Robert W. Baird & Co. Incorporated
SEC-registered
Broker-Dealer (Dually Registered) · Mega ($100B+)
CRD 8158
· SEC file 801-7571
· Milwaukee, WI
· twitter.com
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ADV data as of Apr 20, 2026
- Regulatory AUM
- $394B
- Discretionary
- $289B
- Clients
- 241,359
- Avg AUM / client
- $1.6M
- Accounts
- 367,123
- Employees
- 4,322
AUM over time
$39.5B
$394B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Apr 20, 2026
Asset allocation (SMA assets by investment type)
as of Apr 20, 2026
Registered investment companies (funds/ETFs)
$181B
46%
Exchange-traded equities
$118B
30%
US government & agency bonds
$27.6B
7%
Investment-grade corporate bonds
$27.6B
7%
State & local bonds
$15.8B
4%
Cash & equivalents
$11.8B
3%
Other
$7.9B
2%
Non-exchange-traded equities
$3.9B
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Investments (13F portfolio — 1,311 positions, $9,779,838)
13F period Mar 31, 2015| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares 1000 Value Russell | COMMON | $196,647 | 1,907,711 | 2.01% | 0.0% |
| 2 | Apple Computer Inc | COMMON | $188,462 | 1,514,603 | 1.93% | 0.0% |
| 3 | Vngrd Ftse Dev Mkts Etf | COMMON | $145,895 | 3,662,931 | 1.49% | 0.0% |
| 4 | General Electric Company | COMMON | $132,710 | 5,349,059 | 1.36% | 0.0% |
| 5 | Ishares 1000 Growth Russell | COMMON | $132,351 | 1,337,954 | 1.35% | 0.0% |
| 6 | Johnson & Johnson | COMMON | $127,855 | 1,270,921 | 1.31% | 0.0% |
| 7 | Abbvie Inc | COMMON | $115,801 | 1,978,156 | 1.18% | 0.0% |
| 8 | Pepsico Inc | COMMON | $107,446 | 1,123,681 | 1.1% | 0.0% |
| 9 | Berkshire Hathaway Inc Del Cl | COMMON | $106,229 | 736,068 | 1.09% | 0.0% |
| 10 | Chevrontexaco Corporation | COMMON | $98,961 | 942,665 | 1.01% | 0.0% |
| 11 | Ishares Midcap Russell | COMMON | $94,299 | 544,701 | 0.96% | 0.0% |
| 12 | Microsoft Corp | COMMON | $94,023 | 2,312,709 | 0.96% | 0.0% |
| 13 | Express Scripts Hldg Co | COMMON | $84,505 | 973,895 | 0.86% | 0.0% |
| 14 | Wells Fargo New | COMMON | $83,423 | 1,533,513 | 0.85% | 0.0% |
| 15 | Exxon Mobil Corporation | COMMON | $78,272 | 920,847 | 0.8% | 0.0% |
| 16 | Cisco Sys Inc | COMMON | $76,540 | 2,780,752 | 0.78% | 0.0% |
| 17 | A T & T Inc (New) | COMMON | $73,423 | 2,248,775 | 0.75% | 0.0% |
| 18 | S&P 500 Depositary Receipt | COMMON | $71,223 | 345,021 | 0.73% | 0.0% |
| 19 | Mcdonalds Corp | COMMON | $67,022 | 687,825 | 0.69% | 0.0% |
| 20 | Stericycle Inc | COMMON | $66,907 | 476,447 | 0.68% | 0.0% |
| 21 | O'reilly Automotive Inc New Co | COMMON | $65,548 | 303,126 | 0.67% | 0.0% |
| 22 | Oracle Corp | COMMON | $65,499 | 1,517,948 | 0.67% | 0.0% |
| 23 | Fiserv Inc | COMMON | $64,710 | 814,983 | 0.66% | 0.0% |
| 24 | Johnson Controls | COMMON | $64,016 | 1,269,161 | 0.65% | 0.0% |
| 25 | Affiliated Managers Group Com | COMMON | $60,881 | 283,457 | 0.62% | 0.0% |
Top 25 of 1,311 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 153,711 | $33.3B | 8.46% |
| High net worth individuals | 82,420 | $135B | 34.3% |
| Banking or thrift institutions | 18 | $492M | 0.12% |
| Investment companies | 18 | $158B | 40.1% |
| Pooled investment vehicles (non-investment companies) | 8 | $1.3B | 0.32% |
| Pension and profit sharing plans | 1,709 | $17.8B | 4.52% |
| Charitable organizations | 1,433 | $7.7B | 1.94% |
| State or municipal government entities | 76 | $8.2B | 2.08% |
| Other investment advisers | 254 | $480M | 0.12% |
| Insurance companies | 22 | $8.8B | 2.23% |
| Corporations and other businesses | 1,669 | $19.4B | 4.92% |
| Other | 21 | $3.7B | 0.95% |
Private funds (3)
Reported in Form ADV Section 7.B.(1), filing of Jun 2024 · $173M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Chautauqua International Growth Equity Qp Fund Lp | Hedge Fund | Delaware | $170M | 4 |
| Chautauqua Global Growth Equity Qp Fund Lp | Other Private Fund | Delaware | $1.3M | 2 |
| Chautauqua Series Fund, Llc (Chautauqua New World Growth Equity Series) | Other Private Fund | Delaware | $1.0M | 1 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (2,606)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michael John Schroeder | Director | Jun 1986 (40y) | Less than 5% | |
| Patrick Steven Lawton | Director | Jun 1988 (38y) | Less than 5% | |
| Laura K Thurow | Chief Operations Officer | Oct 2001 (25y) | Less than 5% | |
| Mary Ellen Stanek | Director | Feb 2002 (24y) | Less than 5% | |
| Christa Lynn Graverson | Chief Compliance Officer | May 2005 (21y) | Less than 5% | |
| Schultz, Paul, Lee | General Counsel, Secretary | Mar 2013 (13y) | Less than 5% | |
| Palmer, Angela, Marie | Registered Investment Advisor Cco | Mar 2014 (12y) | Less than 5% | |
| Maxwell, Terrance, Patrick | Chief Financial Officer, Director | Mar 2015 (11y) | Less than 5% | |
| Booth, Steven Gregory | Chairman, President, Chief Executive Officer | Jan 2016 (11y) | Less than 5% | |
| Charles Frederick Severson | Registered representative | Jun 1988 (38y) | ||
| Erik Charles Dahlberg | Registered representative | Jun 1988 (38y) | ||
| John Benjamin Lewenauer | Registered representative | Jun 1988 (38y) | ||
| John Joseph Luy | Registered representative | Jun 1988 (38y) | ||
| Phillip Charles Dallman | Registered representative | Jun 1988 (38y) | ||
| Randal Lee Leonard | Registered representative | Jun 1988 (38y) | ||
| Stephen David Hoch | Registered representative | Jun 1988 (38y) | ||
| Thomas Michael Linn | Registered representative | Jun 1988 (38y) | ||
| William Arthur Naleid | Registered representative | Jun 1988 (38y) | ||
| Timothy Stanley Omalley | Registered representative | Dec 1989 (37y) | ||
| Scott Michael Sullivan | Registered representative | May 1990 (36y) | ||
| Lee Stuart Zimmerman | Registered representative | Sep 1990 (36y) | ||
| William Martin Kletzien | Registered representative | Dec 1990 (36y) | ||
| Michael John Prioletti | Registered representative | Sep 1991 (35y) | ||
| Elizabeth Ann Kulhavy | Registered representative | Nov 1991 (35y) | ||
| Laura Hodge Gough | Registered representative | CFA | Nov 1991 (35y) | |
| Brenda Lynn Hutchinson | Registered representative | Dec 1991 (35y) | ||
| Andrew Edward Denney | Registered representative | Jan 1992 (35y) | ||
| Christopher Gerard Didier | Registered representative | Jan 1992 (35y) | ||
| Cory Jay Davis | Registered representative | Jul 1992 (34y) | ||
| Bradley A Niswonger | Registered representative | Sep 1992 (34y) | ||
| J Randall Mclaughlin | Registered representative | Oct 1992 (34y) | ||
| Kathleen Mary Beronja | Registered representative | Jan 1993 (34y) | ||
| Andrew Michael Hirsch | Registered representative | Feb 1993 (33y) | ||
| Colette Constance Gregory | Registered representative | Mar 1993 (33y) | ||
| Anthony Joseph Braun | Registered representative | Apr 1993 (33y) | ||
| Joseph Anthony Buday | Registered representative | Apr 1993 (33y) | ||
| Julie Ann Rumage | Registered representative | Apr 1993 (33y) | ||
| Michael Darwin Bishop | Registered representative | Jun 1993 (33y) | ||
| Mark Alan Kindler | Registered representative | Jun 1993 (33y) | ||
| Peter Joseph Ament | Registered representative | Jun 1993 (33y) | ||
| Katherine Marie Shalbrack | Registered representative | Jul 1993 (33y) | ||
| Geoffrey Wagner Klos | Registered representative | Oct 1993 (33y) | ||
| Charles Kenneth Woodford | Registered representative | Jan 1994 (33y) | ||
| Paul Eric Christian | Registered representative | Apr 1994 (32y) | ||
| Ken Robert Petter | Registered representative | May 1994 (32y) | ||
| Timothy James Fuhr | Registered representative | Jun 1994 (32y) | ||
| Suzanne C King | Registered representative | CFP | Jul 1994 (32y) | |
| Robert Bruce Geenen | Registered representative | Aug 1994 (32y) | ||
| Gregory Joel Thomson | Registered representative | Sep 1994 (32y) | ||
| Timothy Paul Duchow | Registered representative | Nov 1994 (32y) | ||
| Kenneth Michael Hemauer | Registered representative | Jan 1995 (32y) | ||
| Sandra Kay Gehler | Registered representative | Mar 1995 (31y) | ||
| Anthony Edwin Consiglio | Registered representative | Jun 1996 (30y) | ||
| James Alan Hodge | Registered representative | Sep 1996 (30y) | ||
| Jeffrey John Schmit | Registered representative | Sep 1996 (30y) | ||
| Sharon Louise Schmid | Registered representative | Nov 1996 (30y) | ||
| Michael Robert Murray | Registered representative | Dec 1996 (30y) | ||
| Allen J Campbell | Registered representative | Mar 1997 (29y) | ||
| Brian John Donnelly | Registered representative | Mar 1997 (29y) | ||
| Matthew Scott Coburn | Registered representative | Apr 1997 (29y) | ||
| Barbara Ann Nelson | Registered representative | Oct 1997 (29y) | ||
| Donald David Wallace | Registered representative | Oct 1997 (29y) | ||
| Gregory Scott Collins | Registered representative | Oct 1997 (29y) | ||
| Gregory Vance Abbott | Registered representative | Oct 1997 (29y) | ||
| Jay Aaron Goldstein | Registered representative | Oct 1997 (29y) | ||
| John Marshall Mabee | Registered representative | Oct 1997 (29y) | ||
| Thomas John Stanley | Registered representative | Oct 1997 (29y) | ||
| Daniel James Morrisey | Registered representative | CFP | Nov 1997 (29y) | |
| Hollie Jeane Nelson | Registered representative | Mar 1998 (28y) | ||
| Stephanie S Cruse | Registered representative | Mar 1998 (28y) | ||
| David Allen Purcell | Registered representative | Apr 1998 (28y) | ||
| Richard Dickson Cudahy | Registered representative | Apr 1998 (28y) | ||
| Horace Gordon Owens | Registered representative | Apr 1998 (28y) | ||
| Jodi Leigh Ristau | Registered representative | Jun 1998 (28y) | ||
| Tina Louise Schlichting | Registered representative | Aug 1998 (28y) | ||
| Tamie Lynn Dudor | Registered representative | Aug 1998 (28y) | ||
| Christopher Frederick Chlupp | Registered representative | Sep 1998 (28y) | ||
| Mark Hudson Falci | Registered representative | Nov 1998 (28y) | ||
| Brandon Richard Hall | Registered representative | Nov 1998 (28y) | ||
| Daniel Joseph Renouard | Registered representative | Dec 1998 (28y) | ||
| Nicole Anne Sova | Registered representative | Dec 1998 (28y) | ||
| Patrick Awuori Mutsune | Registered representative | Dec 1998 (28y) | ||
| Charles Edwin Wheeler | Registered representative | Jan 1999 (28y) | ||
| Douglas Ray Wenzel | Registered representative | Jan 1999 (28y) | ||
| Scott James Chipokas | Registered representative | Jan 1999 (28y) | ||
| Pamela Cain Henry | Registered representative | Jan 1999 (28y) | ||
| Alexander James Smith | Registered representative | Feb 1999 (27y) | ||
| David Hamilton Mudd | Registered representative | Mar 1999 (27y) | ||
| Debra Jean Schmoker | Registered representative | Mar 1999 (27y) | ||
| Laura Marie Hebert | Registered representative | Jun 1999 (27y) | ||
| Karen Mckamy Ellingboe | Registered representative | Jun 1999 (27y) | ||
| Susan Grace Labant | Registered representative | Jul 1999 (27y) | ||
| John Gookins Collier | Registered representative | Aug 1999 (27y) | ||
| Thomas Walter Olson | Registered representative | Aug 1999 (27y) | ||
| Christopher Michael Calvelli | Registered representative | Aug 1999 (27y) | ||
| Betty Joan Brecht | Registered representative | Aug 1999 (27y) | ||
| Michael Hal Perrini | Registered representative | Aug 1999 (27y) | ||
| Theresa Dawn Boyd | Registered representative | Aug 1999 (27y) | ||
| Denis Bernard Hartman | Registered representative | Sep 1999 (27y) | ||
| Denise L Ingersoll | Registered representative | Sep 1999 (27y) | ||
| Mark Lawrence Hawthorne | Registered representative | Sep 1999 (27y) | ||
| Sandra Sue Dixon | Registered representative | Sep 1999 (27y) | ||
| Daniel Jon Schneck | Registered representative | Sep 1999 (27y) | ||
| Timothy James Forster | Registered representative | Sep 1999 (27y) | ||
| Lisa Ann Keverian Press | Registered representative | Oct 1999 (27y) | ||
| Jodi Lynn Finn | Registered representative | Jan 2000 (27y) | ||
| Kevin Lee Frisinger | Registered representative | Jan 2000 (27y) | ||
| William Michael Hienz | Registered representative | Jan 2000 (27y) | ||
| Bradley Douglas Viegut | Registered representative | Feb 2000 (26y) | ||
| Craig R. Kennison | Registered representative | Mar 2000 (26y) | ||
| Brent William Mccormick | Registered representative | Mar 2000 (26y) | ||
| Kelly Lynn Kontowski | Registered representative | May 2000 (26y) | ||
| Jeffrey Dennis Bailey | Registered representative | May 2000 (26y) | ||
| Danielle Sue Metcalf | Registered representative | May 2000 (26y) | ||
| David Britton Snider | Registered representative | May 2000 (26y) | ||
| Ted P Stuckslager | Registered representative | Jun 2000 (26y) | ||
| Erin G Nowakowski Lubarsky | Registered representative | Jul 2000 (26y) | ||
| Shannon Katholeen Davidson | Registered representative | Jul 2000 (26y) | ||
| Daniel Gerard Gundrum | Registered representative | Jul 2000 (26y) | ||
| Rudolf Alexander Fernandez | Registered representative | CFP | Aug 2000 (26y) | |
| Kathryn Ann Fisher Davies | Registered representative | Oct 2000 (26y) | ||
| James Edward Bors | Registered representative | Oct 2000 (26y) | ||
| Terrence Joseph Horan | Registered representative | Oct 2000 (26y) | ||
| Genise Marie Brandt | Registered representative | Jan 2001 (26y) | ||
| Christina Jane Peterson | Registered representative | Feb 2001 (25y) | ||
| Pamela Kay Grahl | Registered representative | Feb 2001 (25y) | ||
| Jacqueline Wormsbacher | Registered representative | Apr 2001 (25y) | ||
| Todd Michael Haschker | Registered representative | Apr 2001 (25y) | ||
| Gary J Lents | Registered representative | Apr 2001 (25y) | ||
| Mary Sharon Deguzman | Registered representative | Apr 2001 (25y) | ||
| Trisha Kay Renner | Registered representative | May 2001 (25y) | ||
| Robert Gary Schultz | Registered representative | Jun 2001 (25y) | ||
| Chad David Giese | Registered representative | Jun 2001 (25y) | ||
| Craig Donald Peotter | Registered representative | Jul 2001 (25y) | ||
| Isaac Curtis Brewer | Registered representative | Jul 2001 (25y) | ||
| Lisa Jane Newman | Registered representative | Aug 2001 (25y) | ||
| Chad R Osmanski | Registered representative | Sep 2001 (25y) | ||
| Jayme Ryan Bailey | Registered representative | Sep 2001 (25y) | ||
| Craig M Vanderleest | Registered representative | Sep 2001 (25y) | ||
| Kurt Allen Rivard | Registered representative | CFA | Sep 2001 (25y) | |
| Christopher Robert Leberfing | Registered representative | Nov 2001 (25y) | ||
| Michael George Klein | Registered representative | Nov 2001 (25y) | ||
| Christine Helen Lind | Registered representative | Dec 2001 (25y) | ||
| Christine Sterr | Registered representative | Jan 2002 (25y) | ||
| William Boyd Nicholson | Registered representative | Feb 2002 (24y) | ||
| James Raymond Zuleger | Registered representative | Jun 2002 (24y) | ||
| Mircea Dobre | Registered representative | Jul 2002 (24y) | ||
| Josephine Maria Oliva | Registered representative | Jul 2002 (24y) | ||
| Kristin Marie Lindblom | Registered representative | CFA | Aug 2002 (24y) | |
| Monica L Mullen | Registered representative | Aug 2002 (24y) | ||
| Todd Steven Nichol | Registered representative | Aug 2002 (24y) | ||
| Timothy Patrick Byrne | Registered representative | Sep 2002 (24y) | ||
| Kurt Charles Stengel | Registered representative | Sep 2002 (24y) | ||
| Judy Ann Villegas | Registered representative | Sep 2002 (24y) | ||
| David John Koning | Registered representative | Nov 2002 (24y) | ||
| Laura Melissa Murray | Registered representative | Nov 2002 (24y) | ||
| David Solomon Epstein | Registered representative | Nov 2002 (24y) | ||
| George Charles Schmidt | Registered representative | Dec 2002 (24y) | ||
| Gino Phillip Colangelo | Registered representative | Dec 2002 (24y) | ||
| Patrick Ervin Nowak | Registered representative | Jan 2003 (24y) | ||
| Moira K. Moran | Registered representative | Jan 2003 (24y) | ||
| Jack Stephen Cohen | Registered representative | Jan 2003 (24y) | ||
| Elaina Cordelia Stuard | Registered representative | Feb 2003 (23y) | ||
| John Christopher Adams | Registered representative | Feb 2003 (23y) | ||
| Keith Ronald Sams | Registered representative | Feb 2003 (23y) | ||
| Tracey L Killoran | Registered representative | Feb 2003 (23y) | ||
| Scott T. Falk | Registered representative | Mar 2003 (23y) | ||
| Michael John Petros | Registered representative | Apr 2003 (23y) | ||
| Julie R Shane | Registered representative | Apr 2003 (23y) | ||
| Peter Ross Anderson | Registered representative | Apr 2003 (23y) | ||
| Jeremiah David Hill | Registered representative | May 2003 (23y) | ||
| Jeremy D Hall | Registered representative | May 2003 (23y) | ||
| Elizabeth Meade Owens | Registered representative | May 2003 (23y) | ||
| Daniel L Moore | Registered representative | May 2003 (23y) | ||
| Scott Michel Keith | Registered representative | May 2003 (23y) | ||
| Jay V Logan | Registered representative | CFP | Jun 2003 (23y) | |
| Gregory Thomas Sommersberger | Registered representative | Jun 2003 (23y) | ||
| Kim Tarmann Milligan | Registered representative | Jun 2003 (23y) | ||
| Gregory Bernard Greenhouse | Registered representative | Jun 2003 (23y) | ||
| Lori Beth Gervais | Registered representative | Jun 2003 (23y) | ||
| Thomas Alexander Hayden | Registered representative | Jun 2003 (23y) | ||
| Michael Kendzicky | Registered representative | Jul 2003 (23y) | ||
| Thomas Scott Heidenrich | Registered representative | Jul 2003 (23y) | ||
| Margaret Anne Massari | Registered representative | Aug 2003 (23y) | ||
| Matthew Parker Woolley | Registered representative | Aug 2003 (23y) | ||
| Deborah Sue Bohn | Registered representative | Aug 2003 (23y) | ||
| Jennifer Colleen Haldemann | Registered representative | CFP | Oct 2003 (23y) | |
| Geofrey Chizila Banda | Registered representative | Nov 2003 (23y) | ||
| Jeffrey D Johnson | Registered representative | Jan 2004 (23y) | ||
| Fred Thompson Mclaughlin | Registered representative | Feb 2004 (22y) | ||
| Frank Atkeison Downey | Registered representative | Feb 2004 (22y) | ||
| Albert Hale Hooper | Registered representative | Mar 2004 (22y) | ||
| Larry J Carter | Registered representative | Mar 2004 (22y) | ||
| Tammy Renee Rogan | Registered representative | Mar 2004 (22y) | ||
| Kenneth Andrew Gehl | Registered representative | Apr 2004 (22y) | ||
| Kelli Anne Downs | Registered representative | Apr 2004 (22y) | ||
| Angela Jean Krause Lane | Registered representative | May 2004 (22y) | ||
| Deanne Marie Soetenga | Registered representative | CFP | May 2004 (22y) | |
| Shawn Steven Zoltak | Registered representative | Jun 2004 (22y) | ||
| Bruce Anthony Bittles | Registered representative | Jun 2004 (22y) | ||
| Lawrence Andrew Hawken | Registered representative | Jun 2004 (22y) | ||
| Wesley Mandeville Sullivan | Registered representative | Jun 2004 (22y) | ||
| Michael Patrick Braun | Registered representative | Jun 2004 (22y) | ||
| Timothy Michael Moore | Registered representative | Jun 2004 (22y) | ||
| Thomas Ryan Savage | Registered representative | Jul 2004 (22y) | ||
| Barry Scott Greenberg | Registered representative | Jul 2004 (22y) | ||
| Steven James Milvet | Registered representative | Aug 2004 (22y) | ||
| Gilbert Andrew Bachna | Registered representative | Aug 2004 (22y) | ||
| Justin H Holsen | Registered representative | Aug 2004 (22y) | ||
| James Edward Pavlik | Registered representative | Sep 2004 (22y) | ||
| Glen Charles Lothary | Registered representative | Sep 2004 (22y) | ||
| Kristen Lee Metcalf | Registered representative | Nov 2004 (22y) | ||
| Carisa Nicole Oppermann | Registered representative | Nov 2004 (22y) | ||
| James Bradley Cain | Registered representative | Dec 2004 (22y) | ||
| Stacy Paridon Williams | Registered representative | Dec 2004 (22y) | ||
| David Anthony Klenke | Registered representative | CFP | Jan 2005 (22y) | |
| Robert W. Mason | Registered representative | Mar 2005 (21y) | ||
| Adam Joseph Kapusta | Registered representative | Mar 2005 (21y) | ||
| Lori Ann Baumann | Registered representative | Mar 2005 (21y) | ||
| Thomas Edward Hilldore | Registered representative | May 2005 (21y) | ||
| Deborah Ann West | Registered representative | May 2005 (21y) | ||
| Brian W Hanrahan | Registered representative | May 2005 (21y) | ||
| Matthew Hansen Domski | Registered representative | Jun 2005 (21y) | ||
| Paula R Chesser | Registered representative | Jun 2005 (21y) | ||
| Michael Joseph Boosel | Registered representative | Jul 2005 (21y) | ||
| Brian D. Trexell | Registered representative | Jul 2005 (21y) | ||
| Robert Chaffin Ramsey | Registered representative | Jul 2005 (21y) | ||
| Andrew Craig Lien | Registered representative | Aug 2005 (21y) | ||
| Erin Marie Calkins | Registered representative | Aug 2005 (21y) | ||
| Brian Alan Meyer | Registered representative | Sep 2005 (21y) | ||
| Michael Joseph Glaisner | Registered representative | Sep 2005 (21y) | ||
| Steven Nick Russ | Registered representative | Sep 2005 (21y) | ||
| Douglas Matthew Stencel | Registered representative | Sep 2005 (21y) | ||
| Michael Lee Nowack | Registered representative | Sep 2005 (21y) | ||
| Jay Edward Schwister | Registered representative | Oct 2005 (21y) | ||
| Jennifer M Powell | Registered representative | Nov 2005 (21y) | ||
| Scott Allen Schiek | Registered representative | Nov 2005 (21y) | ||
| Daniel Patrick Kern | Registered representative | Jan 2006 (21y) | ||
| Matthew Coady Turner | Registered representative | Jan 2006 (21y) | ||
| Michael S Leberman | Registered representative | Jan 2006 (21y) | ||
| Chad Peter Johnson | Registered representative | Jan 2006 (21y) | ||
| Robert Douglas Ospalik | Registered representative | Feb 2006 (20y) | ||
| Gordon George Pan | Registered representative | Feb 2006 (20y) | ||
| Ryan J Engelhardt | Registered representative | Feb 2006 (20y) | ||
| Judson Luding Platz | Registered representative | Feb 2006 (20y) | ||
| Bryan Allan Johnson | Registered representative | Feb 2006 (20y) | ||
| Steven Todd Kellogg | Registered representative | Mar 2006 (20y) | ||
| Debra Lynn Cerny | Registered representative | Mar 2006 (20y) | ||
| Derek Michael Greene | Registered representative | Mar 2006 (20y) | ||
| Jean Ellen Pratt | Registered representative | Mar 2006 (20y) | ||
| Sandra Marie Santana | Registered representative | May 2006 (20y) | ||
| Daniel Richard Palm | Registered representative | May 2006 (20y) | ||
| Lewis Krinsky | Registered representative | May 2006 (20y) | ||
| Ryan Paul Jaeger | Registered representative | May 2006 (20y) | ||
| Stephanie Kathryn Ray Kuczynski | Registered representative | May 2006 (20y) | ||
| Elizabeth Jo Behrends | Registered representative | Jun 2006 (20y) | ||
| Teresa M Bray | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| David Philip Poitras | Registered representative | Jul 2006 (20y) | ||
| Richard Wholey | Registered representative | CFP | Jul 2006 (20y) | |
| Christopher George Folland | Registered representative | Jul 2006 (20y) | ||
| Jaye Lynn Behrends | Registered representative | Jul 2006 (20y) | ||
| Maria Margareta Mc Dermott | Registered representative | Aug 2006 (20y) | ||
| Brad Alan Hulst | Registered representative | Aug 2006 (20y) | ||
| Frank David Wilson | Registered representative | Aug 2006 (20y) | ||
| Eric Jon Sobczak | Registered representative | Aug 2006 (20y) | ||
| Dustin John Hutter | Registered representative | Sep 2006 (20y) | ||
| James Alan Ritter | Registered representative | Sep 2006 (20y) | ||
| Gregory Francis Johnson | Registered representative | Oct 2006 (20y) | ||
| Heather Cay Melzer | Registered representative | Oct 2006 (20y) | ||
| Anne Marie Morgan | Registered representative | Oct 2006 (20y) | ||
| Amy Lynn Gillette | Registered representative | Nov 2006 (20y) | ||
| Timothy William Deenik | Registered representative | Nov 2006 (20y) | ||
| Edward B Leranth | Registered representative | Nov 2006 (20y) | ||
| Mary Rose Zavaglia | Registered representative | Nov 2006 (20y) | ||
| Michael David Monfeli | Registered representative | Dec 2006 (20y) | ||
| Timothy Ronald Wojs | Registered representative | Dec 2006 (20y) | ||
| Daniel H Laubusch | Registered representative | Dec 2006 (20y) | ||
| Jonathan Lee Good | Registered representative | Dec 2006 (20y) | ||
| Brent Robert Olsson | Registered representative | Jan 2007 (20y) | ||
| Michelle Rene Hernandez Cortes | Registered representative | CFP | Jan 2007 (20y) | |
| Anne Teresa Lanagan | Registered representative | Jan 2007 (20y) | ||
| Bradley Paul Angeletti | Registered representative | Jan 2007 (20y) | ||
| Rebekah Janelle Berry | Registered representative | Jan 2007 (20y) | ||
| Scott Randall Reighard | Registered representative | Jan 2007 (20y) | ||
| Andrew John Trasowech | Registered representative | Feb 2007 (19y) | ||
| Daniel Michael Monahan | Registered representative | Feb 2007 (19y) | ||
| Andrew John Schliepp | Registered representative | Feb 2007 (19y) | ||
| John David Gebhardt | Registered representative | Feb 2007 (19y) | ||
| Jacqueline Terese Janich | Registered representative | Feb 2007 (19y) | ||
| Brian Whitford Kurtz | Registered representative | Mar 2007 (19y) | ||
| Robert Alan Hisle | Registered representative | Mar 2007 (19y) | ||
| Ryan Stan Antkowiak | Registered representative | CFP | Apr 2007 (19y) | |
| Rachel Jean Hughes | Registered representative | Apr 2007 (19y) | ||
| Gregory Lee Pauly | Registered representative | Apr 2007 (19y) | ||
| Diane Mary Gaal | Registered representative | May 2007 (19y) | ||
| Michael Aspery Dempsey | Registered representative | May 2007 (19y) | ||
| Michael Owen Smith | Registered representative | May 2007 (19y) | ||
| Rae Jean Cecil Isaacs | Registered representative | May 2007 (19y) | ||
| Milton Sanders Park | Registered representative | May 2007 (19y) | ||
| John Patterson Campbell | Registered representative | Jun 2007 (19y) | ||
| Mary Evelyn Levar | Registered representative | Jun 2007 (19y) | ||
| Myron Ansel Sawyer | Registered representative | Jul 2007 (19y) | ||
| Christopher Kinne Merker | Registered representative | Jul 2007 (19y) | ||
| Aaron M Benson | Registered representative | Jul 2007 (19y) | ||
| June Helena Brown | Registered representative | Jul 2007 (19y) | ||
| Ryan Christopher Unthank | Registered representative | Jul 2007 (19y) | ||
| Nancy Jarrett Popovich | Registered representative | Jul 2007 (19y) | ||
| Michael Joseph Marella | Registered representative | Jul 2007 (19y) | ||
| William James Kletzien | Registered representative | Aug 2007 (19y) | ||
| Timothy Dennis Lally | Registered representative | Aug 2007 (19y) | ||
| Kyle Patrick Everett | Registered representative | Aug 2007 (19y) | ||
| Jennifer Susan Olen | Registered representative | Sep 2007 (19y) | ||
| Charles Michael Weber | Registered representative | Oct 2007 (19y) | ||
| Jeffrey John Krummel | Registered representative | Oct 2007 (19y) | ||
| David Alan George | Registered representative | Dec 2007 (19y) | ||
| John Michael Moriarty | Registered representative | Dec 2007 (19y) | ||
| Lana Elizabeth Hock | Registered representative | Dec 2007 (19y) | ||
| Ned James Gillette | Registered representative | Feb 2008 (18y) | ||
| Vanessa Rae Day | Registered representative | Feb 2008 (18y) | ||
| Douglas Miller Schmidt | Registered representative | Mar 2008 (18y) | ||
| Ashley Mae Brown | Registered representative | Apr 2008 (18y) | ||
| Thomas Joe Carroll | Registered representative | Apr 2008 (18y) | ||
| Douglas Michael Crandall | Registered representative | Apr 2008 (18y) | ||
| Gerald Phillip Jarzabek | Registered representative | Apr 2008 (18y) | ||
| Ryan W Cox | Registered representative | Apr 2008 (18y) | ||
| James David Blauw | Registered representative | May 2008 (18y) | ||
| Douglas Richard Sandahl | Registered representative | Jun 2008 (18y) | ||
| Loren Larry Law | Registered representative | Jun 2008 (18y) | ||
| Daniel Larry Law | Registered representative | Jun 2008 (18y) | ||
| Richard Norbert Verthein | Registered representative | CFP | Jun 2008 (18y) | |
| Meghan Hegarty Dean | Registered representative | CFA | Aug 2008 (18y) | |
| Roger W Klumb | Registered representative | Aug 2008 (18y) | ||
| Joseph Stephen Hoon | Registered representative | Aug 2008 (18y) | ||
| Diane Kelsey Lightfield | Registered representative | Aug 2008 (18y) | ||
| Sandra Lee Kirschten | Registered representative | Sep 2008 (18y) | ||
| Kevin Patrick Alberty | Registered representative | Sep 2008 (18y) | ||
| David Scott Davies | Registered representative | Sep 2008 (18y) | ||
| Gena F Friend | Registered representative | Oct 2008 (18y) | ||
