP | Nov 2025 (1y) | |
| Joseph Thomas Schmidt | Registered representative | Nov 2025 (1y) | ||
| David Allan Clark | Registered representative | Nov 2025 (1y) | ||
| Sean Flanagan | Registered representative | Nov 2025 (1y) | ||
| Brittneyann Mae French | Registered representative | Nov 2025 (1y) | ||
| Celia Charlton | Registered representative | Nov 2025 (1y) | ||
| Cody Andrew Larson | Registered representative | Nov 2025 (1y) | ||
| Chaz Myers | Registered representative | Nov 2025 (1y) | ||
| Christel Anne Marquis | Registered representative | Nov 2025 (1y) | ||
| Philip T Hintze | Registered representative | Nov 2025 (1y) | ||
| Daniel Mestres | Registered representative | Nov 2025 (1y) | ||
| Dylan Belgeri | Registered representative | Nov 2025 (1y) | ||
| Michael A. Calo | Registered representative | Dec 2025 (1y) | ||
| William Gordon Oldford | Registered representative | Dec 2025 (1y) | ||
| David Franklin Evans | Registered representative | Dec 2025 (1y) | ||
| Dillan Thomas Foley | Registered representative | Dec 2025 (1y) | ||
| George Henry Arnold | Registered representative | Dec 2025 (1y) | ||
| Max Conner Sasseen | Registered representative | Dec 2025 (1y) | ||
| Patrick Michael Flood | Registered representative | Dec 2025 (1y) | ||
| Phyllis Kleisle Kenney | Registered representative | Dec 2025 (1y) | ||
| Sumeet Kaur Rai | Registered representative | Dec 2025 (1y) | ||
| Alexis Donley | Registered representative | Dec 2025 (1y) | ||
| Jacob Edward Biscoe | Registered representative | Dec 2025 (1y) | ||
| Kristina Jo Rode | Registered representative | Dec 2025 (1y) | ||
| Tessa Camille Breeden | Registered representative | Dec 2025 (1y) | ||
| Stacey Jacobson | Registered representative | Dec 2025 (1y) | ||
| Eddie Ramirez | Registered representative | Dec 2025 (1y) | ||
| Edward Adams Ferguson | Registered representative | Dec 2025 (1y) | ||
| Luca Sea Craigie | Registered representative | Dec 2025 (1y) | ||
| Alexandria Rachelle Sperry | Registered representative | Dec 2025 (1y) | ||
| Santiago Matco De Luca | Registered representative | Dec 2025 (1y) | ||
| Sydney Elizabeth Allen | Registered representative | Dec 2025 (1y) | ||
| Jacob Andrew Scharr | Registered representative | Dec 2025 (1y) | ||
| Deborah Phillips Lauer | Registered representative | CFP | Dec 2025 (1y) | |
| Misty Hendrix | Registered representative | Dec 2025 (1y) | ||
| Paul Anthony Novelly | Registered representative | Jan 2026 (1y) | ||
| Cade Roderick Countryman | Registered representative | Jan 2026 (1y) | ||
| Ryan Nussdorfer | Registered representative | Jan 2026 (1y) | ||
| Alexander Daly | Registered representative | Jan 2026 (1y) | ||
| Joseph Giacobbo | Registered representative | Jan 2026 (1y) | ||
| Dalton Cook | Registered representative | Jan 2026 (1y) | ||
| Kaleb Danner | Registered representative | Jan 2026 (1y) | ||
| Clay Jones | Registered representative | CFA | Jan 2026 (1y) | |
| William Gray Vitagliano | Registered representative | Jan 2026 (1y) | ||
| Jacob Wilczynski | Registered representative | Jan 2026 (1y) | ||
| Benjamin Michael Burgoyne | Registered representative | Jan 2026 (1y) | ||
| Jacob William Fleming | Registered representative | Jan 2026 (1y) | ||
| John Mc Carney | Registered representative | Feb 2026 (0y) | ||
| Evan Joseph Geraghty | Registered representative | Feb 2026 (0y) | ||
| Matthew Joseph Meyer | Registered representative | Feb 2026 (0y) | ||
| Elijah James Gatlin | Registered representative | Feb 2026 (0y) | ||
| Stephen Nicholas Myatt | Registered representative | Feb 2026 (0y) | ||
| Allison Dayoan | Registered representative | Feb 2026 (0y) | ||
| Benjamin Houston Wyker | Registered representative | Feb 2026 (0y) | ||
| John William Wyker | Registered representative | Feb 2026 (0y) | ||
| Jacob Michael Kulich | Registered representative | Feb 2026 (0y) | ||
| Matthew C Mead | Registered representative | Feb 2026 (0y) | ||
| Kyle Kaimann | Registered representative | Feb 2026 (0y) | ||
| Alfred Peter Schofield | Registered representative | Mar 2026 (0y) | ||
| Jacob Louis Armstrong | Registered representative | CFA | Mar 2026 (0y) | |
| James E Westbury | Registered representative | Mar 2026 (0y) | ||
| Josie Victoria Scramlin | Registered representative | Mar 2026 (0y) | ||
| Stephanie Mk Rolfe | Registered representative | Mar 2026 (0y) | ||
| Colin Kremer | Registered representative | CFP | Mar 2026 (0y) | |
| Elizaveta Vilge | Registered representative | Mar 2026 (0y) | ||
| Michelle Feng | Registered representative | Mar 2026 (0y) | ||
| Cole Hanenburg | Registered representative | Mar 2026 (0y) | ||
| Joseph Thomas Pauwels | Registered representative | Mar 2026 (0y) | ||
| Michael Mario Ravotti | Registered representative | Mar 2026 (0y) | ||
| Ryan Matthew Wehking | Registered representative | Mar 2026 (0y) | ||
| Bhavna Singh | Registered representative | Apr 2026 (0y) | ||
| Charles Marks | Registered representative | Apr 2026 (0y) | ||
| Jason E Zehr | Registered representative | Apr 2026 (0y) | ||
| Rouba Staufenberger | Registered representative | Apr 2026 (0y) | ||
| Ashley Nicole Schmidt | Registered representative | Apr 2026 (0y) | ||
| Denali Joshua Fellenz | Registered representative | Apr 2026 (0y) | ||
| Jacob Tissian | Registered representative | Apr 2026 (0y) | ||
| Kyle Mills Lichtenstein | Registered representative | Apr 2026 (0y) | ||
| Mark Christopher Matthes | Registered representative | Apr 2026 (0y) | ||
| Mark Schultz | Registered representative | Apr 2026 (0y) | ||
| Brendan Patrick Lough | Registered representative | Apr 2026 (0y) | ||
| Chase Fitzgerald | Registered representative | Apr 2026 (0y) | ||
| Anna Kathryn Clark | Registered representative | Apr 2026 (0y) | ||
| Mackenzie M Wright | Registered representative | Apr 2026 (0y) | ||
| Collin Campbell | Registered representative | Apr 2026 (0y) | ||
| Ellen Doerr Howard | Registered representative | Apr 2026 (0y) | ||
| Matthew John Hall | Registered representative | Apr 2026 (0y) | ||
| Alex Templin | Registered representative | Apr 2026 (0y) | ||
| Jackson Markham | Registered representative | Apr 2026 (0y) | ||
| James Inman | Registered representative | Apr 2026 (0y) | ||
| William Pelissier | Registered representative | Apr 2026 (0y) | ||
| Courtland Christopher Watson | Registered representative | May 2026 (0y) | ||
| John Logan Brady | Registered representative | May 2026 (0y) | ||
| Robert Dale Johnson | Registered representative | May 2026 (0y) | ||
| David Edward Outlaw | Registered representative | May 2026 (0y) | ||
| Rex Noble Points | Registered representative | May 2026 (0y) | ||
| Joshua Trent Scoggins | Registered representative | May 2026 (0y) | ||
| Haylea Perkins Breed | Registered representative | May 2026 (0y) | ||
| Luke Matthew Skillman | Registered representative | May 2026 (0y) | ||
| Chad Ballard Hoskins | Registered representative | May 2026 (0y) | ||
| Ryan Richards | Registered representative | May 2026 (0y) | ||
| Matthew Douglas Schulte | Registered representative | May 2026 (0y) | ||
| Justin Moeykens | Registered representative | May 2026 (0y) | ||
| Madeline Rose Deisner | Registered representative | May 2026 (0y) | ||
| Amy Leigh Scott | Registered representative | May 2026 (0y) | ||
| Crystal Raye Bossaller | Registered representative | May 2026 (0y) | ||
| Matthew Steven Newell | Registered representative | May 2026 (0y) | ||
| Phillip Joseph Lux | Registered representative | May 2026 (0y) | ||
| Alexandra Tyburski | Registered representative | May 2026 (0y) | ||
| Le Roy James Sandoval | Registered representative | May 2026 (0y) | ||
| Molly Babcock | Registered representative | May 2026 (0y) | ||
| Angelique Nicolette Kelly Patino | Registered representative | May 2026 (0y) | ||
| Dalton Hodge Nannini | Registered representative | May 2026 (0y) | ||
| Maria Luz Prado | Registered representative | May 2026 (0y) | ||
| Eric Andrew Finch | Registered representative | May 2026 (0y) | ||
| Nicola Ta Walter | Registered representative | May 2026 (0y) | ||
| Noah James Pirtle | Registered representative | Jun 2026 (0y) | ||
| Benjamin Wright | Registered representative | Jun 2026 (0y) | ||
| Peter Daniel Hogan | Registered representative | CFP | Jun 2026 (0y) | |
| William P Shade | Registered representative | Jun 2026 (0y) | ||
| John Taylor Fleenor | Registered representative | Jun 2026 (0y) | ||
| Alec Joseph Musolino | Registered representative | Jun 2026 (0y) | ||
| Jennifer Heed Doherty Reilly | Registered representative | Jun 2026 (0y) | ||
| Jonathan Richard Ratterman | Registered representative | Jun 2026 (0y) | ||
| Justin Dennett | Registered representative | Jun 2026 (0y) | ||
| Rachel L Powell | Registered representative | Jun 2026 (0y) | ||
| Sean Patrick Larkins | Registered representative | Jun 2026 (0y) | ||
| Hayden Reid Gothard | Registered representative | CFP | Jun 2026 (0y) | |
| Stephen Hudson Akers | Registered representative | Jun 2026 (0y) | ||
| Zachary Mc Coy | Registered representative | Jun 2026 (0y) | ||
| Alexander Anderson | Registered representative | Jun 2026 (0y) | ||
| Mary Ellen Coyne | Registered representative | Jul 2026 (0y) | ||
| Paul Joseph Onorati | Registered representative | Jul 2026 (0y) | ||
| Sam Fix | Registered representative | Jul 2026 (0y) | ||
| Almir Salihovic | Registered representative | Jul 2026 (0y) | ||
| Mary K Holden | Registered representative | Jul 2026 (0y) | ||
| Margarita Illingworth Stanczak | Registered representative | Jul 2026 (0y) | ||
| Devan William Mc Ewen | Registered representative | Jul 2026 (0y) | ||
| James Johnstone Pass | Registered representative | Jul 2026 (0y) | ||
| Lauren Renee La Course | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Stifel Financial Corp. | Shareholder | Feb 1982 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (23, $267M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Rc Iv Llc | Other Private Fund | $53.3M | $1.0M | 59 |
| Kcp Liberty City Ventures Lp | Other Private Fund | $28.3M | $100K | 75 |
| Kcp Bridge 33 Fund Lp | Other Private Fund | $21.8M | $100K | 47 |
| Leg Iv And Opportunities Fund, Llc | Other Private Fund | $21.2M | $250K | 39 |
| Rc V, Llc | Other Private Fund | $14.7M | $250K | 20 |
| Kcp Finback Lp | Other Private Fund | $14.0M | $100K | 32 |
| Kcp Seaside Equity Fund Lp | Other Private Fund | $13.0M | $100K | 40 |
| Kcp North Branch Fund Lp | Other Private Fund | $12.3M | $100K | 33 |
| Kcp Valiant Peregrine Fund Lp | Other Private Fund | $11.1M | $100K | 19 |
| Leg Ii, Llc | Other Private Fund | $10.7M | $100K | 36 |
| Opportunistic Real Estate Fund, Llc | Other Private Fund | $10.5M | $200K | 39 |
| Kcp Accolade Fund Lp | Other Private Fund | $9.3M | $100K | 27 |
| International Select Investments Llc | Other Private Fund | $9.2M | $200K | 96 |
| Mp Concentrated Fund I | Other Private Fund | $7.8M | $25.0K | 23 |
| Kcp Access Fund Lp | Other Private Fund | $6.7M | $100K | 11 |
| Real Estate Recovery Fund Llc | Other Private Fund | $5.3M | $100K | 41 |
| Stifel Access (Law Finance Group)lp | Venture Capital Fund | $4.6M | $100K | 27 |
| Kcp Gs Ii Lp | Other Private Fund | $3.1M | $100K | 26 |
| Ei Fund Ii Llc | Other Private Fund | $3.0M | $100K | 25 |
| Kcp Interlock Equity Fund Lp | Other Private Fund | $2.7M | $100K | 10 |
| Kcp Valiant Peregrine Fund Ii | Other Private Fund | $2.5M | $100K | 27 |
| Kcp Greenoaks V Lp | Other Private Fund | $1.9M | $100K | 39 |
| Kcp Bridge33 Iii Lp | Other Private Fund | $182K | $100K | 40 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 17.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: PLANTIFFS CONTEND THAT STIFEL DID NOT DISCLOSE THE MARK-UP ON ESCROW SECURITIES SOLD TO THE CITY OF OKLAHOMA CITY AND THE OKLAHOMA WATER RESUORCE BOARD. Status: Final Summary: QUI TAM ACTION FILED BY A TAXPAYER. FILED IN ERROR.
