Mml Investors Services, Llc
SEC-registered
Broker-Dealer (Dually Registered) · Mega ($100B+)
CRD 10409
· SEC file 801-44264
· Springfield, MA
· WWW.MMLINVESTORS.COM
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ADV data as of Jul 10, 2026
- Regulatory AUM
- $116B
- Discretionary
- $70.7B
- Clients
- 454,836
- Avg AUM / client
- $254K
- Accounts
- 454,857
- Employees
- 6,976
AUM over time
$666M
$116B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 10, 2026
Asset allocation (SMA assets by investment type)
as of Jul 10, 2026
Registered investment companies (funds/ETFs)
$84.4B
73%
Exchange-traded equities
$23.1B
20%
Cash & equivalents
$3.5B
3%
US government & agency bonds
$1.2B
1%
State & local bonds
$1.2B
1%
Investment-grade corporate bonds
$1.2B
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.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 447,952 | $106B | 91.5% |
| High net worth individuals | 885 | $6.2B | 5.33% |
| Banking or thrift institutions | 12 | $91.6M | 0.08% |
| Investment companies | 1 | $85.8K | 0.0% |
| Pension and profit sharing plans | 3,379 | $1.4B | 1.24% |
| Charitable organizations | 733 | $307M | 0.27% |
| Corporations and other businesses | 1,873 | $1.9B | 1.62% |
| Other | 1 | — | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 132.
People (5,039)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Vaccaro, John Arthur | Ceo, Chairman Of The Board | Dec 2016 (10y) | Less than 5% | |
| Bauer, Thomas K | Chief Technology Officer | Mar 2017 (9y) | Less than 5% | |
| Holtzer, David Michael | Field Risk Officer | Mar 2017 (9y) | Less than 5% | |
| Mary Bea Wilkinson | Vice President | Mar 2017 (9y) | Less than 5% | |
| Mink, David Myers | Vice President And Chief Operations Officer | Mar 2017 (9y) | Less than 5% | |
| Craddock, Geoffrey | Director | Nov 2017 (9y) | Less than 5% | |
| Rogers Reid, Courtney Mckenzie | Chief Compliance Officer | Oct 2021 (5y) | Less than 5% | |
| Vaughn Charles Bowman | President And Director | Jan 2022 (5y) | Less than 5% | |
| Duch Iii, Edward Karl | Chief Legal Officer, Secretary And Vice President | Jun 2022 (4y) | Less than 5% | |
| Frank Joseph Rispoli | Chief Financial Officer And Treasurer | Chartered Financial Consultant | Jun 2022 (4y) | Less than 5% |
| Lapiana, Paul Anthony | Director | Jun 2023 (3y) | Less than 5% | |
| Reilly, Jennifer Rhodes | Director | Apr 2024 (2y) | Less than 5% | |
| John Walter Wilson | Registered representative | Chartered Financial Consultant | Feb 1985 (41y) | |
| David Alexander Marley | Registered representative | Jan 1990 (37y) | ||
| Dennis Joseph Flanagan | Registered representative | Chartered Financial Consultant | Mar 1991 (35y) | |
| James Michael Jensen | Registered representative | CFP | Mar 1991 (35y) | |
| Stephen David Estler | Registered representative | Mar 1991 (35y) | ||
| William John Chase | Registered representative | Aug 1992 (34y) | ||
| Robert Lee Smith | Registered representative | Feb 1993 (33y) | ||
| Joseph F Eppy | Registered representative | Mar 1994 (32y) | ||
| Thomas Edgar Mayer | Registered representative | Aug 1994 (32y) | ||
| James M. Hasley | Registered representative | Sep 1994 (32y) | ||
| Paul Joseph Mariano | Registered representative | Chartered Financial Consultant | Sep 1995 (31y) | |
| Belton Robinson | Registered representative | Dec 1995 (31y) | ||
| Daniel Lewis Tasciotti | Registered representative | Mar 1996 (30y) | ||
| Ivan Valdes | Registered representative | Apr 1996 (30y) | ||
| Craig Jonathan Beden | Registered representative | Chartered Financial Consultant | Feb 1997 (29y) | |
| Edward James Hopkins | Registered representative | Chartered Financial Consultant | Mar 1997 (29y) | |