| Luke L Junk | Registered representative | Oct 2008 (18y) | ||
| Jennifer Rose Curtiss | Registered representative | Oct 2008 (18y) | ||
| Jonathan Robert Komp | Registered representative | Nov 2008 (18y) | ||
| Seth Levin Kaplan | Registered representative | Nov 2008 (18y) | ||
| Jonathon Frank Bowker | Registered representative | Nov 2008 (18y) | ||
| Joseph Ernest Christ | Registered representative | CFP | Nov 2008 (18y) | |
| Justin P Hauke | Registered representative | Nov 2008 (18y) | ||
| Vince Richard Hawley | Registered representative | Nov 2008 (18y) | ||
| Andrew Jeremiah Schwertfeger | Registered representative | Nov 2008 (18y) | ||
| Kristen M Folland | Registered representative | Dec 2008 (18y) | ||
| Benjamin T Zimmer | Registered representative | Dec 2008 (18y) | ||
| Diana Manalang Sanchez | Registered representative | Jan 2009 (18y) | ||
| Kent Robert Elliott | Registered representative | Jan 2009 (18y) | ||
| Matthew Harold Schmitt | Registered representative | Jan 2009 (18y) | ||
| Katherine M. Schoen | Registered representative | Jan 2009 (18y) | ||
| Adam Persily | Registered representative | Jan 2009 (18y) | ||
| Charles Michael Ankrim | Registered representative | Jan 2009 (18y) | ||
| Jeffrey Michael Daft | Registered representative | Feb 2009 (17y) | ||
| Kimberly Haws Falasco | Registered representative | Feb 2009 (17y) | ||
| Gerald Higinio Marquez | Registered representative | Feb 2009 (17y) | ||
| James Louis Mugele | Registered representative | Feb 2009 (17y) | ||
| Jason Charles Harris | Registered representative | Feb 2009 (17y) | ||
| John Fox Graham | Registered representative | Feb 2009 (17y) | ||
| Joseph Mark Fuggi | Registered representative | Feb 2009 (17y) | ||
| Keith Ira Levitt | Registered representative | Feb 2009 (17y) | ||
| Marco S Sacca | Registered representative | Feb 2009 (17y) | ||
| Michael Charles Levin | Registered representative | Feb 2009 (17y) | ||
| Michael Ross Johnson | Registered representative | CFP | Feb 2009 (17y) | |
| Nancy Leshko Short | Registered representative | Feb 2009 (17y) | ||
| Richard Lee Duval | Registered representative | Feb 2009 (17y) | ||
| Robert Manansala Manankil | Registered representative | Feb 2009 (17y) | ||
| Richard Thomas Zink | Registered representative | Feb 2009 (17y) | ||
| Sharon T Martin | Registered representative | Feb 2009 (17y) | ||
| Jeffrey Stewart Hedley | Registered representative | Feb 2009 (17y) | ||
| Michele L. Jackson | Registered representative | Mar 2009 (17y) | ||
| Ana D Geller | Registered representative | Mar 2009 (17y) | ||
| Geoffrey Christopher Laughlin | Registered representative | Mar 2009 (17y) | ||
| William Edward Watt | Registered representative | Mar 2009 (17y) | ||
| James Matthew Hodges | Registered representative | Mar 2009 (17y) | ||
| Jess Henrickson | Registered representative | Mar 2009 (17y) | ||
| Bradley Raymond Lundquist | Registered representative | Mar 2009 (17y) | ||
| John Miller Landberg | Registered representative | CFP | Mar 2009 (17y) | |
| Marie Regina Ahola | Registered representative | Mar 2009 (17y) | ||
| Michael Burke Fritz | Registered representative | Mar 2009 (17y) | ||
| Thomas Richard Ladd | Registered representative | Mar 2009 (17y) | ||
| James Robert Blandford | Registered representative | Mar 2009 (17y) | ||
| Jon David Brausch | Registered representative | Mar 2009 (17y) | ||
| Jonathan Henry Lee | Registered representative | Mar 2009 (17y) | ||
| Bryan Richard Sampson | Registered representative | Mar 2009 (17y) | ||
| Joseph Gerard Verdi | Registered representative | Apr 2009 (17y) | ||
| Nicholas C Pruhs | Registered representative | Apr 2009 (17y) | ||
| Bruce Michael Yoshida | Registered representative | Apr 2009 (17y) | ||
| Joseph Brendon Mccann | Registered representative | Apr 2009 (17y) | ||
| Halien Besaw | Registered representative | CFP | Apr 2009 (17y) | |
| Benjamin Joseph Kallo | Registered representative | May 2009 (17y) | ||
| Robert James Ferriman | Registered representative | May 2009 (17y) | ||
| Timothy Patrick Hargest | Registered representative | May 2009 (17y) | ||
| Cheryl Richards Palumbo | Registered representative | May 2009 (17y) | ||
| Darin Dean Roser | Registered representative | May 2009 (17y) | ||
| David M Adams | Registered representative | May 2009 (17y) | ||
| Elizabeth Mary Sherbert | Registered representative | May 2009 (17y) | ||
| Lou Stephen Satchell | Registered representative | May 2009 (17y) | ||
| Rebecca Ann Ross | Registered representative | May 2009 (17y) | ||
| Sueann D Griffin | Registered representative | May 2009 (17y) | ||
| Kenneth James Meyers | Registered representative | May 2009 (17y) | ||
| Virginia Marie Moye | Registered representative | May 2009 (17y) | ||
| Craig Timothy Darling | Registered representative | May 2009 (17y) | ||
| Jeffrey Edward Puissant | Registered representative | May 2009 (17y) | ||
| Jeffrey John Kinziger | Registered representative | May 2009 (17y) | ||
| Kari M Van Lanen | Registered representative | May 2009 (17y) | ||
| Lindsey Marie Kabat | Registered representative | May 2009 (17y) | ||
| Edward Harvey Defrance | Registered representative | May 2009 (17y) | ||
| Peter R. Duback | Registered representative | May 2009 (17y) | ||
| Patrick Michael Foley | Registered representative | CFP | Jun 2009 (17y) | |
| Brook A Brindley | Registered representative | Jun 2009 (17y) | ||
| Christopher Michael Yesbeck | Registered representative | Jun 2009 (17y) | ||
| Margaret A Prestigiacomo | Registered representative | Jun 2009 (17y) | ||
| Joel William Beck | Registered representative | Jul 2009 (17y) | ||
| Lynne Marie Blodgett | Registered representative | Jul 2009 (17y) | ||
| Brian Michael Penn | Registered representative | Aug 2009 (17y) | ||
| Roger Gerard Gervais | Registered representative | Aug 2009 (17y) | ||
| Brian K Neitzke | Registered representative | Sep 2009 (17y) | ||
| Joseph D Vruwink | Registered representative | Sep 2009 (17y) | ||
| Margaret Erin Savage | Registered representative | Oct 2009 (17y) | ||
| Landrum Hazel Henderson | Registered representative | Oct 2009 (17y) | ||
| Christopher Scott Wray | Registered representative | Oct 2009 (17y) | ||
| Jeffrey Kent Trollinger | Registered representative | CFP | Oct 2009 (17y) | |
| Kevin R Duffey | Registered representative | Oct 2009 (17y) | ||
| Thomas Michael Boh | Registered representative | CFP | Nov 2009 (17y) | |
| Prescott Carter Terrell | Registered representative | Dec 2009 (17y) | ||
| William Tayler Johnson | Registered representative | Dec 2009 (17y) | ||
| Brian J Petersdorf | Registered representative | Dec 2009 (17y) | ||
| Shayla Faye Boyland | Registered representative | Jan 2010 (17y) | ||
| Benjamin Lloyd Hoeger | Registered representative | CFP | Jan 2010 (17y) | |
| Donna Elaine Devaney | Registered representative | Jan 2010 (17y) | ||
| Jonathan Edward Thornberry | Registered representative | Jan 2010 (17y) | ||
| Barbara Lynn Griffin | Registered representative | Jan 2010 (17y) | ||
| David Nicholas Laplante | Registered representative | Jan 2010 (17y) | ||
| Jay Dee Godfrey | Registered representative | Jan 2010 (17y) | ||
| John Brian Mccallum | Registered representative | Jan 2010 (17y) | ||
| Lisa Marie Arrigo Howland | Registered representative | Jan 2010 (17y) | ||
| William Arnold Corbett | Registered representative | Jan 2010 (17y) | ||
| John Wimbish Craddock | Registered representative | Jan 2010 (17y) | ||
| Paul Thornhill Mcwane | Registered representative | Jan 2010 (17y) | ||
| Tommy Marcus Collins | Registered representative | Jan 2010 (17y) | ||
| Daniel Bruce Paulson | Registered representative | Jan 2010 (17y) | ||
| Edward William Schindler | Registered representative | Jan 2010 (17y) | ||
| Eric Adrian Peters | Registered representative | Jan 2010 (17y) | ||
| Gary Lee Werkman | Registered representative | Jan 2010 (17y) | ||
| Joell Marie Thompson | Registered representative | Jan 2010 (17y) | ||
| Michael Joseph Welch | Registered representative | Jan 2010 (17y) | ||
| Michael Scott Thorstad | Registered representative | Jan 2010 (17y) | ||
| Paul Randolph Solberg | Registered representative | Jan 2010 (17y) | ||
| Tracy Brownie Raz | Registered representative | Jan 2010 (17y) | ||
| Joseph William Kraft | Registered representative | Jan 2010 (17y) | ||
| Michael P Roethler | Registered representative | Jan 2010 (17y) | ||
| Jeremy C Morse | Registered representative | Jan 2010 (17y) | ||
| Randall Patrick North | Registered representative | Jan 2010 (17y) | ||
| Stephen B Koch | Registered representative | Jan 2010 (17y) | ||
| Gary Daniel Love | Registered representative | CFP | Jan 2010 (17y) | |
| Robert Joseph Mccarron | Registered representative | Jan 2010 (17y) | ||
| Scott Alan Johnson | Registered representative | CFP | Jan 2010 (17y) | |
| David Robert Appleford | Registered representative | Feb 2010 (17y) | ||
| Robert Perry Peel | Registered representative | Feb 2010 (17y) | ||
| Tupper Gordon Macdowell | Registered representative | Feb 2010 (17y) | ||
| Cory N. Curry | Registered representative | CFP | Feb 2010 (16y) | |
| Alan Ray Redell | Registered representative | Mar 2010 (16y) | ||
| David John Gebhardt | Registered representative | Mar 2010 (16y) | ||
| Michael Ray Wagner | Registered representative | Apr 2010 (16y) | ||
| Mary Frances Hoppa | Registered representative | Apr 2010 (16y) | ||
| John Walker Floyd | Registered representative | May 2010 (16y) | ||
| Dan Thomas Gilipsky | Registered representative | May 2010 (16y) | ||
| Staci Hughes Parker | Registered representative | Jun 2010 (16y) | ||
| Anne Clare Gutierrez | Registered representative | Jun 2010 (16y) | ||
| Jolene Kay Miles | Registered representative | Jun 2010 (16y) | ||
| Rick Lane Hansen | Registered representative | Jun 2010 (16y) | ||
| Jordan Thomas Masnica | Registered representative | Jul 2010 (16y) | ||
| Harlan Roy Van Vooren | Registered representative | Jul 2010 (16y) | ||
| Patrick Richard Mcguire | Registered representative | Jul 2010 (16y) | ||
| Paul Richard Robinson | Registered representative | Aug 2010 (16y) | ||
| Peter L Philpott | Registered representative | Aug 2010 (16y) | ||
| Susan M Fettig | Registered representative | Aug 2010 (16y) | ||
| William Paul Davis | Registered representative | Aug 2010 (16y) | ||
| Roger Lee Metz | Registered representative | Aug 2010 (16y) | ||
| Charles Wilson Knowlton | Registered representative | Aug 2010 (16y) | ||
| Nicholas Louis Verano | Registered representative | Aug 2010 (16y) | ||
| Craig Olson Nicholson | Registered representative | Sep 2010 (16y) | ||
| Matthew Daniel Deering | Registered representative | Sep 2010 (16y) | ||
| Daniel Paul Koth | Registered representative | Sep 2010 (16y) | ||
| John Charles Frisbie | Registered representative | Sep 2010 (16y) | ||
| Douglas Kenneth Macfarlane | Registered representative | Sep 2010 (16y) | ||
| Matthew Thomas Mazurek | Registered representative | Sep 2010 (16y) | ||
| Alison Rowe Iglehart | Registered representative | Sep 2010 (16y) | ||
| Christopher Shane Leidel | Registered representative | Oct 2010 (16y) | ||
| Michael Thomas Seekell | Registered representative | Oct 2010 (16y) | ||
| April Jane Wiltzer Spohn | Registered representative | Oct 2010 (16y) | ||
| Christine Mae Popp | Registered representative | Oct 2010 (16y) | ||
| Kirsten Treadway Terpstra | Registered representative | Oct 2010 (16y) | ||
| Thomas Edward Schlender | Registered representative | Oct 2010 (16y) | ||
| Joshua Glenn Mills | Registered representative | Oct 2010 (16y) | ||
| Kurt Jeffrey Droppers | Registered representative | Oct 2010 (16y) | ||
| Michael Kenneth Pniewski | Registered representative | Oct 2010 (16y) | ||
| John Richard Bickel | Registered representative | Nov 2010 (16y) | ||
| Matthew W Pruyn | Registered representative | Nov 2010 (16y) | ||
| Vinton Bill Persons | Registered representative | Nov 2010 (16y) | ||
| Gail Marie Bivens Rose | Registered representative | Nov 2010 (16y) | ||
| Joseph Robert Maye | Registered representative | Dec 2010 (16y) | ||
| Carolyn Sperry Leith | Registered representative | Dec 2010 (16y) | ||
| Mara Beth Williams | Registered representative | Dec 2010 (16y) | ||
| Scott Matthew Grenier | Registered representative | CFP Chartered Financial Consultant | Dec 2010 (16y) | |
| Jamie Lynn Nix | Registered representative | Dec 2010 (16y) | ||
| Diane Marie Vertin | Registered representative | Dec 2010 (16y) | ||
| Mark Alan Gustin | Registered representative | Dec 2010 (16y) | ||
| Gray Allan Coulton | Registered representative | Jan 2011 (16y) | ||
| John Peter Richards | Registered representative | Jan 2011 (16y) | ||
| Linda Lee Davis | Registered representative | Jan 2011 (16y) | ||
| Scott J Willkomm | Registered representative | Jan 2011 (16y) | ||
| Kathleen M Cobb | Registered representative | Jan 2011 (16y) | ||
| Alison Parker Daley | Registered representative | Feb 2011 (15y) | ||
| Scott John Hanson | Registered representative | Feb 2011 (15y) | ||
| John Alexander Warren | Registered representative | Feb 2011 (15y) | ||
| James Andrew Perryman | Registered representative | Feb 2011 (15y) | ||
| Carly Ann Ellis | Registered representative | CFP | Feb 2011 (15y) | |
| Daniel J Holzrichter | Registered representative | Feb 2011 (15y) | ||
| Jay Edward Morrison | Registered representative | Feb 2011 (15y) | ||
| William Clay Ryan | Registered representative | CFP | Mar 2011 (15y) | |
| Jeffrey David Walsh | Registered representative | Mar 2011 (15y) | ||
| James Robert Meixner | Registered representative | Mar 2011 (15y) | ||
| Devon P Norwood | Registered representative | Mar 2011 (15y) | ||
| Robert Lindsay Mcmillan Ii | Registered representative | Apr 2011 (15y) | ||
| Lesley Marie Augustine | Registered representative | Apr 2011 (15y) | ||
| David Michael Adams | Registered representative | Apr 2011 (15y) | ||
| Daniel Edward Buxton | Registered representative | Apr 2011 (15y) | ||
| Gavin Trent Amato | Registered representative | Apr 2011 (15y) | ||
| Jessica A Boland | Registered representative | Apr 2011 (15y) | ||
| Jacquelyn Lee Niedermeier | Registered representative | May 2011 (15y) | ||
| James William Ritchay | Registered representative | May 2011 (15y) | ||
| Johnathan Lloyd Fitzgibbons | Registered representative | May 2011 (15y) | ||
| Nathan Paul Samek | Registered representative | CFP | May 2011 (15y) | |
| John William Diemer | Registered representative | CFP | May 2011 (15y) | |
| William Joseph Perry | Registered representative | Jun 2011 (15y) | ||
| David Howard Schwarz | Registered representative | Jun 2011 (15y) | ||
| Matthew Duane Bruner | Registered representative | Jun 2011 (15y) | ||
| Noelle Jeannette Cartier | Registered representative | Jul 2011 (15y) | ||
| Catina Marie Koenig | Registered representative | Jul 2011 (15y) | ||
| Jon Jeffrey Pedersen | Registered representative | Jul 2011 (15y) | ||
| Carson Robert Jones | Registered representative | Jul 2011 (15y) | ||
| Bradley Richard Maclachlan | Registered representative | Jul 2011 (15y) | ||
| Nondo Dominic Capuano | Registered representative | CFP | Aug 2011 (15y) | |
| Timothy Marcus Butler | Registered representative | Aug 2011 (15y) | ||
| Alex S Wheeler | Registered representative | Aug 2011 (15y) | ||
| Melissa Renee Clayville | Registered representative | Aug 2011 (15y) | ||
| Jodi Wheeler | Registered representative | Sep 2011 (15y) | ||
| Jeffrey Matthew Tibbs | Registered representative | Sep 2011 (15y) | ||
| Tracy Lynn Bieck | Registered representative | Sep 2011 (15y) | ||
| Chad Edward Lewis | Registered representative | Sep 2011 (15y) | ||
| Drayton Landrum Henderson | Registered representative | Sep 2011 (15y) | ||
| Megan Lynn Mitby | Registered representative | Sep 2011 (15y) | ||
| Craig Allen Replogle | Registered representative | CFP | Sep 2011 (15y) | |
| Peter John Gaffaney | Registered representative | Sep 2011 (15y) | ||
| Dianna Jeanne Davis | Registered representative | Sep 2011 (15y) | ||
| Alexander Scott Cushner | Registered representative | Sep 2011 (15y) | ||
| David L Caillier | Registered representative | Oct 2011 (15y) | ||
| Nancy J Miller | Registered representative | Oct 2011 (15y) | ||
| Thomas J Duffey | Registered representative | Oct 2011 (15y) | ||
| Harrison Nathaniel Greene | Registered representative | Oct 2011 (15y) | ||
| George Vincent Gamez | Registered representative | Nov 2011 (15y) | ||
| Jennifer Ann Ewert | Registered representative | Nov 2011 (15y) | ||
| Preston L Daniells | Registered representative | Nov 2011 (15y) | ||
| Bradley Allen O'keef | Registered representative | Nov 2011 (15y) | ||
| Brian Edward Herald | Registered representative | Dec 2011 (15y) | ||
| Leah Marie Davis | Registered representative | Dec 2011 (15y) | ||
| Neil Edward Grant | Registered representative | CFP | Dec 2011 (15y) | |
| Michael Anderson Coombe | Registered representative | CFA | Jan 2012 (15y) | |
| William Norris | Registered representative | CFP | Jan 2012 (15y) | |
| Shawn Brett Smith | Registered representative | CFP | Jan 2012 (15y) | |
| Cassandra Lee Meyers | Registered representative | CFP | Jan 2012 (15y) | |
| Scott Loos Woods | Registered representative | Jan 2012 (15y) | ||
| Brian Thomas Robinson | Registered representative | Feb 2012 (14y) | ||
| Heather Marie Summers | Registered representative | Feb 2012 (14y) | ||
| Mark T Stevanovic | Registered representative | Feb 2012 (14y) | ||
| Michelle Lee Buestrin | Registered representative | Feb 2012 (14y) | ||
| Gayle N Logan | Registered representative | Mar 2012 (14y) | ||
| Beckie Marie Clark | Registered representative | Mar 2012 (14y) | ||
| Jane Elizabeth Mcginty | Registered representative | Mar 2012 (14y) | ||
| Jayson Coleman Bales | Registered representative | Mar 2012 (14y) | ||
| Paul Douglas Buskey | Registered representative | Mar 2012 (14y) | ||
| Charles A Alario | Registered representative | Mar 2012 (14y) | ||
| Lynn Jean Crapo | Registered representative | Mar 2012 (14y) | ||
| Charles Michael Fortenberry | Registered representative | Mar 2012 (14y) | ||
| John Hamilton Allman | Registered representative | Mar 2012 (14y) | ||
| Meredith Meade Woods | Registered representative | Mar 2012 (14y) | ||
| Lorri Anne Cisler | Registered representative | Mar 2012 (14y) | ||
| Brian Michael Wielgus | Registered representative | Mar 2012 (14y) | ||
| Charles Victor Fry | Registered representative | Apr 2012 (14y) | ||
| Molly Lucille Urbanek | Registered representative | May 2012 (14y) | ||
| Matthew David Fields | Registered representative | May 2012 (14y) | ||
| Alicia Michelle Stuckert | Registered representative | May 2012 (14y) | ||
| Patricia Michelle Estopinal | Registered representative | May 2012 (14y) | ||
| Paula M Jensen | Registered representative | May 2012 (14y) | ||
| Angela Kristen Stenklyft | Registered representative | May 2012 (14y) | ||
| Robert Victor Filetti | Registered representative | May 2012 (14y) | ||
| Angela Jean Johnson | Registered representative | Jun 2012 (14y) | ||
| Nicolle Wright Hudachek | Registered representative | Jun 2012 (14y) | ||
| Russell Neal Davidson | Registered representative | Jun 2012 (14y) | ||
| Joseph D Garwood | Registered representative | Jul 2012 (14y) | ||
| Timothy S Orth | Registered representative | Jul 2012 (14y) | ||
| Joseph Thomas Cronin | Registered representative | Aug 2012 (14y) | ||
| Karen Marie Colavecchio | Registered representative | Sep 2012 (14y) | ||
| R Parker Griffith | Registered representative | Sep 2012 (14y) | ||
| Sean Mica Knott | Registered representative | Oct 2012 (14y) | ||
| Wendy Joy Wolfe | Registered representative | Nov 2012 (14y) | ||
| Andrew Merrill Epstein | Registered representative | Nov 2012 (14y) | ||
| Ellen Christine Galezewski | Registered representative | Nov 2012 (14y) | ||
| William Leo Schaffler | Registered representative | Nov 2012 (14y) | ||
| Baron Crawford Becker | Registered representative | Nov 2012 (14y) | ||
| Kim Iris Fickett | Registered representative | Nov 2012 (14y) | ||
| Angela Holder Beckley | Registered representative | Dec 2012 (14y) | ||
| Timothy Robert Campion | Registered representative | Dec 2012 (14y) | ||
| Lisa Marie Duerr | Registered representative | Dec 2012 (14y) | ||
| Tina M Hollar | Registered representative | Dec 2012 (14y) | ||
| Kelly Marie Heppe | Registered representative | CFP | Jan 2013 (14y) | |
| Albert James Caprara | Registered representative | Feb 2013 (13y) | ||
| Christopher Otto Hain | Registered representative | CFP | Feb 2013 (13y) | |
| Andrew J O'connell | Registered representative | CFA | Feb 2013 (13y) | |
| Amy Chapman Wyatt | Registered representative | Feb 2013 (13y) | ||
| John Benjamin Lipe | Registered representative | Feb 2013 (13y) | ||
| Joseph Alexander Lipe | Registered representative | Feb 2013 (13y) | ||
| Charles E. Schuman | Registered representative | Feb 2013 (13y) | ||
| Patrick J Mccusker | Registered representative | Feb 2013 (13y) | ||
| Kevin Dean Phillips | Registered representative | CFP | Mar 2013 (13y) | |
| Michael William Milligan | Registered representative | Mar 2013 (13y) | ||
| Christopher Wayne Peters | Registered representative | Apr 2013 (13y) | ||
| Rebecca Binder Moreland | Registered representative | CFP | Apr 2013 (13y) | |
| John Gillette Burns | Registered representative | CFP | Apr 2013 (13y) | |
| Matthew J Leatherwood | Registered representative | CFP | Apr 2013 (13y) | |
| Richard Glen Pfeil | Registered representative | CFP | Apr 2013 (13y) | |
| Gregory S Pinsky | Registered representative | Apr 2013 (13y) | ||
| Alice Mary Ambrowiak | Registered representative | Apr 2013 (13y) | ||
| Andrew Arthur Atkinson | Registered representative | Apr 2013 (13y) | ||
| Carol Louise Slater | Registered representative | Apr 2013 (13y) | ||
| Malcolm Henry Liles | Registered representative | May 2013 (13y) | ||
| Sherri Alane Overton | Registered representative | May 2013 (13y) | ||
| William N Liles | Registered representative | May 2013 (13y) | ||
| Paul J Donnelly | Registered representative | May 2013 (13y) | ||
| Caile M Wilson | Registered representative | May 2013 (13y) | ||
| Cortlandt Theodore Howell | Registered representative | May 2013 (13y) | ||
| Paul Andrew Robinson | Registered representative | May 2013 (13y) | ||
| William Filippo Ticali | Registered representative | Jun 2013 (13y) | ||
| Nicholas Cameron Boi | Registered representative | Jul 2013 (13y) | ||
| Deena Luanne Bryan | Registered representative | Jul 2013 (13y) | ||
| Darrell Joseph Pesek | Registered representative | CFP | Jul 2013 (13y) | |
| Gregory Thomas Evans | Registered representative | Jul 2013 (13y) | ||
| Jerred Ray Crumley | Registered representative | CFP | Jul 2013 (13y) | |
| Richard W Ashcroft | Registered representative | CFP | Jul 2013 (13y) | |
| Scott Philip Bartosh | Registered representative | Jul 2013 (13y) | ||
| Stephen Daniel Allain | Registered representative | Jul 2013 (13y) | ||
| John Tillinghast Barnefield | Registered representative | Jul 2013 (13y) | ||
| William Warren Barrow | Registered representative | CFP | Jul 2013 (13y) | |
| James Anthony Johnson | Registered representative | Jul 2013 (13y) | ||
| John Ngoc Huynh | Registered representative | Jul 2013 (13y) | ||
| Eric Richard Andersen | Registered representative | Aug 2013 (13y) | ||
| Richard Wayne Andersen | Registered representative | Aug 2013 (13y) | ||
| Michelle Dawn Chester | Registered representative | Sep 2013 (13y) | ||
| John Anthony Steel | Registered representative | CFP | Sep 2013 (13y) | |
| Teresa Ann Mattson | Registered representative | Sep 2013 (13y) | ||
| Kathleen Marie Lamke | Registered representative | CFP | Oct 2013 (13y) | |
| Anthony Steven Herbenson | Registered representative | Oct 2013 (13y) | ||
| David William Neill | Registered representative | Oct 2013 (13y) | ||
| Scott Marshall Mabee | Registered representative | Oct 2013 (13y) | ||
| Emily Rose Phillips | Registered representative | Nov 2013 (13y) | ||
| Brandon Anthony Navara | Registered representative | Nov 2013 (13y) | ||
| Anthony C Templin | Registered representative | Nov 2013 (13y) | ||
| Alfred John Hassinger | Registered representative | Nov 2013 (13y) | ||
| Gilbert Joseph Cervelli | Registered representative | Dec 2013 (13y) | ||
| Kevin J Cross | Registered representative | Dec 2013 (13y) | ||
| Jeffrey Earl Simmons | Registered representative | CFA | Dec 2013 (13y) | |
| Hillery B Emms | Registered representative | Dec 2013 (13y) | ||
| Jennifer S Roettgers | Registered representative | Dec 2013 (13y) | ||
| John Robert Roesner | Registered representative | Dec 2013 (13y) | ||
| Suey Shek Wong | Registered representative | Dec 2013 (13y) | ||
| Gary Allen Scott | Registered representative | Jan 2014 (13y) | ||
| Heidi Lynn Schneider | Registered representative | Jan 2014 (13y) | ||
| Gretchen Kay Fretheim | Registered representative | Jan 2014 (13y) | ||
| Peter Bellson Levy | Registered representative | Jan 2014 (13y) | ||
| Amy Jo Maurer | Registered representative | Jan 2014 (13y) | ||
| Daniel John Phillips | Registered representative | Jan 2014 (13y) | ||
| Frank Scot Bevsek | Registered representative | Jan 2014 (13y) | ||
| Lynn Louise Kittelson | Registered representative | Jan 2014 (13y) | ||
| Jacob D Layden | Registered representative | Feb 2014 (12y) | ||
| Michael Hampton Henning | Registered representative | Feb 2014 (12y) | ||
| Dale Connor Wroblewski | Registered representative | Chartered Financial Consultant | Feb 2014 (12y) | |
| Lawrence Ira Magid | Registered representative | Feb 2014 (12y) | ||
| Michael John Thelen | Registered representative | Feb 2014 (12y) | ||
| Victoria Jean Ramirez | Registered representative | Feb 2014 (12y) | ||
| Lauren Elizabeth Vollrath | Registered representative | Apr 2014 (12y) | ||
| Joseph Hugh Mcauley | Registered representative | Apr 2014 (12y) | ||
| David C Knaack | Registered representative | Apr 2014 (12y) | ||
| G Preston Kendall | Registered representative | Apr 2014 (12y) | ||
| David Matthew Connolly | Registered representative | CFA | May 2014 (12y) | |
| Michelle E Cruz | Registered representative | May 2014 (12y) | ||
| Kathryn Blake Carey | Registered representative | May 2014 (12y) | ||
| Stefanie Rebecca Pruden | Registered representative | May 2014 (12y) | ||
| Michael Joseph Gegen | Registered representative | May 2014 (12y) | ||
| Daniel Wayne Peters | Registered representative | May 2014 (12y) | ||
| Tara Lynn Pankow | Registered representative | May 2014 (12y) | ||
| Jordan R Marshall | Registered representative | Jun 2014 (12y) | ||
| Kristan D'lynn Seale | Registered representative | Jul 2014 (12y) | ||
| Giovanna Lynn Swisher | Registered representative | CFP | Jul 2014 (12y) | |
| Julie M Starchevich | Registered representative | Jul 2014 (12y) | ||
| Gary Lee Foose | Registered representative | Jul 2014 (12y) | ||
| Andrew Michael Whaley | Registered representative | Jul 2014 (12y) | ||
| Andrew Franklin Ladd | Registered representative | Aug 2014 (12y) | ||
| Nicholas Eugene Wallace | Registered representative | Aug 2014 (12y) | ||
| Richard Joseph Braun | Registered representative | CFP Chartered Financial Consultant | Sep 2014 (12y) | |
| Christine Randa Congdon | Registered representative | Sep 2014 (12y) | ||
| Christine Marie Wiskochil | Registered representative | Sep 2014 (12y) | ||
| Christopher Alan Hisle | Registered representative | Sep 2014 (12y) | ||
| Michael Jay Marien | Registered representative | Sep 2014 (12y) | ||
| Amanda Elizabeth Ignasiak | Registered representative | Oct 2014 (12y) | ||
| Patrick William Brown | Registered representative | Oct 2014 (12y) | ||
| Karver S Bolton | Registered representative | Oct 2014 (12y) | ||
| Daniel S. Schnoll | Registered representative | Oct 2014 (12y) | ||
| Stanley Mark Reeg | Registered representative | Oct 2014 (12y) | ||
| Todd Michael Reeg | Registered representative | CFP | Oct 2014 (12y) | |
| David A Savides | Registered representative | Oct 2014 (12y) | ||
| Alyssa Marie Dahms | Registered representative | Oct 2014 (12y) | ||
| Adam Thomas Hamilton | Registered representative | Nov 2014 (12y) | ||
| Andrew C Roed | Registered representative | Nov 2014 (12y) | ||
| Andrew Raymond Miller | Registered representative | Nov 2014 (12y) | ||
| Becky Anne Fosness Scott | Registered representative | Nov 2014 (12y) | ||
| Bradley Merrill Pietila | Registered representative | Nov 2014 (12y) | ||
| Brian Douglas Westlund | Registered representative | Nov 2014 (12y) | ||
| Brian John Orrico | Registered representative | Nov 2014 (12y) | ||