Allegations: THE SEC ALLEGED THAT STIFEL NICOLAUS ACTED FRAUDULENTLY IN CONNECTION WITH ITS ROLE IN THE PURCHASE OF SYNTHETIC COLLATERALIZED DEBT OBLIGATIONS BY 5 WISCONSIN SCHOOL DISTRICTS WHICH WERE LARGELY FUNDED WITH BORROWED MONEY. THE SEC FURTHER ALLEGED THAT THE CDO'S WERE UNSUITABLE INVESTMENTS FOR THE SCHOOL DISTRICTS. Status: Final Summary: REMOVING DRP. MATTER OVER 10 YEARS OLD.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT THE CORRECT SYMBOL INDICATING THE CAPACITY IN WHICH THE FIRM EXECUTED TRANSACTIONS IN REPORTABLE SECURITIES TO THE FINRA/NASDAQ TRADE REPORTING FACILITY (TRF). THE FINDINGS STATED THAT THE FIRM, ON THREE OCCASIONS, WHEN IT ACTED AS PRINCIPAL FOR ITS OWN ACCOUNT, FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMER THE CORRECT REPORTED TRADE PRICE IN THE TRANSACTION, ON TWO OCCASIONS FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMER ITS CORRECT CAPACITY IN THE TRANSACTION, INCORRECTLY INCLUDED AN AVERAGE PRICE DISCLOSURE IN THE TRANSACTIONS, AND INACCURATELY DISCLOSED THE COMMISSION OR COMMISSION EQUIVALENT IN THE TRANSACTIONS. THE FIRM ALSO ON SIX OCCASIONS, ACCEPTED A SHORT SALE ORDER IN AN EQUITY SECURITY FROM ANOTHER PERSON, OR EFFECTED A SHORT SALE IN AN EQUITY SECURITY FOR ITS OWN ACCOUNT, WITHOUT BORROWING THE SECURITY, OR ENTERING INTO A BONA-FIDE ARRANGEMENT TO BORROW THE SECURITY, OR HAVING REASONABLE GROUNDS TO BELIEVE THAT THE SECURITY COULD BE BORROWED SO THAT IT COULD BE DELIVERED ON THE DATE DELIVERY IS DUE, AND DOCUMENTING COMPLIANCE WITH RULE 203(B)(1) OF REGULATION SHO. THE FIRM MADE AVAILABLE A REPORT ON THE COVERED ORDERS IN NATIONAL MARKET SYSTEM SECURITIES THAT IT RECEIVED FOR EXECUTION FROM ANY PERSON. THIS REPORT FAILED TO INCLUDE INFORMATION REGARDING TWO ORDERS THAT THE FIRM SHOULD HAVE REPORTED FOR THE REVIEW PERIOD. THE FINDINGS ALSO STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND FINRA RULES. THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR ADEQUATE WSPS REGARDING SUPERVISORY SYSTEMS, PROCEDURES AND QUALIFICATIONS; ORDER HANDLING; SHORT SALE TRANSACTIONS; TRADE REPORTING; SOFT DOLLARS ACCOUNTS AND TRADING; ORDER AUDIT TRAIL SYSTEM (OATS) REPORTING; ALGORITHMIC TRADING; MULTIPLE MARKET PARTICIPANT IDENTIFIERS (MPIDS); AND MAINTAINING BOOKS AND RECORDS RELATING TO ELECTRONIC COMMUNICATIONS BETWEEN TRADING DESKS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED AND AGREED TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND ENTRY OF FINDINGS THAT, ON CERTAIN OCCASIONS DURING THE PERIOD OF JANUARY 1, 2010 THROUGH JUNE 1, 2011, THE FIRM VIOLATED: NYSE RULE 92(A) BY ENTERING AN ORDER TO BUY OR SELL AN NYSE-LISTED SECURITY FOR AN ACCOUNT IN WHICH THE FIRM HAD AN INTEREST (A "PROPRIETARY ORDER") WHILE KNOWINGLY IN POSSESSION OF A CUSTOMER ORDER THAT COULD BE EXECUTED AT THE SAME PRICE, THAT TRADED ALONG WITH, OR AHEAD OF, THE CUSTOMER ORDER WITHOUT THE CUSTOMER'S CONSENT; SECTION 11(A) OF THE EXCHANGE ACT AND NYSE RULE 90(A) BY CAUSING FIRM-ASSOCIATED FLOOR BROKERS TO EFFECT PROPRIETARY TRANSACTIONS ON THE NYSE FLOOR WITHOUT YIELDING PRIORITY, PARITY AND PRECEDENCE TO NON-PROPRIETARY ORDERS; NYSE RULE 410(B) BY ALLOWING PROPRIETARY ORDERS TO BE TRANSMITTED TO THE NYSE FLOOR WITHOUT THE REQUIRED "G" NOTATION THAT WOULD ENABLE SUCH ORDERS TO BE HANDLED PURSUANT TO SECTION 11(A)(1)(G) OF THE EXCHANGE ACT; NYSE RULE 2010 BY FAILING TO CROSS CERTAIN CUSTOMER ORDERS DESCRIBED ABOVE; SECTION 10B-10(A)(2) OF THE EXCHANGE ACT BY FAILING TO PROVIDE WRITTEN DISCLOSURES TO CUSTOMERS CONCERNING THE FIRM'S CORRECT CAPACITY AND, WHEN ACTING AS PRINCIPAL IN A NON-MARKET MAKING CAPACITY, FAILING TO PROVIDE COMPLETE AND ACCURATE WRITTEN DISCLOSURES TO CUSTOMERS ABOUT THE DIFFERENCE BETWEEN THE CUSTOMER'S PRICE AND THE FIRM'S CONTEMPORANEOUS PRICE; AND NYSE RULE 342 BY FAILING TO REASONABLY SUPERVISE AND IMPLEMENT ADEQUATE CONTROLS REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NYSE RULES 90, 92, 410(B), 2010 AND SECTION 11(A) OF THE EXCHANGE ACT WITH RESPECT TO THE TRANSMISSION AND EXECUTION OF CERTAIN AGENCY AND PROPRIETARY TRANSACTIONS EFFECTED ON THE NYSE FLOOR. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $275,000.
Allegations: ON JANUARY 4, 2017, AN ADMINISTRATIVE CONSENT ORDER ("ORDER") WAS ENTERED AGAINST STIFEL, NICOLAUS & COMPANY, INC. ("STIFEL NICOLAUS") AND A FORMER REGISTERED REPRESENTATIVE ASSOCIATED WITH STIFEL NICOLAUS BY THE SECURITIES DIVISION OF THE MISSISSIPPI SECRETARY OF STATE ("DIVISION") RESOLVING AN INVESTIGATION INTO CERTAIN ACTIVITIES OCCURRING IN TWO BRANCH OFFICES DURING THE PERIOD OF SEPTEMBER 2000 THROUGH NOVEMBER 2013. WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE ORDER, STIFEL NICOLAUS AGREED TO THE ENTRY OF THE ORDER DIRECTING STIFEL NICOLAUS TO CEASE AND DESIST FROM VIOLATING RULE 5.15 OF THE MISSISSIPPI SECURITIES ACT OF 2010, A BOOKS AND RECORDS RULE, AND TO PAY THE DIVISION $49,500 ON ITS BEHALF AS WELL AS $500 ON BEHALF OF THE FORMER REGISTERED REPRESENTATIVE. Status: Final Sanction Detail: STIFEL PAID $49,500 ON ITS BEHALF AND $500 ON BEHALF OF THE FORMER REGISTERED REPRESENTATIVE.
Allegations: FAILURE TO ADEQUATELY SUPERVISE REPS SALE OF HIGH YIELD BONDS. Status: Final Sanction Detail: FINES& COSTS Summary: FAHSHOLTZ, MICHAEL; STIFEL, NICOLAUS & CO. - S-19-2660-23-CO01 - CONSENT ORDER ON MAY 26, 2024, THE SECURITIES DIVISION ENTERED A CONSENT ORDER WITH RESPONDENTS MICHAEL FAHSHOLTZ ("FAHSHOLTZ," CRD #2057306) AND FAHSHOLTZ'S FORMER BROKER-DEALER, STIFEL, NICOLAUS & CO., INC. ("STIFEL," CRD #793) (COLLECTIVELY, "THE RESPONDENTS"). AS SET FORTH IN THE CONSENT ORDER, FAHSHOLTZ SOLD SIGNIFICANT QUANTITIES OF HIGH-YIELD BONDS (COMMONLY KNOWN AS JUNK BONDS) TO MANY CLIENTS WHOSE AGE AND RISK TOLERANCE WERE INCONSISTENT WITH HIGH CONCENTRATIONS OF RISKY BONDS. THE CONSENT ORDER ALLEGES THAT THESE SALES VIOLATED RCW 21.20.702, THE SUITABILITY PROVISION OF THE SECURITIES ACT OF WASHINGTON. THE CONSENT ORDER FURTHER ALLEGES THAT STIFEL FAILED TO ADEQUATELY MONITOR FAHSHOLTZ'S SALE OF HIGH-YIELD BONDS AND TO NOTE VARIOUS DISCREPANCIES BETWEEN FAHSHOLTZ'S JUSTIFICATIONS FOR HIS SALES AND HIS CUSTOMERS' STATED RISK TOLERANCE, INVESTMENT OBJECTIVES, AND OUTSIDE HOLDINGS, AS REQUIRED BY RCW 21.20.110. IN THE CONSENT ORDER, THE RESPONDENTS NEITHER ADMIT NOR DENY THE SECURITIES DIVISION'S FINDINGS OF FACT AND CONCLUSIONS OF LAW, BUT FAHSHOLTZ AGREES TO CEASE AND DESIST FROM VIOLATING THE SUITABILITY PROVISIONS OF THE SECURITIES ACT OF WASHINGTON. FAHSHOLTZ FURTHER AGREES TO PAY A FINE OF $10,000; STIFEL AGREES TO PAY A FINE OF $10,000 AND INVESTIGATIVE COSTS OF $20,000. THE RESPONDENTS WAIVED THEIR RIGHT TO A HEARING AND TO JUDICIAL REVIEW OF THIS MATTER.
Allegations: FINRA ALLEGED THAT STIFEL NICOLAUS REPORTED TO THE FINRA/NASDAQ TRADE REPORTING FACILITY (FNTRF) LAST SALE REPORTS OF TRANSACTIONS IN DESIGNATED SECURITIES IT WAS NOT REQUIRED TO REPORT. FINRA FOUND THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO SECURITIES RULES AND REGULATIONS CONCERNING TRADE REPORTING AND THAT THE SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES (WSPS) PROVIDING FOR A STATEMENT OF SUPERVISORY STEP(S) TO BE TAKEN BY THE PERSON(S) RESPONSIBLE FOR ENSURING THAT THE FIRM DOES NOT REPORT TRANSACTIONS TO THE FNTRF THAT IT IS NOT REQUIRED TO REPORT. Status: Final Sanction Detail: UNDERTAKING TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.