| Cameron Brooks Ragen | Registered representative | Nov 2014 (12y) | ||
| Carl E Banks | Registered representative | Nov 2014 (12y) | ||
| Carly Marie Mestaz | Registered representative | Nov 2014 (12y) | ||
| Charles Kenneth Hanson | Registered representative | Nov 2014 (12y) | ||
| Dale Duane Flick | Registered representative | CFP | Nov 2014 (12y) | |
| Daniel Joseph Sullivan | Registered representative | Nov 2014 (12y) | ||
| Debby Darlyne Johanson | Registered representative | Nov 2014 (12y) | ||
| Donald Andrew Westlund | Registered representative | Nov 2014 (12y) | ||
| Donald Robert Shick | Registered representative | Nov 2014 (12y) | ||
| Elizabeth Ladd Urner | Registered representative | Nov 2014 (12y) | ||
| George William Scherzer | Registered representative | Nov 2014 (12y) | ||
| Heather Hewson Rock | Registered representative | Nov 2014 (12y) | ||
| James Patrick Harkins | Registered representative | Nov 2014 (12y) | ||
| James Woodbury Perkins | Registered representative | Nov 2014 (12y) | ||
| Jefferson Ervin Bruner | Registered representative | Nov 2014 (12y) | ||
| Jeffrey Lewis Stewart | Registered representative | Nov 2014 (12y) | ||
| Jennifer Lynn Robb | Registered representative | Nov 2014 (12y) | ||
| Jennifer Renee Borgen | Registered representative | Nov 2014 (12y) | ||
| John David Allen | Registered representative | Nov 2014 (12y) | ||
| John Douglas Warren | Registered representative | Nov 2014 (12y) | ||
| John Russell Tennant | Registered representative | Nov 2014 (12y) | ||
| John Stearns Ramseyer | Registered representative | Nov 2014 (12y) | ||
| Joseph T Lindquist | Registered representative | Nov 2014 (12y) | ||
| Joshua Dean Gray | Registered representative | Nov 2014 (12y) | ||
| Karen Marie Davis | Registered representative | Nov 2014 (12y) | ||
| Kimberly Gene Swan Scarlett | Registered representative | Nov 2014 (12y) | ||
| Kirsten Marie Kunkel | Registered representative | Nov 2014 (12y) | ||
| Lynn Marie Howard | Registered representative | Nov 2014 (12y) | ||
| Marisa Louise Walker | Registered representative | CFP | Nov 2014 (12y) | |
| Marshelle Mclean Doran | Registered representative | Nov 2014 (12y) | ||
| Molly Susan Martinez | Registered representative | Nov 2014 (12y) | ||
| Nicholas William Slater | Registered representative | Nov 2014 (12y) | ||
| Niki Dimitrios Walters | Registered representative | Nov 2014 (12y) | ||
| Padraic Todd Devine | Registered representative | Nov 2014 (12y) | ||
| Patrice Lil Rue | Registered representative | Nov 2014 (12y) | ||
| Perry Edward Atkins | Registered representative | Nov 2014 (12y) | ||
| Phillip J Banta | Registered representative | Nov 2014 (12y) | ||
| Rick Charles Fuller | Registered representative | Nov 2014 (12y) | ||
| Robert Scott Graue | Registered representative | Nov 2014 (12y) | ||
| Rodney Wayne Carter | Registered representative | Nov 2014 (12y) | ||
| Sarah Slater Power | Registered representative | Nov 2014 (12y) | ||
| Scott Michael Bullock | Registered representative | Nov 2014 (12y) | ||
| Shaun Michael Dennehy | Registered representative | Nov 2014 (12y) | ||
| Shelley Rae Pearce | Registered representative | Nov 2014 (12y) | ||
| Sissi Diem Ai Sondgroth | Registered representative | Nov 2014 (12y) | ||
| Stelina Cynthia Simpson Roehr | Registered representative | Nov 2014 (12y) | ||
| Susanna Magdalena Sackett | Registered representative | Nov 2014 (12y) | ||
| Tami Rena Bryan | Registered representative | Nov 2014 (12y) | ||
| Teresa Lynn Dahl | Registered representative | Nov 2014 (12y) | ||
| Teri Deanne Moomaw | Registered representative | Nov 2014 (12y) | ||
| William Henry Strong | Registered representative | Nov 2014 (12y) | ||
| William Scott Macgeorge | Registered representative | Nov 2014 (12y) | ||
| John Joseph Zielinski | Registered representative | Nov 2014 (12y) | ||
| Jenifer Lynn Bright | Registered representative | Nov 2014 (12y) | ||
| Sulay Rahul Ringwala | Registered representative | Nov 2014 (12y) | ||
| Satvinder K Gill | Registered representative | Dec 2014 (12y) | ||
| Samantha Jo Hengen | Registered representative | CFP | Dec 2014 (12y) | |
| Jacquilyn Lea Egholm | Registered representative | Dec 2014 (12y) | ||
| Beau Wofford Burns | Registered representative | Dec 2014 (12y) | ||
| Eric Olaf Froistad | Registered representative | Dec 2014 (12y) | ||
| John Morris Ye | Registered representative | Dec 2014 (12y) | ||
| Matthew Philip Rickaway | Registered representative | Jan 2015 (12y) | ||
| Paul S Heitzkey | Registered representative | Jan 2015 (12y) | ||
| Janice Michelle Dunn | Registered representative | CFP | Jan 2015 (12y) | |
| Nathan Travis Cook | Registered representative | Feb 2015 (11y) | ||
| Jennifer Erin Droppelman | Registered representative | Feb 2015 (11y) | ||
| Zachary Allan Woolever | Registered representative | Feb 2015 (11y) | ||
| Julie Marie Tapke | Registered representative | CFP | Mar 2015 (11y) | |
| Barbara Ann Woolhandler | Registered representative | Mar 2015 (11y) | ||
| Rene Gilmore Ewing | Registered representative | Mar 2015 (11y) | ||
| Richard Herman Tapke | Registered representative | Mar 2015 (11y) | ||
| April Angeli Leffingwell | Registered representative | Mar 2015 (11y) | ||
| Megan Stephanie Coronado | Registered representative | Mar 2015 (11y) | ||
| Justin Richard Dammel | Registered representative | Mar 2015 (11y) | ||
| Madelynn Rose Alejos | Registered representative | Mar 2015 (11y) | ||
| Samantha Rose Bane | Registered representative | Mar 2015 (11y) | ||
| Jennifer Lynn Le Clair Bemis | Registered representative | Mar 2015 (11y) | ||
| Kristin M Smith | Registered representative | Apr 2015 (11y) | ||
| David Robert Manke | Registered representative | Apr 2015 (11y) | ||
| Emily Finch Johnson | Registered representative | Apr 2015 (11y) | ||
| Bradley Lane Jones | Registered representative | Apr 2015 (11y) | ||
| Andrew Blom Malone | Registered representative | Apr 2015 (11y) | ||
| Chris James Schliepp | Registered representative | Apr 2015 (11y) | ||
| Drew Barrett Armao | Registered representative | Apr 2015 (11y) | ||
| Colleen Margaret Kusy | Registered representative | May 2015 (11y) | ||
| Eric Rejean Pronovost | Registered representative | May 2015 (11y) | ||
| Michael Thomas Schroeder | Registered representative | May 2015 (11y) | ||
| Kyle R Shick | Registered representative | Jun 2015 (11y) | ||
| Casi Jones | Registered representative | CFP | Jun 2015 (11y) | |
| Brian T. Docking | Registered representative | CFP | Jun 2015 (11y) | |
| Brooklyn Dea Young | Registered representative | Jun 2015 (11y) | ||
| Charity Renee Davis Lowe | Registered representative | Jun 2015 (11y) | ||
| Janice A Bonine | Registered representative | Jun 2015 (11y) | ||
| Jill S Docking | Registered representative | Jun 2015 (11y) | ||
| Kevin Ray Mcwhorter | Registered representative | Jun 2015 (11y) | ||
| Phillip Daniel Garrison | Registered representative | Jun 2015 (11y) | ||
| Donald Lee Barry | Registered representative | Jun 2015 (11y) | ||
| Colin Patrick Kavanaugh | Registered representative | Jul 2015 (11y) | ||
| John Edward Dwyer | Registered representative | Jul 2015 (11y) | ||
| Kristin Elizabeth Hillsley | Registered representative | Aug 2015 (11y) | ||
| Ethan William Waterman | Registered representative | CFP | Aug 2015 (11y) | |
| Heather Marie Snow Winslow | Registered representative | Aug 2015 (11y) | ||
| Matthew Jacob Shapiro | Registered representative | Aug 2015 (11y) | ||
| Alexander G Ritter | Registered representative | Aug 2015 (11y) | ||
| George Allen Galewski | Registered representative | Sep 2015 (11y) | ||
| Jason Paul Stubbings | Registered representative | Sep 2015 (11y) | ||
| James Edward Bitter | Registered representative | Sep 2015 (11y) | ||
| Lewis Robert Zwiebel | Registered representative | Sep 2015 (11y) | ||
| Kathryn Nusbaum | Registered representative | CFP | Sep 2015 (11y) | |
| Mary Ann Laudicina | Registered representative | Sep 2015 (11y) | ||
| Justin Charles Pogodzinski | Registered representative | Sep 2015 (11y) | ||
| Karley Marie Rouse | Registered representative | CFP | Sep 2015 (11y) | |
| Maria Celia Acriche Recto | Registered representative | Oct 2015 (11y) | ||
| Benjamin Scott Falk | Registered representative | Oct 2015 (11y) | ||
| Brian Joseph Nethery | Registered representative | Oct 2015 (11y) | ||
| Tiffany Roberts Kowieski | Registered representative | Oct 2015 (11y) | ||
| Joseph Daniel Krueger | Registered representative | Oct 2015 (11y) | ||
| Martin Joseph Watts | Registered representative | Oct 2015 (11y) | ||
| Samantha Lynn Sparks | Registered representative | Oct 2015 (11y) | ||
| Sarah C Cuddy | Registered representative | Oct 2015 (11y) | ||
| Nicholas John Groff | Registered representative | Oct 2015 (11y) | ||
| Sarah Marie Reif Beck | Registered representative | Oct 2015 (11y) | ||
| Kimberly Ann Giannone | Registered representative | Nov 2015 (11y) | ||
| Theresa Lee Guzman | Registered representative | Nov 2015 (11y) | ||
| Todd Thomas Nethery | Registered representative | Nov 2015 (11y) | ||
| David Brenny Fitzpatrick | Registered representative | Nov 2015 (11y) | ||
| Scott Lane Schwartz | Registered representative | Nov 2015 (11y) | ||
| Max Stanley Mann | Registered representative | CFA | Nov 2015 (11y) | |
| Gualtiero Noto | Registered representative | Nov 2015 (11y) | ||
| Brent Alexander Childress | Registered representative | Nov 2015 (11y) | ||
| Michael R Stevens | Registered representative | Dec 2015 (11y) | ||
| Ashley Catherine Barr | Registered representative | Dec 2015 (11y) | ||
| Jeffery Scott Hagen | Registered representative | Dec 2015 (11y) | ||
| Joseph James Czechowicz | Registered representative | Dec 2015 (11y) | ||
| Andrew J. Schlafer | Registered representative | CFP | Dec 2015 (11y) | |
| Tyler John Adams | Registered representative | Dec 2015 (11y) | ||
| Eric Monroe Nelson | Registered representative | Jan 2016 (11y) | ||
| Chris Alan Trumble | Registered representative | Jan 2016 (11y) | ||
| Andrew Wayne Ballard | Registered representative | Feb 2016 (11y) | ||
| Michael Harold Possley | Registered representative | Feb 2016 (10y) | ||
| Ivana Marich | Registered representative | Feb 2016 (10y) | ||
| Alex Martin Bigelow | Registered representative | Mar 2016 (10y) | ||
| Brenda K Kleiber | Registered representative | Mar 2016 (10y) | ||
| Sharon Beth Zeidler | Registered representative | Mar 2016 (10y) | ||
| Katherine Arleen Costigan | Registered representative | Mar 2016 (10y) | ||
| Benjamin D Klenke | Registered representative | Apr 2016 (10y) | ||
| Matthew Lindsay Trontel | Registered representative | Apr 2016 (10y) | ||
| Sean Michael Dempsey | Registered representative | Apr 2016 (10y) | ||
| Michael Gregory Gegen | Registered representative | Apr 2016 (10y) | ||
| Deborah M Barnes | Registered representative | Apr 2016 (10y) | ||
| David Warren Lubchenco | Registered representative | Apr 2016 (10y) | ||
| Jeffrey H Collins | Registered representative | Apr 2016 (10y) | ||
| Admir S Lugonjic | Registered representative | Apr 2016 (10y) | ||
| Christopher Steven Brock | Registered representative | Apr 2016 (10y) | ||
| Daniel R Mueller | Registered representative | May 2016 (10y) | ||
| Steven Glen Kornetzke | Registered representative | May 2016 (10y) | ||
| Abby Quock | Registered representative | May 2016 (10y) | ||
| Gregory Moore Ashcroft | Registered representative | May 2016 (10y) | ||
| Nick Anthony Costello | Registered representative | May 2016 (10y) | ||
| Mark Philip Purcell | Registered representative | Jun 2016 (10y) | ||
| Kirsten M Dickinson | Registered representative | CFP | Jun 2016 (10y) | |
| Kari A Drascic | Registered representative | Jun 2016 (10y) | ||
| Cory Philip Rognstad | Registered representative | CFP | Jun 2016 (10y) | |
| Anthony J Valente | Registered representative | Jun 2016 (10y) | ||
| Christopher Duane Medley | Registered representative | Jun 2016 (10y) | ||
| Sumana Montri Sarkar | Registered representative | Jul 2016 (10y) | ||
| Nora Andersen Sillerud | Registered representative | Jul 2016 (10y) | ||
| Vicky Nichole Labuguen | Registered representative | Jul 2016 (10y) | ||
| Lauren Marin Shaughnessy | Registered representative | Aug 2016 (10y) | ||
| Timothy Hale Ganahl | Registered representative | Aug 2016 (10y) | ||
| Brittany T Boyle | Registered representative | Sep 2016 (10y) | ||
| Mary Catherine Christianson | Registered representative | Sep 2016 (10y) | ||
| Brett Dawsey | Registered representative | Sep 2016 (10y) | ||
| Erin Stanek | Registered representative | Oct 2016 (10y) | ||
| Cortney Marie Cook | Registered representative | Oct 2016 (10y) | ||
| Brittney May Schlicker | Registered representative | CFP | Oct 2016 (10y) | |
| Daniel Patrick Corbett | Registered representative | Oct 2016 (10y) | ||
| Deborah Margaret Zeller | Registered representative | Oct 2016 (10y) | ||
| Jeanna Marie Woods | Registered representative | Oct 2016 (10y) | ||
| Thomas Naleid | Registered representative | Oct 2016 (10y) | ||
| Amanda M Ridgway | Registered representative | CFP | Oct 2016 (10y) | |
| Christian Thomas Clinton | Registered representative | CFP | Oct 2016 (10y) | |
| Jena Burrows | Registered representative | Oct 2016 (10y) | ||
| Whitney E Goldstein | Registered representative | Oct 2016 (10y) | ||
| William Francis Johnson | Registered representative | Oct 2016 (10y) | ||
| Pamela J Kiltau | Registered representative | Oct 2016 (10y) | ||
| Alicja Lemieux | Registered representative | Oct 2016 (10y) | ||
| John N Stscherban | Registered representative | Oct 2016 (10y) | ||
| Sally Lucinda Falci | Registered representative | Nov 2016 (10y) | ||
| Kurt Eugene Kobes | Registered representative | Nov 2016 (10y) | ||
| Elizabeth Kathryn Weinkauf | Registered representative | Nov 2016 (10y) | ||
| Stuart John Vander Velde | Registered representative | Nov 2016 (10y) | ||
| Michael R Kendzicky | Registered representative | Nov 2016 (10y) | ||
| Thomas Stephenson Oconnor | Registered representative | Nov 2016 (10y) | ||
| Olivia Murphy Kaplan | Registered representative | Nov 2016 (10y) | ||
| Tammy Michelle Brouwer | Registered representative | Nov 2016 (10y) | ||
| Andrew Jason Oremland | Registered representative | CFP | Dec 2016 (10y) | |
| Keith Evan Epstein | Registered representative | CFP | Dec 2016 (10y) | |
| Melissa Gail Mills | Registered representative | Dec 2016 (10y) | ||
| Christian J Holman | Registered representative | Dec 2016 (10y) | ||
| Robert Francis Browne | Registered representative | Dec 2016 (10y) | ||
| Brian J. Campeau | Registered representative | CFP | Jan 2017 (10y) | |
| Brett Harlan Hober | Registered representative | Jan 2017 (10y) | ||
| Rachel Lazewski | Registered representative | Jan 2017 (10y) | ||
| Bret Z Dietz | Registered representative | Feb 2017 (9y) | ||
| Larry Edward Bernstein | Registered representative | CFP | Feb 2017 (9y) | |
| Emily A Raychel | Registered representative | Feb 2017 (9y) | ||
| Brandon Charles Carter | Registered representative | CFA | Mar 2017 (9y) | |
| Sarah Brittney Moir | Registered representative | Mar 2017 (9y) | ||
| Michael Gregory Moore | Registered representative | CFP | Mar 2017 (9y) | |
| Scott Melton Birmingham | Registered representative | Mar 2017 (9y) | ||
| Melissa Jo Sanchez | Registered representative | CFP | Mar 2017 (9y) | |
| Rebecca Lynn Schuster | Registered representative | Mar 2017 (9y) | ||
| Amy M Anderl | Registered representative | Mar 2017 (9y) | ||
| Charles C Nemeckay | Registered representative | Mar 2017 (9y) | ||
| Geneva Mac Millan | Registered representative | Mar 2017 (9y) | ||
| Lindsay Michelle Krivosha | Registered representative | Apr 2017 (9y) | ||
| Scott Edward Gettel | Registered representative | Apr 2017 (9y) | ||
| Eric Nathan Jones | Registered representative | Apr 2017 (9y) | ||
| Matthew Robert Ogier | Registered representative | May 2017 (9y) | ||
| Peggy Lynn Jones East | Registered representative | May 2017 (9y) | ||
| Lisa Marie Vliek | Registered representative | May 2017 (9y) | ||
| Jeffrey Brian Tolbert | Registered representative | May 2017 (9y) | ||
| Zachary Lee Arndt | Registered representative | May 2017 (9y) | ||
| Stephanie Michelle Quick | Registered representative | May 2017 (9y) | ||
| Carol Ann Ericson | Registered representative | Jun 2017 (9y) | ||
| John Lawrence Mcallister | Registered representative | Jun 2017 (9y) | ||
| Tyler James Schroeder | Registered representative | Jun 2017 (9y) | ||
| Kimberly Sue Miller | Registered representative | Jun 2017 (9y) | ||
| Linda Ellen Grant Smith | Registered representative | CFP | Jul 2017 (9y) | |
| Donald A Mccunniff | Registered representative | Jul 2017 (9y) | ||
| Kyle Regan Eng | Registered representative | Jul 2017 (9y) | ||
| Jorge H Diaz | Registered representative | Jul 2017 (9y) | ||
| Joel Patrick Guinane | Registered representative | Jul 2017 (9y) | ||
| Michael M Brown | Registered representative | Aug 2017 (9y) | ||
| Adam William White | Registered representative | Aug 2017 (9y) | ||
| Ken Alan Williams | Registered representative | Aug 2017 (9y) | ||
| Macie Rochelle House | Registered representative | Aug 2017 (9y) | ||
| Riley J Gaynor | Registered representative | CFP | Sep 2017 (9y) | |
| Elizabeth A Bergmann | Registered representative | Sep 2017 (9y) | ||
| Thomas Lawrence Marchal | Registered representative | Sep 2017 (9y) | ||
| Matthew C Gizelbach | Registered representative | Sep 2017 (9y) | ||
| Krisi Dimo | Registered representative | Sep 2017 (9y) | ||
| Adam M Alter | Registered representative | Sep 2017 (9y) | ||
| Nancy Mcilwain Stevens | Registered representative | Sep 2017 (9y) | ||
| Michael Raymond Roarke | Registered representative | Sep 2017 (9y) | ||
| Scott William Randolph | Registered representative | Sep 2017 (9y) | ||
| Ethan C Dahlberg | Registered representative | Oct 2017 (9y) | ||
| Kirk Wayne Diller | Registered representative | Oct 2017 (9y) | ||
| Nicholas F Klos | Registered representative | Oct 2017 (9y) | ||
| Michael S Sullivan | Registered representative | Oct 2017 (9y) | ||
| Cecil Gene Jester | Registered representative | Oct 2017 (9y) | ||
| Tracie Ann Legg | Registered representative | Oct 2017 (9y) | ||
| Grace Durham | Registered representative | Nov 2017 (9y) | ||
| Grant Fredrick Shearer | Registered representative | Nov 2017 (9y) | ||
| Rachel K Bunnell | Registered representative | CFP | Nov 2017 (9y) | |
| Sarah K Springer | Registered representative | CFP | Nov 2017 (9y) | |
| Timothy Robert Frey | Registered representative | Nov 2017 (9y) | ||
| Terry Lee Thompson | Registered representative | Dec 2017 (9y) | ||
| Christine Ann Jasso | Registered representative | Jan 2018 (9y) | ||
| Lea Anna Gerschwiler | Registered representative | Jan 2018 (9y) | ||
| Robert Paul Jacobsen | Registered representative | CFP | Jan 2018 (9y) | |
| Nathan William Rumely | Registered representative | Jan 2018 (9y) | ||
| John V Melick | Registered representative | Jan 2018 (9y) | ||
| Allison Leigh Parra | Registered representative | Jan 2018 (9y) | ||
| Samantha Ann Gerrity | Registered representative | Jan 2018 (9y) | ||
| Shawna Joy Hurst | Registered representative | Jan 2018 (9y) | ||
| John Godfrey Taft | Registered representative | Jan 2018 (9y) | ||
| Michael George Ratkovitch | Registered representative | Feb 2018 (8y) | ||
| Colin James Surges | Registered representative | Feb 2018 (8y) | ||
| Richard Allen Chojnacki | Registered representative | Feb 2018 (8y) | ||
| Amy Louise Gilbert | Registered representative | Feb 2018 (8y) | ||
| Scott Kenneth Derus | Registered representative | Feb 2018 (8y) | ||
| Richard Lee Bingaman | Registered representative | Feb 2018 (8y) | ||
| Christopher S Harvey | Registered representative | CFP | Feb 2018 (8y) | |
| David R Jester | Registered representative | Mar 2018 (8y) | ||
| Breanna Marie Lowry | Registered representative | Mar 2018 (8y) | ||
| Megan E Preston | Registered representative | Mar 2018 (8y) | ||
| Zachary Marc Hitchcock | Registered representative | CFP | Mar 2018 (8y) | |
| Mary M Bosley | Registered representative | Mar 2018 (8y) | ||
| Katharine N Christian | Registered representative | CFP | Apr 2018 (8y) | |
| Christopher M Pistone | Registered representative | Apr 2018 (8y) | ||
| Jonathan Alfred Griego | Registered representative | Apr 2018 (8y) | ||
| Ross John Kopfer | Registered representative | Apr 2018 (8y) | ||
| Malcom Leighton Liles | Registered representative | CFP | Apr 2018 (8y) | |
| Julia A Lewis | Registered representative | Apr 2018 (8y) | ||
| Shayne Michael Nagy | Registered representative | Apr 2018 (8y) | ||
| Staci Eileen Allen | Registered representative | Apr 2018 (8y) | ||
| Jaime Nicole Ellerbrock | Registered representative | Apr 2018 (8y) | ||
| Cassidy Mccrea Burns | Registered representative | Apr 2018 (8y) | ||
| Christy E Medeiros | Registered representative | May 2018 (8y) | ||
| Irving Mindes | Registered representative | May 2018 (8y) | ||
| Nicholas John August | Registered representative | May 2018 (8y) | ||
| William S Fedor | Registered representative | May 2018 (8y) | ||
| Allison Marie Mayer | Registered representative | May 2018 (8y) | ||
| Aleksei W Fedor | Registered representative | May 2018 (8y) | ||
| Angela L Johnson | Registered representative | May 2018 (8y) | ||
| Ethan Joseph Warren | Registered representative | May 2018 (8y) | ||
| Frank Daniel Mirabella | Registered representative | May 2018 (8y) | ||
| John Paul Mathey | Registered representative | May 2018 (8y) | ||
| Kevin Albert Rollwagen | Registered representative | May 2018 (8y) | ||
| Robert Kyle Mccrea | Registered representative | May 2018 (8y) | ||
| Thai Vi Nguyen Pham | Registered representative | May 2018 (8y) | ||
| Karla E Olson Bellfi | Registered representative | CFP | May 2018 (8y) | |
| Lindsey R Casper | Registered representative | May 2018 (8y) | ||
| Walter Richard Davis | Registered representative | Jun 2018 (8y) | ||
| Amy Marie Gibson | Registered representative | Jun 2018 (8y) | ||
| Stephen J Edwards | Registered representative | Jun 2018 (8y) | ||
| Tracy Goeken Baker | Registered representative | Jun 2018 (8y) | ||
| Megan M Allen | Registered representative | Jun 2018 (8y) | ||
| Amber L Thoerner | Registered representative | Jun 2018 (8y) | ||
| Jennifer Suzanne Mills | Registered representative | Jun 2018 (8y) | ||
| Rebecca Claire Reeves Mc Kay | Registered representative | Jun 2018 (8y) | ||
| Christopher E Holcombe | Registered representative | Jul 2018 (8y) | ||
| Deborah Lynn Rotz | Registered representative | Jul 2018 (8y) | ||
| Savannah Jayne Petronis | Registered representative | Jul 2018 (8y) | ||
| Tina Kristen Mccallum | Registered representative | Jul 2018 (8y) | ||
| William T. Luthy | Registered representative | Jul 2018 (8y) | ||
| Denise Hobbs Stup | Registered representative | Jul 2018 (8y) | ||
| Emily P Rector | Registered representative | Jul 2018 (8y) | ||
| Karl Christopher Herren | Registered representative | Aug 2018 (8y) | ||
| Daniel Wade Bryant | Registered representative | Aug 2018 (8y) | ||
| Harry Buchanan Smith | Registered representative | Aug 2018 (8y) | ||
| Thomas K Arbeznik | Registered representative | Aug 2018 (8y) | ||
| Molly Ann Sproull | Registered representative | Aug 2018 (8y) | ||
| Christina Sass Creech | Registered representative | Aug 2018 (8y) | ||
| Debra Ann Grill | Registered representative | Aug 2018 (8y) | ||
| Cory Michael Wessel | Registered representative | Aug 2018 (8y) | ||
| David Allen Thuli | Registered representative | Sep 2018 (8y) | ||
| Joseph D Sullivan | Registered representative | Sep 2018 (8y) | ||
| Michael Chase Moore | Registered representative | Sep 2018 (8y) | ||
| Kathryn J Thompson | Registered representative | Sep 2018 (8y) | ||
| Evangelos G Kalomiris | Registered representative | Sep 2018 (8y) | ||
| Park Ravenel Dougherty | Registered representative | Sep 2018 (8y) | ||
| Amanda M Logan | Registered representative | Oct 2018 (8y) | ||
| Stacie Ann Koesters | Registered representative | Oct 2018 (8y) | ||
| Jonathan Kristan Callaway | Registered representative | Oct 2018 (8y) | ||
| Catherine Galbraith Coleman | Registered representative | CFP | Oct 2018 (8y) | |
| Gerald Alan Galbraith | Registered representative | Oct 2018 (8y) | ||
| Adam T O Malley | Registered representative | Oct 2018 (8y) | ||
| Joseph D O Brien | Registered representative | Oct 2018 (8y) | ||
| Sharon Catherine Hirschler | Registered representative | Oct 2018 (8y) | ||
| Janet Robertson Leon | Registered representative | Oct 2018 (8y) | ||
| Jason Patrick Turetzky | Registered representative | Oct 2018 (8y) | ||
| Anne M Poisl | Registered representative | Oct 2018 (8y) | ||
| Sheldon L Metz | Registered representative | Oct 2018 (8y) | ||
| Jennifer Marie Lorenzen | Registered representative | Oct 2018 (8y) | ||
| Brenna C Olson | Registered representative | Nov 2018 (8y) | ||
| Randy Jay Yoder | Registered representative | Nov 2018 (8y) | ||
| Benjamin Eggert | Registered representative | Nov 2018 (8y) | ||
| Conor P Quick | Registered representative | CFP | Nov 2018 (8y) | |
| Amy E Lofgren | Registered representative | Nov 2018 (8y) | ||
| Kegan P Fassler | Registered representative | Nov 2018 (8y) | ||
| Ryan N Mc Callum | Registered representative | Nov 2018 (8y) | ||
| Daniel Joseph Sullivan | Registered representative | Nov 2018 (8y) | ||
| Honorine Marie Gerard Wallack | Registered representative | CFP | Dec 2018 (8y) | |
| Jon Matthew Earl | Registered representative | Dec 2018 (8y) | ||
| Matthew James Sheridan | Registered representative | CFP | Dec 2018 (8y) | |
| Melissa Anne Motyl | Registered representative | Dec 2018 (8y) | ||
| Michele Angela Sheridan | Registered representative | CFP | Dec 2018 (8y) | |
| Scott Alan George | Registered representative | CFP | Dec 2018 (8y) | |
| Theresa Marie Flemma | Registered representative | CFP | Dec 2018 (8y) | |
| Zachary D Maxwell | Registered representative | Dec 2018 (8y) | ||
| Matthew David Savery | Registered representative | CFP CFA | Dec 2018 (8y) | |
| Erica L Stalo | Registered representative | Dec 2018 (8y) | ||
| Victor Louis Larosa | Registered representative | Jan 2019 (8y) | ||
| Deenna Schunk Peru | Registered representative | Jan 2019 (8y) | ||
| Lauren Bergitta Griffin | Registered representative | Jan 2019 (8y) | ||
| Jeffrey Jay Bryan | Registered representative | Jan 2019 (8y) | ||
| John T Mullen | Registered representative | Jan 2019 (8y) | ||
| Melissa Elizabeth Kinnard | Registered representative | Jan 2019 (8y) | ||
| Randal A Brotherhood | Registered representative | Feb 2019 (7y) | ||
| Brian J Jacobs | Registered representative | Feb 2019 (7y) | ||
| Catherine Ann Mcgrath | Registered representative | Feb 2019 (7y) | ||
| David Patrick Beyerle | Registered representative | CFP | Feb 2019 (7y) | |
| John Spencer Bradley | Registered representative | Feb 2019 (7y) | ||
| Erik R Schleicher | Registered representative | CFA | Feb 2019 (7y) | |
| Stephanie Palma Aragon | Registered representative | Feb 2019 (7y) | ||
| Sydney Grace Verdi Samuelson | Registered representative | Feb 2019 (7y) | ||
| Dean M Brennan | Registered representative | Feb 2019 (7y) | ||
| Justin L Butterfield | Registered representative | Feb 2019 (7y) | ||
| Tracy L Gates | Registered representative | Feb 2019 (7y) | ||
| Jana Pretzer | Registered representative | Mar 2019 (7y) | ||
| John C Wedell | Registered representative | Mar 2019 (7y) | ||
| Robert Lee Schrieber | Registered representative | Mar 2019 (7y) | ||
| Scott Joseph Komaromy | Registered representative | CFP | Mar 2019 (7y) | |
| Terence Allan Foster | Registered representative | CFA | Mar 2019 (7y) | |
| Christopher Stephen Koshy | Registered representative | Mar 2019 (7y) | ||
| Angela Blair Wingfield | Registered representative | Mar 2019 (7y) | ||
| Stevanna Marie Van Dijk | Registered representative | CFP | Mar 2019 (7y) | |
| Suzanne C Jackson | Registered representative | Mar 2019 (7y) | ||
| Justin Wade Nichols | Registered representative | Mar 2019 (7y) | ||
| Thomas J Lane | Registered representative | CFP | Mar 2019 (7y) | |
| Donald A Smiley | Registered representative | CFA | Mar 2019 (7y) | |
| Scott Charles Willms | Registered representative | Mar 2019 (7y) | ||
| Brian James White | Registered representative | Mar 2019 (7y) | ||
| Diane Lorraine White | Registered representative | Mar 2019 (7y) | ||
| John Charles Beery | Registered representative | Mar 2019 (7y) | ||
| Lynn Elizabeth Maclean | Registered representative | Mar 2019 (7y) | ||
| Sam E. Howard | Registered representative | CFP | Mar 2019 (7y) | |
| Tanya R Richmond | Registered representative | Mar 2019 (7y) | ||
| Lindsey A Clauson | Registered representative | Mar 2019 (7y) | ||
| Anthony Vincent Schock | Registered representative | Mar 2019 (7y) | ||
| Brian Edward Rathbun | Registered representative | Mar 2019 (7y) | ||
| Travis Wayne King | Registered representative | Mar 2019 (7y) | ||
| Yanely Garcia | Registered representative | Apr 2019 (7y) | ||
| Kelly Jean Garrow | Registered representative | Apr 2019 (7y) | ||
| Lauren M Post | Registered representative | CFP | Apr 2019 (7y) | |
| Marcus Houston Qualls | Registered representative | Apr 2019 (7y) | ||
| Angela K Sell | Registered representative | Apr 2019 (7y) | ||
| Jeniree Sanchez | Registered representative | Apr 2019 (7y) | ||
| Thomas Kavanagh | Registered representative | May 2019 (7y) | ||
| Joshua J Hagman | Registered representative | May 2019 (7y) | ||
| Chadwick A Otte | Registered representative | May 2019 (7y) | ||
| Michael P Delahunt | Registered representative | May 2019 (7y) | ||
| David Paul Allen | Registered representative | May 2019 (7y) | ||
| Thomas O Niswonger | Registered representative | May 2019 (7y) | ||
| Scott Robb Schoenfeld | Registered representative | Jun 2019 (7y) | ||
| Scott F Taft | Registered representative | Jun 2019 (7y) | ||
| William C Waddell | Registered representative | Jun 2019 (7y) | ||
| James Michael Shrader | Registered representative | Jun 2019 (7y) | ||
| Tessa Anne Wood | Registered representative | Jun 2019 (7y) | ||
| Larry Wayne Osa | Registered representative | Jun 2019 (7y) | ||
| Kevin R Geenen | Registered representative | Jun 2019 (7y) | ||
| Sarah Marie Neff | Registered representative | Jun 2019 (7y) | ||
| Theodore Brelsford Martin | Registered representative | Jun 2019 (7y) | ||
| Ashley R Strickland | Registered representative | Jul 2019 (7y) | ||
| Peter R Jandric | Registered representative | Jul 2019 (7y) | ||
| Harold Horton Tearse | Registered representative | Jul 2019 (7y) | ||
| Nicole Elizabeth Wright | Registered representative | Jul 2019 (7y) | ||
| Madeline J Schroeder | Registered representative | Jul 2019 (7y) | ||
| David R Kelnhofer | Registered representative | Aug 2019 (7y) | ||
| Katherine A Voss | Registered representative | Aug 2019 (7y) | ||
| Jillian L Mc Gann | Registered representative | Aug 2019 (7y) | ||
| Kristi Nicole Kennedy | Registered representative | Aug 2019 (7y) | ||
| David Robert Burchfield | Registered representative | Sep 2019 (7y) | ||
| Eric J Dahl | Registered representative | Sep 2019 (7y) | ||
| Katherine Ann Johnson | Registered representative | Sep 2019 (7y) | ||
| Timothy Michael Pennise | Registered representative | Sep 2019 (7y) | ||
| Kellcy Lee Anderson | Registered representative | Sep 2019 (7y) | ||
| Lori A Eckhardt | Registered representative | Sep 2019 (7y) | ||
| Megan C Wholey | Registered representative | Sep 2019 (7y) | ||
| Emily Elizabeth Myers | Registered representative | Oct 2019 (7y) | ||
| Robert Steven Russ | Registered representative | Oct 2019 (7y) | ||
| Ross A Johnson | Registered representative | Oct 2019 (7y) | ||
| Melissa Jean Elliott | Registered representative | Oct 2019 (7y) | ||
| Michael Robert Shannon | Registered representative | CFP | Oct 2019 (7y) | |
| Michael J Krecek | Registered representative | Oct 2019 (7y) | ||
| Adam Denny Estes | Registered representative | Oct 2019 (7y) | ||
| Alan Earl Brookshire | Registered representative | Oct 2019 (7y) | ||
| Alan Hamilton Mckee | Registered representative | Oct 2019 (7y) | ||
| Alexander Willis Davis | Registered representative | Oct 2019 (7y) | ||
| Aloysius Lambert Willett | Registered representative | Oct 2019 (7y) | ||
| Alyce Faith Zollman | Registered representative | Oct 2019 (7y) | ||
| Andrew Frank Bronger | Registered representative | Oct 2019 (7y) | ||
| Andrew Graham | Registered representative | Oct 2019 (7y) | ||
| Andrew Wilton Means | Registered representative | CFA | Oct 2019 (7y) | |
| Angela Larae Taylor | Registered representative | Oct 2019 (7y) | ||
| Angela Lynette Lueke | Registered representative | Oct 2019 (7y) | ||
| Anne Marie Brandon | Registered representative | Oct 2019 (7y) | ||
| Anthony Walter Mazelon | Registered representative | Oct 2019 (7y) | ||
| Austin Hite Hays | Registered representative | CFP | Oct 2019 (7y) | |
| Amanda Marie Gall | Registered representative | Oct 2019 (7y) | ||
| Barrett Paul Metzger | Registered representative | Oct 2019 (7y) | ||
| Bartley Duncan Gravelle | Registered representative | Oct 2019 (7y) | ||
| Barton Drew Rudolph | Registered representative | Oct 2019 (7y) | ||
| Benjamin Craig Ferguson | Registered representative | Oct 2019 (7y) | ||
| Benjamin Walker Collins | Registered representative | Oct 2019 (7y) | ||
| Betty Jane Thomas | Registered representative | Oct 2019 (7y) | ||
| Bobbie Rheann Wiseman | Registered representative | Oct 2019 (7y) | ||
| Bradley James Walker | Registered representative | Oct 2019 (7y) | ||
| Brandy Leigh Richards | Registered representative | Oct 2019 (7y) | ||
| Brendan Ryan Hosty | Registered representative | Oct 2019 (7y) | ||
| Brent Charles Gillies | Registered representative | Oct 2019 (7y) | ||
| Brent Lyn Denker | Registered representative | CFP | Oct 2019 (7y) | |
| Brian J Dekock | Registered representative | Oct 2019 (7y) | ||
| Bryan Ashley Sperry | Registered representative | Oct 2019 (7y) | ||
| Bryan Clark Pope | Registered representative | Oct 2019 (7y) | ||
| Bryan James Baysinger | Registered representative | Oct 2019 (7y) | ||
| Benjamin G Redfield | Registered representative | Oct 2019 (7y) | ||
| Carl Mchenry Thomas | Registered representative | CFP | Oct 2019 (7y) | |
| Carl Peter Heesemann | Registered representative | Oct 2019 (7y) | ||
| Carla Renee Rice | Registered representative | Oct 2019 (7y) | ||
| Carla Sue Dresel | Registered representative | Oct 2019 (7y) | ||
| Cary Scott Cowan | Registered representative | Oct 2019 (7y) | ||
| Catherine Ann Dimarco | Registered representative | Oct 2019 (7y) | ||
| Catherine Elizabeth Callard | Registered representative | Oct 2019 (7y) | ||
| Catherine Jane White | Registered representative | Oct 2019 (7y) | ||
| Chambers Boyd Moore | Registered representative | Oct 2019 (7y) | ||
| Charles Alan Hawkins | Registered representative | Oct 2019 (7y) | ||
| Christopher Calhoun Foster | Registered representative | CFP | Oct 2019 (7y) | |
| Christopher Charles Bomba | Registered representative | Oct 2019 (7y) | ||
| Christopher Collin Boone | Registered representative | Oct 2019 (7y) | ||
| Christopher Louis Carpenter | Registered representative | Oct 2019 (7y) | ||
| Christopher Raymond Gowers | Registered representative | Oct 2019 (7y) | ||
| Christopher Robert Cole | Registered representative | Oct 2019 (7y) | ||
| Christopher Ryan Lee | Registered representative | Oct 2019 (7y) | ||
| Clark Robertson King | Registered representative | Oct 2019 (7y) | ||
| Cole Hunter Shelton | Registered representative | Oct 2019 (7y) | ||
| Colleen Grace Curry | Registered representative | Oct 2019 (7y) | ||
| Cory Joe Gerkin | Registered representative | Oct 2019 (7y) | ||
| Connor P Shea | Registered representative | Oct 2019 (7y) | ||
| Dale Stewart Ditto | Registered representative | CFP | Oct 2019 (7y) | |
| Daniel Evan Norton | Registered representative | Oct 2019 (7y) | ||
| Daniel J Kempker | Registered representative | Oct 2019 (7y) | ||
| Daniel Joe Foutch | Registered representative | Oct 2019 (7y) | ||
| Daniel Lee Kay | Registered representative | Oct 2019 (7y) | ||
| Daniel Martin Matthews | Registered representative | Oct 2019 (7y) | ||
| Daniel Rasi Miller | Registered representative | Oct 2019 (7y) | ||
| Daron Morgan Van Vactor | Registered representative | Oct 2019 (7y) | ||
| Darren J Welch | Registered representative | Oct 2019 (7y) | ||
| Darrin Blake Rudolph | Registered representative | Oct 2019 (7y) | ||
| Darryl Keith Metzger | Registered representative | Oct 2019 (7y) | ||
| Daryl Edward Severson | Registered representative | CFP | Oct 2019 (7y) | |
| David Barton Estes | Registered representative | Oct 2019 (7y) | ||
| David Brent Housman | Registered representative | Oct 2019 (7y) | ||
| David Brian Perigo | Registered representative | Oct 2019 (7y) | ||
| David Eugene Oldham | Registered representative | Oct 2019 (7y) | ||
| David Leland Marshall | Registered representative | Oct 2019 (7y) | ||
| David Patrick Anderson | Registered representative | Oct 2019 (7y) | ||
| David Wendel Glass | Registered representative | Oct 2019 (7y) | ||
| Deane Christopher Gauthier | Registered representative | Oct 2019 (7y) | ||
| Dewitt C Ivins | Registered representative | Oct 2019 (7y) | ||
| Dianne Marie Daniel | Registered representative | Oct 2019 (7y) | ||
| Dominick Occhiato | Registered representative | Oct 2019 (7y) | ||
| Donna Lee Seibert | Registered representative | Oct 2019 (7y) | ||
| Donna Louise Resch | Registered representative | Oct 2019 (7y) | ||
| Dwayne Wesley Powell | Registered representative | CFP | Oct 2019 (7y) | |
| Edward Robert Taliaferro | Registered representative | Oct 2019 (7y) | ||
| Elias Emil Hassan | Registered representative | Oct 2019 (7y) | ||
| Elizabeth Ann Wagner | Registered representative | Oct 2019 (7y) | ||
| Elizabeth C Kaplan | Registered representative | Oct 2019 (7y) | ||
| Elizabeth Moore Fields | Registered representative | Oct 2019 (7y) | ||
| Ellen Haskell | Registered representative | Oct 2019 (7y) | ||
| Emma Busse Conrad | Registered representative | Oct 2019 (7y) | ||
| Eric David Miller | Registered representative | Oct 2019 (7y) | ||
| Eric Michael Provost | Registered representative | Oct 2019 (7y) | ||
| Eric Michael Vegh | Registered representative | Oct 2019 (7y) | ||
| Ernest Neal Cory | Registered representative | Oct 2019 (7y) | ||
| Felicia Gail Hostettler | Registered representative | Oct 2019 (7y) | ||
| Gail Burke Tway | Registered representative | CFP | Oct 2019 (7y) | |
| Gary Lee Richards | Registered representative | Oct 2019 (7y) | ||
| Gary Wayne Hannah | Registered representative | Oct 2019 (7y) | ||
| Gwen G. Reynolds | Registered representative | Oct 2019 (7y) | ||
| Harris N Terry | Registered representative | Oct 2019 (7y) | ||
| Harry Vance Lucke | Registered representative | Oct 2019 (7y) | ||
| Heath Edward Scott | Registered representative | Oct 2019 (7y) | ||
| Heather Nichele Bacon | Registered representative | Oct 2019 (7y) | ||
| Heather Renee Osborn | Registered representative | Oct 2019 (7y) | ||
| Jacinda Jayne Hughen | Registered representative | CFP | Oct 2019 (7y) | |
| Jaclyn Nicole Barker | Registered representative | Oct 2019 (7y) | ||
| Jacob Todd Schiff | Registered representative | Oct 2019 (7y) | ||
| Jacqueline H Keltner | Registered representative | CFP | Oct 2019 (7y) | |
| Jaleigh Jeffers White | Registered representative | Oct 2019 (7y) | ||
| James C Wingett | Registered representative | Oct 2019 (7y) | ||
| James Lawrence Ivey | Registered representative | Oct 2019 (7y) | ||
| James Lee Master | Registered representative | Oct 2019 (7y) | ||
| James Mcginley Jefferson | Registered representative | CFA | Oct 2019 (7y) | |
| James Patrick Clarke | Registered representative | Oct 2019 (7y) | ||
| James Patrick Saunders | Registered representative | Oct 2019 (7y) | ||
| James Phillip Roberts | Registered representative | Oct 2019 (7y) | ||
| James Reid Allen | Registered representative | CFA | Oct 2019 (7y) | |
| James Robert Hendon | Registered representative | Oct 2019 (7y) | ||
| James Thornton Norris | Registered representative | Oct 2019 (7y) | ||
| James Witteman Trapp | Registered representative | Oct 2019 (7y) | ||
| Jamie W Williams | Registered representative | Oct 2019 (7y) | ||
| Janet Blake Pearson | Registered representative | Oct 2019 (7y) | ||
| Jay Brent Newland | Registered representative | Oct 2019 (7y) | ||
| Jayne Marie Clemens | Registered representative | Oct 2019 (7y) | ||
| Jeannie Lynn Oster | Registered representative | Oct 2019 (7y) | ||
| Jeffrey A. Berger | Registered representative | Oct 2019 (7y) | ||
| Jeffrey Alan Nedley | Registered representative | Oct 2019 (7y) | ||
| Jeffrey Delmar Golliher | Registered representative | Oct 2019 (7y) | ||
| Jeffrey Graham Roberts | Registered representative | Oct 2019 (7y) | ||
| Jeffrey Grant Roberts | Registered representative | CFP | Oct 2019 (7y) | |
| Jeffrey Stephen Main | Registered representative | Oct 2019 (7y) | ||
| Jeffrey Wayne Tooley | Registered representative | Oct 2019 (7y) | ||
| Jenifer Lynn Williams | Registered representative | Oct 2019 (7y) | ||
| Jennifer L Wathen | Registered representative | Oct 2019 (7y) | ||
| Jennifer M Reisenbichler | Registered representative | Oct 2019 (7y) | ||
| Jennifer Marie Wooldridge | Registered representative | Oct 2019 (7y) | ||
| Jennifer Robin Shliakhau | Registered representative | Oct 2019 (7y) | ||
| Jesse Lee Ryan | Registered representative | Oct 2019 (7y) | ||
| Jessica Lee Newman | Registered representative | Oct 2019 (7y) | ||
| Joey Dan Davenport | Registered representative | Oct 2019 (7y) | ||
| John Allen Mascarich | Registered representative | Oct 2019 (7y) | ||
| John Anderson Ditto | Registered representative | Oct 2019 (7y) | ||
| John Anthony Backert | Registered representative | Oct 2019 (7y) | ||
| John Charles Trapp | Registered representative | CFP | Oct 2019 (7y) | |
| John Crates Watkins | Registered representative | CFA | Oct 2019 (7y) | |
| John Dennis Stomberger | Registered representative | Oct 2019 (7y) | ||
| John Dunn Gordinier | Registered representative | Oct 2019 (7y) | ||
| John Jeremy Edge | Registered representative | Oct 2019 (7y) | ||
| John Lee Smith | Registered representative | Oct 2019 (7y) | ||
| John Lester Schutz | Registered representative | Oct 2019 (7y) | ||
| John Michael Gannon | Registered representative | Oct 2019 (7y) | ||
| John Moultrie Mcintosh | Registered representative | CFP | Oct 2019 (7y) | |
| John Newman Glover | Registered representative | Oct 2019 (7y) | ||
| John Paton Hodge | Registered representative | Oct 2019 (7y) | ||
| John William Drummey | Registered representative | Oct 2019 (7y) | ||
| Jon Scott Kay | Registered representative | Oct 2019 (7y) | ||
| Joseph Lawton King | Registered representative | Oct 2019 (7y) | ||
| Joseph Ross Mayfield | Registered representative | Oct 2019 (7y) | ||
| Joshua Logan Smith | Registered representative | Oct 2019 (7y) | ||
| Julie Garside Willard | Registered representative | Oct 2019 (7y) | ||
| Justin David Oldham | Registered representative | Oct 2019 (7y) | ||
| John Carpenter Brooks | Registered representative | Oct 2019 (7y) | ||
| Jonathan Gregory De Kock | Registered representative | Oct 2019 (7y) | ||
| Kale Olson | Registered representative | Oct 2019 (7y) | ||
| Kara Lynn Endres | Registered representative | CFP | Oct 2019 (7y) | |
| Katherine Marie Roberts | Registered representative | Oct 2019 (7y) | ||
| Kathryn Patterson Hendon | Registered representative | Oct 2019 (7y) | ||
| Kelly Dissette Maumenee | Registered representative | Oct 2019 (7y) | ||
| Kevin Dean Farmer | Registered representative | Oct 2019 (7y) | ||
| Kevin Wood Northup | Registered representative | Oct 2019 (7y) | ||
| Kimberly Seadler Knight | Registered representative | Oct 2019 (7y) | ||
| Kimberly Sue Schultz | Registered representative | Oct 2019 (7y) | ||
| Kit B Carter | Registered representative | Oct 2019 (7y) | ||
| Kristen Shaye Runyon | Registered representative | CFP | Oct 2019 (7y) | |
| Kristina Leigh Richards | Registered representative | Oct 2019 (7y) | ||
| Kyle Allen Lanter | Registered representative | Oct 2019 (7y) | ||
| Kyle L Walker | Registered representative | Oct 2019 (7y) | ||
| L Chase Speiden | Registered representative | CFP | Oct 2019 (7y) | |
| Landon Lewis Carlisle | Registered representative | Oct 2019 (7y) | ||
| Larry Dwayne Housman | Registered representative | Oct 2019 (7y) | ||
| Larry Edward Landrum | Registered representative | CFP | Oct 2019 (7y) | |
| Larry Floyd Telle | Registered representative | Oct 2019 (7y) | ||
| Laurel Marie Lee | Registered representative | CFP | Oct 2019 (7y) | |
| Laurie Anne Skeen | Registered representative | Oct 2019 (7y) | ||
| Laurie Horn Stevenson | Registered representative | Oct 2019 (7y) | ||
| Leah Ann Strickland | Registered representative | Oct 2019 (7y) | ||
| Leigh E Staples Ralston | Registered representative | Oct 2019 (7y) | ||
| Leslie Boor Madden | Registered representative | Oct 2019 (7y) | ||
| Lisa Jane Schmidt | Registered representative | Oct 2019 (7y) | ||
| Lisa M Hartung | Registered representative | Oct 2019 (7y) | ||
| Loren Anthony Snyder | Registered representative | Oct 2019 (7y) | ||
| Lori Ann Young | Registered representative | Oct 2019 (7y) | ||
| Margaret Elaine Sutton | Registered representative | Oct 2019 (7y) | ||
| Mark Alan Lieser | Registered representative | Oct 2019 (7y) | ||
| Mark Bradley Gerst | Registered representative | Oct 2019 (7y) | ||
| Mark Christopher Naber | Registered representative | Oct 2019 (7y) | ||
| Mark Chumbler | Registered representative | Oct 2019 (7y) | ||
| Mark Edwin Smith | Registered representative | Oct 2019 (7y) | ||
| Mark F Liston | Registered representative | Oct 2019 (7y) | ||
| Mark Kevin Nickel | Registered representative | CFP | Oct 2019 (7y) | |
| Mary Beth Vetter | Registered representative | Oct 2019 (7y) | ||
| Matthew Fritts | Registered representative | Oct 2019 (7y) | ||
| Matthew G Duncan | Registered representative | Oct 2019 (7y) | ||
| Matthew Richard Bush | Registered representative | Oct 2019 (7y) | ||
| Matthew Tucker Garrett | Registered representative | CFP | Oct 2019 (7y) | |
| Melanie Ann Harless | Registered representative | Oct 2019 (7y) | ||
| Melissa D Steele | Registered representative | Oct 2019 (7y) | ||
| Melissa Hart Creditt | Registered representative | Oct 2019 (7y) | ||
| Michael Andrew Swindall | Registered representative | CFP | Oct 2019 (7y) | |
| Michael Anthony Loth | Registered representative | Oct 2019 (7y) | ||
| Michael B Barnett | Registered representative | Oct 2019 (7y) | ||
| Michael Christian Russell | Registered representative | Oct 2019 (7y) | ||
| Michael Dorris Shea | Registered representative | Oct 2019 (7y) | ||
| Michael Emanuel Leifeld | Registered representative | Oct 2019 (7y) | ||
| Michael Jason Marcotte | Registered representative | Oct 2019 (7y) | ||
| Michael Joseph Wyble | Registered representative | Oct 2019 (7y) | ||
| Michael Sean Spainhour | Registered representative | Oct 2019 (7y) | ||
| Michael Tom Holland | Registered representative | Oct 2019 (7y) | ||
| Michael Witteman Trapp | Registered representative | CFP | Oct 2019 (7y) | |
| Michelle Anne Patrick | Registered representative | Oct 2019 (7y) | ||
| Michelle Veronica Vanover | Registered representative | Oct 2019 (7y) | ||
| Mickie Jo Vallandingham | Registered representative | Oct 2019 (7y) | ||
| Monica P. Taylor | Registered representative | CFP | Oct 2019 (7y) | |
| Margaret Kelly Mrsic | Registered representative | Oct 2019 (7y) | ||
| Nicholas D Reisenbichler | Registered representative | Oct 2019 (7y) | ||
| Nicholas Edwin Smith | Registered representative | Oct 2019 (7y) | ||
| Nicholas Joseph Tompkins | Registered representative | Oct 2019 (7y) | ||
| Orval Leroy Stallsmith | Registered representative | Oct 2019 (7y) | ||
| Patrick Ryan Feeney | Registered representative | Oct 2019 (7y) | ||
| Peter Ashley Lim | Registered representative | Oct 2019 (7y) | ||
| Philip Davis Parish | Registered representative | Oct 2019 (7y) | ||
| Philip Earl Faulkner | Registered representative | Oct 2019 (7y) | ||
| Phillip Arthur Ruhe | Registered representative | Oct 2019 (7y) | ||
| Ralph Wimsatt | Registered representative | Oct 2019 (7y) | ||
| Randal J. Master | Registered representative | Oct 2019 (7y) | ||
| Randy Alan West | Registered representative | Oct 2019 (7y) | ||
| Raymond Mitchell Settle | Registered representative | Oct 2019 (7y) | ||
| Richard Alan Sanders | Registered representative | Oct 2019 (7y) | ||
| Richard Gregory Hart | Registered representative | Oct 2019 (7y) | ||
| Ricki Jan Hobgood | Registered representative | Oct 2019 (7y) | ||
| Robert Benjamin Kessinger | Registered representative | Oct 2019 (7y) | ||
| Robert Christopher Michael Reames | Registered representative | Oct 2019 (7y) | ||
| Robert David Klein | Registered representative | CFP | Oct 2019 (7y) | |
| Robert Gerard Bernardin | Registered representative | Oct 2019 (7y) | ||
| Robert Leamon Crady | Registered representative | Oct 2019 (7y) | ||
| Robert Louis Wathen | Registered representative | Oct 2019 (7y) | ||
| Robert Thomas Crawford | Registered representative | Oct 2019 (7y) | ||
| Robert Wayne Banister | Registered representative | Oct 2019 (7y) | ||
| Robin Sue Mcconn | Registered representative | CFP | Oct 2019 (7y) | |
| Roddy Dane Scott | Registered representative | Oct 2019 (7y) | ||
| Ross Alan Demmerle | Registered representative | Oct 2019 (7y) | ||
| Ryan Joseph Thomas Reames | Registered representative | Oct 2019 (7y) | ||
| S.Thomas Ogden | Registered representative | Oct 2019 (7y) | ||
| Samuel Day Dickinson | Registered representative | Oct 2019 (7y) | ||
| Samuel Jason Collins | Registered representative | Oct 2019 (7y) | ||
| Scott Alfred Carius | Registered representative | Oct 2019 (7y) | ||
| Scott Eugene Lobel | Registered representative | Oct 2019 (7y) | ||
| Scott James Ironside | Registered representative | Oct 2019 (7y) | ||
| Scott Lewis Ferguson | Registered representative | Oct 2019 (7y) | ||
| Scott Mathew Durham | Registered representative | Oct 2019 (7y) | ||
| Scott Nathaniel Clausen | Registered representative | Oct 2019 (7y) | ||
| Scott Riley Osborn | Registered representative | Oct 2019 (7y) | ||
| Scott Robert Dedomenic | Registered representative | Oct 2019 (7y) | ||
| Sean Michael Miranda | Registered representative | CFP | Oct 2019 (7y) | |
| Shadd Alan Clausen | Registered representative | Oct 2019 (7y) | ||
| Shannon Moore Vitale | Registered representative | Oct 2019 (7y) | ||
| Shannon N Vaughn | Registered representative | Oct 2019 (7y) | ||
| Shannon Renee Raines | Registered representative | CFP | Oct 2019 (7y) | |
| Shawn Mitchell Perry | Registered representative | CFP | Oct 2019 (7y) | |
| Shelly Lynn Evans | Registered representative | Oct 2019 (7y) | ||
| Stephen A Jenkins | Registered representative | Oct 2019 (7y) | ||
| Stephen Bishop Provost | Registered representative | Oct 2019 (7y) | ||
| Stephen Glen Boggs | Registered representative | Oct 2019 (7y) | ||
| Stephen Lewis Grossman | Registered representative | Oct 2019 (7y) | ||
| Stephen Michael Golliher | Registered representative | Oct 2019 (7y) | ||
| Stephen Patrick Kiss | Registered representative | Oct 2019 (7y) | ||
| Steven Douglas Meredith | Registered representative | CFP | Oct 2019 (7y) | |
| Steven Joseph Smith | Registered representative | Oct 2019 (7y) | ||
| Sue S Badgett | Registered representative | Oct 2019 (7y) | ||
| Susan Jane Marshall | Registered representative | Oct 2019 (7y) | ||
| Susan Yewell Clark | Registered representative | Oct 2019 (7y) | ||
| Stephanie S Mc Knight | Registered representative | Oct 2019 (7y) | ||
| Tara Beth Estes | Registered representative | Oct 2019 (7y) | ||
| Tawne Ann Wandling | Registered representative | Oct 2019 (7y) | ||
| Taylor Hobgood | Registered representative | CFP | Oct 2019 (7y) | |
| Taylor Price Porter | Registered representative | Oct 2019 (7y) | ||
| Teri M. Hollander Albin | Registered representative | CFP | Oct 2019 (7y) | |
| Terrence William Hosty | Registered representative | Oct 2019 (7y) | ||
| Theodore Bright Bates | Registered representative | Oct 2019 (7y) | ||
| Thomas Burks Kessinger | Registered representative | Oct 2019 (7y) | ||
| Thomas Joseph Bennett | Registered representative | Oct 2019 (7y) | ||
| Thomas Kent Gowin | Registered representative | Oct 2019 (7y) | ||
| Thorp Randolph Harrison | Registered representative | Oct 2019 (7y) | ||
| Timothy Olin Dally | Registered representative | Oct 2019 (7y) | ||
| Timothy Todd Oetken | Registered representative | CFP | Oct 2019 (7y) | |
| Toni Jean Francis | Registered representative | Oct 2019 (7y) | ||
| Tracy Diane Gangone | Registered representative | Oct 2019 (7y) | ||
| Trey Michael Mulligan | Registered representative | Oct 2019 (7y) | ||
| Tricia M. Hollander Henning | Registered representative | Oct 2019 (7y) | ||
| Troy Allen Reynolds | Registered representative | Oct 2019 (7y) | ||
| Vadim A Morozov | Registered representative | Oct 2019 (7y) | ||
| Valoria Lynn Bailey | Registered representative | Oct 2019 (7y) | ||
| Walter Joseph Sokira | Registered representative | Oct 2019 (7y) | ||
| Waymon Reuben Tipton | Registered representative | CFA | Oct 2019 (7y) | |
| William Andrew Hawley | Registered representative | Oct 2019 (7y) | ||
| William Anthony Dugger | Registered representative | Oct 2019 (7y) | ||
| William Cornelius Paarlberg | Registered representative | Oct 2019 (7y) | ||
| William Earl Bradford | Registered representative | Oct 2019 (7y) | ||
| William Ray Wobbe | Registered representative | Oct 2019 (7y) | ||
| William Ryan Reed | Registered representative | Oct 2019 (7y) | ||
| William Samuel Sawyer | Registered representative | Oct 2019 (7y) | ||
| William Sory Fuller | Registered representative | Oct 2019 (7y) | ||
| William W Simonds | Registered representative | Oct 2019 (7y) | ||
| Winthrop Allen Stites | Registered representative | Oct 2019 (7y) | ||
| Wayne W. De Bruyn | Registered representative | CFP | Oct 2019 (7y) | |
| Yano Karim Touma | Registered representative | Oct 2019 (7y) | ||
| Yazeed Raghadan Rabadi | Registered representative | Oct 2019 (7y) | ||
| Zachary William Sanctis | Registered representative | Oct 2019 (7y) | ||
| Zackary Stuart William Smith | Registered representative | Oct 2019 (7y) | ||
| Jeffrey Wayne Griffin | Registered representative | Oct 2019 (7y) | ||
| Christopher Shannon Williams | Registered representative | Oct 2019 (7y) | ||
| Deborah A Cecsarini | Registered representative | Oct 2019 (7y) | ||
| Joseph D Luedke | Registered representative | Oct 2019 (7y) | ||
| Kelly Christine Ruoff | Registered representative | Oct 2019 (7y) | ||
| Matthew Ryan Molnar | Registered representative | Nov 2019 (7y) | ||
| Alexander J Phillips | Registered representative | Nov 2019 (7y) | ||
| Andrew Scott Mullins | Registered representative | Nov 2019 (7y) | ||
| Ashley T Anderson | Registered representative | Nov 2019 (7y) | ||
| Justin Wade Holtz | Registered representative | Nov 2019 (7y) | ||
| Kimberly L Didra | Registered representative | Nov 2019 (7y) | ||
| Thomas M Brophy | Registered representative | Nov 2019 (7y) | ||
| Jodi C Steczynski | Registered representative | Dec 2019 (7y) | ||
| Michael T Corbett | Registered representative | Dec 2019 (7y) | ||
| Charles A Jessup | Registered representative | Jan 2020 (7y) | ||
| Joshua Richard Carstens | Registered representative | Jan 2020 (7y) | ||
| Troy M Yaldoo | Registered representative | CFP | Feb 2020 (6y) | |
| Angela Higgins | Registered representative | Feb 2020 (6y) | ||
| Nicholas A Cafaro | Registered representative | Feb 2020 (6y) | ||
| Jeffrey Paul Forche | Registered representative | Feb 2020 (6y) | ||
| Katrina Marie Butler | Registered representative | Feb 2020 (6y) | ||
| Glen Wright | Registered representative | CFP | Feb 2020 (6y) | |
| Edmond Konrad | Registered representative | Feb 2020 (6y) | ||
| Gabrielle L Fabre | Registered representative | Mar 2020 (6y) | ||
| Rim Yahia | Registered representative | Mar 2020 (6y) | ||
| Thomas Clark Phillips | Registered representative | Mar 2020 (6y) | ||
| Cecilia De La Cruz | Registered representative | CFP | Mar 2020 (6y) | |
| Chase Ekins Gulick | Registered representative | Mar 2020 (6y) | ||
| Lyle J Fitterer | Registered representative | CFA | Apr 2020 (6y) | |
| Taylor John Paules | Registered representative | Apr 2020 (6y) | ||
| James W Stocker | Registered representative | May 2020 (6y) | ||
| Joshua L Horsley | Registered representative | May 2020 (6y) | ||
| Dale S Ditto | Registered representative | May 2020 (6y) | ||
| Richard Edmund Shore | Registered representative | May 2020 (6y) | ||
| Brett C Lange | Registered representative | May 2020 (6y) | ||
| Kayla J Hollenbeck | Registered representative | May 2020 (6y) | ||
| Mack D Johnson | Registered representative | Jun 2020 (6y) | ||
| Thomas Gresham Keeler | Registered representative | Jun 2020 (6y) | ||
| Jennifer L Hawthorne | Registered representative | Jun 2020 (6y) | ||