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 IMPLEMENT AN ADEQUATE ANTI-MONEY LAUNDERING (AML) PROGRAM TO DETECT AND CAUSE THE REPORTING OF CERTAIN POTENTIALLY SUSPICIOUS ACTIVITY. THE FINDINGS ALSO STATED THAT THE FIRM'S AML COMPLIANCE PROGRAM INCLUDED SUSPICIOUS ACTIVITY SURVEILLANCE OF SOLICITED PENNY STOCK TRADES EXECUTED THROUGH THE FIRM. HOWEVER, THE COMPLIANCE PROGRAM DID NOT ROUTINELY MONITOR UNSOLICITED PENNY STOCK TRADES EXECUTED THROUGH THE FIRM. DESPITE THE AMOUNT OF UNSOLICITED PENNY STOCK TRADING ACTIVITY CONDUCTED THROUGH THE FIRM AND THE AWARENESS OF RISKS ASSOCIATED WITH SUCH ACTIVITY, THE FIRM FAILED TO HAVE AN ADEQUATE SURVEILLANCE SYSTEM TO REVIEW UNSOLICITED PENNY STOCK TRANSACTIONS. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM TO ACHIEVE COMPLIANCE WITH SECTION 5 OF THE SECURITIES ACT OF 1933. THE FIRM CUSTOMERS DEPOSITED AND SOLD PENNY STOCK SHARES THROUGH THE FIRM, AND IT DID NOT ROUTINELY CONDUCT DUE DILIGENCE ON PENNY STOCKS RECEIVED FROM CUSTOMERS THROUGH THE AUTOMATED CUSTOMER ACCOUNT TRANSFER SERVICE (ACATS) SYSTEM. CONTRARY TO ITS OBLIGATIONS UNDER FINRA RULES, THE FIRM FAILED TO ENSURE THAT ADEQUATE SUPERVISORY REVIEWS WERE PERFORMED TO DETERMINE WHETHER SUCH SECURITIES WERE REGISTERED OR IF AN EXEMPTION TO REGISTRATION APPLIED PRIOR TO THE SALE OF SUCH SECURITIES. AS A RESULT, FIRM CUSTOMERS WERE ABLE TO DEPOSIT AND LIQUIDATE PENNY STOCK SHARES THAT SHOULD HAVE BEEN SUBJECT TO GREATER SCRUTINY BY THE FIRM. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $300,000.00
Allegations: VIOLATIONS OF RULE 604 OF REGULATION NMS IN THAT THE FIRM FAILED TO IMMEDIATELY DISPLAY CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN IT'S PUBLIC QUOTATION, WHEN EACH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SECURITY OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DEMINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH THE FIRM'S BID OR OFFER IN EACH SECURITY. Status: Final Sanction Detail: THE FIRM CONSENTED TO A CENSURE AND FINE OF $12,500.
Allegations: FINRA ALLEGED THE FIRM FAILED TO EXECUTE ORDERS FULLY AND PROMPTLY AND IN TRANSACTIONS FOR OR WITH A CUSTOMER, FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND BUY OR SELL IN SUCH MARKET SO THAT THE RESULTANT PRICE TO ITS CUSTOMER WAS AS FAVORABLE AS POSSIBLE UNDER PREVAILING MARKET CONDITIONS. FINRA ALSO ALLEGED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLE DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO CERTAIN APPLICABLE SECURITIES LAWS AND REGULATIONS, AND/OR FINRA RULES AND THAT THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) FAILED TO PROVIDE FOR ONE OR MORE OF THE FOUR MINIMUM REQUIREMENTS FOR ADEQUATE WSPS REGARDING MARKET ORDER TIMELINESS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO THE FINDINGS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO DISPLAY IMMEDIATELY 10 CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES IN ITS PUBLIC QUOTATION, WHEN EACH SUCH ORDER WAS AT A PRICE THAT WOULD HAVE IMPROVED THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY; OR WHEN THE ORDER WAS PRICED EQUAL TO THE FIRM'S BID OR OFFER AND THE NATIONAL BEST BID OR OFFER FOR EACH SUCH SECURITY, AND THE SIZE OF THE ORDER REPRESENTED MORE THAN A DE MINIMIS CHANGE IN RELATION TO THE SIZE ASSOCIATED WITH THE FIRM'S BID OR OFFER IN EACH SUCH SECURITY, IN VIOLATION OF RULE 604 OF REGULATION NMS. THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND NASDAQ RULES CONCERNING LIMIT ORDER DISPLAY. SPECIFICALLY, THE FIRM'S SUPERVISORY SYSTEM DID NOT INCLUDE WRITTEN SUPERVISORY PROCEDURES PROVIDING FOR A STATEMENT OF THE SUPERVISORY STEP(S) TO BE TAKEN BY THE IDENTIFIED PERSON(S) RESPONSIBLE FOR SUPERVISION, I.E., ENSURING THAT THE FIRM'S ORDERS ARE ROUTED FOR DISPLAY ONLY TO BROKER-DEALERS THAT ARE ACTING AS MARKET MAKERS. THIS CONDUCT VIOLATED NASDAQ RULES 2010A AND 3010. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $15,000.00
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT THE CORRECT SYMBOL INDICATING WHETHER THE TRANSACTIONS WERE A BUY, SELL, OR CROSS AND INACCURATELY APPENDED A PRICE OVERRIDE MODIFIER TO LAST SALE REPORTS OF TRANSACTIONS THAT WERE REPORTED TO THE FINRA/NASDAQ TRADE REPORTING FACILITY (FNTRF). THE FINDINGS STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND FINRA RULES, CONCERNING TRADE REPORTING. THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR ADEQUATE WSPS CONCERNING THE PROPER USE OF TRADE REPORTING MODIFIERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $40,000 AND UNDERTAKES TO REVISE ITS WSPS.
Allegations: VIOLATONS OF EXCHANGE RULE 3.6A IN THAT STIFEL NICOLAUS FAILED TO REGISTER ITS CCO AS A PROPRIETARY TRADER COMPLIANCE OFFICER, FAILED TO REGISTER FOUR ASSOCIATED PERSONS AS PROPRIETARY TRADER PRINCIPAL, AND FAILED TO REGISTER 11 ASSOCIATED PERSONS AS PROPRIETARY TRADER WITH THE EXCHANGE IN WEBCRD. Status: Final Sanction Detail: STIFEL NICOLAUS WAS CENSURED AND FINED $35,000.00
Allegations: THE FIRM SELF-REPORTED TO FINRA THAT IT FAILED TO APPLY THE WAIVERS TO MUTUAL FUND PURCHASES MADE BY ELIGIBLE CUSTOMERS AND INSTEAD SOLD THEM CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. THESE SALES DISADVANTAGED ELIGIBLE CUSTOMERS BY CAUSING SUCH CUSTOMERS TO PAY HIGHER FEES THAN THEY WERE ACTUALLY REQUIRED TO PAY. THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ELIGIBLE CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS. THE FIRM FAILED TO REASONABLY SUPERVISE THE APPLICATION OF SALES CHARGE WAIVERS TO ELIGIBLE MUTUAL FUND SALES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND REQUIRED TO PAY $2,948,205, INCLUDING INTEREST, IN RESTITUTION TO ELIGIBLE CUSTOMERS. Summary: IN OCTOBER 2014, THE FIRM BEGAN A REVIEW TO DETERMINE WHETHER IT HAD PROVIDED AVAILABLE SALES CHARGE WAIVERS TO ELIGIBLE CUSTOMERS. BASED ON THIS REVIEW, IN APRIL 2015, THE FIRM SELF-REPORTED TO FINRA THAT ELIGIBLE CUSTOMERS HAD NOT RECEIVED AVAILABLE SALES CHARGE WAIVERS.
Allegations: FINRA FOUND THAT STIFEL NICOLAUS VIOLATED NASD RULES 2210, 2110 AND 2711 AS WELL AS FINRA RULE 2010. FINRA FOUND THAT THE FIRM FAILED TO ADEQUATELY SUPERVISE THE WRITTEN COMMUNICATIONS OF AN INSTITUTIONAL SALESPERSON. FINRA FOUND THAT THE COMMUNICATIONS VIOLATED NASD RULES IN THAT THEY CONSTITUTED "RESEARCH REPORTS" BUT FAILED TO MEET THE RELATED REQUIREMENTS AS DEFINED BY NASD RULE 2711. IN ADDITION, FINRA FOUND THAT THE FIRM FAILED TO IMPLEMENT A SUPERVISORY SYSTEM THAT WAS REASONABLY DESIGNED TO SUPERVISE THE DISTRIBUTION, APPROVAL AND MAINTENANCE OF RESEARCH REPORTS AND INSTITUTIONAL SALES MATERIAL, IN VIOLATION OF NASD RULE 3010. FINRA ALSO FOUND THAT THE FIRM VIOLATED SEC RULE 17A-4 AS WELL AS NASD AND FINRA RULES FOR FAILING TO MAINTAIN INFORMATION USED IN CERTAIN RESEARCH COMMUNICATIONS, AND VIOLATED NASD RULES IN THAT THE COMMUNICATIONS WERE NOT AUTHORED, CIRCULATED OR SUPERVISED BY INDIVIDUALS PROPERLY LICENSED TO PERFORM THESE FUNCTIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $200,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT EFFECTED CUSTOMER TRANSACTIONS IN A MUNICIPAL SECURITY IN AN AMOUNT LOWER THAN THE MINIMUM DENOMINATION OF THE ISSUE WHICH WERE NOT SUBJECT TO AN EXCEPTION UNDER THE APPLICABLE RULE. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $25,000 AND MUST OFFER RESCISSION TO THE CUSTOMERS WHO EXECUTED THE TRANSACTIONS AT EITHER THE ORIGINAL PURCHASE PRICE OR THE CURRENT FAIR MARKET VALUE, WHICHEVER IS HIGHER.
Allegations: FINRA ALLEGED THAT, PRIOR TO PERFORMING ITS END OF THE WEEK CUSTOMER RESERVE CALCULATIONS, THE FIRM SUBSTITUTED LOANS SECURED BY CUSTOMER-OWNED SECURITIES WITH LOANS SECURED BY FIRM-OWNED COLLATERAL, POTENTIALLY REDUCING THE AMOUNT THE FIRM WAS REQUIRED TO DEPOSIT INTO ITS SPECIAL RESERVE BANK ACCOUNT. THESE SUBSTITUTIONS WERE BASED ON ADMINISTRATIVE CONVENIENCE AND, AT ALL RELEVANT TIMES, THE FIRM HAD SUFFICIENT CAPITAL TO PROPERLY FUND THE RESERVE ACCOUNT HAD THE LOAN SUBSTITUTIONS NOT OCCURRED, ASSUMING THAT ANY ADDITIONAL DEPOSITS WERE EVEN NECESSARY. FINRA ALSO ALLEGED THAT, BASED ON ITS IMPROPER TREATMENT OF VARIOUS CASH AND SECURITIES BALANCES IN THE ACCOUNTS OF A NEWLY-ACQUIRED INTRODUCING BROKER-DEALER, THE FIRM INCORRECTLY CALCULATED ITS PROPRIETARY ACCOUNTS OF INTRODUCING BROKERS AND DEALERS RESERVE AND CUSTOMER RESERVE DEPOSIT REQUIREMENTS CAUSING SEVERAL HINDSIGHT DEFICIENCIES IN 2013 AS WELL AS THE FILING OF INACCURATE FOCUS REPORTS, AND THE MAINTENANCE OF INACCURATE BOOKS AND RECORDS. AS A RESULT OF THESE VIOLATIONS, FINRA ALLEGED THAT THE FIRM DID NOT ESTABLISH AND MAINTAIN REASONABLE SUPERVISORY SYSTEMS AND PROCEDURES DESIGNED TO DETECT AND PREVENT THESE VIOLATIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $750,000. Summary: THE FIRM FULLY COOPERATED WITH FINRA'S INQUIRY AND RESOLVED THIS MATTER WITHOUT ADMITTING OR DENYING THE FINDINGS. IN ADDITION, THE FIRM UNDERTOOK SIGNIFICANT REMEDIATION EFFORTS TO ENHANCE ITS TRAINING AND CONTROLS FOR COMPLYING WITH SEA RULE 15C 3-3, RULE 17A-3(A)(11) AND RULE 17A-5. THE FIRM RETAINED AN OUTSIDE CONSULTANT WHO CONDUCTED AN EXTENSIVE REVIEW OF THE FIRM'S RELEVANT PROCESSES AND CONTROLS. CONSISTENT WITH THE CONSULTANT'S RECOMMENDATIONS, THE FIRM REVISED CERTAIN WRITTEN SUPERVISORY PROCEDURES FOR REGULATORY REPORTING, DEVELOPED NEW PROCESSES TO IMPROVE COMMUNICATION BETWEEN ITS REGULATORY REPORTING DEPARTMENT AND OTHER DEPARTMENTS WITHIN THE FIRM RESPONSIBLE FOR PRODUCING AND PROVIDING KEY REGULATORY INFORMATION, AND DEVELOPED ENHANCED TRAINING FOR FIRM PERSONNEL INVOLVED IN THE REGULATORY REPORTING PROCESS.
Allegations: IN JUNE 2017, STIFEL ENTERED INTO AN ACCEPTANCE, WAIVER AND CONSENT WITH FINRA TO SETTLE ALLEGATIONS THAT STIFEL DID NOT PROVIDE TIMELY DISCLOSURES TO A MUNICIPAL ISSUER IN CONNECTION WITH ITS ROLE AS PLACEMENT AGENT IN A PLACEMENT OF BONDS ISSUED BY THE MUNICIPAL ISSUER IN ACCORDANCE WITH INTERPRETIVE GUIDANCE ISSUED BY THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") REGARDING MSRB RULE G-23. IN MAY 2012, STIFEL RECOMMENDED THAT THE ISSUER DO A PLACEMENT, IN LIEU OF A PUBLIC OFFERING, IN ORDER TO SAVE ON DEBT SERVICE COSTS. THE ISSUER ACCEPTED STIFEL'S RECOMMENDATION AND AGREED THAT STIFEL WOULD SERVE AS PLACEMENT AGENT. HOWEVER, STIFEL DID NOT PROVIDE THE DISCLOSURES REGARDING ITS ROLE IN A TIMELY MANNER. AS A RESULT, THE FIRM WAS ALLEGED TO HAVE VIOLATED MSRB RULE G-23 BY SERVING AS BOTH FINANCIAL ADVISOR AND PLACEMENT AGENT ON THE SAME ISSUE. WHILE NOT ADMITTING OR DENYING THE ALLEGATIONS, STIFEL AGREED TO A REGULATORY CENSURE AND A MONETARY FINE OF $125,000. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $125,000. Summary: IN JUNE 2017, STIFEL ENTERED INTO AN ACCEPTANCE, WAIVER AND CONSENT WITH FINRA TO SETTLE ALLEGATIONS THAT STIFEL DID NOT PROVIDE TIMELY DISCLOSURES TO A MUNICIPAL ISSUER IN CONNECTION WITH ITS ROLE AS PLACEMENT AGENT IN A PLACEMENT OF BONDS ISSUED BY THE MUNICIPAL ISSUER IN ACCORDANCE WITH INTERPRETIVE GUIDANCE ISSUED BY THE MUNICIPAL SECURITIES RULEMAKING BOARD ("MSRB") REGARDING MSRB RULE G-23. IN MAY 2012, STIFEL RECOMMENDED THAT THE ISSUER DO A PLACEMENT, IN LIEU OF A PUBLIC OFFERING, IN ORDER TO SAVE ON DEBT SERVICE COSTS. THE ISSUER ACCEPTED STIFEL'S RECOMMENDATION AND AGREED THAT STIFEL WOULD SERVE AS PLACEMENT AGENT. HOWEVER, STIFEL DID NOT PROVIDE THE DISCLOSURES REGARDING ITS ROLE IN A TIMELY MANNER. AS A RESULT, THE FIRM WAS ALLEGED TO HAVE VIOLATED MSRB RULE G-23 BY SERVING AS BOTH FINANCIAL ADVISOR AND PLACEMENT AGENT ON THE SAME ISSUE. WHILE NOT ADMITTING OR DENYING THE ALLEGATIONS, STIFEL AGREED TO A REGULATORY CENSURE AND A MONETARY FINE OF $125,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) 200 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS WITHIN THE TIME REQUIRED BY FINRA RULE 6730. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $17,500.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IN 18 INSTANCES BETWEEN APRIL 2014 TO JUNE 2014, THE FIRM ACCEPTED AND HELD 12 CUSTOMER ORDERS IN OVER-THE-COUNTER (OTC) SECURITIES, TRADED FOR ITS OWN ACCOUNT AT PRICES THAT WOULD HAVE SATISFIED THE CUSTOMER ORDERS, AND FAILED TO EXECUTE OR IMMEDIATELY EXECUTE THE CUSTOMER ORDERS UP TO THE SIZE AND AT THE SAME PRICE AT WHICH IT TRADED FOR ITS OWN ACCOUNT OR AT A BETTER PRICE. THE FINDINGS STATED THAT WITH RESPECT TO 16 OF THE 18 INSTANCES, THE FIRM ASSERTED THE "NO-KNOWLEDGE EXCEPTION," WHICH IS CODIFIED IN SUPPLEMENTARY MATERIAL .02 OF FINRA RULE 5320. THE FIRM'S SYSTEM OF INTERNAL CONTROLS (INFORMATION BARRIERS) DID NOT MEET THE REQUIREMENTS SET FORTH IN SUPPLEMENTARY MATERIAL .02(B), BECAUSE TRADERS AT ONE DESK HAD THE ABILITY TO VIEW THE OUTSTANDING CUSTOMER ORDERS THAT WERE ACCEPTED AND HELD BY ANOTHER DESK. THE FINDINGS ALSO STATED THAT DURING THE SECOND QUARTER OF 2014 AND FOURTH QUARTER OF 2014 THROUGH THE FIRST QUARTER OF 2015, 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 NASD RULES CONCERNING COMPLIANCE WITH FINRA RULE 5320 AND SUPPLEMENTARY MATERIAL .02 OF RULE 5320. THE FIRM DID NOT HAVE POLICIES OR PROCEDURES THAT PREVENTED ITS TRADING DESKS THAT WERE SEPARATED BY INFORMATION BARRIERS FROM OBTAINING KNOWLEDGE REGARDING ORDERS OR TRADING ACTIVITY OF THE OTHER DESKS. THE FIRM'S WRITTEN SUPERVISORY PROCEDURES FAILED TO INCLUDE A SUPERVISORY REVIEW THAT ENSURED THAT THE FIRM'S INFORMATION BARRIERS, FOR WHICH THE FIRM RELIED ON THE "NO-KNOWLEDGE EXCEPTION," WERE OPERATING APPROPRIATELY AND PERMISSIONS THAT THE FIRM'S EMPLOYEES HAD TO THE FIRM'S SYSTEMS WERE GRANTED APPROPRIATELY. IN ADDITION, ALTHOUGH THE FIRM HAD A TRADING AHEAD EXCEPTION REPORT, IT FAILED TO CAPTURE ANY OF THE TRADING AHEAD INSTANCES IDENTIFIED. THE EXCEPTION REPORT WAS ALSO FLAWED AND UNRELIABLE DURING THE REVIEW PERIODS. THE FINDINGS ALSO INCLUDED THAT DURING THE SECOND QUARTER OF 2014, FOURTH QUARTER OF 2014 THROUGH THE FIRST QUARTER OF 2015 AND FOURTH QUARTER OF 2015, THE FIRM FAILED TO REPORT AN INFORMATION BARRIER IDENTIFIER WITH ITS ORDER AUDIT TRAIL SYSTEM (OATS) SUBMISSIONS FOR 76 ORDERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $37,500, REQUIRED TO PAY $318.25, PLUS INTEREST, IN RESTITUTION TO INVESTORS, AND UNDERTAKES TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS FORMER REGISTERED REPRESENTATIVE ENTERED ORDERS IN THE EQUITY SHARES OF A SECURITY ON BEHALF OF CLIENT ACCOUNTS THAT HE IMPROPERLY MARKED AS "UNSOLICITED" DESPITE THE FACT THAT SUCH ORDERS WERE SOLICITED, CAUSING THE FIRM'S BOOKS AND RECORDS TO BE INACCURATE. THE FINDINGS STATED THAT THE FIRM HAD PROGRAMMED ITS ORDER MANAGEMENT SYSTEM TO BLOCK THE FORMER REGISTERED REPRESENTATIVE FROM ENTERING SOLICITED ORDERS IN THE SECURITY. THE RESTRICTION WAS LIFTED, BUT THE SYSTEMIC BLOCK WAS NOT IMMEDIATELY REMOVED. UPON DISCOVERING, THAT THE SYSTEMIC BLOCK HAD NOT BEEN LIFTED AND THAT THE FIRM'S FORMER REGISTERED REPRESENTATIVE HAD BEEN MISMARKING ORDERS, IT REPROGRAMMED ITS ORDER MANAGEMENT SYSTEM AND HAD ITS FORMER REGISTERED REPRESENTATIVE CORRECT THE MISMARKED ORDERS. THEREAFTER, THE FIRM CORRECTED ITS BOOKS AND RECORDS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $25,000.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT ACCEPTED AND HELD CUSTOMER ORDERS IN OVER-THE-COUNTER (OTC) SECURITIES TRADED CUSTOMER ORDERS IN OTC SECURITIES FOR ITS OWN ACCOUNT AT PRICES THAT WOULD HAVE SATISFIED THE CUSTOMER ORDERS, AND FAILED TO EXECUTE OR IMMEDIATELY EXECUTE THE CUSTOMER ORDERS UP TO THE SIZE AND AT THE SAME PRICE AT WHICH IT TRADED FOR ITS OWN ACCOUNT OR AT A BETTER PRICE. THE FINDINGS STATED THAT THE FIRM TRANSMITTED INACCURATE REPORTS TO OATS. THE FIRM'S OATS REPORTS CONTAINED AN INACCURATE INFORMATION BARRIER IDENTIFIER. THE CAUSE OF THE INACCURATE REPORTS, WHICH WAS SYSTEMIC, WAS A CHANGE THAT THE FIRM'S VENDOR MADE TO THE MANNER IN WHICH THE FIRM REPORTED INFORMATION BARRIER IDENTIFIERS. FOR EACH STOCK IN WHICH THE FIRM MAKES A MARKET, THE STOCK IS ASSIGNED TO A PARTICULAR TRADER AT THE FIRM. BECAUSE OF THE CHANGE BY THE FIRM'S VENDOR, INSTEAD OF REPORTING INFORMATION BARRIER IDENTIFIERS BASED ON THE ACTUAL TRADER WHO HANDLED THE ORDER, THE FIRM REPORTED INFORMATION BARRIER IDENTIFIERS BASED ON THE TRADER WHO WAS ASSIGNED THE STOCK. AS A RESULT, THE FIRM HAS SUBMITTED AN ESTIMATED 452,024 REPORTS TO OATS WITH AN INACCURATE INFORMATION BARRIER IDENTIFIER. THE FINDINGS ALSO STATED THAT THE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISION REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TO THE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULES OF FINRA, CONCERNING COMPLIANCE WITH FINRA RULE 7450. SPECIFICALLY, THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) FAILED TO INCLUDE A REVIEW FOR THE REPORTING OF INFORMATION BARRIER IDENTIFIERS TO OATS, AND THE FIRM DID NOT OTHERWISE REVIEW ITS REPORTING OF INFORMATION BARRIER IDENTIFIERS TO OATS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $37,500, REQUIRED TO P ROVIDE RESTITUTION TO THE INVESTORS IN THE TOTAL AMOUNT OF $68.50, PLUS INTEREST, AND WERE REQUIRED TO REVISE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT, FROM JANUARY 2012 THROUGH DECEMBER 2016, IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, AND FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE WSPS, THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA'S SUITABILITY RULE AS IT PERTAINS TO EARLY ROLLOVERS OF UNIT INVESTMENT TRUSTS (UIT). THE FINDINGS STATED THAT THE FIRM'S WSPS REFERENCED A UIT SWITCH LETTER THAT REPRESENTATIVES COULD USE WHEN A CLIENT SOLD A POSITION IN A UIT BEFORE MATURITY TO PURCHASE ANOTHER UIT OR MUTUAL FUND. THE PURPOSE OF THE SWITCH LETTER WAS TO CONFIRM A CUSTOMER'S UNDERSTANDING OF THE TRANSACTION SWITCH AS WELL AS THE RELATED RISKS AND EXPENSES. NONETHELESS, THE WSPS DID NOT PROVIDE GUIDANCE ABOUT WHEN SWITCH LETTERS SHOULD BE SENT OR HOW FIRM SUPERVISORS SHOULD MONITOR FOR POTENTIALLY UNSUITABLE PATTERNS OF EARLY UIT ROLLOVERS. THE FIRM USED AN AUTOMATED SURVEILLANCE ALERT TO IDENTIFY POTENTIAL EARLY UIT ROLLOVERS, AS WELL AS POTENTIAL SWITCHES BETWEEN UITS AND MUTUAL FUNDS (THE SWITCH ALERT). HOWEVER, THE SWITCH ALERT FAILED TO FLAG UIT SWITCHES. THE FIRM DISCOVERED THAT THE SWITCH ALERT DID NOT IDENTIFY SWITCHES FROM ONE UIT TO ANOTHER. DESPITE THIS KNOWLEDGE, THE FIRM DID NOT INFORM ITS BRANCH MANAGERS