| John S Den Beste | Registered representative | Jun 2020 (6y) | ||
| Cynthia Marie Schoen | Registered representative | CFP | Jun 2020 (6y) | |
| Denise Vonhof | Registered representative | Jun 2020 (6y) | ||
| Judy Marie Ruiz | Registered representative | Jun 2020 (6y) | ||
| Ryan James Allen | Registered representative | CFP | Jun 2020 (6y) | |
| Steve Hour Heng | Registered representative | CFP | Jun 2020 (6y) | |
| Diane M St. John | Registered representative | Jun 2020 (6y) | ||
| Mark Alexander Cole | Registered representative | Jun 2020 (6y) | ||
| Robert James Buschur | Registered representative | Jun 2020 (6y) | ||
| Tynessa C Lowe | Registered representative | Jul 2020 (6y) | ||
| William Kerry Mc Ginty | Registered representative | Jul 2020 (6y) | ||
| Andrew D Seiler | Registered representative | Jul 2020 (6y) | ||
| Derek B Pease | Registered representative | Jul 2020 (6y) | ||
| Tyler John Pittman | Registered representative | Jul 2020 (6y) | ||
| Philip Moreland Stathos | Registered representative | Jul 2020 (6y) | ||
| Michael J Vander Roest | Registered representative | Jul 2020 (6y) | ||
| Anna Marie Jaeger | Registered representative | Aug 2020 (6y) | ||
| Christian Shannon Barry | Registered representative | Aug 2020 (6y) | ||
| Steven Vincent Fischetti | Registered representative | Aug 2020 (6y) | ||
| Eric D Schieman | Registered representative | Aug 2020 (6y) | ||
| Bridget L Cesar | Registered representative | Aug 2020 (6y) | ||
| Connor M Leahy | Registered representative | Aug 2020 (6y) | ||
| Quentin C Kraft | Registered representative | Aug 2020 (6y) | ||
| Mitchell J Mundy | Registered representative | Sep 2020 (6y) | ||
| Andrew Merrell Parker | Registered representative | CFP | Sep 2020 (6y) | |
| Clay Wilson Buttrey | Registered representative | Sep 2020 (6y) | ||
| Richard Troy Law | Registered representative | Sep 2020 (6y) | ||
| Nathan William Gunderson | Registered representative | Sep 2020 (6y) | ||
| Elizabeth Cain Moore | Registered representative | Sep 2020 (6y) | ||
| Marisa Breton Dollard | Registered representative | Sep 2020 (6y) | ||
| Shea L Mc Creight | Registered representative | Sep 2020 (6y) | ||
| Michael Paul Hilbert | Registered representative | Oct 2020 (6y) | ||
| Kirsten Lynn Wiley | Registered representative | Oct 2020 (6y) | ||
| Kimberly Marie Erkonen | Registered representative | Oct 2020 (6y) | ||
| Phillip R Lodzinski | Registered representative | Oct 2020 (6y) | ||
| Ann Treml Olson | Registered representative | CFP | Oct 2020 (6y) | |
| Thomas C Kerner | Registered representative | Oct 2020 (6y) | ||
| Teresa Ann Debeau | Registered representative | Oct 2020 (6y) | ||
| Mark Thomas Miner | Registered representative | Nov 2020 (6y) | ||
| Curtis Alan Hamilton | Registered representative | Nov 2020 (6y) | ||
| Michael Bradley East | Registered representative | Nov 2020 (6y) | ||
| Abigail Landrum | Registered representative | Nov 2020 (6y) | ||
| John Michael Peniche | Registered representative | Nov 2020 (6y) | ||
| Mario Rene Perez | Registered representative | Nov 2020 (6y) | ||
| Kayji J Arai | Registered representative | Nov 2020 (6y) | ||
| Elizabeth Silverman Weiss | Registered representative | Dec 2020 (6y) | ||
| Susan Grant Palombo | Registered representative | Dec 2020 (6y) | ||
| Dylan Wyatt Shendell | Registered representative | Dec 2020 (6y) | ||
| Donald Roderick Thacker | Registered representative | Chartered Financial Consultant | Dec 2020 (6y) | |
| Mark Gerald Duffy | Registered representative | Dec 2020 (6y) | ||
| Matthew M Liston | Registered representative | Dec 2020 (6y) | ||
| John F Stepp | Registered representative | Dec 2020 (6y) | ||
| Elizabeth K Baird | Registered representative | Dec 2020 (6y) | ||
| Melanie S Mathis | Registered representative | Dec 2020 (6y) | ||
| Marilyn Ann Ward | Registered representative | Dec 2020 (6y) | ||
| David G Bauer | Registered representative | Jan 2021 (6y) | ||
| Mollie Denise Savage Wray | Registered representative | Jan 2021 (6y) | ||
| Sam Clay Ellington | Registered representative | CFA | Jan 2021 (6y) | |
| Anna C Ferkel | Registered representative | Jan 2021 (6y) | ||
| Michelle R Dowling | Registered representative | Jan 2021 (6y) | ||
| Brian P. P Brennan | Registered representative | Jan 2021 (6y) | ||
| Frank Carlo Ferritto | Registered representative | Jan 2021 (6y) | ||
| Gayle Marlene Martin | Registered representative | CFP | Jan 2021 (6y) | |
| Chase Drew Thomas | Registered representative | Jan 2021 (6y) | ||
| John Stephen Boots | Registered representative | Feb 2021 (5y) | ||
| Rachel Dalton | Registered representative | Feb 2021 (5y) | ||
| Lawrence Edward Taylor | Registered representative | Feb 2021 (5y) | ||
| Amy Taylor Ray | Registered representative | Feb 2021 (5y) | ||
| Amber Raye Willoughby | Registered representative | Feb 2021 (5y) | ||
| Catherine Elizabeth Konicek | Registered representative | Feb 2021 (5y) | ||
| Lisa Ladds Doche | Registered representative | Mar 2021 (5y) | ||
| Sarah Margaret Loe | Registered representative | Mar 2021 (5y) | ||
| Tyler J Hutchison | Registered representative | Mar 2021 (5y) | ||
| Alex J Kratz | Registered representative | Mar 2021 (5y) | ||
| Tashina A Davis | Registered representative | Mar 2021 (5y) | ||
| David Benfield Burks | Registered representative | Mar 2021 (5y) | ||
| Brooke Shea Mcconahy | Registered representative | Mar 2021 (5y) | ||
| Carson Ebert | Registered representative | Mar 2021 (5y) | ||
| Joshua L Colburn | Registered representative | Mar 2021 (5y) | ||
| Mandy L Hess | Registered representative | Mar 2021 (5y) | ||
| Rachel L Leinon | Registered representative | Mar 2021 (5y) | ||
| Jeffery James Todd | Registered representative | Apr 2021 (5y) | ||
| Kellie Ladawn Rixse | Registered representative | Apr 2021 (5y) | ||
| John Robert Weinert | Registered representative | Apr 2021 (5y) | ||
| Toby John Weinert | Registered representative | Apr 2021 (5y) | ||
| William David Furlow | Registered representative | Apr 2021 (5y) | ||
| James Christopher Galkowski | Registered representative | CFP | Apr 2021 (5y) | |
| Jill Marie Roux | Registered representative | Apr 2021 (5y) | ||
| Connor P Dennehy | Registered representative | May 2021 (5y) | ||
| Mary Elizabeth Baumer | Registered representative | May 2021 (5y) | ||
| Garrett H Sweere | Registered representative | May 2021 (5y) | ||
| Melanie Jeannine Schmieding | Registered representative | May 2021 (5y) | ||
| Ryan W Eastman | Registered representative | May 2021 (5y) | ||
| William Scott Schlofman | Registered representative | May 2021 (5y) | ||
| Samuel Michael Johnson | Registered representative | May 2021 (5y) | ||
| Matthew J Mc Guire | Registered representative | Jun 2021 (5y) | ||
| Eric Theodore Gaston | Registered representative | Jun 2021 (5y) | ||
| Joseph Clayton Ostrom | Registered representative | Jun 2021 (5y) | ||
| Gunnar C Berg | Registered representative | Jun 2021 (5y) | ||
| Amy S Hanlin | Registered representative | Jun 2021 (5y) | ||
| James Alan Leveille | Registered representative | Jun 2021 (5y) | ||
| Kaylee M Montanez | Registered representative | Jun 2021 (5y) | ||
| Stewart James Parker | Registered representative | Jun 2021 (5y) | ||
| Colin W Evans | Registered representative | Jun 2021 (5y) | ||
| Amanda J Thompson | Registered representative | Jun 2021 (5y) | ||
| Timothy Marc Steffen | Registered representative | Jun 2021 (5y) | ||
| Christina Michelle Yards | Registered representative | Jun 2021 (5y) | ||
| Robert S King | Registered representative | CFA | Jun 2021 (5y) | |
| Nicholas C Hamilton | Registered representative | Jul 2021 (5y) | ||
| Blair Coffman Martin | Registered representative | Jul 2021 (5y) | ||
| Kevin D Sokira | Registered representative | Jul 2021 (5y) | ||
| Stephen Robert Hatcher | Registered representative | Jul 2021 (5y) | ||
| Tedra C Pine | Registered representative | CFP | Jul 2021 (5y) | |
| Michael J Delgadillo | Registered representative | Jul 2021 (5y) | ||
| Alexandra Lauren Spangler | Registered representative | Jul 2021 (5y) | ||
| Cody B Barfknecht | Registered representative | Jul 2021 (5y) | ||
| Erin Rebecca Hajdu | Registered representative | Jul 2021 (5y) | ||
| Karla V Taylor | Registered representative | Jul 2021 (5y) | ||
| Billie Ann Wilson | Registered representative | Jul 2021 (5y) | ||
| Madeline Claire Masterson | Registered representative | Jul 2021 (5y) | ||
| Malia Ann Josefa Watkins | Registered representative | Jul 2021 (5y) | ||
| Kimberly Sue Vollman | Registered representative | Jul 2021 (5y) | ||
| Kimberley Kresha Marie Wren | Registered representative | Jul 2021 (5y) | ||
| Jordan L Schanen | Registered representative | Aug 2021 (5y) | ||
| Kelly M Meshaw | Registered representative | Aug 2021 (5y) | ||
| Mason M Loth | Registered representative | Aug 2021 (5y) | ||
| Katrina Michelle Buhl | Registered representative | Aug 2021 (5y) | ||
| Marisela Garcia | Registered representative | Aug 2021 (5y) | ||
| Campbell Ort Jenkins | Registered representative | Sep 2021 (5y) | ||
| Bobby Burns | Registered representative | Sep 2021 (5y) | ||
| Kimberly S Benefield | Registered representative | Sep 2021 (5y) | ||
| Thomas J Lawton | Registered representative | Sep 2021 (5y) | ||
| Margaret Lunsford | Registered representative | Sep 2021 (5y) | ||
| Sally Margaret Mary Alston | Registered representative | Sep 2021 (5y) | ||
| Alice J Gibson | Registered representative | Sep 2021 (5y) | ||
| Theodore J Linn | Registered representative | Sep 2021 (5y) | ||
| William Charles Buchman | Registered representative | Sep 2021 (5y) | ||
| Andrew R Smith | Registered representative | Sep 2021 (5y) | ||
| Yasmeen Muhammad | Registered representative | Oct 2021 (5y) | ||
| Casey R Castor | Registered representative | Oct 2021 (5y) | ||
| Austin L Schonbrun | Registered representative | CFP | Oct 2021 (5y) | |
| Joshua Alexander Chambers | Registered representative | Oct 2021 (5y) | ||
| Shelly Christine Nelson | Registered representative | Oct 2021 (5y) | ||
| Michael L Mindes | Registered representative | CFP | Oct 2021 (5y) | |
| Brian Matthew Kelso | Registered representative | Oct 2021 (5y) | ||
| Katherine Lindley O'bryan | Registered representative | Oct 2021 (5y) | ||
| Angelo Ciliento | Registered representative | CFP | Oct 2021 (5y) | |
| Christopher J Cusack | Registered representative | Oct 2021 (5y) | ||
| Coleman K Schindler | Registered representative | Oct 2021 (5y) | ||
| Anthony Michael Moffa | Registered representative | CFP | Nov 2021 (5y) | |
| Bailey Elizabeth Adkins | Registered representative | Nov 2021 (5y) | ||
| Robert J Cruse | Registered representative | Nov 2021 (5y) | ||
| Gregory Clement Longtine | Registered representative | CFP | Nov 2021 (5y) | |
| Robert Gordon Wilkerson | Registered representative | CFP | Nov 2021 (5y) | |
| Gabriella M Maniaci | Registered representative | CFP | Nov 2021 (5y) | |
| Skylynd R Kahat | Registered representative | Nov 2021 (5y) | ||
| Andrew Sabel | Registered representative | Nov 2021 (5y) | ||
| Joanna M La Rosa | Registered representative | Nov 2021 (5y) | ||
| Robert J Schultz | Registered representative | Nov 2021 (5y) | ||
| Sara Marie Brown | Registered representative | Nov 2021 (5y) | ||
| Gena Lee Gooding | Registered representative | Nov 2021 (5y) | ||
| Andrew William Wulf | Registered representative | Nov 2021 (5y) | ||
| Dedrie Toney Bingham | Registered representative | Nov 2021 (5y) | ||
| Lynn Whitten Garrick | Registered representative | Nov 2021 (5y) | ||
| Alison C Frederick | Registered representative | Nov 2021 (5y) | ||
| Andrew S Melick | Registered representative | Nov 2021 (5y) | ||
| Gunnar Richard Meyers | Registered representative | Nov 2021 (5y) | ||
| Grant M Reffett | Registered representative | Nov 2021 (5y) | ||
| Jill S Frye | Registered representative | Nov 2021 (5y) | ||
| Michael Timothy Clark | Registered representative | CFP | Nov 2021 (5y) | |
| Brian Harper Heidelbach | Registered representative | Nov 2021 (5y) | ||
| Heather May Brockie | Registered representative | Nov 2021 (5y) | ||
| Victor Masaru Kizushi | Registered representative | Nov 2021 (5y) | ||
| Carl L Schemm | Registered representative | CFA | Dec 2021 (5y) | |
| Jeffrey Scott Roberts | Registered representative | Dec 2021 (5y) | ||
| Brigid C Rypien | Registered representative | CFP | Dec 2021 (5y) | |
| Thomas Blair Craven | Registered representative | Dec 2021 (5y) | ||
| Hersh M Kumbhani | Registered representative | Dec 2021 (5y) | ||
| Allen P Hamilton | Registered representative | Dec 2021 (5y) | ||
| Julia M Stelloh | Registered representative | Personal Financial Specialist | Jan 2022 (5y) | |
| Kevin D Karpay | Registered representative | Jan 2022 (5y) | ||
| Andrew Hunter Williams | Registered representative | Jan 2022 (5y) | ||
| Celene M Funke | Registered representative | CFP | Jan 2022 (5y) | |
| Hannah M Wright | Registered representative | Jan 2022 (5y) | ||
| John Peter Orsi | Registered representative | Jan 2022 (5y) | ||
| Benjamin T Ihrke | Registered representative | Jan 2022 (5y) | ||
| Norena M Kirwan | Registered representative | Jan 2022 (5y) | ||
| Amy Jo Rice | Registered representative | Jan 2022 (5y) | ||
| Briana J Mullenax | Registered representative | Jan 2022 (5y) | ||
| Allison Michelle Haller Menke | Registered representative | Jan 2022 (5y) | ||
| Patricia Ann Latimer | Registered representative | Jan 2022 (5y) | ||
| Ashley Mcpherson Apanowicz | Registered representative | Feb 2022 (4y) | ||
| Randall Benjamin Stallings | Registered representative | Feb 2022 (4y) | ||
| Laura Elizabeth Gilbert | Registered representative | Feb 2022 (4y) | ||
| Albert Pompeo | Registered representative | CFP | Feb 2022 (4y) | |
| Dena J Guthrie | Registered representative | Feb 2022 (4y) | ||
| Tricia Nicole Bivens | Registered representative | Feb 2022 (4y) | ||
| Susan B Anderson | Registered representative | CFP | Feb 2022 (4y) | |
| Patrick C. O'connor | Registered representative | Feb 2022 (4y) | ||
| Scott D Shadid | Registered representative | Feb 2022 (4y) | ||
| Thomas B Helms | Registered representative | CFP | Feb 2022 (4y) | |
| Alec Paul Johnson | Registered representative | Feb 2022 (4y) | ||
| Tiffany Amber Davenport | Registered representative | Feb 2022 (4y) | ||
| Steven Thomas Gifford | Registered representative | Mar 2022 (4y) | ||
| Andrew Michael Laudicina | Registered representative | Mar 2022 (4y) | ||
| Erin E Gray | Registered representative | Mar 2022 (4y) | ||
| Jessica J Tai | Registered representative | Mar 2022 (4y) | ||
| John Lee Arnold | Registered representative | Mar 2022 (4y) | ||
| Lisa Ann Peterson | Registered representative | Mar 2022 (4y) | ||
| Cindy Carson Bergman | Registered representative | Mar 2022 (4y) | ||
| Samuel William Tvedt | Registered representative | Mar 2022 (4y) | ||
| Rachel E King | Registered representative | Mar 2022 (4y) | ||
| Allison E Fantetti | Registered representative | Mar 2022 (4y) | ||
| Joseph C Voight | Registered representative | Mar 2022 (4y) | ||
| Richard Roy Hansen | Registered representative | Apr 2022 (4y) | ||
| Zachary Alan Chamberlain | Registered representative | CFP Chartered Financial Consultant | Apr 2022 (4y) | |
| Jonah L Durham | Registered representative | Apr 2022 (4y) | ||
| Thomas R Graham | Registered representative | Apr 2022 (4y) | ||
| James T Puissant | Registered representative | Apr 2022 (4y) | ||
| Chelsea Lynn Colvin | Registered representative | Apr 2022 (4y) | ||
| Vincent Ronald Pyne | Registered representative | Apr 2022 (4y) | ||
| Rebekah Jennifer Bozich | Registered representative | Apr 2022 (4y) | ||
| Nathaniel David Radke | Registered representative | May 2022 (4y) | ||
| Jack R Seitz | Registered representative | May 2022 (4y) | ||
| Esley J Henkes | Registered representative | May 2022 (4y) | ||
| Tyler M Guy | Registered representative | May 2022 (4y) | ||
| Joshua S Meredith | Registered representative | May 2022 (4y) | ||
| Lyssa K Mc Gauran | Registered representative | May 2022 (4y) | ||
| Roshan Tamang | Registered representative | May 2022 (4y) | ||
| Emma R Thompson | Registered representative | Jun 2022 (4y) | ||
| Matthew W Hobbs Mallyon | Registered representative | Jun 2022 (4y) | ||
| Kelley E Kochendorfer | Registered representative | Jun 2022 (4y) | ||
| Jane E Hubbard | Registered representative | Jun 2022 (4y) | ||
| Brittany Leigh Prokash | Registered representative | Jun 2022 (4y) | ||
| Dominic G Monk | Registered representative | Jun 2022 (4y) | ||
| Harold F Lichter | Registered representative | Jun 2022 (4y) | ||
| Monica Rincon | Registered representative | Jun 2022 (4y) | ||
| Natalia A Reyes | Registered representative | Jun 2022 (4y) | ||
| Michael Evan Vassar | Registered representative | CFP | Jul 2022 (4y) | |
| Derek J Bonifer | Registered representative | CFA | Jul 2022 (4y) | |
| John R Craddock | Registered representative | CFA | Jul 2022 (4y) | |
| Benjamin Hamblin | Registered representative | Jul 2022 (4y) | ||
| Jenna M Beaver | Registered representative | Jul 2022 (4y) | ||
| Jonathan Forrest Lusk | Registered representative | Jul 2022 (4y) | ||
| Nichol Elizabeth Rogers | Registered representative | CFP | Jul 2022 (4y) | |
| Robert Nels Jacobsen | Registered representative | Jul 2022 (4y) | ||
| Rebecca L Jacobs | Registered representative | Aug 2022 (4y) | ||
| Alex Edward Maher | Registered representative | Aug 2022 (4y) | ||
| Jacklyn Brooke Cassady | Registered representative | CFP | Aug 2022 (4y) | |
| Ethan Nils Arneson | Registered representative | Aug 2022 (4y) | ||
| Andrew D Schmitz | Registered representative | Aug 2022 (4y) | ||
| Michelle Marie Oldham | Registered representative | Aug 2022 (4y) | ||
| Connor J Day | Registered representative | Aug 2022 (4y) | ||
| Anders Peter Sandberg | Registered representative | CFP | Aug 2022 (4y) | |
| Samantha A Leber | Registered representative | Aug 2022 (4y) | ||
| Sierra Elleseg | Registered representative | Aug 2022 (4y) | ||
| Armando Joseph Cruz | Registered representative | Aug 2022 (4y) | ||
| Antoinette S Bennett | Registered representative | Sep 2022 (4y) | ||
| Lucas H Cardon | Registered representative | Sep 2022 (4y) | ||
| Grant K Rohleder | Registered representative | Sep 2022 (4y) | ||
| Aimee E Morrin | Registered representative | CFP | Sep 2022 (4y) | |
| Philip Scott Park | Registered representative | Sep 2022 (4y) | ||
| Spring Bennett | Registered representative | Sep 2022 (4y) | ||
| Timothy R Fotsch | Registered representative | CFA | Sep 2022 (4y) | |
| Jason William Braunstein | Registered representative | Sep 2022 (4y) | ||
| Jamie L Hatter | Registered representative | Sep 2022 (4y) | ||
| Charles M Hughes | Registered representative | Sep 2022 (4y) | ||
| Jordan Betty Bathey | Registered representative | Oct 2022 (4y) | ||
| Samantha M Anderson | Registered representative | Oct 2022 (4y) | ||
| John R Pamplin | Registered representative | Oct 2022 (4y) | ||
| Chelsey R Mathias | Registered representative | Oct 2022 (4y) | ||
| Rachel Robinson Florence | Registered representative | Oct 2022 (4y) | ||
| Samuel Todd Lee | Registered representative | Oct 2022 (4y) | ||
| Nash S Jackson | Registered representative | Oct 2022 (4y) | ||
| William J Trasowech | Registered representative | Oct 2022 (4y) | ||
| Colleen V Reed | Registered representative | Oct 2022 (4y) | ||
| Corbin Nicholas Weyer | Registered representative | CFA | Oct 2022 (4y) | |
| Sara A Rogier | Registered representative | Oct 2022 (4y) | ||
| Adam Paul Davidson | Registered representative | CFP | Oct 2022 (4y) | |
| Adam William Hubert | Registered representative | Oct 2022 (4y) | ||
| Alexandra Suzanne Sanzone | Registered representative | CFP | Oct 2022 (4y) | |
| Alfred Dominic Vallano | Registered representative | Oct 2022 (4y) | ||
| Allison Marie O'brien | Registered representative | CFP | Oct 2022 (4y) | |
| Allison Marie Deklewa | Registered representative | Oct 2022 (4y) | ||
| Amanda Gail Blount | Registered representative | Oct 2022 (4y) | ||
| Amanda Mccue Taylor | Registered representative | Oct 2022 (4y) | ||
| Amy Lynn Riley | Registered representative | Oct 2022 (4y) | ||
| Andrew Beecher Patterson | Registered representative | Oct 2022 (4y) | ||
| Andrew Craig Aufderheide | Registered representative | Oct 2022 (4y) | ||
| Aryeh Goldberg | Registered representative | Oct 2022 (4y) | ||
| Belynda D Slaugenhaupt | Registered representative | CFP | Oct 2022 (4y) | |
| Benjamin L. Montgomery | Registered representative | CFP | Oct 2022 (4y) | |
| Bradley Alexander Colvin | Registered representative | Oct 2022 (4y) | ||
| Bradley Edward Dishart | Registered representative | Oct 2022 (4y) | ||
| Brandon Donald Hook | Registered representative | CFP | Oct 2022 (4y) | |
| Brandon James Coppa | Registered representative | Oct 2022 (4y) | ||
| Brent Fisher Heitzenroder | Registered representative | Oct 2022 (4y) | ||
| Brent G. Ulreich | Registered representative | CFP | Oct 2022 (4y) | |
| Brian David Kocherzat | Registered representative | CFA | Oct 2022 (4y) | |
| Chad James Edwards | Registered representative | CFP | Oct 2022 (4y) | |
| Chad James Restori | Registered representative | CFP | Oct 2022 (4y) | |
| Chris Alexander George | Registered representative | Oct 2022 (4y) | ||
| Christine Heitzenroder Farrell | Registered representative | Oct 2022 (4y) | ||
| Corey R Utz | Registered representative | CFP | Oct 2022 (4y) | |
| Craig Arthur Tillotson | Registered representative | Oct 2022 (4y) | ||
| Craig Robert Mcroberts | Registered representative | Oct 2022 (4y) | ||
| Daniel C Richmond | Registered representative | CFP | Oct 2022 (4y) | |
| Daniel Friedrich Goss | Registered representative | Oct 2022 (4y) | ||
| Danielle Nicole Hines | Registered representative | Oct 2022 (4y) | ||
| Darren Lee Hucko | Registered representative | CFP | Oct 2022 (4y) | |
| David Michael Pifer | Registered representative | CFP | Oct 2022 (4y) | |
| David William Riehl | Registered representative | CFP | Oct 2022 (4y) | |
| Debbie L Montag Evans | Registered representative | Oct 2022 (4y) | ||
| Deron Mark Donalson | Registered representative | Oct 2022 (4y) | ||
| Dustin Drew Thompson | Registered representative | Oct 2022 (4y) | ||
| Eric Matthew Mozur | Registered representative | Oct 2022 (4y) | ||
| Erik Michael Lenyk | Registered representative | Oct 2022 (4y) | ||
| Evan William Gorse | Registered representative | CFP | Oct 2022 (4y) | |
| Frederick Guy Clerici | Registered representative | Oct 2022 (4y) | ||
| Gina Gianni Harbison | Registered representative | Oct 2022 (4y) | ||
| Grant Donald Fleming | Registered representative | CFP | Oct 2022 (4y) | |
| Gregory Paul Farrell | Registered representative | CFP | Oct 2022 (4y) | |
| Jack Ryan Ellenberger | Registered representative | CFP | Oct 2022 (4y) | |
| James Gerard Meredith | Registered representative | Personal Financial Specialist | Oct 2022 (4y) | |
| James Levi Alderson | Registered representative | Oct 2022 (4y) | ||
| James T Meredith | Registered representative | CFA | Oct 2022 (4y) | |
| Jamie Lyn Roach | Registered representative | Oct 2022 (4y) | ||
| Janine Marie Hauck | Registered representative | Oct 2022 (4y) | ||
| Jason Michael Harrison | Registered representative | Oct 2022 (4y) | ||
| Jay Michael Simon | Registered representative | CFP | Oct 2022 (4y) | |
| Jessica Ann Green | Registered representative | Oct 2022 (4y) | ||
| John C. Mackie | Registered representative | Oct 2022 (4y) | ||
| John Robert Chamberland | Registered representative | CFP | Oct 2022 (4y) | |
| John Russell Kautz | Registered representative | Oct 2022 (4y) | ||
| Jonathan Mark Mcmonigal | Registered representative | CFP | Oct 2022 (4y) | |
| Joseph D Thompson | Registered representative | Oct 2022 (4y) | ||
| Joseph Michael Yezovich | Registered representative | CFP CFA | Oct 2022 (4y) | |
| Joseph Nick Grunwald | Registered representative | CFP | Oct 2022 (4y) | |
| Joshua Dale Knapp | Registered representative | Oct 2022 (4y) | ||
| Justin George Grubisha | Registered representative | CFP | Oct 2022 (4y) | |
| Justin Matthew Yasko | Registered representative | CFP | Oct 2022 (4y) | |
| Katherine Rhodes Lust | Registered representative | CFP | Oct 2022 (4y) | |
| Kathryn Joyce Bruckner | Registered representative | Oct 2022 (4y) | ||
| Katie Elizabeth Bowers | Registered representative | Oct 2022 (4y) | ||
| Kenneth Kris Rodgers | Registered representative | Oct 2022 (4y) | ||
| Kenny Carl Mcgee | Registered representative | Oct 2022 (4y) | ||
| Kimberly Tillotson Fleming | Registered representative | CFA | Oct 2022 (4y) | |
| Kristen Elizabeth Sarver | Registered representative | Oct 2022 (4y) | ||
| Logan Andrew Dietz | Registered representative | CFP | Oct 2022 (4y) | |
| Lynn A. Hyde | Registered representative | Oct 2022 (4y) | ||
| Lyric Faith Schnur | Registered representative | Oct 2022 (4y) | ||
| Maria Ann Yezovich | Registered representative | Oct 2022 (4y) | ||
| Marybeth Abbiatici | Registered representative | Oct 2022 (4y) | ||
| Matthew Rand Reynolds | Registered representative | Oct 2022 (4y) | ||
| Matthew Steven Snider | Registered representative | CFP | Oct 2022 (4y) | |
| Melissa O'malley | Registered representative | CFP | Oct 2022 (4y) | |
| Michael Bryan Mc Kee | Registered representative | Oct 2022 (4y) | ||
| Michael Edward Horan | Registered representative | Oct 2022 (4y) | ||
| Michael Thomas Mcgrath | Registered representative | CFP | Oct 2022 (4y) | |
| Nancy Lynn Gunter | Registered representative | Oct 2022 (4y) | ||
| Nathan Thomas Kauffman | Registered representative | CFP | Oct 2022 (4y) | |
| Nicholas Glenn Mitchell | Registered representative | Oct 2022 (4y) | ||
| Nichole Marie Heide | Registered representative | Oct 2022 (4y) | ||
| Patricia Mary John | Registered representative | Oct 2022 (4y) | ||
| Randee Marie Baer | Registered representative | CFP | Oct 2022 (4y) | |
| Raymond Michael Ballantine | Registered representative | CFP | Oct 2022 (4y) | |
| Richard Michael Birch | Registered representative | Oct 2022 (4y) | ||
| Robert Eric Kerber | Registered representative | Oct 2022 (4y) | ||
| Robert Norman Rodgers | Registered representative | CFP | Oct 2022 (4y) | |
| Ryan Michael Larkin | Registered representative | Oct 2022 (4y) | ||
| Ryan Samuel Naples | Registered representative | Oct 2022 (4y) | ||
| Samantha Hirkala | Registered representative | Oct 2022 (4y) | ||
| Samuel Joseph Dippold | Registered representative | CFP | Oct 2022 (4y) | |
| Sean William Lawrence | Registered representative | Oct 2022 (4y) | ||
| Tammy Sue Neff | Registered representative | CFA | Oct 2022 (4y) | |
| Thomas Salisbury Edwards | Registered representative | Oct 2022 (4y) | ||
| Timothy J Hunkele | Registered representative | Oct 2022 (4y) | ||
| Timothy Martin Donoghue | Registered representative | Oct 2022 (4y) | ||
| Todd Steven Fleming | Registered representative | Oct 2022 (4y) | ||
| Travis Ned Barker | Registered representative | Oct 2022 (4y) | ||
| Tyler O. Vallano | Registered representative | Oct 2022 (4y) | ||
| Tyler Patrick Stone | Registered representative | Oct 2022 (4y) | ||
| Trevor Joel Mc Cance | Registered representative | Oct 2022 (4y) | ||
| William James Wilson | Registered representative | Oct 2022 (4y) | ||
| William Joseph Mancino | Registered representative | Oct 2022 (4y) | ||
| William Rice Scott | Registered representative | Oct 2022 (4y) | ||
| Kylie A Sprecher | Registered representative | Oct 2022 (4y) | ||
| Brittany Lyn Zeske | Registered representative | Oct 2022 (4y) | ||
| Rebecca M Teahen | Registered representative | Oct 2022 (4y) | ||
| Stefanie Linn Robinson | Registered representative | Oct 2022 (4y) | ||
| Victoria Marie Pietras | Registered representative | Oct 2022 (4y) | ||
| Bradley Mason Bartick | Registered representative | CFP | Nov 2022 (4y) | |
| Ileana C Musmanni | Registered representative | Nov 2022 (4y) | ||
| Samuel Bone Wheeler | Registered representative | Nov 2022 (4y) | ||
| George P Tolbert | Registered representative | Nov 2022 (4y) | ||
| Allison Starr Cassell | Registered representative | Nov 2022 (4y) | ||
| Lawrence Mc Grew Telle | Registered representative | Nov 2022 (4y) | ||
| Shannon M Radabaugh | Registered representative | Nov 2022 (4y) | ||
| Abram C Mc Wane | Registered representative | Nov 2022 (4y) | ||
| Brennan T Demark | Registered representative | Nov 2022 (4y) | ||
| Meredith Ann Weber | Registered representative | Nov 2022 (4y) | ||
| Xochitl Janeth Corona Russell | Registered representative | Nov 2022 (4y) | ||
| Jonathan Adam Huggins | Registered representative | Nov 2022 (4y) | ||