THAT THE SWITCH ALERT WAS NOT FUNCTIONING AS INTENDED. THE FIRM LATER DEVELOPED AN ALTERNATIVE SURVEILLANCE SYSTEM TO FLAG UIT-TO-UIT SWITCHES. HOWEVER, THAT ALERT WAS NOT REASONABLY DESIGNED TO DETECT UNSUITABLE UIT SWITCHES BECAUSE IT ONLY FLAGGED UITS THAT WERE HELD FOR LESS THAN A YEAR EVEN IF THE UIT HAD A LONG-TERM MATURITY DATE. FURTHERMORE, THE ALTERNATIVE SYSTEM LATER STOPPED FUNCTIONING AS INTENDED, BUT THE FIRM DID NOT DISCOVER THAT FACT UNTIL A LATER DATE. AS A RESULT, ALTHOUGH THE FIRM SUBSEQUENTLY FIXED THE SWITCH ALERT, ITS COMPLIANCE DEPARTMENT CONTINUED TO USE THE FIRM'S ALTERNATIVE SYSTEM TO IDENTIFY UIT SWITCHES. THE FIRM FAILED TO IDENTIFY THAT ITS REPRESENTATIVES RECOMMENDED POTENTIALLY UNSUITABLE EARLY UIT ROLLOVERS, INCLUDING SERIES-TO-SERIES ROLLOVERS THAT MAY HAVE CAUSED CUSTOMERS TO INCUR $1,891,188.13 IN SALES CHARGES THAT THEY WOULD NOT HAVE INCURRED HAD THEY HELD THE UITS UNTIL THEIR MATURITY DATES. THE FINDINGS ALSO STATED THAT THE FIRM SENT SWITCH LETTERS TO CUSTOMERS THAT CONTAINED INACCURATE OR MISSING INFORMATION ABOUT THE COSTS THAT THEY INCURRED AS A RESULT OF EARLY UIT ROLLOVERS. THE FIRM DID NOT VERIFY THE ACCURACY OF THE INFORMATION CONTAINED IN CERTAIN OF THE SWITCH LETTERS, APART FROM AD HOC REVIEWS CONDUCTED AS PART OF THE FIRM'S BRANCH INSPECTION PROGRAM. CERTAIN UIT SWITCH LETTERS UNDERSTATED THE SALES CHARGES ASSOCIATED WITH THE SWITCH, AND OTHERS DID NOT LIST ANY SALES CHARGE ASSOCIATED WITH THE NEW UIT PURCHASED BY THE CUSTOMER, EVEN THOUGH THE SWITCHES RESULTED IN THE CUSTOMERS INCURRING NEW SALES CHARGES. COLLECTIVELY, THE SWITCH LETTERS DISCLOSED SALES CHARGES OF APPROXIMATELY $330,440, WHEN THE ACTUAL SALES CHARGES INCURRED BY CUSTOMERS WERE MORE THAN $1,249,052. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $1,750,000, AND ORDERED TO PAY $1,891,188.13, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. Summary: IN MAY OF 2020 THE FIRM ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC) WITH FINRA WHEREBY THE FIRM, WITHOUT ADMITTING OR DENYING ANY SPECIFIC FINDINGS, CONSENTED TO FINDINGS THAT THE FROM JANUARY 2012 THROUGH DECEMBER 2016 THE FIRM FAILED TO ESTABLISH AND MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES (WSPS) THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRAS SUITABILITY RULE AS IT PERTAINS TO EARLY ROLLOVERS OF UNIT INVESTMENT TRUSTS. AS A RESULT THE FIRM VIOLATED NASD RULE 3010; FINRA RULE 3110 AND FINRA RULE 2010. ADDITIONALLY, THE FIRM CONSENTED TO A FURTHER VIOLATION OF FINRA RULE 2010 IN CONNECTION WITH THE SENDING OF "SWITCH LETTERS" TO CUSTOMERS CONTAINING INACCURATE INFORMATION ABOUT THE COSTS THEY INCURRED AS THE RESULT OF EARLY UIT ROLLOVERS. THE FIRM AGREES TO PAY A FINE OF $1.75 MILLION AND RESTITUTION IN THE AMOUNT OF $1,891,188.13, PLUS INTEREST. THE FINRA STAFF DID NOT REQUIRE ANY REMEDIAL UNDERTAKINGS BY THE FIRM IN THE AWC. THE FIRM HAS IMPLEMENTED VARIOUS ENHANCEMENTS TO ITS SUPERVISION AND COMPLIANCE OVERSIGHT OF EARLY ROLLOVERS OF UITS WHICH IT BELIEVES ADDRESSES THE ALLEGED DEFICIENCIES IDENTIFIED BY FINRA. THOSE ENHANCEMENTS INCLUDE IMPLEMENTATION OF A SWITCH ALERT NOTIFICATION SYSTEM FOR EARLY ROLLOVERS, A RISK-BASED APPROACH OF COMPLIANCE OVERSIGHT FOR EARLY ROLLOVER ACTIVITY AND A PERIODIC "LOOKBACK" BY THE COMPLIANCE DEPARTMENT OF EARLY ROLLOVER ACTIVITY BY SELECTED FINANCIAL ADVISORS.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT LACKED A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO DETECT AND PREVENT THE FIRM AND ITS REGISTERED REPRESENTATIVES FROM EXECUTING PRE-ARRANGED TRANSACTIONS. THE FINDINGS STATED THAT THE FIRM DID NOT HAVE EXCEPTION REPORTS, TRADE ALERTS, OR OTHER SUPERVISORY MECHANISMS DESIGNED TO ENABLE ITS SUPERVISORS TO IDENTIFY POTENTIAL PRE-ARRANGED TRANSACTIONS. INSTEAD, THE FIRM RELIED ON ITS SUPERVISORS TO DETECT AND PREVENT SUCH TRANSACTIONS AS PART OF THEIR DAILY REVIEW OF THOUSANDS OF TRANSACTIONS ON TRADE BLOTTERS. THOUGH THE FIRM' S AUTOMATED REVIEWS OF ITS TRADE BLOTTERS FLAGGED SOME TYPES OF PROHIBITED TRANSACTIONS FOR SUPERVISORY REVIEW, THEY DID NOT FLAG PRE-ARRANGED TRANSACTIONS. Status: Final Sanction Detail: ON SEPTEMBER 24, 2020, THE FIRM SUBMITTED PAYMENT IN THE AMOUNT OF $40,000 TO FINRA. Summary: ON SEPTEMBER 1, 2020, STIFEL ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT ("AWC") WITH FINRA TO SETTLE ALLEGATIONS THAT, DURING THE PERIOD OF OCTOBER 31, 2017 THROUGH FEBRUARY 27, 2020, THE FIRM LACKED A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES (WSPS), REASONABLY DESIGNED TO DETECT AND PREVENT STIFEL AND ITS REGISTERED REPRESENTATIVES FROM EXECUTING PREARRANGED TRANSACTIONS IN VIOLATION OF MUNICIPAL SECURITIES RULEMAKING BOARD (MSRB) RULE G-27. WHILE NOT ADMITTING OR DENYING THE ALLEGATIONS, THE FIRM CONSENTED TO A CENSURE AND MONETARY FINE OF $40,000 TO SETTLE THE ALLEGATIONS. AS INDICATED IN THE AWC, STIFEL UPDATED ITS SUPERVISORY SYSTEM AND WSPS REGARDING THE CITED SUPERVISORY DEFICIENCIES PRIOR TO THE ENTRY OF THE AWC.
Allegations: DURING THE PERIOD APRIL 1, 2018 THROUGH SEPTEMBER 30, 2020 STIFEL FAILED TO MAINTAIN AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE POTENTIAL MISUSE OF MATERIAL, NONPUBLIC INFORMATION AND TO SUPERVISE AND ENFORCE REASONABLE INFORMATION BARRIERS IN CONNECTION WITH THEIR STOCK BUYBACK TRADING ACTIVITY. Status: Final Sanction Detail: $325,000 FINE PAID ON 2/22/2021.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE FINANCIAL RISKS OF ITS MARKET ACCESS BUSINESS ACTIVITY. THE FINDINGS STATED THAT THE FIRM IMPLEMENTED WITHIN ONE OF ITS ORDER MANAGEMENT SYSTEMS (OMSS) A HARD BLOCK CONTROL TO PREVENT THE ENTRY OF ORDERS EXCEEDING 200 PERCENT OF THE 20-DAY AVERAGE DAILY VOLUME (ADV) IN A SECURITY. THE FIRM WAS UNABLE TO PROVIDE A REASONABLE BASIS FOR THE 200 PERCENT THRESHOLD OR PROVIDE DOCUMENTATION TO DEMONSTRATE THAT THE ADV CONTROL WAS SET AT A REASONABLE LEVEL TO PREVENT THE ENTRY OF ERRONEOUS ORDERS. THE FIRM LATER LOWERED ITS ADV CONTROL, BUT DID NOT PROVIDE DOCUMENTATION DEMONSTRATING THAT THE CONTROL WAS SET AT A REASONABLE LEVEL TO PREVENT THE ENTRY OF ERRONEOUS ORDERS. IN ADDITION, WITHIN ITS OMSS, THE FIRM EMPLOYED SINGLE ORDER VOLUME (SOV) CONTROLS AND SINGLE ORDER MAXIMUM NOTIONAL VALUE CONTROLS BUT DID NOT SUFFICIENTLY DOCUMENT THAT THEY ACCOUNTED FOR THE TRADING CHARACTERISTICS OF INDIVIDUAL SECURITIES OR THE TRADING HISTORY OF ITS CUSTOMERS. THE FIRM ALSO HAD AN ORDER RATE LIMIT CONTROL IN ITS OMSS THAT BLOCKED ORDERS THAT BREACHED THE FIRM'S ADV, SOV OR MAX NOTIONAL CONTROLS NOTED ABOVE, BUT OVER A 30-SECOND WINDOW. BECAUSE OF THE DEFICIENCIES WITH THE FIRM'S ADV, SOV AND MAX NOTIONAL CONTROLS, THE ORDER RATE LIMIT CONTROL WAS SIMILARLY NOT REASONABLY DESIGNED. THE FINDINGS ALSO STATED THAT THE FIRM'S WRITTEN SUPERVISORY PROCEDURES REGARDING CREDIT CONTROL BLOCKS WERE NOT REASONABLY DESIGNED BECAUSE THEY DID NOT ACCOUNT FOR TRADING ON MORE THAN ONE OMS. THE FIRM LATER AMENDED ITS PROCEDURES TO SPECIFICALLY ADDRESS SETTING CUSTOMER CREDIT LIMITS ACROSS MULTIPLE OMSS. AS A RESULT OF THE FOREGOING, THE FIRM FAILED TO ESTABLISH AND MAINTAIN FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO PREVENT THE ENTRY OF ORDERS THAT EXCEED APPROPRIATE PRE-SET CREDIT OR CAPITAL THRESHOLDS IN THE AGGREGATE FOR EACH CUSTOMER AND THE BROKER OR DEALER. THE FINDINGS ALSO INCLUDED THAT THE FIRM DID NOT HAVE CONTROLS TO PREVENT THE ENTRY OF ORDERS SOLICITED FROM INSTITUTIONAL CUSTOMERS IN RESTRICTED SECURITIES. AS A RESULT OF THE FORGOING, THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO PREVENT THE ENTRY OF ORDERS THAT DID NOT COMPLY WITH REGULATORY REQUIREMENTS. THEREFORE, THE FIRM VIOLATED EXCHANGE ACT § 15(C)(3), RULES 15C3-5(B), 15C3-5(C)(1)(I), 15C3-5(C)(1)(II), 15C3-5(C)(2) THEREUNDER, AND NYSE RULE 3110(A) AND (B). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $125,000, OF WHICH $62,500 IS PAYABLE TO NYSE. FINRA INVESTIGATED THIS MATTER ON BEHALF OF NYSE AND NASDAQ. THE BALANCE OF THE FINE WILL BE PAID TO NASDAQ.