| Laura Catherine Batson | Registered representative | CFP | Nov 2022 (4y) | |
| Jack N Ritchay | Registered representative | Nov 2022 (4y) | ||
| Phoebe R Raybine | Registered representative | Nov 2022 (4y) | ||
| Brett Anthony White | Registered representative | Nov 2022 (4y) | ||
| Jack Andrew Spicer | Registered representative | Nov 2022 (4y) | ||
| John Christopher Leshock | Registered representative | Nov 2022 (4y) | ||
| Grace E Murrell | Registered representative | Dec 2022 (4y) | ||
| Gabriel G Diederich | Registered representative | CFA | Dec 2022 (4y) | |
| Jeffrey L Terhune | Registered representative | Dec 2022 (4y) | ||
| Preston B Stary | Registered representative | Dec 2022 (4y) | ||
| John S Cremer | Registered representative | CFA | Dec 2022 (4y) | |
| Louis B Kessinger | Registered representative | Dec 2022 (4y) | ||
| Patricia Ann Nyborg | Registered representative | Dec 2022 (4y) | ||
| Michelle Suzanne Hehl | Registered representative | Dec 2022 (4y) | ||
| Whitney L Heckert | Registered representative | Dec 2022 (4y) | ||
| Tara E Martin | Registered representative | Dec 2022 (4y) | ||
| George K Wong | Registered representative | Jan 2023 (4y) | ||
| Amy K Hall | Registered representative | Jan 2023 (4y) | ||
| Thomas M Houchens | Registered representative | CFP | Jan 2023 (4y) | |
| Kathleen Patrice Leith | Registered representative | Jan 2023 (4y) | ||
| Zachary J Richardson | Registered representative | Jan 2023 (4y) | ||
| Colin A Backert | Registered representative | Jan 2023 (4y) | ||
| Samuel Joseph Brinkman | Registered representative | Jan 2023 (4y) | ||
| Derek W Polczynski | Registered representative | Jan 2023 (4y) | ||
| Kevin J Newton | Registered representative | Jan 2023 (4y) | ||
| Whitney E Welch | Registered representative | Jan 2023 (4y) | ||
| Branson L Terrell | Registered representative | Feb 2023 (3y) | ||
| Sean W Doche | Registered representative | Feb 2023 (3y) | ||
| Mary Anne G Treen | Registered representative | Feb 2023 (3y) | ||
| Jeremy A Duksin | Registered representative | Feb 2023 (3y) | ||
| Ralph C Reed | Registered representative | Feb 2023 (3y) | ||
| Elizabeth A Duggan | Registered representative | Feb 2023 (3y) | ||
| Paul E Ramsey | Registered representative | Mar 2023 (3y) | ||
| Andrew J Mac Dougall | Registered representative | CFP Chartered Financial Consultant | Mar 2023 (3y) | |
| Savanna Atlas | Registered representative | Mar 2023 (3y) | ||
| Sara S Holler | Registered representative | Mar 2023 (3y) | ||
| Amy S Ashton | Registered representative | Mar 2023 (3y) | ||
| Elliott A Sternberg | Registered representative | CFP | Mar 2023 (3y) | |
| Jessica L Vecitis | Registered representative | Mar 2023 (3y) | ||
| Idris Herring | Registered representative | Mar 2023 (3y) | ||
| Rachel Nicole Buckingham | Registered representative | Mar 2023 (3y) | ||
| Alyssa Z Cedela | Registered representative | Mar 2023 (3y) | ||
| Jackson J Graham | Registered representative | Mar 2023 (3y) | ||
| Matthew Frank Zerhusen | Registered representative | Mar 2023 (3y) | ||
| Raymond C Cisneros | Registered representative | Mar 2023 (3y) | ||
| Jacob Etler | Registered representative | Apr 2023 (3y) | ||
| Padee Sayaovong | Registered representative | Apr 2023 (3y) | ||
| Carrie A Berard | Registered representative | Apr 2023 (3y) | ||
| Brittany M Lee | Registered representative | Apr 2023 (3y) | ||
| Casey J Crandall | Registered representative | Apr 2023 (3y) | ||
| Viktoria L Nielsen | Registered representative | Apr 2023 (3y) | ||
| Monica S Siebert | Registered representative | Apr 2023 (3y) | ||
| Brett Allen Selke | Registered representative | Apr 2023 (3y) | ||
| Michelle A Kemmer | Registered representative | Apr 2023 (3y) | ||
| Micah D Dykema | Registered representative | Apr 2023 (3y) | ||
| Brandon D Maxwell | Registered representative | Apr 2023 (3y) | ||
| Mathew Basham | Registered representative | Apr 2023 (3y) | ||
| Jennifer Joy Nava | Registered representative | May 2023 (3y) | ||
| John Joseph Henry Fuggi | Registered representative | May 2023 (3y) | ||
| Karen M Keuper | Registered representative | CFP | May 2023 (3y) | |
| James William Mcguire | Registered representative | May 2023 (3y) | ||
| John R Schaffstein | Registered representative | May 2023 (3y) | ||
| Brianna L Hoskins | Registered representative | May 2023 (3y) | ||
| Jesus Ivan Baez | Registered representative | May 2023 (3y) | ||
| Gregory M Porath | Registered representative | May 2023 (3y) | ||
| Veruschka Halligan | Registered representative | CFP | May 2023 (3y) | |
| Blake D Jensen | Registered representative | May 2023 (3y) | ||
| Madeline J Rosser | Registered representative | May 2023 (3y) | ||
| Caleb C Francis | Registered representative | May 2023 (3y) | ||
| Devon Schwartzwalder Payne | Registered representative | May 2023 (3y) | ||
| Joseph B Goldfine | Registered representative | Jun 2023 (3y) | ||
| Charles David Hoover | Registered representative | Jun 2023 (3y) | ||
| Colleen J. Neuendorffer | Registered representative | Jun 2023 (3y) | ||
| Katelyn S King | Registered representative | Jun 2023 (3y) | ||
| Brendan F Watts | Registered representative | Jun 2023 (3y) | ||
| Henry T Schlenker | Registered representative | Jun 2023 (3y) | ||
| Sebeat Idoska | Registered representative | Jun 2023 (3y) | ||
| Susan Dawson | Registered representative | Jun 2023 (3y) | ||
| Brianna Marie Kvam | Registered representative | Jun 2023 (3y) | ||
| Tanya V Yaneva | Registered representative | Jun 2023 (3y) | ||
| Stephen W Morse | Registered representative | Jun 2023 (3y) | ||
| Thomas J Fleischmann | Registered representative | CFP | Jul 2023 (3y) | |
| Evan S Schuetze | Registered representative | Jul 2023 (3y) | ||
| Paul Anthony Koch | Registered representative | Jul 2023 (3y) | ||
| Ann M Haase | Registered representative | Jul 2023 (3y) | ||
| John M Liston | Registered representative | Jul 2023 (3y) | ||
| Mark P Witter | Registered representative | Jul 2023 (3y) | ||
| Matthew Thomas Stanhope | Registered representative | Jul 2023 (3y) | ||
| Brianna Lee Hook | Registered representative | Jul 2023 (3y) | ||
| Kathleen Watson Ward | Registered representative | Jul 2023 (3y) | ||
| Teresa P Brennan | Registered representative | Jul 2023 (3y) | ||
| Brandon David Moore | Registered representative | Aug 2023 (3y) | ||
| Ronald J Salmon | Registered representative | Aug 2023 (3y) | ||
| Taylor A Koch | Registered representative | Aug 2023 (3y) | ||
| Jill Elizabeth Bobinski | Registered representative | Aug 2023 (3y) | ||
| Elizabeth M Vincek | Registered representative | Aug 2023 (3y) | ||
| James M Jolly | Registered representative | Aug 2023 (3y) | ||
| Weston T Jacob | Registered representative | CFP | Aug 2023 (3y) | |
| Brandon S Traini | Registered representative | Aug 2023 (3y) | ||
| Herman J Hodes | Registered representative | Aug 2023 (3y) | ||
| Aaron Kristopher Koykkari | Registered representative | Aug 2023 (3y) | ||
| Ben Karl Blake | Registered representative | Aug 2023 (3y) | ||
| Gregory Wilford Aiken | Registered representative | Aug 2023 (3y) | ||
| Jonathon Scott Bult | Registered representative | Aug 2023 (3y) | ||
| Matthew Robert Blazewick | Registered representative | Aug 2023 (3y) | ||
| Shefali Lucia Collins | Registered representative | Aug 2023 (3y) | ||
| Kathy S Marson | Registered representative | Aug 2023 (3y) | ||
| Carol Foushee Meyer | Registered representative | Aug 2023 (3y) | ||
| Savanah Scarlett Holland | Registered representative | Aug 2023 (3y) | ||
| Joseph Troy Schmeing | Registered representative | Aug 2023 (3y) | ||
| Jennifer Ellen Scharf | Registered representative | Sep 2023 (3y) | ||
| Jenna Marie Madigan | Registered representative | Sep 2023 (3y) | ||
| Nathan F Kaull | Registered representative | Sep 2023 (3y) | ||
| Frank Richard Fresquez | Registered representative | Sep 2023 (3y) | ||
| Jacob Osterman | Registered representative | Sep 2023 (3y) | ||
| Scott R Van Klompenburg | Registered representative | Sep 2023 (3y) | ||
| Michael D Mucha | Registered representative | Sep 2023 (3y) | ||
| Pamela Lynn Huston | Registered representative | Sep 2023 (3y) | ||
| Ashley M Price | Registered representative | Sep 2023 (3y) | ||
| Robert Stan Nelson | Registered representative | Sep 2023 (3y) | ||
| Skylar N Howard | Registered representative | Sep 2023 (3y) | ||
| Tyler T Osterloo | Registered representative | Sep 2023 (3y) | ||
| Alanna Maria Jacobson | Registered representative | Oct 2023 (3y) | ||
| Brianna S Bratland | Registered representative | Oct 2023 (3y) | ||
| Richard J Earnest | Registered representative | CFP | Oct 2023 (3y) | |
| Sophie G Stallings | Registered representative | Oct 2023 (3y) | ||
| Ryan A Miller | Registered representative | Oct 2023 (3y) | ||
| Ryan E Mulcahy | Registered representative | Oct 2023 (3y) | ||
| Adrienne M Hayes | Registered representative | Oct 2023 (3y) | ||
| Kurtis Chase Schletzer | Registered representative | Oct 2023 (3y) | ||
| Dustin Ray Heuchan | Registered representative | Oct 2023 (3y) | ||
| Gunner P Gonzalez | Registered representative | Oct 2023 (3y) | ||
| Kristy Diane Miles | Registered representative | Oct 2023 (3y) | ||
| Joel Carlton Berg | Registered representative | CFP | Oct 2023 (3y) | |
| Samuel Ryan Rechkemmer | Registered representative | Oct 2023 (3y) | ||
| Ally Ann Shuman | Registered representative | Oct 2023 (3y) | ||
| Carmen Woskershian | Registered representative | Nov 2023 (3y) | ||
| Mary Lynne Kaatz | Registered representative | Nov 2023 (3y) | ||
| Adam Michael Madson | Registered representative | Nov 2023 (3y) | ||
| Carissa J Guernsey | Registered representative | Nov 2023 (3y) | ||
| Jacob Thomas Crosby | Registered representative | CFP | Nov 2023 (3y) | |
| Joseph Brooks Mcmahan | Registered representative | Nov 2023 (3y) | ||
| Tiffany Dawn Lally | Registered representative | Nov 2023 (3y) | ||
| Matthew J Ruplinger | Registered representative | Nov 2023 (3y) | ||
| Sabrina M Wolf | Registered representative | Nov 2023 (3y) | ||
| Stephen J Johnson | Registered representative | Nov 2023 (3y) | ||
| Amanda Goelz | Registered representative | Nov 2023 (3y) | ||
| Harrison T Grandgenett | Registered representative | Dec 2023 (3y) | ||
| Vilyamir Vladimirovich Kolesnichenko | Registered representative | Dec 2023 (3y) | ||
| Alexandria Pearl Simons | Registered representative | Dec 2023 (3y) | ||
| Diane Annette Walker | Registered representative | Dec 2023 (3y) | ||
| Joan Hobson | Registered representative | Dec 2023 (3y) | ||
| Kelly R Engler | Registered representative | Dec 2023 (3y) | ||
| Heath James Mason Mcateer | Registered representative | CFP | Dec 2023 (3y) | |
| Christian D Harvey | Registered representative | Dec 2023 (3y) | ||
| Heriberto Rios | Registered representative | Dec 2023 (3y) | ||
| Mollie Lynn Rushing | Registered representative | Dec 2023 (3y) | ||
| Andrea L Paradise | Registered representative | CFP | Jan 2024 (3y) | |
| James Gerard Guidera | Registered representative | Jan 2024 (3y) | ||
| Zach J Lindsley | Registered representative | Jan 2024 (3y) | ||
| Julia C Anderson | Registered representative | Jan 2024 (3y) | ||
| William Brandon Corso | Registered representative | CFP | Jan 2024 (3y) | |
| Bradley Robert Fry | Registered representative | CFA | Jan 2024 (3y) | |
| Christina M Scherry | Registered representative | Jan 2024 (3y) | ||
| Christopher R Klopatek | Registered representative | Jan 2024 (3y) | ||
| Mary Lee N Hope | Registered representative | Jan 2024 (3y) | ||
| Soumya Venkataraman | Registered representative | Jan 2024 (3y) | ||
| Alexis M Zenahlik | Registered representative | Jan 2024 (3y) | ||
| Brett Hagan Corbin | Registered representative | Jan 2024 (3y) | ||
| Kaitlin M Rickard | Registered representative | Jan 2024 (3y) | ||
| Richard Cory Colvin | Registered representative | CFA | Jan 2024 (3y) | |
| Tyler D Abernathy | Registered representative | Feb 2024 (2y) | ||
| Gary Arnold Bud Garvin | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Dale Honaker | Registered representative | Feb 2024 (2y) | ||
| Marne Elissa Krugielki | Registered representative | Feb 2024 (2y) | ||
| Maeve M Donohue | Registered representative | Feb 2024 (2y) | ||
| James R Martin | Registered representative | Feb 2024 (2y) | ||
| Riley J Persily | Registered representative | Feb 2024 (2y) | ||
| Brandon Nicholas Berdecia | Registered representative | Feb 2024 (2y) | ||
| Lada J Avrunina | Registered representative | Mar 2024 (2y) | ||
| Ryan P Nieuwenhuis | Registered representative | Mar 2024 (2y) | ||
| Courtney Lynn Justmann | Registered representative | Mar 2024 (2y) | ||
| Cameron R Dankel | Registered representative | Mar 2024 (2y) | ||
| Kirk Michael Hager | Registered representative | CFP | Mar 2024 (2y) | |
| Matthew Michael Palm | Registered representative | CFP | Mar 2024 (2y) | |
| Michael G Palm | Registered representative | CFP | Mar 2024 (2y) | |
| Nicholas Scott Palm | Registered representative | Mar 2024 (2y) | ||
| Anne Marie Wiesman | Registered representative | CFA | Mar 2024 (2y) | |
| Ava J Glapinski | Registered representative | Mar 2024 (2y) | ||
| Eric Miracle | Registered representative | CFP | Mar 2024 (2y) | |
| Justin Edward Tillotson | Registered representative | Mar 2024 (2y) | ||
| Courtney A Cornwell | Registered representative | Mar 2024 (2y) | ||
| Nolan R Thomas | Registered representative | Mar 2024 (2y) | ||
| Alec S Firsching | Registered representative | Mar 2024 (2y) | ||
| Ann K Duckworth | Registered representative | Apr 2024 (2y) | ||
| Riley M Barber | Registered representative | Apr 2024 (2y) | ||
| Tania Rae Miles | Registered representative | Apr 2024 (2y) | ||
| Jacob Thomas George | Registered representative | Apr 2024 (2y) | ||
| Brendan J Knoflicek | Registered representative | Apr 2024 (2y) | ||
| Karanveer Nagpal | Registered representative | Apr 2024 (2y) | ||
| Natalie G Cook | Registered representative | Apr 2024 (2y) | ||
| Andrew Lincoln Williams | Registered representative | Apr 2024 (2y) | ||
| William Fox West | Registered representative | Apr 2024 (2y) | ||
| Ann Marie Muck | Registered representative | Apr 2024 (2y) | ||
| Benjamin J Koemptgen | Registered representative | Apr 2024 (2y) | ||
| Belinda Gail Gantz | Registered representative | Apr 2024 (2y) | ||
| Mia Kao Hershiser | Registered representative | Apr 2024 (2y) | ||
| Hearne B Harralson | Registered representative | May 2024 (2y) | ||
| Jennifer S Greene | Registered representative | May 2024 (2y) | ||
| Kaitlyn Marie Dizon | Registered representative | May 2024 (2y) | ||
| Paul Matthew Schliepp | Registered representative | May 2024 (2y) | ||
| Michael Kuhn | Registered representative | May 2024 (2y) | ||
| Larry S Lagerberg | Registered representative | May 2024 (2y) | ||
| Heather Lynn Reynolds | Registered representative | May 2024 (2y) | ||
| Lea M Beckman | Registered representative | May 2024 (2y) | ||
| Joanna Lynn Heckman | Registered representative | CFP | May 2024 (2y) | |
| Nicholas E Pronovost | Registered representative | May 2024 (2y) | ||
| Magdalena E Zborowski | Registered representative | May 2024 (2y) | ||
| Janet L Howard | Registered representative | May 2024 (2y) | ||
| Joseph Kane Sholden | Registered representative | May 2024 (2y) | ||
| James R Mc Carty | Registered representative | May 2024 (2y) | ||
| James D Aschenbrener | Registered representative | May 2024 (2y) | ||
| Kendall Marie Inman | Registered representative | CFP | May 2024 (2y) | |
| Christopher Otillio | Registered representative | May 2024 (2y) | ||
| Lori E Walker | Registered representative | May 2024 (2y) | ||
| Grace M Satori | Registered representative | Jun 2024 (2y) | ||
| Andrea Mae Bruse | Registered representative | Jun 2024 (2y) | ||
| Aaron Payne | Registered representative | Jun 2024 (2y) | ||
| Alison Elizabeth Couch | Registered representative | Jun 2024 (2y) | ||
| Matthew Ellison | Registered representative | Jun 2024 (2y) | ||
| Samuel J Gutierrez | Registered representative | Jun 2024 (2y) | ||
| Joshua Benjamin Oser | Registered representative | Jun 2024 (2y) | ||
| Lucas Adam Schneider | Registered representative | CFP | Jun 2024 (2y) | |
| Ia Vang Hagan | Registered representative | CFP | Jun 2024 (2y) | |
| Benjamin E Murphy | Registered representative | Jun 2024 (2y) | ||
| Briana Ann Berndt | Registered representative | Jul 2024 (2y) | ||
| Daniel M Von Estorff | Registered representative | Jul 2024 (2y) | ||
| Emily V Atwell | Registered representative | Jul 2024 (2y) | ||
| Trent C Remmers | Registered representative | Jul 2024 (2y) | ||
| Abigail M Mc Clay | Registered representative | Jul 2024 (2y) | ||
| Alexander D Mac Phail Fausey | Registered representative | Jul 2024 (2y) | ||
| Cristina Ann Phillips | Registered representative | Jul 2024 (2y) | ||
| Hunter W Keim | Registered representative | Jul 2024 (2y) | ||
| Matthew Michael Langham | Registered representative | Jul 2024 (2y) | ||
| Mikayla Rae Morgan | Registered representative | Jul 2024 (2y) | ||
| Allison A Hunter | Registered representative | Jul 2024 (2y) | ||
| Dawson Philip Dahlberg | Registered representative | Jul 2024 (2y) | ||
| Emma F Schmeling | Registered representative | Jul 2024 (2y) | ||
| Jasmine D Foreman | Registered representative | Jul 2024 (2y) | ||
| Matthew J Urbanek | Registered representative | CFP | Jul 2024 (2y) | |
| Diana Lynn Jenkins | Registered representative | CFP | Jul 2024 (2y) | |
| Nadya E Tenges | Registered representative | Jul 2024 (2y) | ||
| Jack Joseph Price | Registered representative | Jul 2024 (2y) | ||
| Gavin S Mc Larty | Registered representative | Jul 2024 (2y) | ||
| Jessica Lynn Edwards | Registered representative | Jul 2024 (2y) | ||
| Aimee D Watkins | Registered representative | Jul 2024 (2y) | ||
| Paul Anthony Noel | Registered representative | Aug 2024 (2y) | ||
| Jacob W Hufnagel | Registered representative | Aug 2024 (2y) | ||
| Mallory E Wittkowske | Registered representative | Aug 2024 (2y) | ||
| Allison Hope Meza | Registered representative | Aug 2024 (2y) | ||
| Collin R Kurcz | Registered representative | Aug 2024 (2y) | ||
| Ronald W Johnson | Registered representative | Aug 2024 (2y) | ||
| Brad Lee Spencer | Registered representative | Aug 2024 (2y) | ||
| Matt William Tucker | Registered representative | CFP | Aug 2024 (2y) | |
| James Colton Brookshire | Registered representative | Aug 2024 (2y) | ||
| Ryan Bagarella | Registered representative | Sep 2024 (2y) | ||
| Melissa Ann Barry | Registered representative | Sep 2024 (2y) | ||
| Darrell Dowling Reynard | Registered representative | Sep 2024 (2y) | ||
| Elizabeth Kelly Baugus | Registered representative | Sep 2024 (2y) | ||
| Natalie Q Garcia | Registered representative | Sep 2024 (2y) | ||
| Corinna E Sech | Registered representative | Sep 2024 (2y) | ||
| Jeffrey Mitchell Johnston | Registered representative | Sep 2024 (2y) | ||
| Abigayle L Spitzer | Registered representative | Sep 2024 (2y) | ||
| Emily Nicole Blackman | Registered representative | Sep 2024 (2y) | ||
| Kellen C Robbins | Registered representative | Sep 2024 (2y) | ||
| Caitlin M Kraft | Registered representative | Sep 2024 (2y) | ||
| Jesse David Wagner | Registered representative | Sep 2024 (2y) | ||
| Nathan W Piwowar | Registered representative | Sep 2024 (2y) | ||
| Richard Ross Vande Vegte | Registered representative | Sep 2024 (2y) | ||
| Emma Lucille Hofman | Registered representative | Sep 2024 (2y) | ||
| Dustin H Dodge | Registered representative | Oct 2024 (2y) | ||
| Dawson Michael Shirley | Registered representative | Oct 2024 (2y) | ||
| Matthew Lawrence Preddy | Registered representative | Oct 2024 (2y) | ||
| Robert Scott Bowman | Registered representative | CFA | Oct 2024 (2y) | |
| Kaitlyn Powell | Registered representative | Oct 2024 (2y) | ||
| Robert Michael Sargent | Registered representative | CFP | Oct 2024 (2y) | |
| Jacob Thomas Gaebler | Registered representative | Oct 2024 (2y) | ||
| Cherie Nanez Seale | Registered representative | Oct 2024 (2y) | ||
| Rachel Elizabeth Pena | Registered representative | Oct 2024 (2y) | ||
| Tyler Rieves Berry | Registered representative | Oct 2024 (2y) | ||
| Philip Hawthorne | Registered representative | Oct 2024 (2y) | ||
| Benjamin Hammonds Elder | Registered representative | CFP | Oct 2024 (2y) | |
| Darren C Dewing | Registered representative | Oct 2024 (2y) | ||
| Jenna Rose Yandl | Registered representative | Oct 2024 (2y) | ||
| Peter J Philpott | Registered representative | Oct 2024 (2y) | ||
| Stephen Michael Elder | Registered representative | Oct 2024 (2y) | ||
| Jennifer Gieske Wolfe | Registered representative | Oct 2024 (2y) | ||
| Anthony Richard Rugnetta | Registered representative | Oct 2024 (2y) | ||
| Aubrey Carroll King | Registered representative | Oct 2024 (2y) | ||
| Michael Gregory Olszewski | Registered representative | Oct 2024 (2y) | ||
| Barbra E Kitchen | Registered representative | Oct 2024 (2y) | ||
| Samantha Victoria Yingling | Registered representative | Oct 2024 (2y) | ||
| Erica M Smith | Registered representative | Oct 2024 (2y) | ||
| Michael A Benash | Registered representative | Oct 2024 (2y) | ||
| Amy Michelle Sturm | Registered representative | Nov 2024 (2y) | ||
| Bailey E Mack | Registered representative | Nov 2024 (2y) | ||
| David J Ellifson | Registered representative | Nov 2024 (2y) | ||
| Nancy Urbina | Registered representative | Nov 2024 (2y) | ||
| Mary Ellen Osborne | Registered representative | Nov 2024 (2y) | ||
| Richard Blair Holman | Registered representative | CFP | Nov 2024 (2y) | |
| David C Mc Kinney | Registered representative | Nov 2024 (2y) | ||
| Laura M Peterson | Registered representative | Nov 2024 (2y) | ||
| Michelle Lynn Bridge | Registered representative | Nov 2024 (2y) | ||
| Hannah Margaret Ashcroft Gowdy | Registered representative | Nov 2024 (2y) | ||
| Joel Doktorsky Silver | Registered representative | CFP | Nov 2024 (2y) | |
| Kyle Hurles | Registered representative | Nov 2024 (2y) | ||
| Sara E Aalpoel | Registered representative | Nov 2024 (2y) | ||
| Imran W Aslam | Registered representative | Nov 2024 (2y) | ||
| Paul A Pesek | Registered representative | Nov 2024 (2y) | ||
| Zachary T Bross | Registered representative | Nov 2024 (2y) | ||
| Maria Suchomski | Registered representative | Nov 2024 (2y) | ||
| Talitha Hd Esterhuysen | Registered representative | Nov 2024 (2y) | ||
| Karen M Paschall | Registered representative | Dec 2024 (2y) | ||
| Jacob A Hansen | Registered representative | Dec 2024 (2y) | ||
| Sara Anne Kazarian | Registered representative | Dec 2024 (2y) | ||
| Donald John Cussen | Registered representative | Dec 2024 (2y) | ||
| Jonathan R Wheatley | Registered representative | Dec 2024 (2y) | ||
| Jacob V Goran | Registered representative | Dec 2024 (2y) | ||
| Zachary F Schneck | Registered representative | Dec 2024 (2y) | ||
| Matthew Sean Oconnor | Registered representative | Dec 2024 (2y) | ||
| Tiffanie Dawn King | Registered representative | CFP | Dec 2024 (2y) | |
| Christopher Y Brennan | Registered representative | Dec 2024 (2y) | ||
| Micah Joseph Burch | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Thali J Cobb | Registered representative | Dec 2024 (2y) | ||
| John U Varga | Registered representative | Dec 2024 (2y) | ||
| Alex Stephen Gerard Englund | Registered representative | Dec 2024 (2y) | ||
| Owen M Valasek | Registered representative | Dec 2024 (2y) | ||
| Diane S Bloxdorf | Registered representative | Dec 2024 (2y) | ||
| Mark Steven Jesse | Registered representative | Dec 2024 (2y) | ||
| Sara Marie Reddington | Registered representative | Jan 2025 (2y) | ||
| Calan P Kinnally | Registered representative | Jan 2025 (2y) | ||
| Zachary Graham Joseph Hosman | Registered representative | Jan 2025 (2y) | ||
| Brian Eric Glavin | Registered representative | Jan 2025 (2y) | ||
| Ernest Alan Freeman | Registered representative | Jan 2025 (2y) | ||
| Patrick Bernauer | Registered representative | Jan 2025 (2y) | ||
| Robert Francis Clark | Registered representative | CFP | Jan 2025 (2y) | |
| Amy M Eppinger | Registered representative | Jan 2025 (2y) | ||
| Jennifer Rebecca Schwarze | Registered representative | Jan 2025 (2y) | ||
| Morgan S Bumbaugh | Registered representative | Jan 2025 (2y) | ||
| Jennifer Lee Morris | Registered representative | Jan 2025 (2y) | ||
| Julie Ann Hittle | Registered representative | Jan 2025 (2y) | ||
| Wesley A Hopkins | Registered representative | Jan 2025 (2y) | ||
| Frank Rudolph Lastovica | Registered representative | Jan 2025 (2y) | ||
| Michael T Villanueva | Registered representative | Jan 2025 (2y) | ||
| Jake M Kinziger | Registered representative | Jan 2025 (2y) | ||
| Andrew E Wilson | Registered representative | Jan 2025 (2y) | ||
| Alexander Christopher Deitz | Registered representative | Jan 2025 (2y) | ||
| Brennan Owen Shea | Registered representative | Jan 2025 (2y) | ||
| Mariah Faith Doyle | Registered representative | CFP | Jan 2025 (2y) | |
| Matthias J Strotman | Registered representative | Feb 2025 (1y) | ||
| Desmond J Stock | Registered representative | Feb 2025 (1y) | ||
| Steve S Farone | Registered representative | Feb 2025 (1y) | ||
| Michael Andrew Rattigan | Registered representative | Feb 2025 (1y) | ||
| Michelle E Solinger | Registered representative | Feb 2025 (1y) | ||
| Roderick James Place | Registered representative | Feb 2025 (1y) | ||
| Ryan Matthew Lueck | Registered representative | CFP | Feb 2025 (1y) | |
| Evan Holmstrom | Registered representative | Feb 2025 (1y) | ||
| Erika Noel New | Registered representative | Feb 2025 (1y) | ||
| Mariah Dehaven | Registered representative | CFP | Feb 2025 (1y) | |
| Victoria Marie Best | Registered representative | CFP | Feb 2025 (1y) | |
| Paulette B Henninger | Registered representative | Feb 2025 (1y) | ||
| Richard Anthony Roberto | Registered representative | CFP | Feb 2025 (1y) | |
| Benjamin G Koehler | Registered representative | Mar 2025 (1y) | ||
| Bryson A Wittler | Registered representative | Mar 2025 (1y) | ||
| Alexander Kingsley Smith | Registered representative | Mar 2025 (1y) | ||
| Emma G Hodge | Registered representative | Mar 2025 (1y) | ||
| Mary Antonia Wallack | Registered representative | Mar 2025 (1y) | ||
| Courtney A Wilhelm | Registered representative | Mar 2025 (1y) | ||
| Caden N Seiferth | Registered representative | Mar 2025 (1y) | ||
| Kane J Layng | Registered representative | Mar 2025 (1y) | ||
| James Kevin Willbrand | Registered representative | Mar 2025 (1y) | ||
| Jordan L Spencer | Registered representative | Mar 2025 (1y) | ||
| Susan D Hughes | Registered representative | Mar 2025 (1y) | ||
| Justine Eiting | Registered representative | Apr 2025 (1y) | ||
| John Bechand | Registered representative | Apr 2025 (1y) | ||
| Janeanne M Gregg | Registered representative | Apr 2025 (1y) | ||
| Carter J Persily | Registered representative | Apr 2025 (1y) | ||
| Megan N Obenauf | Registered representative | Apr 2025 (1y) | ||
| Jacob K Lowe | Registered representative | Apr 2025 (1y) | ||
| Rowan C Hildebrandt | Registered representative | Apr 2025 (1y) | ||
| Matthew T Dilbeck | Registered representative | Apr 2025 (1y) | ||
| Seth J Paradowski | Registered representative | Apr 2025 (1y) | ||
| Malaya Blue Watanabe | Registered representative | Apr 2025 (1y) | ||
| Johnathan James Miller | Registered representative | Apr 2025 (1y) | ||
| Morgan C Miller | Registered representative | Apr 2025 (1y) | ||
| Benjamin Michael Maslyn | Registered representative | CFP CFA | Apr 2025 (1y) | |
| Mark Leroy Brenna | Registered representative | Apr 2025 (1y) | ||
| Brenna M Sauer | Registered representative | Apr 2025 (1y) | ||
| Ethan M Gebert | Registered representative | May 2025 (1y) | ||
| Wendy S Casetta | Registered representative | May 2025 (1y) | ||
| Zachary A Weber | Registered representative | May 2025 (1y) | ||
| Casey E Rajala | Registered representative | May 2025 (1y) | ||
| Heidi Ann Riley | Registered representative | May 2025 (1y) | ||
| Lisa Benjamin | Registered representative | May 2025 (1y) | ||
| Elizabeth Lorraine Ratzburg | Registered representative | May 2025 (1y) | ||
| Melissa Sende | Registered representative | May 2025 (1y) | ||
| Michelle Milla Ferlita | Registered representative | May 2025 (1y) | ||
| Thomas R Housand | Registered representative | May 2025 (1y) | ||
| Robert W Lalich | Registered representative | May 2025 (1y) | ||
| Brittany A Stafford | Registered representative | May 2025 (1y) | ||
| Cristina Ederer | Registered representative | May 2025 (1y) | ||