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH, DOCUMENT, AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MANAGE THE FINANCIAL RISKS OF ITS MARKET ACCESS BUSINESS ACTIVITY. THE FINDINGS STATED THAT THE FIRM IMPLEMENTED WITHIN ONE OF ITS ORDER MANAGEMENT SYSTEMS (OMSS) A HARD BLOCK CONTROL TO PREVENT THE ENTRY OF ORDERS EXCEEDING 200 PERCENT OF THE 20-DAY AVERAGE DAILY VOLUME (ADV) IN A SECURITY. THE FIRM WAS UNABLE TO PROVIDE A REASONABLE BASIS FOR THE 200 PERCENT THRESHOLD OR PROVIDE DOCUMENTATION TO DEMONSTRATE THAT THE ADV CONTROL WAS SET AT A REASONABLE LEVEL TO PREVENT THE ENTRY OF ERRONEOUS ORDERS. THE FIRM LATER LOWERED ITS ADV CONTROL, BUT DID NOT PROVIDE DOCUMENTATION DEMONSTRATING THAT THE CONTROL WAS SET AT A REASONABLE LEVEL TO PREVENT THE ENTRY OF ERRONEOUS ORDERS. IN ADDITION, WITHIN ITS OMSS, THE FIRM EMPLOYED SINGLE ORDER VOLUME (SOV) CONTROLS AND SINGLE ORDER MAXIMUM NOTIONAL VALUE CONTROLS BUT DID NOT SUFFICIENTLY DOCUMENT THAT THEY ACCOUNTED FOR THE TRADING CHARACTERISTICS OF INDIVIDUAL SECURITIES OR THE TRADING HISTORY OF ITS CUSTOMERS. THE FIRM ALSO HAD AN ORDER RATE LIMIT CONTROL IN ITS OMSS THAT BLOCKED ORDERS THAT BREACHED THE FIRM'S ADV, SOV OR MAX NOTIONAL CONTROLS NOTED ABOVE, BUT OVER A 30-SECOND WINDOW. BECAUSE OF THE DEFICIENCIES WITH THE FIRM'S ADV, SOV AND MAX NOTIONAL CONTROLS, THE ORDER RATE LIMIT CONTROL WAS SIMILARLY NOT REASONABLY DESIGNED. THE FINDINGS ALSO STATED THAT THE FIRM'S WRITTEN SUPERVISORY PROCEDURES REGARDING CREDIT CONTROL BLOCKS WERE NOT REASONABLY DESIGNED BECAUSE THEY DID NOT ACCOUNT FOR TRADING ON MORE THAN ONE OMS. THE FIRM LATER AMENDED ITS PROCEDURES TO SPECIFICALLY ADDRESS SETTING CUSTOMER CREDIT LIMITS ACROSS MULTIPLE OMSS. AS A RESULT OF THE FOREGOING, THE FIRM FAILED TO ESTABLISH AND MAINTAIN FINANCIAL RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO PREVENT THE ENTRY OF ORDERS THAT EXCEED APPROPRIATE PRE-SET CREDIT OR CAPITAL THRESHOLDS IN THE AGGREGATE FOR EACH CUSTOMER AND THE BROKER OR DEALER. THE FINDINGS ALSO INCLUDED THAT THE FIRM DID NOT HAVE CONTROLS TO PREVENT THE ENTRY OF ORDERS SOLICITED FROM INSTITUTIONAL CUSTOMERS IN RESTRICTED SECURITIES. AS A RESULT OF THE FORGOING, THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SYSTEM OF RISK MANAGEMENT CONTROLS AND SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO PREVENT THE ENTRY OF ORDERS THAT DID NOT COMPLY WITH REGULATORY REQUIREMENTS. THEREFORE, THE FIRM VIOLATED EXCHANGE ACT § 15(C)(3), RULES 15C3-5(B), 15C3-5(C)(1)(I), 15C3-5(C)(1)(II), 15C3-5(C)(2) THEREUNDER, AND NASDAQ RULES 3010(A), 2010A, AND NASDAQ GENERAL RULE 9, SECTIONS 1(A) AND 20(A). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED A TOTAL OF $125,000, OF WHICH $62,500 IS PAYABLE TO NASDAQ. THE REMAINDER OF THE FINE SHALL BE PAID TO NEW YORK STOCK EXCHANGE LLC.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH A SUPERVISORY SYSTEM REASONABLY DESIGNED TO REVIEW AND MONITOR THE TRANSMITTAL OF CUSTOMER FUNDS WHEN A BROKER HAD POWER OF ATTORNEY OVER A CUSTOMER'S ACCOUNT AND FAILED TO REASONABLY FOLLOW UP ON RED FLAGS CONCERNING A BROKER OF THEIRS. THE FINDINGS STATED THAT THE BROKER WAS THE POWER OF ATTORNEY ON THE BROKERAGE ACCOUNT OF A SENIOR CUSTOMER, WHICH PROVIDED HIM THE AUTHORITY TO WRITE CHECKS ON THE CUSTOMER'S BEHALF. THE BROKER CONVERTED AT LEAST $105,000 FROM THE CUSTOMER BY WRITING CHECKS ON HER ACCOUNT THAT HE MADE PAYABLE TO HIMSELF OR TO A BANK ACCOUNT THAT HE CONTROLLED. THE FIRM LATER CEASED GRANTING EXCEPTIONS TO ITS PROHIBITION ON BROKERS FROM SERVING AS POWER OF ATTORNEY FOR A NON-FAMILY MEMBER ACCOUNT AND MEMORIALIZED ITS PROHIBITION WITHOUT EXCEPTIONS AND FULLY REIMBURSED THE CUSTOMERS ESTATE FOR THE BROKER'S MISCONDUCT. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO REASONABLY FOLLOW UP ON RED FLAGS OF UNSUITABLE TRADING BY A DIFFERENT BROKER IN OPTIONS AND A HIGH-RISK MICROCAP SECURITY. THE FIRM FAILED TO REASONABLY RESPOND TO CERTAIN ALERTS CONTAINED IN REPORTS THAT THE BROKER'S OPTIONS TRADES WERE POTENTIALLY UNSUITABLE. THE BROKER RECOMMENDED MORE THAN 100 SPECULATIVE OPTIONS TRADES IN ONE OF THE BROKERAGE ACCOUNTS OF THE CUSTOMER, WHO WAS A 64-YEAR-OLD RETIREE WITH NO OPTIONS EXPERIENCE OR KNOWLEDGE, CAUSING THE ACCOUNT TO LOSE NEARLY 80 PERCENT OF ITS FUNDS. THE FIRM WAS AWARE OF THE VOLUME OF OPTIONS TRADING AND DISCUSSED THE TRADING IN THE ACCOUNT WITH THE REPRESENTATIVE. HOWEVER, DESPITE THE FACT THAT THE TRADING GENERATED MORE THAN 10 ALERTS, THE FIRM FAILED TO REASONABLY INVESTIGATE WHETHER THE TRADING WAS CONSISTENT WITH THE CUSTOMER'S INVESTMENT OBJECTIVES AND RISK TOLERANCE. INSTEAD, THE FIRM APPROVED A CHANGE IN THE CUSTOMER'S INVESTMENT OBJECTIVES FROM "GROWTH AND INCOME" TO "SPECULATIVE/ACTIVE TRADING/COMPLEX STRATEGIES" BASED ON BROKER'S REPRESENTATIONS AND SUPPRESSED SEVERAL SUBSEQUENT OPTIONS ALERTS INVOLVING THE CUSTOMER'S ACCOUNT. AN ADDITIONAL CUSTOMER OF THE BROKER WITH NO OPTIONS EXPERIENCE, A GROWTH AND INCOME OBJECTIVE, AND A MODERATE RISK TOLERANCE WAS RECOMMENDED CALL OPTIONS THAT RESULTED IN $27,745.94 IN LOSSES. THE FIRM ALSO FAILED TO REASONABLY RESPOND TO RED FLAGS OF THIS BROKER'S UNSUITABLE RECOMMENDATIONS OF A HIGH-RISK MICROCAP SECURITY. THE BROKER RECOMMENDED A STOCK TO ADDITIONAL CUSTOMERS THAT HAD FALLEN SUBSTANTIALLY PRIOR TO THE PURCHASES DUE TO (AMONG OTHER THINGS) SUBSTANTIAL DOUBTS BEING RAISED IN PUBLIC REPORTS ABOUT THE COMPANY'S ABILITY TO CONTINUE AS A GOING CONCERN. AFTER EXCESSIVE COMMISSION ALERTS WERE GENERATED REGARDING SOME OF THESE TRADES, THE FIRM NOTED THAT BROKER WAS PURCHASING A "COLLAPSING EQUITY" AND FLAGGED THIS TRADING ACTIVITY FOR FURTHER MONITORING; YET THE FIRM FAILED TO TAKE STEPS OTHER THAN ASKING THE BROKER ABOUT THE CUSTOMERS' KNOWLEDGE OF AND COMFORT WITH THE PURCHASES. THE BROKER CONTINUED TO RECOMMEND ADDITIONAL PURCHASES OF THE STOCK AS THE PRICE CONTINUED TO FALL AND THE CUSTOMERS HAD INCURRED REALIZED LOSSES OF $53,498 DUE TO THIS TRADING. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $400,000, AND ORDERED TO PAY $59,360.43 IN RESTITUTION TO CUSTOMERS, PLUS INTEREST
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRMS CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THEY FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THEIR SUITABILITY OBLIGATIONS IN CONNECTION WITH NON-TRADITIONAL EXCHANGE-TRADED PRODUCT (NT-ETP) TRANSACTIONS. THE FINDINGS STATED THAT ALTHOUGH THE FIRMS REVISED THEIR WSPS FOLLOWING A PREVIOUSLY ISSUED AWC, THE WSPS STILL FAILED TO PROVIDE REASONABLE GUIDANCE ABOUT HOW TO IDENTIFY AND ADDRESS POTENTIALLY UNSUITABLE NT-ETP RECOMMENDATIONS. THE WSPS DID NOT REQUIRE SUPERVISORS TO TAKE ANY ACTION TO ASSESS WHETHER NT-ETP RECOMMENDATIONS, INCLUDING RECOMMENDED EXIT OR HOLD STRATEGIES, WERE CONSISTENT WITH THE INTENDED HOLDING PERIODS IDENTIFIED IN THE PRODUCTS' PROSPECTUSES. IN ADDITION, THE FIRMS' SYSTEM FOR IDENTIFYING AND ADDRESSING POTENTIALLY UNSUITABLE NT-ETP RECOMMENDATIONS WAS NOT REASONABLY DESIGNED. IN RESPONSE TO THE PREVIOUS AWC, THE FIRMS IMPLEMENTED A NEW AUTOMATED ALERT THAT WAS DESIGNED TO FLAG, FOR SUPERVISORY REVIEW, ALL NT-ETP POSITIONS THAT HAD BEEN HELD FOR LONGER THAN 30 DAYS. HOWEVER, THE FIRMS ALMOST IMMEDIATELY DEACTIVATED THE ALERT AFTER IT RESULTED IN OVER 2,000 HITS PER DAY. EVEN AFTER THE FIRMS REACTIVATED THE ALERT, SUPERVISORS HAD BROAD DISCRETION TO RESOLVE THE ALERTS, BUT THE FIRMS DID NOT PROVIDE SUPERVISORS WITH ANY TRAINING ON HOW TO EVALUATE THE RED FLAGS PRESENTED BY THE LONG HOLDING PERIODS. AS A RESULT, SUPERVISORS ROUTINELY CLEARED THE 30-DAY HOLDING-PERIOD ALERTS WITHOUT ANY ANALYSIS OF THE SUITABILITY OF THE UNDERLYING NT-ETP RECOMMENDATIONS THAT LED TO THE ALERTS. FURTHER, IN RESPONSE TO DISCOVERING THAT REPRESENTATIVES WERE ROUTINELY RECOMMENDING LONG-TERM HOLDING PERIODS FOR NT-ETPS, THE FIRMS' COMPLIANCE DEPARTMENT INSTITUTED A CLEAN-UP EFFORT THAT INVOLVED TRACKING NT-ETP POSITIONS HELD FOR MORE THAN 30 CALENDAR DAYS AND ENCOURAGING (BUT NOT REQUIRING) SUPERVISORS TO SPEAK WITH REPRESENTATIVES AND CUSTOMERS ABOUT SELLING AGED POSITIONS. HOWEVER, THE CLEAN-UP WAS NOT SUFFICIENT IN CERTAIN INSTANCES TO PREVENT REPRESENTATIVES FROM CONTINUING TO RECOMMEND A STRATEGY OF BUYING AND THEN HOLDING THESE PRODUCTS FOR PERIODS WELL BEYOND THE PERIODS IDENTIFIED IN THE PRODUCTS' PROSPECTUSES. AS A RESULT OF THESE SUPERVISORY FAILURES, THE FIRMS FAILED TO DETECT OR ADDRESS HUNDREDS OF OCCASIONS IN WHICH THE FIRMS' REPRESENTATIVES RECOMMENDED THAT CUSTOMERS BUY AND THEN HOLD NT-ETPS FOR POTENTIALLY UNSUITABLE PERIODS. SOME OF THE AFFECTED CUSTOMERS WERE SENIORS, AND MANY HAD CONSERVATIVE INVESTMENT OBJECTIVES OR MODERATE RISK TOLERANCES. IN TOTAL, THE FIRMS' REPRESENTATIVES RECOMMENDED AT LEAST 438 DAILY-RESET NT-ETP POSITIONS THAT WERE HELD FOR MORE THAN SEVEN DAYS, AND 45 MONTHLY RESET NT-ETPS THAT WERE HELD FOR MORE THAN 60 DAYS. COLLECTIVELY, THESE TRANSACTIONS RESULTED IN REALIZED CUSTOMER LOSSES OF $1,289,937.17 IN ACCOUNTS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $920,000, AND ORDERED TO PAY $1,189,841.54, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS.
Allegations: STIFEL, NICOLAUS & COMPANY, INCORPORATED VIOLATED SEA RULE 15C3-5 AND EDGX RULE 3.2 IN THAT THE FIRM'S RISK MANAGEMENT CONTROLS AND PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS ON EDGX, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $5,000.