| Lara M Stunkel | Registered representative | May 2025 (1y) | ||
| Quinn J O'connor | Registered representative | May 2025 (1y) | ||
| Erin Lynn Smith | Registered representative | May 2025 (1y) | ||
| Kimberly D Austin | Registered representative | May 2025 (1y) | ||
| Monique W Castillo | Registered representative | Jun 2025 (1y) | ||
| Cameron Peel | Registered representative | Jun 2025 (1y) | ||
| Trenton Schmitt | Registered representative | Jun 2025 (1y) | ||
| Amiri H Johnson | Registered representative | Jun 2025 (1y) | ||
| Donald Bryant Conrad | Registered representative | Jun 2025 (1y) | ||
| Zachary Jay Morrison | Registered representative | Jun 2025 (1y) | ||
| Leah Mork | Registered representative | Jun 2025 (1y) | ||
| Arjun J Singh | Registered representative | Jun 2025 (1y) | ||
| Rachel J Albrecht | Registered representative | Jun 2025 (1y) | ||
| Taylor D Long | Registered representative | Jun 2025 (1y) | ||
| Alexander C Seekell | Registered representative | Jun 2025 (1y) | ||
| Andrew Wilson | Registered representative | Jun 2025 (1y) | ||
| Mark Alan Nicolet | Registered representative | CFP | Jun 2025 (1y) | |
| Mitchell Steiler | Registered representative | Jun 2025 (1y) | ||
| Andrew Jonathan Marsh | Registered representative | Jun 2025 (1y) | ||
| Brian Ray Dunston | Registered representative | Jun 2025 (1y) | ||
| Nora Marie Byrne | Registered representative | Jul 2025 (1y) | ||
| Jack J Cooper | Registered representative | Jul 2025 (1y) | ||
| Darcy Campbell Ridge | Registered representative | Jul 2025 (1y) | ||
| Ryan J Lemenager | Registered representative | Jul 2025 (1y) | ||
| Daniel Thomas Leighton | Registered representative | Jul 2025 (1y) | ||
| Derek Kenson Lindholm | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Adam Lovirn Wondra | Registered representative | Jul 2025 (1y) | ||
| Jackson D Stafford | Registered representative | Jul 2025 (1y) | ||
| Kimberly A Redding | Registered representative | Jul 2025 (1y) | ||
| Dennis R Price | Registered representative | Jul 2025 (1y) | ||
| Jeslyn Nicole Monroe | Registered representative | Jul 2025 (1y) | ||
| Thomas M. Smythe | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Ashley M Leibfried | Registered representative | Aug 2025 (1y) | ||
| Kelsey Marie Brandenburg | Registered representative | Aug 2025 (1y) | ||
| Jonathan D Lopez | Registered representative | Aug 2025 (1y) | ||
| Weston R Karschner | Registered representative | Aug 2025 (1y) | ||
| Clare M Blim | Registered representative | Aug 2025 (1y) | ||
| Keith Matthew Black | Registered representative | CFP | Aug 2025 (1y) | |
| Nicholas J Turnquist | Registered representative | Aug 2025 (1y) | ||
| Thomas James Mc Cormick | Registered representative | Aug 2025 (1y) | ||
| Susan Kathryn White | Registered representative | Aug 2025 (1y) | ||
| Ashley A Wade | Registered representative | Aug 2025 (1y) | ||
| Matthew B Bennett | Registered representative | Aug 2025 (1y) | ||
| William Thomas Arnett | Registered representative | Aug 2025 (1y) | ||
| Benjamin James Didier | Registered representative | Aug 2025 (1y) | ||
| Clark H Samisch | Registered representative | Aug 2025 (1y) | ||
| Robert S Choy | Registered representative | CFP | Aug 2025 (1y) | |
| James Andrew Richter | Registered representative | Sep 2025 (1y) | ||
| Martin W Johnson | Registered representative | Sep 2025 (1y) | ||
| Michael Brzezinski | Registered representative | Sep 2025 (1y) | ||
| Riley Treen Anna Rock | Registered representative | Sep 2025 (1y) | ||
| Nicholas M Wong | Registered representative | Sep 2025 (1y) | ||
| Sarah J Borchardt | Registered representative | Sep 2025 (1y) | ||
| Joshua Scott Roberts | Registered representative | Sep 2025 (1y) | ||
| Steven Michael Kluever | Registered representative | Sep 2025 (1y) | ||
| Jonathan L Henson | Registered representative | Sep 2025 (1y) | ||
| Noah W Vokes | Registered representative | Sep 2025 (1y) | ||
| Brett Pettit | Registered representative | Sep 2025 (1y) | ||
| Dylon D Moore | Registered representative | Sep 2025 (1y) | ||
| Sierra Meredith Jones | Registered representative | CFP | Sep 2025 (1y) | |
| Ana Cristina S Sipos Convery | Registered representative | Sep 2025 (1y) | ||
| Braden Riehl | Registered representative | Sep 2025 (1y) | ||
| Grant W Beck | Registered representative | Sep 2025 (1y) | ||
| Merissa R Slowik | Registered representative | CFP | Sep 2025 (1y) | |
| Sean Charles Wintz | Registered representative | Sep 2025 (1y) | ||
| Sara A Denning | Registered representative | Sep 2025 (1y) | ||
| Victoria Ja Wellman | Registered representative | Sep 2025 (1y) | ||
| Ann H Corley | Registered representative | Sep 2025 (1y) | ||
| Matthew P Garrity | Registered representative | Sep 2025 (1y) | ||
| Stephen Mitchell | Registered representative | Sep 2025 (1y) | ||
| Kaleigh M Savage | Registered representative | Sep 2025 (1y) | ||
| Sean P Drinan | Registered representative | Sep 2025 (1y) | ||
| Samuel G Hunt | Registered representative | Oct 2025 (1y) | ||
| Jennifer Tratnyek | Registered representative | Oct 2025 (1y) | ||
| Jennifer Mary Buttram | Registered representative | Oct 2025 (1y) | ||
| Benjamin Lee Hemer | Registered representative | CFP | Oct 2025 (1y) | |
| Luiz Do Prado | Registered representative | Oct 2025 (1y) | ||
| Spencer M Giesige | Registered representative | Oct 2025 (1y) | ||
| Reece Stephens | Registered representative | Oct 2025 (1y) | ||
| Carlton L Holland | Registered representative | Oct 2025 (1y) | ||
| Roseanna G Black | Registered representative | Oct 2025 (1y) | ||
| Erica Rennison | Registered representative | Oct 2025 (1y) | ||
| Kari A Gibbs | Registered representative | Oct 2025 (1y) | ||
| Carter W Screeton | Registered representative | Oct 2025 (1y) | ||
| Elliott Moore | Registered representative | Oct 2025 (1y) | ||
| Joseph A Celli | Registered representative | Oct 2025 (1y) | ||
| Kara K Prickett | Registered representative | Oct 2025 (1y) | ||
| Landon Drew Rudolph | Registered representative | Oct 2025 (1y) | ||
| Whitney Sweet | Registered representative | Oct 2025 (1y) | ||
| Alexander N Shanks | Registered representative | Oct 2025 (1y) | ||
| Andrew Bailey Hughes | Registered representative | Oct 2025 (1y) | ||
| Cree A Jenkins | Registered representative | Oct 2025 (1y) | ||
| Lainey A Ford | Registered representative | Oct 2025 (1y) | ||
| Brady R Weas | Registered representative | Nov 2025 (1y) | ||
| Jane Virginia Dunlap | Registered representative | Nov 2025 (1y) | ||
| Amy Lynn Pongratz | Registered representative | Nov 2025 (1y) | ||
| Michelle Lea Krause | Registered representative | Nov 2025 (1y) | ||
| Angel Yael Tellez Rodriguez | Registered representative | Nov 2025 (1y) | ||
| Galen Robert Lee | Registered representative | Nov 2025 (1y) | ||
| Lucas A Flick | Registered representative | Nov 2025 (1y) | ||
| Major Belli | Registered representative | Nov 2025 (1y) | ||
| Lily Marie Martin | Registered representative | Nov 2025 (1y) | ||
| Isaac Bradley | Registered representative | CFP | Nov 2025 (1y) | |
| Paige E Myers | Registered representative | Nov 2025 (1y) | ||
| Sabrina D Menkhaus | Registered representative | Nov 2025 (1y) | ||
| Alec M Mono | Registered representative | CFP | Nov 2025 (1y) | |
| Ryan J Bromberg | Registered representative | Nov 2025 (1y) | ||
| Cora K Trexell | Registered representative | Nov 2025 (1y) | ||
| Lewis Thomas Howard | Registered representative | Nov 2025 (1y) | ||
| Marcia L Henderson | Registered representative | Nov 2025 (1y) | ||
| Sophia G Purcell | Registered representative | Nov 2025 (1y) | ||
| Joseph John Steiner | Registered representative | Nov 2025 (1y) | ||
| Mason G Quinn | Registered representative | Nov 2025 (1y) | ||
| Matthew T Krueger | Registered representative | CFA | Dec 2025 (1y) | |
| Cole H Smith | Registered representative | Dec 2025 (1y) | ||
| Stephen Eric Buschmann | Registered representative | Dec 2025 (1y) | ||
| Alexa Blasczyk | Registered representative | Dec 2025 (1y) | ||
| Sean Thomas Mahlik | Registered representative | Dec 2025 (1y) | ||
| Justin Wallis Soderlund | Registered representative | CFP | Dec 2025 (1y) | |
| Elizabeth Ryan Gladden | Registered representative | CFP | Dec 2025 (1y) | |
| Elena K Leahy | Registered representative | Dec 2025 (1y) | ||
| Kerry L Wright | Registered representative | Dec 2025 (1y) | ||
| Wendy Ann Citko | Registered representative | Dec 2025 (1y) | ||
| Scott B Staudenmier | Registered representative | Dec 2025 (1y) | ||
| Benjamin Thomas Haynes | Registered representative | Dec 2025 (1y) | ||
| Hannah Brooke Campbell | Registered representative | Dec 2025 (1y) | ||
| Hearne Mitchell Harralson | Registered representative | Dec 2025 (1y) | ||
| Anthony E Tordik | Registered representative | Dec 2025 (1y) | ||
| Jacob R Hoheisel | Registered representative | CFP | Dec 2025 (1y) | |
| Lindsay M Vair | Registered representative | Dec 2025 (1y) | ||
| Lucy M Bogen | Registered representative | Dec 2025 (1y) | ||
| Timothy D Matanick | Registered representative | Dec 2025 (1y) | ||
| Adam C Sander | Registered representative | CFA | Jan 2026 (1y) | |
| Hallie A Lindsey | Registered representative | Jan 2026 (1y) | ||
| Lindsey Kate Shiflett | Registered representative | Jan 2026 (1y) | ||
| Matthew Daniel Doane | Registered representative | Jan 2026 (1y) | ||
| Benjamin Adam Morgret | Registered representative | Jan 2026 (1y) | ||
| Janet Lynn Hawkins | Registered representative | Jan 2026 (1y) | ||
| Mallory Arden Mc Ginty | Registered representative | Jan 2026 (1y) | ||
| Rebekah J Dodd | Registered representative | Jan 2026 (1y) | ||
| Kenneth Malcolm Murray Iii | Registered representative | Jan 2026 (1y) | ||
| Paul Daniel Brick | Registered representative | CFP | Jan 2026 (1y) | |
| Samuel W Davidson | Registered representative | Jan 2026 (1y) | ||
| Ella Catherine Crumley | Registered representative | Jan 2026 (1y) | ||
| Bradley Stephen Henderson | Registered representative | Jan 2026 (1y) | ||
| Joseph J Dressel | Registered representative | Jan 2026 (1y) | ||
| Alec M Schaefer | Registered representative | Jan 2026 (1y) | ||
| Mary E Ramsey | Registered representative | CFP | Jan 2026 (1y) | |
| Jason Cowans | Registered representative | CFP Chartered Financial Consultant | Jan 2026 (1y) | |
| Wilson Lemmon Mitchell | Registered representative | CFP | Jan 2026 (1y) | |
| Joshua Henschel | Registered representative | Feb 2026 (1y) | ||
| Simeon E Hanson | Registered representative | Feb 2026 (1y) | ||
| Ariel U Goh | Registered representative | Feb 2026 (0y) | ||
| Colton J Irion | Registered representative | Feb 2026 (0y) | ||
| Joshua J Allen | Registered representative | Feb 2026 (0y) | ||
| Anna Marie Kaczmarek | Registered representative | Feb 2026 (0y) | ||
| Kim Anh T Hua | Registered representative | Feb 2026 (0y) | ||
| Paiten S Grosvenor | Registered representative | Feb 2026 (0y) | ||
| Amber N Hubbard | Registered representative | Feb 2026 (0y) | ||
| Benjamin C Herrman | Registered representative | Feb 2026 (0y) | ||
| Blake Wetzel | Registered representative | Feb 2026 (0y) | ||
| Curtiss M Scott | Registered representative | Feb 2026 (0y) | ||
| Keileigh S Sweeney | Registered representative | Feb 2026 (0y) | ||
| Samantha Faith Heiser | Registered representative | Feb 2026 (0y) | ||
| Nathaniel K Woolum | Registered representative | Mar 2026 (0y) | ||
| Michael R Zuleger | Registered representative | Mar 2026 (0y) | ||
| Madelyn Malczewski | Registered representative | Mar 2026 (0y) | ||
| Thomas P Fusco | Registered representative | Mar 2026 (0y) | ||
| Stacey J Mulier | Registered representative | Mar 2026 (0y) | ||
| Ryan Schmitt | Registered representative | Mar 2026 (0y) | ||
| Christian Ayalew | Registered representative | Mar 2026 (0y) | ||
| Augustine W Dunford | Registered representative | Mar 2026 (0y) | ||
| Taylor Keith Clark | Registered representative | Mar 2026 (0y) | ||
| Bryan Christopher Vaughn | Registered representative | CFP | Mar 2026 (0y) | |
| Morgan Maureen Vander Missen | Registered representative | Mar 2026 (0y) | ||
| Kelsey Leigh Cooksey | Registered representative | Mar 2026 (0y) | ||
| Richard Anthony Rossi | Registered representative | Mar 2026 (0y) | ||
| Laurie Anne Hughes | Registered representative | Mar 2026 (0y) | ||
| Benjamin D Keiser | Registered representative | Mar 2026 (0y) | ||
| Ian Huber | Registered representative | Mar 2026 (0y) | ||
| Cheyenne A Leavelle | Registered representative | Mar 2026 (0y) | ||
| Saro E Gahima | Registered representative | Apr 2026 (0y) | ||
| Michael H Antonelli | Registered representative | Apr 2026 (0y) | ||
| William R Evans | Registered representative | Apr 2026 (0y) | ||
| Michael J Pesendorfer | Registered representative | Apr 2026 (0y) | ||
| Logan Ray Reisinger | Registered representative | Apr 2026 (0y) | ||
| Salvador W Planells | Registered representative | Apr 2026 (0y) | ||
| Stacy Hanlon Mchugh | Registered representative | Apr 2026 (0y) | ||
| Dean Paul Weseli | Registered representative | CFP | Apr 2026 (0y) | |
| Donald Joseph Hutchinson | Registered representative | Apr 2026 (0y) | ||
| Jeffrey Joseph Borgert | Registered representative | Apr 2026 (0y) | ||
| Nicholas L De France | Registered representative | Apr 2026 (0y) | ||
| Cynthia M Trapp | Registered representative | Apr 2026 (0y) | ||
| Ian D Albin | Registered representative | Apr 2026 (0y) | ||
| Dina R Sofair | Registered representative | Apr 2026 (0y) | ||
| Grayson D Miller | Registered representative | Apr 2026 (0y) | ||
| Candace A Link | Registered representative | Apr 2026 (0y) | ||
| Mary E Meiman | Registered representative | Apr 2026 (0y) | ||
| Bradley P Blakeman | Registered representative | Apr 2026 (0y) | ||
| Daniel Love | Registered representative | Apr 2026 (0y) | ||
| Hye J Kwon | Registered representative | May 2026 (0y) | ||
| Melinda S Armbruster | Registered representative | May 2026 (0y) | ||
| Sydney Marquette | Registered representative | May 2026 (0y) | ||
| Joseph R Pietras | Registered representative | May 2026 (0y) | ||
| Nicholas Robinson | Registered representative | May 2026 (0y) | ||
| Piper M Meek | Registered representative | May 2026 (0y) | ||
| William A Mc Clure | Registered representative | May 2026 (0y) | ||
| Gary R Barutzke | Registered representative | May 2026 (0y) | ||
| Thomas Kent Ewing | Registered representative | May 2026 (0y) | ||
| Scott E Ludwig | Registered representative | May 2026 (0y) | ||
| Madison E Gray | Registered representative | May 2026 (0y) | ||
| Michael D Crandall | Registered representative | May 2026 (0y) | ||
| Anthony Manfrin | Registered representative | May 2026 (0y) | ||
| Ashley Paige Iwinski | Registered representative | May 2026 (0y) | ||
| Melissa Rae Coppage | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Matthew T Blank | Registered representative | May 2026 (0y) | ||
| Jennifer Lynn Brown | Registered representative | May 2026 (0y) | ||
| Kevin M Purcell | Registered representative | May 2026 (0y) | ||
| Madeline C Falkenberg | Registered representative | May 2026 (0y) | ||
| Claire V Gillick | Registered representative | May 2026 (0y) | ||
| Mitchell J Lalley | Registered representative | May 2026 (0y) | ||
| Ian M Casey | Registered representative | May 2026 (0y) | ||
| Angela Renae White | Registered representative | Jun 2026 (0y) | ||
| John P Mead | Registered representative | Jun 2026 (0y) | ||
| Ryan John Lundeen | Registered representative | CFP | Jun 2026 (0y) | |
| Shannon R Wedepohl | Registered representative | CFP | Jun 2026 (0y) | |
| Darin Kochanski | Registered representative | Jun 2026 (0y) | ||
| Andrea Olson | Registered representative | Jun 2026 (0y) | ||
| Mac Kenzie C Wessell | Registered representative | Jun 2026 (0y) | ||
| Maxwell J Lavin | Registered representative | Jun 2026 (0y) | ||
| Christopher Emon Wiley | Registered representative | Jun 2026 (0y) | ||
| Darek J Nelson | Registered representative | Jun 2026 (0y) | ||
| Darren A Boyce | Registered representative | Jun 2026 (0y) | ||
| Eric J Hernandez | Registered representative | Jun 2026 (0y) | ||
| Livvy Osgood | Registered representative | Jun 2026 (0y) | ||
| Miguel Rosas Aude | Registered representative | Jun 2026 (0y) | ||
| Ann Marie Hoen | Registered representative | Jun 2026 (0y) | ||
| Darla Jean Kashian | Registered representative | Jun 2026 (0y) | ||
| Michael Lee Karels | Registered representative | CFP | Jun 2026 (0y) | |
| Tanner Setten Petroske | Registered representative | CFP | Jun 2026 (0y) | |
| Beau S Nichols | Registered representative | Jun 2026 (0y) | ||
| Katelyn Farmer Shiver | Registered representative | Jun 2026 (0y) | ||
| Madison J Novak | Registered representative | Jun 2026 (0y) | ||
| Caleb Blake Graham | Registered representative | Jun 2026 (0y) | ||
| Grant M Heinberg | Registered representative | Jun 2026 (0y) | ||
| Jeffrey D Bailey | Registered representative | Jun 2026 (0y) | ||
| Krista Thurmond | Registered representative | Jun 2026 (0y) | ||
| Kendra Gabriel | Registered representative | Jun 2026 (0y) | ||
| Ryan D Le Blanc | Registered representative | Jun 2026 (0y) | ||
| Joshua B Slevin | Registered representative | Jul 2026 (0y) | ||
| Ryan J Gill | Registered representative | Jul 2026 (0y) | ||
| Bradley Alan Hipps | Registered representative | Jul 2026 (0y) | ||
| Laurel Dee Reynolds | Registered representative | Jul 2026 (0y) | ||
| Michael Joseph Foody | Registered representative | Jul 2026 (0y) | ||
| Neale Sheffield Foody | Registered representative | CFP | Jul 2026 (0y) | |
| Charli R Miller | Registered representative | Jul 2026 (0y) | ||
| John W Mcauley | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Baird Financial Corporation | Shareholder | Dec 1982 | A | 75% or more |
| Baird Financial Group, Inc. | Shareholder | Dec 2020 | B | ≈ 56.25% – 100% via Baird Financial Corporation |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Baird Financial Group, Inc.: 75% – 100% of Baird Financial Corporation × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (3, $173M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Chautauqua International Growth Equity Qp Fund Lp | Hedge Fund | $170M | $25.0M | 4 |
| Chautauqua Global Growth Equity Qp Fund Lp | Other Private Fund | $1.3M | $25.0M | 2 |
| Chautauqua Series Fund, Llc (Chautauqua New World Growth Equity Series) | Other Private Fund | $1.0M | $25.0M | 1 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (31)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Ryan R. Robison & Co., Inc. Retirement Plan | Ryan R. Robison & Company, Inc. | 0 | $0 | 01/01/2025 |
| Advertisers Press, Inc. 401(k) Savings Plan | Advertisers Press Inc. | 95 | $30.9M | 10/01/2024 |
| Gpcfb 403(b) Retirement Plan | Greater Pittsburgh Community Food Bank | 159 | $10.8M | 07/01/2024 |
| Strand Associates, Inc. Employees Profit Sharing Trust | Strand Associates, Inc. | 480 | $190M | 01/01/2024 |
| Surgicor 401(k) Savings And Retirement Plan | Surgicor, Llc | 211 | $26.7M | 01/01/2024 |
| Stephens Pipe And Steel 401(k) Plan | Stephens Pipe And Steel, Llc | 1,070 | $20.6M | 01/01/2024 |
| Van Horn Automotive Group 401(k) Plan | Van Horn Automotive Group, Inc. | 690 | $27.0M | 01/01/2024 |
| Dennis Kirk, Inc. 401(k) Savings Plan | Dennis Kirk, Inc. | 125 | $9.4M | 01/01/2024 |
| Bright Wood 401(k) Savings And Profit Sharing Plan | Bright Wood Corporation | 998 | $44.5M | 01/01/2024 |
| Bridge Partners, Llc 401(k) Profit Sharing Plan And Trust | Bridge Partners, Llc | 255 | $25.3M | 01/01/2024 |
| Packaging Personified, Inc. 401(k) Plan | Packaging Personified, Inc. | 191 | $9.5M | 01/01/2024 |
| Goodwill Industries Of Middle Tennessee Retirement Plan | Goodwill Industries Of Middle Tennessee, Inc. | 1,343 | $9.8M | 01/01/2024 |
| Pietragallo Gordon Alfano Bosick & Raspanti, Llp Salary Reduction Profit Sharing Plan | Pietragallo Gordon Alfano Bosick & Raspanti | 102 | $49.2M | 01/01/2024 |
| Commercial Insurance Associates 401(k) Plan | Commercial Insurance Associates | 123 | $8.7M | 01/01/2024 |
| Haas Sons, Inc. 401(k) Profit Sharing Plan | Haas Sons, Inc. | 357 | $39.5M | 01/01/2024 |
| Community Memorial Hospital Retirement Plan | Froedtert Thedacare Health, Inc. | 286 | $117M | 01/01/2024 |
| Roquette America, Inc. Retirement System | Roquette America, Inc. | 449 | $140M | 01/01/2024 |
| Roquette America, Inc. Bargaining Unit Savings Plan | Roquette America, Inc. | 224 | $31.3M | 01/01/2024 |
| Winston Industries, Llc Employee Investment Plan | Winston Industries, Llc | 209 | $8.1M | 01/01/2024 |
| Applied Imaging Systems Inc. 401(k) Profit Sharing Plan | Lowery Corporation | 490 | $30.7M | 01/01/2024 |
| The Gates Matchmaker Plan | Gates Corporation | 3,341 | $696M | 01/01/2024 |
| Sartori Company Retirement Savings Plan | Sartori Company | 661 | $40.7M | 01/01/2024 |
| Hunter Services, Llc Retirement Savings Plan | Hunter Services, Llc | 776 | $85.8M | 01/01/2024 |
| Dentons Sirote, P.C. Profit Sharing 401(k) Plan | Dentons Sirote Pc | 142 | $114M | 01/01/2024 |
| Ahtna 401(k) Plan | Ahtna, Incorporated | 573 | $56.8M | 01/01/2024 |
Top 25 of 31 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/20/2026 | 4.86 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE THE APPLICATION OF SALES CHARGE WAIVERS TO CUSTOMERS. THE FINDINGS STATED THAT THE FIRM FAILED TO APPLY THE WAIVERS TO MUTUAL FUND PURCHASES MADE BY CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS (ELIGIBLE CUSTOMERS) THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE, AND INSTEAD SOLD THEM CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR CLASS C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. THE FINDINGS ALSO STATED THAT THESE SALES DISADVANTAGED ELIGIBLE CUSTOMERS BY CAUSING SUCH CUSTOMERS TO PAY HIGHER FEES THAN THEY WERE ACTUALLY REQUIRED TO PAY. THE FINDINGS ALSO INCLUDED THAT THE FIRM RELIED ON ITS FINANCIAL ADVISORS TO DETERMINE THE APPLICABILITY OF SALES CHARGE WAIVERS, BUT FAILED TO MAINTAIN ADEQUATE WRITTEN POLICIES OR PROCEDURES TO ASSIST FINANCIAL ADVISORS IN MAKING THIS DETERMINATION. FINRA FOUND THAT THE FIRM FAILED TO ADEQUATELY NOTIFY AND TRAIN ITS FINANCIAL ADVISORS REGARDING THE AVAILABILITY OF MUTUAL FUND SALES CHARGE WAIVERS FOR ELIGIBLE CUSTOMERS. THE FIRM FAILED TO ADOPT ADEQUATE CONTROLS TO DETECT INSTANCES IN WHICH THEY DID NOT PROVIDE SALES CHARGE WAIVERS TO ELIGIBLE CUSTOMERS IN CONNECTION WITH THEIR MUTUAL FUND PURCHASES. AS A RESULT OF THE FAILURE OF THE FIRM TO APPLY AVAILABLE SALES CHARGE WAIVERS, THE FIRM ESTIMATES THAT ELIGIBLE CUSTOMERS WERE OVERCHARGED BY APPROXIMATELY $1.8 MILLION FOR MUTUAL FUND PURCHASES MADE SINCE JULY 1, 2009. Status: Final Sanction Detail: THE FIRM IS CENSURED, AND WILL PROVIDE REMEDIATION TO ELIGIBLE CUSTOMERS WHO QUALIFIED FOR, BUT DID NOT RECEIVE, THE APPLICABLE MUTUAL FUND SALES CHARGE WAIVERS BY AGREEING TO PAY RESTITUTION, PLUS INTEREST, TO ELIGIBLE CUSTOMERS IN THE AMOUNT OF $2.1 MILLION. Summary: IN RESOLVING THIS MATTER, FINRA HAS RECOGNIZED THE EXTRAORDINARY COOPERATION OF THE FIRM FOR HAVING: (1) INITIATED, PRIOR TO DETECTION OR INTERVENTION BY A REGULATOR, AN INVESTIGATION TO IDENTIFY WHETHER ELIGIBLE CUSTOMERS RECEIVED SALES CHARGE WAIVERS DURING THE RELEVANT PERIOD; (2) PROMPTLY ESTABLISHED A PLAN OF REMEDIATION FOR ELIGIBLE CUSTOMERS WHO DID NOT RECEIVE APPROPRIATE SALES CHARGE WAIVERS; (3) PROMPTLY SELF-REPORTED TO FINRA; (4) AGREED TO PROMPTLY TAKE ACTION AND REMEDIAL STEPS TO CORRECT THE VIOLATIVE CONDUCT; AND (5) AGREED TO EMPLOY SUBSEQUENT CORRECTIVE MEASURES, PRIOR TO DETECTION OR INTERVENTION BY A REGULATOR, TO REVISE ITS PROCEDURES TO AVOID RECURRENCE OF THE MISCONDUCT.
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT THE CORRECT TRADE EXECUTION TIME FOR TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE SECURITIZED PRODUCTS TO TRACE AND FAILED TO SHOW THE CORRECT EXECUTION TIME ON BROKERAGE ORDER MEMORANDA. Status: Final Sanction Detail: THE FIRM WAS FINED $6,500.00
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT TRADED AHEAD OF CUSTOMER ORDERS AND ALSO EXECUTED CUSTOMER ORDERS OUTSIDE NORMAL MARKET HOURS, CONTRARY TO THE CUSTOMERS' INSTRUCTIONS. THE FINDINGS STATED THAT THE FIRM ALSO FAILED TO HAVE ADEQUATE SUPERVISION CONCERNING THE TRADING AHEAD RULE, IN THAT ITS WRITTEN SUPERVISORY PROCEDURES FAILED TO PROVIDE FOR THE MINIMUM REQUIREMENTS FOR ADEQUATE WRITTEN SUPERVISORY PROCEDURES CONCERNING ORDER PROTECTION REQUIREMENTS APPLICABLE TO CUSTOMER ORDERS IN OTC SECURITIES. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $12,500, PAY RESTITUTION TO CUSTOMERS IN THE TOTAL AMOUNT OF $125.54, PLUS INTEREST, AND UNDERTAKES TO REVISE ITS WRITTEN SUPERVISORY PROCEDURES.
Regulatory
as of Jun 27, 2024
Allegations: SEC IA RELEASE 4526/SEPTEMBER 8, 2016: THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION) DEEMS IT APPROPRIATE THAT CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT), AGAINST ROBERT W. BAIRD & CO. INCORPORATED. THIS MATTER ARISES FROM THE FIRM'S FAILURE TO ADOPT AND IMPLEMENT ADEQUATE POLICIES AND PROCEDURES TO TRACK AND DISCLOSE TRADING AWAY PRACTICES BY CERTAIN OF THE SUBADVISORS PARTICIPATING IN THE FIRM'S WRAP FEE PROGRAMS. THE FIRM, IN ITS ADVISORY CAPACITY, OFFERS ITS ADVISORY CLIENTS THE OPPORTUNITY TO INVEST IN SEPARATELY MANAGED WRAP FEE PROGRAMS. THROUGH THESE PROGRAMS, THE FIRM'S ADVISORY CLIENTS PAY AN ANNUAL FEE IN EXCHANGE FOR RECEIVING ACCESS TO SELECT SUBADVISORS AND TRADING STRATEGIES, ADVICE FROM THE FIRM'S FINANCIAL ADVISORS, AND TRADE EXECUTION SERVICES THROUGH THE FIRM AT NO ADDITIONAL COST. HOWEVER, IF A SUBADVISOR CHOOSES NOT TO DIRECT THE EXECUTION OF PARTICULAR EQUITY TRADES THROUGH THE FIRM AND THE EXECUTING BROKER CHARGES A COMMISSION OR FEE, THE FIRM'S ADVISORY CLIENTS OFTEN ARE CHARGED ADDITIONAL COMMISSIONS OR FEES FOR THOSE TRANSACTIONS. THIS PRACTICE IS REFERRED TO AS "TRADING AWAY" AND THESE TYPES OF TRADES ARE FREQUENTLY CALLED "TRADE AWAYS." HISTORICALLY, THE FIRM DID NOT TRACK OR MONITOR WHICH SUBADVISORS WERE TRADING AWAY FROM THE FIRM, HOW OFTEN THOSE SUBADVISORS WERE TRADING AWAY, OR THE SPECIFIC COSTS ASSOCIATED WITH THOSE TRADE AWAYS. THE FIRM BEGAN COLLECTING COST INFORMATION FROM SUBADVISORS WHO WERE TRADING AWAY BUT FAILED TO ADOPT OR IMPLEMENT ANY POLICIES AND PROCEDURES DESIGNED TO PROVIDE INFORMATION TO THE FIRM'S CLIENTS AND FINANCIAL ADVISORS ABOUT THE AMOUNT OF THE ADDITIONAL COSTS OF TRADING AWAY. WITHOUT THE AVAILABILITY OF SUCH INFORMATION, THE FIRM'S FINANCIAL ADVISORS COULD NOT SEPARATELY CONSIDER THE COSTS ASSOCIATED WITH TRADING AWAY PRACTICES IN CONDUCTING THEIR INITIAL AND PERIODIC SUITABILITY ANALYSES FOR ADVISORY CLIENTS IN WRAP FEE PROGRAMS WHOSE FUNDS WERE MANAGED BY CERTAIN SUBADVISORS. BY FAILING TO ADOPT AND IMPLEMENT SUCH POLICIES AND PROCEDURES, THE FIRM VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER. Status: Final Sanction Detail: THE FIRM WAS ORDERED TO CEASE AND DESIST, FINED $250,000 AND ORDERED TO COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER. Summary: BAIRD, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE SANCTIONS AND FINDINGS OF THE SEC THAT IT VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER BY FAILING TO ADOPT AND IMPLEMENT ADEQUATE POLICIES AND PROCEDURES TO TRACK AND DISCLOSE TRADING AWAY PRACTICES BY CERTAIN OF THE SUBADVISORS PARTICIPATING IN BAIRD'S WRAP FEE PROGRAMS OFFERED THROUGH ITS PRIVATE WEALTH MANAGEMENT DEPARTMENT. THROUGH THESE PROGRAMS, BAIRD'S ADVISORY CLIENTS PAY AN ANNUAL FEE IN EXCHANGE FOR RECEIVING ACCESS TO SELECT SUBADVISORS AND TRADING STRATEGIES, ADVICE FROM BAIRD'S FINANCIAL ADVISORS, AND TRADE EXECUTION SERVICES THROUGH BAIRD AT NO ADDITIONAL COST. HOWEVER, IF A SUBADVISOR CHOOSES NOT TO DIRECT THE EXECUTION OF PARTICULAR EQUITY TRADES THROUGH BAIRD IN ORDER TO FULFILL ITS BEST EXECUTION OBLIGATION AND THE EXECUTING BROKER CHARGES A COMMISSION OR FEE, BAIRD'S ADVISORY CLIENTS OFTEN ARE CHARGED ADDITIONAL COMMISSIONS OR FEES FOR THOSE TRANSACTIONS, WHICH IS OFTEN EMBEDDED IN THE PRICE PAID OR RECEIVED FOR THE SECURITY. THIS PRACTICE IS REFERRED TO AS "TRADING AWAY" AND THESE TYPES OF TRADES ARE FREQUENTLY CALLED "TRADE AWAYS." BAIRD WAS FOUND TO HAVE FAILED TO ADOPT OR IMPLEMENT POLICIES AND PROCEDURES DESIGNED TO PROVIDE SPECIFIC INFORMATION TO BAIRD'S CLIENTS AND FINANCIAL ADVISORS ABOUT THE COSTS OF TRADING AWAY. BAIRD AGREED TO PROVIDE ADDITIONAL DISCLOSURE TO CLIENTS AND REVIEW AND, AS NECESSARY, UPDATE ITS POLICIES AND PROCEDURES.IN RESOLVING THIS MATTER, THE SEC RECOGNIZED BOTH THE VOLUNTARY REMEDIAL ACTS PROMPTLY UNDERTAKEN BY BAIRD AND ITS COOPERATION WITH THE SEC STAFF.
Regulatory
as of Jun 27, 2024
Allegations: IA RELEASE 40-5148, MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST ROBERT W. BAIRD & CO. INCORPORATED ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S OFFER, THE COMMISSION FINDS THAT THESE PROCEEDINGS ARISE OUT OF BREACHES OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURES BY THE RESPONDENT IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE FEES IT RECEIVED. AT TIMES DURING THE RELEVANT PERIOD, RESPONDENT PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. RESPONDENT RECEIVED 12B-1 FEES IN CONNECTION WITH THESE INVESTMENTS. RESPONDENT FAILED TO DISCLOSE IN ITS FORM ADV OR OTHERWISE THE CONFLICTS OF INTEREST RELATED TO (A) ITS RECEIPT OF 12B-1 FEES, AND/OR (B) ITS SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. DURING THE RELEVANT PERIOD, RESPONDENT RECEIVED 12B-1 FEES FOR ADVISING CLIENTS TO INVEST IN OR HOLD SUCH MUTUAL FUND SHARE CLASSES. AS A RESULT OF THE CONDUCT, RESPONDENT WILLFULLY VIOLATED SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. Status: Final Sanction Detail: THE RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. RESPONDENT IS CENSURED, SHALL PAY DISGORGEMENT OF $3,946,606.10 AND PREJUDGMENT INTEREST OF $212,561.34, AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: ROBERT W. BAIRD & CO. INCORPORATED (BAIRD), ALONG WITH MANY OTHER INVESTMENT ADVISORY FIRMS, VOLUNTARILY PARTICIPATED IN THE SEC'S SHARE CLASS SELECTION DISCLOSURE (OR SCSD) INITIATIVE. UNDER THE SCSD INITIATIVE, INVESTMENT ADVISORY FIRMS WERE OFFERED THE OPPORTUNITY TO VOLUNTARILY SELF-REPORT VIOLATIONS OF THE FEDERAL SECURITIES LAWS RELATING TO MUTUAL FUND SHARE CLASS SELECTION AND RELATED DISCLOSURE ISSUES AND AGREE TO STANDARDIZED SETTLEMENT TERMS IMPOSED BY THE SEC, INCLUDING RETURNING MONEY TO AFFECTED INVESTORS. THE CENTRAL ISSUE IDENTIFIED BY THE SEC IN ESTABLISHING THE SCSD INITIATIVE WAS THAT, IN MANY CASES, INVESTMENT ADVISORY FIRMS BOUGHT FOR OR RECOMMENDED TO THEIR CLIENTS MUTUAL FUND SHARE CLASSES THAT HAD DISTRIBUTION OR SERVICE FEES (COMMONLY KNOWN AS 12B-1 FEES) PAID OUT OF FUND ASSETS TO THE FIRMS WHEN LOWER-COST SHARE CLASSES WERE AVAILABLE TO THOSE CLIENTS, AND THE INVESTMENT ADVISORY FIRMS DID NOT ADEQUATELY DISCLOSE THE CONFLICT OF INTEREST ASSOCIATED WITH THOSE SHARE CLASSES. ON MARCH 11, 2019, THE SEC ISSUED ORDERS UNDER THE SCSD INITIATIVE TO A TOTAL OF 79 INVESTMENT ADVISERS (INCLUDING BAIRD) REFLECTING THE STANDARDIZED SETTLEMENT TERMS. ADDITIONAL ORDERS ARE EXPECTED TO BE ISSUED TO MORE FIRMS. THE ORDER PERTAINS TO BAIRD'S PRIVATE WEALTH MANAGEMENT (PWM) INVESTMENT ADVISORY BUSINESS. BAIRD'S ASSET MANAGEMENT BUSINESS AND THE BAIRD FUNDS WERE NOT SUBJECT TO THE ORDER. IN RESPONSE TO THE SEC'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE, BAIRD HAS MADE CHANGES TO ITS PWM INVESTMENT ADVISORY PROGRAMS IN WHICH MUTUAL FUNDS AVAILABLE IN THOSE PROGRAMS DO NOT INCLUDE SHARE CLASSES THAT PAY 12B-1 FEES. THE MUTUAL FUND SHARE CLASSES AVAILABLE TO CLIENTS IN BAIRD'S INVESTMENT ADVISORY PROGRAMS ARE GENERALLY THOSE THAT ARE LOWEST COST SHARE CLASSES MOST WIDELY OFFERED BY EACH MUTUAL FUND FAMILY ACROSS ITS VARIOUS FUNDS TO MOST TYPES OF ELIGIBLE INVESTORS.
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TRANSMIT LAST SALE REPORTS OF TRANSACTIONS TO THE FINRA/NASDAQ TRADE REPORTING FACILITY (FNTRF) IN DESIGNATED SECURITIES WITHIN 30 SECONDS AFTER EXECUTION. Status: Final Sanction Detail: SEE ABOVE
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM AND A FIRM SUPERVISOR DID NOT REASONABLY SUPERVISE A FORMER REGISTERED REPRESENTATIVE'S MISUSE OF CUSTOMER FUNDS. THE FINDINGS STATED THAT THE SUPERVISOR, WHO WAS THE REGISTERED REPRESENTATIVE'S DIRECT SUPERVISOR, DID NOT REASONABLY FOLLOW-UP ON RED FLAGS ASSOCIATED WITH A TRADE CORRECTION REQUEST SUBMITTED BY THE REGISTERED REPRESENTATIVE THAT SHOULD HAVE ALERTED HIM TO THE REGISTERED REPRESENTATIVE'S MISUSE OF CUSTOMER FUNDS. THE SUPERVISOR ALSO DID NOT FOLLOW CERTAIN OF THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) RELATING TO TRADE CORRECTIONS WHICH, IF FOLLOWED, WOULD HAVE PREVENTED THE REGISTERED REPRESENTATIVE'S MISUSE OF CUSTOMER FUNDS. THE FINDINGS ALSO STATED THAT IN REVIEWING AND APPROVING THE TRADE CORRECTION REQUEST, THE SUPERVISOR DID NOT FOLLOW SOME OF THE FIRM'S WSPS. THE FIRM'S WSPS STATED THAT CUSTOMER LOSSES CAUSED BY A REGISTERED REPRESENTATIVE'S ERROR WOULD BE BORNE BY THE FIRM OR THE REGISTERED REPRESENTATIVE. THE WSPS FURTHER STATED THAT SUPERVISORS WERE REQUIRED TO OBTAIN AND MAINTAIN DOCUMENTATION AND VERIFICATION OF THE REASONS FOR, AND DETAILS SURROUNDING, THE TRADE ERRORS AND CORRECTION. CONTRARY TO THESE PROCEDURES, THE SUPERVISOR APPROVED THE TRADE CORRECTION REQUEST WHEN THE RESULTING CORRECTION ALLOCATED THE TRADE LOSS TO THE CUSTOMER RATHER THAN THE FIRM OR THE REGISTERED REPRESENTATIVE, AND HE DID NOT REASONABLY DOCUMENT THE REASONS FOR, OR DETAILS SURROUNDING, THE TRADE CORRECTION. AFTER IT BECAME CLEAR THAT THE CUSTOMER OF THE REGISTERED REPRESENTATIVE DID NOT, IN FACT, AGREE TO PURCHASE THE STOCK AT ABOVE-MARKET VALUE, THE FIRM REIMBURSED THE CUSTOMER FOR THE LOSS. THE FINDINGS ALSO INCLUDED THAT THE FIRM DID NOT ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WSPS, FOR CORRECTING TRADE ERRORS THAT WAS REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND RULES. IN PARTICULAR, THE FIRM DID NOT IMPLEMENT REASONABLE WSPS, GUIDANCE, OR TRAINING TO ADEQUATELY DESCRIBE THE SUPERVISORY STEPS ASSOCIATED WITH REVIEWING, APPROVING, AND PROCESSING TRADE CORRECTIONS. THE FIRM'S WSPS FOR HANDLING TRADE CORRECTIONS WERE VAGUE AND AMBIGUOUS AND FIRM SUPERVISORS DID NOT UNDERSTAND HOW TO INTERPRET OR APPLY THE PROCEDURES. FINRA FOUND THAT THE FIRM RECOGNIZED, THAT ITS WSPS FOR CORRECTING TRADE ERRORS NEEDED TO BE UPDATED BECAUSE THEY WERE VAGUE AND AMBIGUOUS. NONETHELESS, THE FIRM DID NOT TAKE ANY STEPS TO ENHANCE THE WSPS OR PROVIDE SUPERVISORS WITH TRAINING OR GUIDANCE ON THE RELEVANT WSPS UNTIL A YEAR LATER. THE FIRM DID NOT COMPLETE ITS ENHANCEMENT OF ITS WSPS FOR TRADE CORRECTIONS UNTIL EARLY 2016. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $200,000, AND UNDERTAKES TO, WITHIN 30 DAYS OF APPROVAL OF THIS AWC, PROVIDE A WRITTEN CERTIFICATION TO FINRA THAT THE FIRM'S SYSTEMS, POLICIES AND PROCEDURES FOR CORRECTING TRADE ERRORS ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS AND RULES.
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT PUBLISHED SEVEN RESEARCH REPORTS ABOUT AN ISSUER WITHOUT DISCLOSING THAT THE RESEARCH ANALYST WHO AUTHORED THE REPORTS WAS ENGAGED IN EMPLOYMENT DISCUSSIONS WITH THE ISSUER THAT CONSTITUTED AN ACTUAL, MATERIAL CONFLICT OF INTEREST. THE FINDINGS STATED THAT THE RESEARCH ANALYST'S CANDIDACY FOR EMPLOYMENT AT THE ISSUER WAS CLEARLY VIABLE, AND THE ISSUER AND THE RESEARCH ANALYST HAD EXPRESSED MUTUAL INTEREST AND TAKEN CONCRETE STEPS IN FURTHERANCE OF THEIR EMPLOYMENT DISCUSSIONS. DURING THESE EMPLOYMENT DISCUSSIONS, THE RESEARCH ANALYST AUTHORED AND THE FIRM PUBLISHED THE SEVEN RESEARCH REPORTS ON THE ISSUER WITHOUT DISCLOSING THAT THE RESEARCH ANALYST WAS ENGAGED IN THE EMPLOYMENT DISCUSSIONS WITH IT. THE FIRM'S FAILURE TO DISCLOSE THE ACTUAL, MATERIAL CONFLICT OF INTEREST ARISING FROM THE RESEARCH ANALYST'S EMPLOYMENT DISCUSSIONS WITH THE ISSUER IN THE RESEARCH REPORTS AUTHORED BY HIM AND PUBLISHED BY THE FIRM MADE THOSE REPORTS MISLEADING. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $150,000.00 Summary: IN RESPONSE TO THIS MATTER, BAIRD TOOK PROACTIVE MEASURES TO REITERATE COMPLIANCE POLICIES PERTAINING TO RESEARCH DISCLOSURES ON MATERIAL CONFLICTS. THIS INVOLVED THE PUBLICATION OF POLICY REMINDERS, DISCUSSIONS AT MONTHLY RESEARCH DEPARTMENT MEETINGS, ENHANCEMENT OF RESEARCH ANALYST NEW HIRE ORIENTATION, AMENDMENTS TO THE RESEARCH ASSOCIATE AND RESEARCH SUPERVISORY COMPLIANCE MANUALS AND EDITS TO PROCEDURES REGARDING REVIEW OF RESEARCH. THE FIRM ALSO ENHANCED ITS RESEARCH DEPARTMENT FIRM ELEMENT TRAINING AND HELD DISCUSSIONS ON RELEVANT POLICY AND PRACTICE AT PERIODIC RESEARCH ANALYST MEETINGS. GOING FORWARD, BAIRD WILL CONTINUE TO MONITOR ADHERENCE TO RELEVANT POLICIES AND WILL CONTINUE TO APPROPRIATELY EDUCATE AND REMIND RESEARCH ANALYSTS OF THEIR RESPONSIBILITIES. ANY POTENTIAL FOR DISCLOSURE DUE TO SIMILAR CIRCUMSTANCES WILL BE REVIEWED BY THE FIRM'S MANAGEMENT AS WELL AS THE LEGAL AND COMPLIANCE DEPARTMENT.
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: ON JUNE 11, 2018, BAIRD RECEIVED ORDERS FROM A CUSTOMER TO BUY SECURITY 1. AFTER RECEIVING THE ORDERS, BAIRD ROUTED THEM, AS TWO SEPARATE PARENT ORDERS TO TWO DIFFERENT NYSE FLOOR BROKER FIRMS. BOTH RECIPIENT FLOOR BROKER FIRMS, AS EXECUTING BROKERS, BROKE UP THE PARENT ORDERS INTO CHILD ORDERS AND ROUTED THEM TO THE MARKET FOR EXECUTION. BAIRD'S SENDING OF THESE ORDERS TO TWO DIFFERENT FLOOR BROKER FIRMS INADVERTENTLY LED TO COMPETING CHILD ORDERS ON BEHALF OF THE CUSTOMER IN SECURITY 1 THAT COULD EXECUTE AT THE SAME TIME AND PRICE OVER A SIX-HOUR PERIOD. NEITHER FLOOR BROKER FIRM WAS AWARE THE OTHER FIRM WAS HANDLING THE COMPETING ORDERS. ONE PURPOSE OF NYSE RULE 122 IS TO PREVENT CIRCUMVENTION OF THE NYSE PARITY ALLOCATION RULES SO THAT A MEMBER ORGANIZATION OR ITS CUSTOMER CANNOT OBTAIN PREFERENTIAL EXECUTION BY SENDING COMPETING ORDERS TO MULTIPLE FLOOR BROKERS AT THE SAME TIME. BECAUSE BAIRD ROUTED ORDERS TO NYSE FLOOR BROKER FIRMS FOR EXECUTION, THE FIRM HAD OBLIGATIONS TO IMPLEMENT REASONABLY DESIGNED SUPERVISORY SYSTEMS, INCLUDING WSPS, TO DETECT AND PREVENT ROUTING OF POTENTIALLY COMPETING ORDERS TO TWO DIFFERENT FLOOR BROKERS. SPECIFICALLY, BAIRD SHOULD HAVE HAD SUPERVISORY PROCEDURES IN PLACE TO CONDUCT REASONABLE DUE DILIGENCE TO ASSURE THAT ORDERS IT WAS ROUTING TO DIFFERENT FLOOR BROKER FIRMS IN THE SAME SECURITY THAT COULD HAVE EXECUTED AT THE SAME TIME AND PRICE WERE NOT FOR THE ACCOUNT OF THE SAME PRINCIPAL. PRIOR TO OCTOBER 2020, THE FIRM HAD NO PROCEDURES IN PLACE ADDRESSING NYSE RULE 122. Status: Final Sanction Detail: BAIRD PAID THE $12,500.00 FINE ON 12/29/2021 Summary: THE FIRM ACCEPTED AND CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS AND THE IMPOSITION OF A $12,500 FINE. UPON IDENTIFICATION OF THE ORDER ROUTING INCIDENT BY THE NYSE, BAIRD PROMPTLY RE-EDUCATED TRADING STAFF ON THE REQUIREMENTS OF NYSE RULE 122 AND WILL CONTINUE TO APPROPRIATELY EDUCATE AND REMIND TRADING STAFF OF THEIR RESPONSIBILITIES. BAIRD ALSO TOOK STEPS TO UPDATE ITS SUPERVISORY SYSTEM BY IMPLEMENTING A SUPERVISORY REVIEW PROCEDURE SPECIFIC TO THE REQUIREMENTS OF NYSE RULE 122.
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT USED A PUBLISHED COMMISSION SCHEDULE PURSUANT TO WHICH IT CHARGED COMMISSIONS ON LOW-PRINCIPAL TRANSACTIONS THAT WERE NOT FAIR AND REASONABLE. THE FINDINGS STATED THAT FOR ALL EQUITY TRANSACTIONS, THE FIRM IMPOSED A MINIMUM COMMISSION OF $100, IN ADDITION TO A HANDLING FEE. AS A RESULT OF THE MINIMUM COMMISSION, THE FIRM CHARGED A TOTAL OF AT LEAST $266,481 IN UNFAIR COMMISSIONS OF TRANSACTIONS ON BEHALF OF CUSTOMERS. THE COMMISSIONS CHARGED RANGED FROM OVER FIVE PERCENT TO 93 PERCENT OF THE TRANSACTIONS' PRINCIPAL VALUE. THE FINDINGS ALSO STATED THAT THE FIRM'S SUPERVISORY SYSTEM WAS UNREASONABLE BECAUSE IN ESTABLISHING ITS COMMISSION SCHEDULE AND IN SETTING COMMISSIONS ON TRANSACTIONS, THE FIRM DID NOT APPROPRIATELY CONSIDER THE FACTORS SET FORTH IN FINRA RULE 2121.01 FOR TRANSACTIONS WHEN THE MINIMUM $100 COMMISSION WAS IMPOSED. SPECIFICALLY, WHILE THE FIRM GENERALLY FLAGGED TRANSACTIONS WHERE CUSTOMERS WERE CHARGED OVER FIVE PERCENT OF PRINCIPAL AND REVIEWED THOSE TRANSACTIONS FOR EXCESSIVE COMMISSIONS, THE FIRM'S SUPERVISORY SYSTEM DID NOT FLAG FOR REVIEW TRANSACTIONS WHEN THE FIRM CHARGED THE MINIMUM $100 COMMISSION. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $150,000.00 AND ORDERED TO PAY $266,481, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. Summary: THE FIRM ACCEPTED AND CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS AND THE IMPOSITION OF A $150,000 FINE. AFTER FINRA DISCUSSED THE $100 MINIMUM EQUITY COMMISSION WITH ROBERT W. BAIRD & CO., INCORPORATED ("BAIRD") DURING THE 2020 ROUTINE EXAMINATION, BAIRD PROMPTLY MODIFIED ITS PUBLISHED COMMISSION SCHEDULE TO ELIMINATE THE MINIMUM COMMISSION AMOUNT AND UPDATED ITS WRITTEN SUPERVISORY PROCEDURES TO ALIGN WITH THE NEW PUBLISHED SCHEDULE. BAIRD ALSO TOOK STEPS TO MAKE PAYMENTS TO THE AFFECTED CUSTOMERS, WHICH ON AVERAGE AMOUNT TO $36.62 PER TRADE AND $57.64 PER CUSTOMER. BAIRD WILL CONTINUE TO MAKE EFFORTS TO ENSURE THAT IT CHARGES FAIR PRICES AND COMMISSIONS ON ALL SECURITIES TRANSACTIONS WITH ITS CUSTOMERS.
Regulatory · Item 11.E(2)
as of Jun 27, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS SUPERVISORY SYSTEM DID NOT PROVIDE CERTAIN CUSTOMERS WITH MUTUAL FUND SALES CHARGE WAIVERS AND FEE REBATES TO WHICH THEY WERE ENTITLED THROUGH RIGHTS OF REINSTATEMENT OFFERED BY MUTUAL FUND COMPANIES. THE FINDINGS STATED THAT THE FIRM'S SYSTEM THAT PROVIDED CUSTOMERS WITH RIGHTS OF REINSTATEMENT BENEFITS ON ELIGIBLE TRANSACTIONS WAS NOT REASONABLY DESIGNED IN TWO BASIC RESPECTS. FIRST, THE FIRM'S OVERSIGHT OF DISCOUNTS AVAILABLE THROUGH RIGHTS OF REINSTATEMENT RELIED ON AN AUTOMATED ALERT THAT WAS DESIGNED PRIMARILY TO MONITOR FOR MUTUAL FUND SWITCHES THAT OCCURRED WITHIN 90 DAYS OF A PRIOR SALE. THUS, THE ALERT WAS NOT DESIGNED TO, AND DID NOT, CAPTURE ALL TRANSACTIONS ELIGIBLE FOR REINSTATEMENT PRIVILEGES BECAUSE MANY FUNDS' REINSTATEMENT PERIODS EXCEEDED 90 DAYS. SECOND, THE FIRM RELIED ON AN INEFFECTIVE REVIEW OF THESE ALERTS-BASED ON A MANUAL REVIEW OF RANDOM SAMPLES-TO SUPERVISE AND CONFIRM WHETHER THE FIRM CREDITED ELIGIBLE CUSTOMERS WITH REINSTATEMENT PRIVILEGES. AS A RESULT OF ITS SUPERVISORY DEFICIENCIES, BAIRD DID NOT PROVIDE ACCOUNTS WITH RIGHTS OF REINSTATEMENT BENEFITS TO WHICH THEY WERE ENTITLED, AND CUSTOMERS PAID $519,646.23 IN EXCESS SALES CHARGES AND FEES. THE FIRM HAS SINCE ENHANCED ITS SUPERVISORY SYSTEM. Status: Final Sanction Detail: THE FIRM PAID $519,646.23 IN RESTITUTION TO CUSTOMERS PRIOR TO THE EFFECTIVE DATE OF THIS AWC. Summary: UPON RECEIPT OF FINRA'S SWEEP INQUIRY IN 2021, BAIRD CONDUCTED AN INTERNAL REVIEW TO IDENTIFY POTENTIALLY DISADVANTAGED CUSTOMERS AND CALCULATED A REMEDIATION AMOUNT, VOLUNTARILY EXTENDING THE REVIEW PERIOD BEYOND FINRA'S REQUESTED DATE. PRIOR TO RESOLVING THE MATTER WITH FINRA, BAIRD PROACTIVELY REMEDIATED 2,300 CUSTOMERS A TOTAL OF $519,646.23, PLUS INTEREST, FOR AN AVERAGE AMOUNT OF IMPACT PER CUSTOMER OF APPROXIMATELY $225.00. BAIRD ALSO ENHANCED ITS SUPERVISORY SYSTEM, INCLUDING BY CREATING AND IMPLEMENTING NEW EXCEPTION REPORTS DESIGNED SPECIFICALLY TO IDENTIFY MISSED RIGHTS OF REINSTATEMENT. THESE ENHANCEMENTS ALSO AUTOMATED THE PREVIOUSLY MANUAL REVIEW.
Regulatory
as of Jun 27, 2024
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST ROBERT W. BAIRD & CO. INCORPORATED ("RESPONDENT" OR "BAIRD"). RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT ("OFFER") THAT THE COMMISSION HAS DETERMINED TO ACCEPT. THE COMMISSION FINDS THAT THE FEDERAL SECURITIES LAWS IMPOSE RECORDKEEPING REQUIREMENTS ON BROKER-DEALERS AND REGISTERED INVESTMENT. THESE PROCEEDINGS ARISE OUT OF THE FAILURE OF BAIRD EMPLOYEES THROUGHOUT THE FIRM, INCLUDING AT SENIOR LEVELS, TO ADHERE TO CERTAIN OF THESE REQUIREMENTS AND BAIRD'S OWN POLICIES. USING THEIR PERSONAL DEVICES, THESE EMPLOYEES COMMUNICATED BOTH INTERNALLY AND EXTERNALLY BY PERSONAL TEXT MESSAGES ("OFF-CHANNEL COMMUNICATIONS"). FROM AT LEAST JANUARY 2019, BAIRD EMPLOYEES SENT AND RECEIVED OFF-CHANNEL COMMUNICATIONS THAT RELATED TO THE BUSINESS OF THE BROKER-DEALER AND REGISTERED INVESTMENT ADVISER OPERATED BY BAIRD. RESPONDENT DID NOT MAINTAIN OR PRESERVE THE SUBSTANTIAL MAJORITY OF THESE WRITTEN COMMUNICATIONS. RESPONDENT'S FAILURE WAS FIRM-WIDE AND INVOLVED EMPLOYEES AT VARIOUS LEVELS OF AUTHORITY. AS A RESULT, BAIRD VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER. BAIRD'S SUPERVISORS, WHO WERE RESPONSIBLE FOR SUPERVISING JUNIOR EMPLOYEES, COMMUNICATED OFF-CHANNEL USING THEIR PERSONAL DEVICES. BAIRD'S FAILURE TO IMPLEMENT ITS POLICIES AND PROCEDURES THAT PROHIBIT SUCH COMMUNICATIONS LED TO ITS FAILURE TO REASONABLY SUPERVISE ITS EMPLOYEES WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT AND SECTION 203(E)(6) OF THE ADVISERS ACT. DURING THE TIME PERIOD, BAIRD RECEIVED AND RESPONDED TO COMMISSION SUBPOENAS FOR DOCUMENTS AND/OR RECORDS REQUESTS IN NUMEROUS COMMISSION INVESTIGATIONS. AS A RESULT, BAIRD'S RECORDKEEPING FAILURES LIKELY IMPACTED THE COMMISSION'S ABILITY TO CARRY OUT ITS REGULATORY FUNCTIONS AND INVESTIGATE VIOLATIONS OF THE FEDERAL SECURITIES LAWS ACROSS THESE INVESTIGATIONS. COMMISSION STAFF UNCOVERED BAIRD'S MISCONDUCT AFTER COMMENCING A RISK-BASED INITIATIVE TO INVESTIGATE THE USE OF OFF-CHANNEL AND UNPRESERVED COMMUNICATIONS AT BROKER DEALERS. BAIRD HAS INITIATED A REVIEW OF ITS RECORDKEEPING FAILURES AND BEGUN A PROGRAM OF REMEDIATION. AS A RESULT OF ITS CONDUCT, FROM AT LEAST JANUARY 2019 THROUGH THE DATE OF THIS ORDER, RESPONDENT WILLFULLY VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER. FURTHERMORE, BAIRD FAILED TO REASONABLY TO SUPERVISE ITS EMPLOYEES WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF ITS EMPLOYEES' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, 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 WAS ORDERED TO CEASE AND DESIST, IS CENSURED, SHALL PAY A CIVIL MONEY PENALTY OF $15,000,000, AND SHALL COMPLY WITH CERTAIN UNDERTAKINGS. Summary: IN SEPTEMBER 2023, BAIRD ENTERED INTO AN OFFER OF SETTLEMENT WITH THE SEC (THE "SETTLEMENT"), IN WHICH IT ADMITTED THAT IT VIOLATED SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER FOR FAILING TO MAINTAIN RECORDS OF CERTAIN BUSINESS-RELATED COMMUNICATIONS MADE BY BAIRD ASSOCIATES WHEN THEY USED THEIR PERSONAL DEVICES ("OFF-CHANNEL COMMUNICATIONS") AND FOR FAILING TO SUPERVISE ITS ASSOCIATES' BUSINESS-RELATED COMMUNICATIONS. THE SETTLEMENT WAS RELATED TO AN SEC RISK-BASED INITIATIVE, WHEREBY THE SEC INVESTIGATED A LARGE NUMBER OF FINANCIAL SERVICES FIRMS TO DETERMINE WHETHER THOSE FIRMS WERE PROPERLY RETAINING BUSINESS-RELATED TEXT AND INSTANT MESSAGES AND OTHER OFF-CHANNEL COMMUNICATIONS SENT AND RECEIVED ON EMPLOYEES' PERSONAL DEVICES. FOLLOWING THE COMMENCEMENT OF THE SEC'S INITIATIVE, BAIRD COOPERATED WITH THE SEC AND CONDUCTED VOLUNTARY INTERVIEWS OF A SAMPLING OF BAIRD SUPERVISORS TO GATHER AND REVIEW MESSAGES FOUND ON THEIR PERSONAL DEVICES. IT WAS DISCOVERED THAT CERTAIN BAIRD SUPERVISORS COMMUNICATED OFF-CHANNEL USING NON-BAIRD APPROVED METHODS ON THEIR PERSONAL DEVICES ABOUT BAIRD'S BROKER-DEALER AND INVESTMENT ADVISER BUSINESSES. AS PART OF THE SETTLEMENT, BAIRD WAS CENSURED AND ORDERED TO CEASE AND DESIST FROM FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER AND TO PAY A CIVIL MONETARY PENALTY OF $15 MILLION. IN ADDITION, BAIRD AGREED TO CERTAIN UNDERTAKINGS, INCLUDING RETAINING AN INDEPENDENT COMPLIANCE CONSULTANT TO CONDUCT A REVIEW OF BAIRD'S POLICIES AND PROCEDURES, TRAINING, SURVEILLANCE PROGRAM, TECHNOLOGY SOLUTIONS AND SIMILAR MATTERS RELATED TO OFF-CHANNEL COMMUNICATIONS.
Regulatory
as of Jun 27, 2024
Allegations: SEC ADMIN RELEASES 33-9840; 34-75234, 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 ROBERT W. BAIRD & CO. INCORPORATED ("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: ROBERT W. BAIRD & CO. INCORPORATED (BAIRD), ALONG WITH NUMEROUS MUNICIPAL SECURITIES UNDERWRITERS AND MUNICIPAL ISSUERS, VOLUNTARILY PARTICIPATED IN THE SEC'S MUNICIPAL CONTINUING DISCLOSURE COOPERATION (MCDC) INITIATIVE (MCDC). UNDER THE MCDC, PARTICIPATING UNDERWRITERS AND ISSUERS SUBMITTED REPORTS TO THE SEC IDENTIFYING MUNICIPAL SECURITIES OFFERINGS FOR WHICH THE OFFICIAL STATEMENTS DID NOT ACCURATELY DESCRIBE THE ISSUER'S NON-COMPLIANCE WITH CONTINUING DISCLOSURE REQUIREMENTS. SEC RULE 15C2-12 REQUIRES OFFICIAL STATEMENTS FOR MUNICIPAL SECURITIES OFFERINGS TO DESCRIBE INSTANCES OVER THE PAST FIVE YEARS IN WHICH THE ISSUER FAILED TO COMPLY, IN ALL MATERIAL RESPECTS, WITH ANY OF ITS PREVIOUS CONTINUING DISCLOSURE REQUIREMENTS. THOSE REQUIREMENTS INCLUDE FILINGS OF ANNUAL FINANCIAL INFORMATION AND OPERATING DATA AND NOTICES OF MATERIAL EVENTS PERTAINING TO THE MUNICIPAL ISSUER AND/OR OTHER OBLIGATED PERSONS. BY CHOOSING TO PARTICIPATE IN THE MCDC, UNDERWRITERS AND ISSUERS AGREED TO ACCEPT STANDARDIZED SETTLEMENT TERMS. ON JUNE 18, 2015, THE SEC ISSUED ORDERS UNDER THE MCDC TO A TOTAL OF 36 MUNICIPAL UNDERWRITERS (INCLUDING BAIRD) REFLECTING THE STANDARDIZED SETTLEMENT TERMS. ALTHOUGH THE MONETARY PENALTIES VARIED FROM FIRM TO FIRM, EACH ORDER (INCLUDING BAIRD'S) CONTAINS A FINDING, WHICH THE FIRM NEITHER ADMITS NOR DENIES, THAT THE FIRM DID NOT CONDUCT ADEQUATE DUE DILIGENCE TO ENSURE THAT THE ISSUERS' REPRESENTATIONS IN THE OFFICIAL STATEMENTS ABOUT THEIR PAST COMPLIANCE WITH CONTINUING DISCLOSURES WERE ACCURATE AND THEREFORE VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933; AND REQUIRES THE FIRM TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR FUTURE VIOLATIONS OF SECTION 17(A)(2), PAY A CIVIL MONETARY PENALTY, RETAIN AN INDEPENDENT CONSULTANT TO REVIEW BAIRD'S MUNICIPAL UNDERWRITING DUE DILIGENCE POLICIES AND PROCEDURES, AND ADOPT THE CONSULTANT'S FINAL RECOMMENDATIONS FOR CHANGES IN OR IMPROVEMENTS TO THOSE POLICIES AND PROCEDURES (EXCEPT FOR SUCH RECOMMENDATIONS, IF ANY, AS APPROVED BY THE SEC THAT BAIRD CAN DEMONSTRATE ARE UNDULY BURDENSOME, IMPRACTICAL OR INAPPROPRIATE). MORE SUCH ORDERS ARE EXPECTED TO BE ISSUED INVOLVING ADDITIONAL MUNICIPAL UNDERWRITERS, AND SIMILAR ORDERS ARE EXPECTED TO BE ISSUED AGAINST ISSUERS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
- • Performance-based fees
- • Other fees
- • HARD DOLLAR PAYMENTS FOR RESEARCH
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
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- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
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Custody
Reported custodians
- Robert W. Baird & Co. Incorporated $181B (46% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 20, 2026.
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