Allegations: STIFEL, NICOLAUS & COMPANY, INCORPORATED VIOLATED SEA RULE 15C3-5 AND BZX RULE 3.2 IN THAT THE FIRM'S RISK MANAGEMENT CONTROLS AND PROCEDURES WERE NOT REASONABLY DESIGNED TO PREVENT THE ENTRY OF ERRONEOUS ORDERS ON BZX, BY REJECTING ORDERS THAT EXCEED APPROPRIATE PRICE OR SIZE PARAMETERS, ON AN ORDER-BY-ORDER BASIS OR OVER A SHORT PERIOD OF TIME. Status: Final Sanction Detail: A CENSURE AND A MONETARY FINE IN THE AMOUNT OF $70,000
Allegations: THE FIRM SOLD AGENCY BONDS TO ITS CUSTOMERS AND FAILED TO SELL SUCH BONDS AT A PRICE THAT WAS FAIR, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS, THE EXPENSE INVOLVED, AND THAT THE FIRM WAS ENTITLED TO A PROFIT IN VIOLATION OF FINRA RULE 2010. 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 AGENCY BONDS IN VIOLATION OF NASD RULE 3010 AND FINRA RULE 2010. Status: Final Sanction Detail: THE FIRM IS ORDERED TO PAY RESITUTION TO ITS CUSTOMERS IN THE AMOUNT OF $16,879.48.
Allegations: FAILURE TO SUPERVISE THE SALE OF AUCTION RATE SECURITIES. Status: Final Sanction Detail: THE FIRM WAS ORDERED TO PAY A CIVIL PENALTY OF $2,500 AND 15,588.80 FOR COSTS OF THE INVESTIGATION.
Allegations: FAILURE TO MAINTAIN ADEQUATE SUPERVISION OF AN AGENT IN VIOLATION OF THE NEBRASKA SECURITIES ACT. Status: Final Sanction Detail: STIFEL PAID A FINE OF $60,000 AND REIMBURSED THE DEPARTMENT $1,000 FOR THE COSTS OF THE INVESTIGATION.
Allegations: ON 7/2/2015, THE OFFICE OF FINANCIAL REGULATION ENTERED A FINAL ORDER ADOPTING THE STIPULATION AND CONSENT AGREEMENT IN THE MATTER OF STIFEL, NICOLAUS & COMPANY INC. STIFEL, NICOLAUS NEITHER ADMITTED NOR DENIED THE FINDINGS BUT CONSENTED TO THE ENTRY OF FINDINGS BY THE OFFICE. THE OFFICE FOUND THAT AN ASSOCIATED PERSON WITH STIFEL, NICOLAUS ENGAGED IN INVESTMENT ADVISORY BUSINESS FROM OFFICES IN FLORIDA WITHOUT THE INDIVIDUAL BEING LAWFULLY REGISTERED IN FLORIDA, IN VIOLATION OF SECTION 517.12(4), F.S. AN ADMINISTRATIVE FINE OF $18,000 WAS IMPOSED AGAINST THE FA. STIFEL, NICOLAUS AGREED TO PAY THE FINE. THE OFFICE AGREED TO APPROVE THE ADVISOR'S APPLICATION AS AN ASSOCIATED PERSON (RA) WITH STIFEL, NICOLAUS INC. EFFECTIVE 7/2/2015. Status: Final Sanction Detail: STIPULATION AND CONSENT AGREEMENT
Allegations: FAILURE TO TIMELY REPORT A REGULATORY ACTION ON A PROFESSIONAL LICENSE AND PROVIDED AN INCORRECT ANSWER TO THE INSURANCE LICENSE APPLICATION/RENEWAL. Status: Final Sanction Detail: STIFEL AGREES TO PAY CIVIL AND ADMINISTRATIVE PENALTIES OF $500 AND TO PAY ALL COSTS ASSOCIATED WITH ANY COLLECTION OF ANY UNPAID ADMINSITRATIVE COSTS, AND THE ADMINISTRATIVE PROSECUTION OF ANY VIOLATION REGARDING THIS CONSENT ORDER.
Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS AND STATEMENT OF FACTS, THE FIRM CONSENTED TO THE ENTRY OF A CEASE AND DESIST ORDER ("ORDER") BY THE COMMONWEALTH OF MASSACHUSETTS (THE "COMMONWEALTH") IN WHICH THE FIRM WAS FOUND TO HAVE VIOLATED SECTION 204(A)(2)(J) OF MASS. GEN. LAWS CH. 110A BY FAILING TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE'S ACTIVITIES IN CONNECTION WITH DIRECTED BROKERAGE ACCOUNTS THAT WERE MANAGED BY A THIRD PARTY INVESTMENT ADVISER THAT IS REGISTERED WITH THE COMMONWEALTH Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO (A) PERMANENTLY CEASE AND DESIST FROM FURTHER CONDUCT IN VIOLATION OF THE MASSACHUSETTS UNIFORM SECURITIES ACT (THE "ACT") AND THE CORRESPONDING REGULATIONS PROMULGATED THEREUNDER AT 950 MASS. CODE REGS. 10.00-14.413 (THE "REGULATIONS"); (B) REVIEW ITS SUPERVISORY PROCEDURES TO ENSURE COMPLIANCE WITH APPLICABLE STATE AND FEDERAL LAWS; AND (C) PAY A FINE IN THE AMOUNT OF $300,000 TO THE COMMONWEALTH THAT WAS PAID BY SUBMISSION OF A WIRE ON DECEMBER 20, 2018; (D) CONDUCT A REVIEW OF SOLICITED TRANSACTIONS IN CERTAIN CLIENT ACCOUNTS TO DETERMINE WHETHER ANY OF THE TRANSACTIONS WERE UNSUITABLE AND EFFECTED IN CONNECTION WITH, AND WITHIN 60 DAYS OF, THE REGISTERED REPRESENTATIVE'S COMMUNICATIONS TO THE THIRD PARTY INVESTMENT ADVISER; AND SUBMIT A WRITTEN OFFER TO COMPENSATE CLIENTS IN AN AMOUNT EQUAL TO ALL DIRECT AND INDIRECT COMPENSATION RECEIVED BY THE FIRM FOR TRANSACTIONS THAT ARE IDENTIFIED AS UNSUITABLE AND EFFECTED IN THE MANNER DESCRIBED ABOVE AS A RESULT OF THE REVIEW Summary: ON DECEMBER 19, 2018, THE COMMONWEALTH ENTERED A CONSENT ORDER AGAINST THE FIRM IN WHICH THE FIRM WAS CENSURED AND ORDERED TO (A) PAY A FINE IN THE AMOUNT OF $300,000 THAT WAS PAID BY SUBMISSION OF A WIRE ON DECEMBER 20, 2018, (B) CEASE AND DESIST FROM FURTHER CONDUCT IN VIOLATION OF THE ACT AND CORRESPONDING REGULATIONS THEREUNDER, AND (C) COMPLETE THE AFOREMENTIONED UNDERTAKINGS BY THE DEADLINES PRESCRIBED IN THE ORDER
Allegations: FIRM FAILED TO PROPERLY SUPERVISE A REGISTERED REPRESENTATIVE WHO HAD A CLIENT HEAVILY CONCENTRATED IN THE PRECIOUS METAL SECTOR. Status: Final Sanction Detail: THE FIRM WILL PAY A FINE OF $100,000.00 AND REIMBURSE ONE OF REGISTERED REP'S FORMER CLIENTS IN THE AMOUNT OF $133,907.84.
Allegations: STIFEL FAILED TO SUPERVISE ITS AGENTS: (1) STIFEL DID NOT REASONABLY SUPERVISE MASSACHUSETTS REGISTERED AGENT'S (A FORMER EMPLOYEE) TRADING IN CUSTOMER ACCOUNTS; (2) STIFEL DID NOT REASONABLY MONITOR USE OF OFF-CHANNEL ELECTRONIC DEVICES BY AGENTS TO CONDUCT STIFEL BUSINESS; (3) STIFEL DID NOT REASONABLY REVIEW AND APPROVE RETAIL COMMUNICATIONS PRIOR TO DISTRIBUTION. Status: Final Sanction Detail: ORDERED 40 HOURS OF CONTINUING EDUCATION FOR CERTAIN STIFEL EMPLOYEES REGARDING SUPERVISORY DUTIES. Summary: WITHOUT ADMITTING OR DENYING THE VIOLATION OF LAW CONTAINED IN THE CONSENT ORDER, STIFEL AGREED TO THE ABOVE DESCRIBED SANCTIONS. IN ADDITION, THE DIVISION AND STIFEL AGREED THAT THE CONSENT ORDER IS NOT INTENDED TO FORM THE BASIS OF ANY DISQUALIFICATIONS UNDER SECTION 3(A)(39) OF THE SECURITIES EXCHANGE ACT OF 1934; RULES 504(B)(3) AND 506(D)(1) OF REGULATION D, RULE 262(A) OF REGULATION A AND RULE 503(A) OF REGULATION CF UNDER THE SECURITIES ACT OF 1933; SECTION 204(A)(2) OF THE UNIFORM SECURITIES ACT OF 1956 OR SECTION 412(D) OF THE UNIFORM SECURITIES ACT OF 2002. FURTHERMORE, THE DIVISION AND STIFEL AGREED THAT THE CONSENT ORDER IS NOT INTENDED TO FORM THE BASIS OF DISQUALIFICATION UNDER THE FINRA RULES PROHIBITING CONTINUANCE IN MEMBERSHIP ABSENT THE FILING OF A MC-400A APPLICATION OR DISQUALIFICATION UNDER SRO RULES PROHIBITING CONTINUANCE IN MEMBERSHIP. FINALLY, THE CONSENT ORDER IS NOT INTENDED TO BE A FINAL ORDER BASED UPON VIOLATIONS OF ANY MASSACHUSETTS STATUTE, RULE, OR REGULATION THAT PROHIBIT FRAUDULENT, MANIPULATIVE, OR DECEPTIVE CONDUCT.
Allegations: SEC ADMIN RELEASES 33-9845; 34-75239, JUNE 18, 2015: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST STIFEL, NICOLAUS & COMPANY, INC. ("RESPONDENT"). RESPONDENT WILLFULLY VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT. THIS MATTER INVOLVES VIOLATIONS OF AN ANTIFRAUD PROVISION OF THE FEDERAL SECURITIES LAWS IN CONNECTION WITH RESPONDENT'S UNDERWRITING OF CERTAIN MUNICIPAL SECURITIES OFFERINGS. RESPONDENT, A REGISTERED BROKER-DEALER, CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN RESPONDENT OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE VIOLATIONS WERE SELF-REPORTED BY RESPONDENT TO THE COMMISSION PURSUANT TO THE DIVISION OF ENFORCEMENT'S (THE "DIVISION") MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION (MCDC) INITIATIVE. Status: Final Sanction Detail: THE RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(2)OF THE SECURITIES ACT, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000 AND COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: STIFEL VOLUNTARILY PARTICIPATED IN THE MCDC INITIATIVE AND IS ONE OF 36 FIRMS THAT ENTERED INTO A SETTLEMENT WITH THE SEC. FINRA HAS ESTABLISHED A STREAMLINED PROCESS TO PERMIT THE SETTLING FIRMS TO SEEK A WAIVER OF THE STATUTORY DISQUALIFICATION RESULTING FROM THE SETTLEMENT. STIFEL HAS SUBMITTED AN MC-400-A APPLICATION PURSUANT TO THE FINRA STREAMLINED PROCESS, IN ORDER TO OBTAIN A WAIVER OF THE STATUTORY DISQUALIFICATION, WHICH IT ANTICIPATES RECEIVING
Allegations: IN MARCH 2014, STIFEL VIOLATED MSRB RULE G-15(F) BY EXECUTING ONE UNSOLICITED SALES TRANSACTION IN PUERTO RICO BONDS WITH A CUSTOMER IN AN AMOUNT BELOW THE $100,000 MINIMUM DENOMINATION REQUIREMENT AS PROVIDED FOR IN THE OFFICIAL STATEMENT. SPECIFICALLY, IN MARCH 2014, THE FIRM RECEIVED AN UNSOLICITED CUSTOMER ORDER TO PURCHASE $130,000 OF THE 2014 BONDS. IN ORDER TO FILL THE ORDER, THE FIRM PURCHASED $130,000 OF THE 2014 BONDS ON A RISKLESS PRINCIPAL BASIS. AFTER IT PURCHASED THESE BONDS, THE FIRM'S CUSTOMER DIRECTED STIFEL TO ALLOCATE $100,000 OF THE BONDS TO HIS ACCOUNT AND $30,000 TO ANOTHER CUSTOMER'S ACCOUNT. IN RESPONSE, STIFEL EXECUTED TWO SEPARATE SALES TRANSACTIONS WITH EACH CUSTOMER, ONE FOR $30,000 AND ANOTHER FOR $100,000. THE $30,000 SALES TRANSACTION IN THE 2014 BONDS WAS BELOW THE $100,000 MINIMUM DENOMINATION OF THE ISSUE ESTABLISHED BY THE ISSUER, PUERTO RICO, AND SPECIFIED IN THE OFFICIAL STATEMENT. THE ABOVE ACTIVITY CONSTITUTED VIOLATIONS OF MSRB RULE G-159F) AND SECTION 15B(C)(1)OF THE EXCHANGE ACT. Status: Final Sanction Detail: STIFEL IS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 15B(C)(1) OF THE EXCHANGE ACT AND MSRB RULE G-15(F)
Allegations: THE SEC ALLEGED THAT STIFEL VIOLATED SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 (THE "ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER, WHICH REQUIRE INVESTMENT ADVISERS TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER. Status: Final Sanction Detail: THE FIRM WAS ORDERED TO CEASE AND DESIST FROM CAUSING OR COMMITTING VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER AND PAY A CIVIL MONETARY PENALTY OF $300,000 TO THE SEC. THE FIRM SUBMITTED PAYMENT TO THE SEC ON MARCH 17, 2017. Summary: IN MARCH 2017, STIFEL CONSENTED TO THE ENTRY OF A CEASE AND DESIST ORDER ("ORDER") BY THE SEC IN WHICH STIFEL WAS FOUND TO HAVE VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER BY FAILING TO ADOPT OR IMPLEMENT ADEQUATE POLICIES AND PROCEDURES TO TRACK AND DISCLOSE THE TRADING AWAY PRACTICES OF CERTAIN THIRD PARTY INVESTMENT MANAGERS IN SEVERAL OF STIFEL'S DISCRETIONARY WRAP FEE PROGRAMS, INCLUDING INFORMATION ABOUT ADDITIONAL COSTS INCURRED BY CLIENTS AS A RESULT OF THE INVESTMENT MANAGER'S USE OF ANOTHER BROKER TO EXECUTE TRANSACTIONS AWAY FROM STIFEL. STIFEL NEITHER ADMITTED NOR DENIED THE FINDINGS CONTAINED IN THE ORDER, EXCEPT THOSE RELATED TO JURISDICTION AND THE SUBJECT MATTER OF THE PROCEEDING. STIFEL MADE SEVERAL UNDERTAKINGS ENUMERATED IN THE ORDER RELATED TO THE TRADING AWAY PRACTICES OF THIRD PARTY MANAGERS, INCLUDING A REVIEW AND UPDATE OF ITS POLICIES AND PROCEDURES, PROVIDING INFORMATION TO FINANCIAL ADVISORS AND CLIENTS, AND TRAINING FINANCIAL ADVISORS. STIFEL WAS ORDERED TO PAY A CIVIL PENALTY OF $300,000 AND ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER.
Allegations: THE ORDER ALLEGED THAT STIFEL WILLFULLY VIOLATED THE RECORDKEEPING AND REPORTING REQUIREMENTS OF SECTION 17(A)(1) OF THE EXCHANGE ACT AND RULE 17A-4(J) THEREUNDER BY FAILING TO FURNISH PROMPTLY TRUE AND COMPLETE TRADING INFORMATION IN RESPONSE TO ELECTRONIC BLUE SHEET ("EBS") REQUESTS MADE BY SEC STAFF OVER A PERIOD OF APPROXIMATELY FOUR YEARS. IN ADDITION, THE ORDER ALLEGED THAT STIFEL WILLFULLY VIOLATED EXCHANGE ACT RULE 17A-25 BY FAILING TO SUBMIT ELECTRONICALLY CERTAIN SECURITIES TRANSACTION INFORMATION TO THE SEC THROUGH THE EBS SYSTEM IN RESPONSE TO REQUESTS MADE BY THE SEC. Status: Final Sanction Detail: STIFEL WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(1) OF THE EXCHANGE ACT AND RULES 17A-4(J) AND 17A-25 PROMULGATED THEREUNDER, WAS CENSURED, AND ORDERED TO PAY A CIVIL MONETARY PENALTY OF $2,700,000. Summary: IN SEPTEMBER 2019, AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(B) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTION 203(E) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER (THE "ORDER") WAS ENTERED AGAINST STIFEL BY THE SEC IN CONNECTION WITH STIFEL'S FAILURE TO SUBMIT COMPLETE AND ACCURATE DATA IN RESPONSE TO ELECTRONIC BLUE SHEETS ("EBS") REQUESTS FROM THE SEC, RESULTING IN THE REPORTING OF EBS THAT WAS INCOMPLETE OR DEFICIENT. AS A RESULT OF THE ORDER, STIFEL WAS CENSURED AND ORDERED TO (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A)(1) OF THE EXCHANGE ACT AND RULES 17A-4(J) AND 17A-25 PROMULGATED THEREUNDER; AND (B) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $2,700,000 THAT WAS PAID ON SEPTEMBER 18, 2019. AS DETAILED IN THE ORDER, STIFEL ENGAGED IN VOLUNTARY REMEDIAL EFFORTS TO CORRECT AND IMPROVE ITS EBS PROCESS AND CONTROL ENVIRONMENT, INCLUDING BUT NOT LIMITED TO INCREASED COMPLIANCE STAFF AND REMEDIAL EXPERTISE, ENHANCED EBS SUBMISSION REVIEW PROCEDURES AND CONTROLS, AND INCREASED BUDGETS FOR EBS COMPLIANCE.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST STIFEL, NICOLAUS & COMPANY, INC. ("STIFEL" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT THAT THE COMMISSION HAS DETERMINED TO ACCEPT. THE COMMISSION FINDS THAT FROM AT LEAST JANUARY 2020 (THE "RELEVANT PERIOD"), STIFEL PERSONNEL SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS THAT RELATED TO ITS BROKER-DEALER BUSINESS. ADDITIONALLY, DURING THE RELEVANT PERIOD, STIFEL PERSONNEL SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS RELATED TO THE INVESTMENT ADVISER'S RECEIPT, DISBURSEMENT OR DELIVERY OF FUNDS OR SECURITIES. STIFEL DID NOT MAINTAIN OR PRESERVE THE SUBSTANTIAL MAJORITY OF THESE WRITTEN COMMUNICATIONS. STIFEL'S FAILURE WAS FIRM-WIDE AND INVOLVED PERSONNEL AT VARIOUS LEVELS OF AUTHORITY. STIFEL'S SUPERVISORS, WHO WERE RESPONSIBLE FOR SUPERVISING JUNIOR PERSONNEL, ROUTINELY COMMUNICATED OFF-CHANNEL USING THEIR PERSONAL DEVICES. IN FACT, SENIOR PERSONNEL RESPONSIBLE FOR SUPERVISING JUNIOR PERSONNEL THEMSELVES FAILED TO COMPLY WITH STIFEL'S POLICIES AND PROCEDURES BY COMMUNICATING, THROUGH NON-APPROVED METHODS, ON THEIR PERSONAL DEVICES ABOUT RESPONDENT'S BUSINESS. STIFEL'S WIDESPREAD FAILURE TO IMPLEMENT ITS POLICIES AND PROCEDURES THAT PROHIBIT SUCH COMMUNICATIONS LED TO ITS FAILURE TO REASONABLY SUPERVISE ITS PERSONNEL WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT AND SECTION 203(E)(6) OF THE ADVISERS ACT. DURING THE RELEVANT PERIOD, STIFEL RECEIVED AND RESPONDED TO COMMISSION SUBPOENAS FOR DOCUMENTS AND RECORDS REQUESTS IN VARIOUS COMMISSION INVESTIGATIONS. AS A RESULT, STIFEL'S RECORDKEEPING FAILURES LIKELY IMPACTED THE COMMISSION'S ABILITY TO CARRY OUT ITS REGULATORY FUNCTIONS AND INVESTIGATE VIOLATIONS OF THE FEDERAL SECURITIES LAWS ACROSS THESE INVESTIGATIONS. THE COMMISSION STAFF UNCOVERED STIFEL'S MISCONDUCT AFTER COMMENCING A RISK BASED INITIATIVE TO INVESTIGATE THE USE OF OFF-CHANNEL AND UNPRESERVED COMMUNICATIONS AT BROKER DEALERS AND REGISTERED INVESTMENT ADVISERS. STIFEL HAS INITIATED A REVIEW OF ITS RECORDKEEPING FAILURES AND BEGUN A PROGRAM OF REMEDIATION. AS SET FORTH IN THE UNDERTAKINGS BELOW, STIFEL WILL RETAIN AN INDEPENDENT COMPLIANCE CONSULTANT TO REVIEW AND ASSESS STIFEL'S REMEDIAL STEPS RELATING TO ITS RECORDKEEPING PRACTICES, POLICIES AND PROCEDURES, RELATED SUPERVISORY PRACTICES, AND EMPLOYMENT ACTIONS. AS A RESULT, STIFEL WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND WILLFULLY VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER. STIFEL FAILED REASONABLY TO SUPERVISE ITS PERSONNEL WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER, WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT. Status: Final Sanction Detail: THE FIRM IS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER, IS CENSURED, SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER, AND SHALL PAY A CIVIL MONEY PENALTY OF $35,000,000. THE CIVIL MONEY PENALTY WAS PAID ON OCTOBER 4TH, 2024. Summary: AS A RESULT, STIFEL WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND WILLFULLY VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER. STIFEL FAILED REASONABLY TO SUPERVISE ITS PERSONNEL WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS SUPERVISED PERSONS' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER, WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT. ACCORDINGLY, IT IS HEREBY ORDERED THAT STIFEL SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER, IS CENSURED, SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER, AND SHALL PAY A CIVIL MONEY PENALTY OF $35,000,000. THE CIVIL MONEY PENALTY WAS PAID ON OCTOBER 4TH, 2024.
Allegations: THE SEC ALLEGED THAT STIFEL WILLFULLY VIOLATED SECTIONS 206(2) AND 207 OF THE INVESTMENT ADVISERS ACT OF 1940 (THE "ADVISERS ACT") AS A RESULT OF (A) ITS INADEQUATE DISCLOSURE OF CONFLICTS OF INTEREST RELATED TO (A) THE SELECTION OF MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES, WHICH ARE RECURRING FEES DEDUCTED FROM FUND'S ASSETS, WHEN AN ALTERNATIVE SHARE CLASS WAS AVAILABLE THAT DID NOT CHARGE A 12B-1 FEE; AND (B) THE RECEIPT OF 12B-1 FEES IN CONNECTION WITH THESE INVESTMENTS. Status: Final Sanction Detail: STIFEL WAS CENSURED AND ORDERED TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT, PAY DISGORGEMENT AND PRE-JUDGMENT INTEREST IN THE AMOUNT OF $6,037,175.98 TO AFFECTED INVESTORS, AND COMPLY WITH SEVERAL UNDERTAKINGS RELATED TO NOTIFYING AFFECTED INVESTORS OF THE TERMS OF THE ORDER. Summary: IN MARCH 2019, STIFEL, ALONG WITH 78 OTHER INVESTMENT ADVISERS WHO VOLUNTARILY PARTICIPATED IN THE SEC'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE, CONSENTED TO THE ENTRY OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER (THE "ORDER") BY THE SEC INSTITUTED PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE ADVISERS ACT WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN EXCEPT THOSE RELATED TO JURISDICTION AND THE SUBJECT MATTER OF THE PROCEEDINGS. THE ORDER ENTERED AGAINST STIFEL ALLEGED THAT STIFEL WILLFULLY VIOLATED SECTIONS 206(2) AND 207 OF THE ADVISERS ACT AS A RESULT OF ITS INADEQUATE DISCLOSURE OF CONFLICTS OF INTEREST RELATED TO (A) THE SELECTION OF MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES, WHICH ARE RECURRING FEES DEDUCTED FROM FUND'S ASSETS, WHEN AN ALTERNATIVE SHARE CLASS WAS AVAILABLE THAT DID NOT CHARGE A 12B-1 FEE; AND (B) THE RECEIPT OF 12B-1 FEES IN CONNECTION WITH THESE INVESTMENTS. THE SEC DID NOT IMPOSE A CIVIL PENALTY AGAINST STIFEL IN RECOGNITION OF THE FACT THAT STIFEL SELF-REPORTED THE ISSUE TO THE SEC. HOWEVER, STIFEL WAS CENSURED AND ORDERED TO CEASE-AND-DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT, PAY DISGORGEMENT AND PRE-JUDGMENT INTEREST IN THE AMOUNT OF $6,037,175.98 TO AFFECTED INVESTORS, AND COMPLY WITH SEVERAL UNDERTAKINGS RELATED TO NOTIFYING AFFECTED INVESTORS OF THE TERMS OF THE ORDER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
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