| Mitchell Rutherford Mays | Registered representative | Jun 1997 (29y) | ||
| Frederick Thornton Scruggs | Registered representative | Jun 1997 (29y) | ||
| David Warfield Bennett | Registered representative | CFP | Jul 1997 (29y) | |
| Jodi Phyllis Rosenbloom | Registered representative | Chartered Financial Consultant | Jul 1997 (29y) | |
| Thomas Ward Naylor | Registered representative | CFP | Jul 1997 (29y) | |
| David Gregory Bohman | Registered representative | Dec 1997 (29y) | ||
| Sarah Chamberlain White | Registered representative | Mar 1998 (28y) | ||
| Roger Stephen Marks | Registered representative | Apr 1998 (28y) | ||
| Donald James Harrington | Registered representative | CFP Chartered Financial Consultant | Apr 1998 (28y) | |
| Cassandra Lou Wilson | Registered representative | Jun 1998 (28y) | ||
| Stacie Lyn Spielfogel | Registered representative | Jul 1998 (28y) | ||
| Jean Allen Darcy | Registered representative | Jul 1998 (28y) | ||
| George Irving Lambrix | Registered representative | Chartered Financial Consultant | Jul 1998 (28y) | |
| Wayne Yoshitaka Tanaka | Registered representative | Oct 1998 (28y) | ||
| Robert Dean Bruechert | Registered representative | Chartered Financial Consultant | Nov 1998 (28y) | |
| Mark Allen Heisler | Registered representative | Dec 1998 (28y) | ||
| Paul Alex Decoursey | Registered representative | Dec 1998 (28y) | ||
| Charles Andrew Redd | Registered representative | Dec 1998 (28y) | ||
| Joseph Charles Halder | Registered representative | Chartered Financial Consultant | Dec 1998 (28y) | |
| Charles Paul Andersen | Registered representative | Jan 1999 (28y) | ||
| Scott Matthew Sundet | Registered representative | Jan 1999 (28y) | ||
| Joseph Alan Esposito | Registered representative | Jan 1999 (28y) | ||
| Franklin Jordan Taylor | Registered representative | Feb 1999 (27y) | ||
| Stanley Roger Dominey | Registered representative | CFP Chartered Financial Consultant | Mar 1999 (27y) | |
| Shaker Mohamed Sherif | Registered representative | Mar 1999 (27y) | ||
| Thomas John Shaughnessy | Registered representative | Apr 1999 (27y) | ||
| Kathleen Anne Adams Brosterman | Registered representative | May 1999 (27y) | ||
| Blair Christopher Rice | Registered representative | Jun 1999 (27y) | ||
| Debra Anne Hackelgostas | Registered representative | Chartered Financial Consultant | Jun 1999 (27y) | |
| Jerry L Hulick | Registered representative | Jun 1999 (27y) | ||
| Howard Martin Soltoff | Registered representative | Jul 1999 (27y) | ||
| Terrill Bruce Johnson | Registered representative | Jul 1999 (27y) | ||
| Larry Eugene Bowling | Registered representative | Aug 1999 (27y) | ||
| Carmen Renee Black | Registered representative | Aug 1999 (27y) | ||
| Curtis Roger Smith | Registered representative | Aug 1999 (27y) | ||
| Delmer August Dreyer | Registered representative | Aug 1999 (27y) | ||
| Stephen Reaves Frank | Registered representative | Aug 1999 (27y) | ||
| Edmond Hough Johnson | Registered representative | Aug 1999 (27y) | ||
| Steven Charles Harris | Registered representative | Chartered Financial Consultant | Sep 1999 (27y) | |
| Brady Todd Westphal | Registered representative | Sep 1999 (27y) | ||
| Michael Henry Kessling | Registered representative | Sep 1999 (27y) | ||
| David Thornton Clarke | Registered representative | Oct 1999 (27y) | ||
| Martin James Coursey | Registered representative | Chartered Financial Consultant | Oct 1999 (27y) | |
| Michael Alan Terry | Registered representative | Oct 1999 (27y) | ||
| Adam Anthony Solano | Registered representative | Oct 1999 (27y) | ||
| Thomas Dean Conklin | Registered representative | Nov 1999 (27y) | ||
| Richard Gregory Sullivan | Registered representative | Nov 1999 (27y) | ||
| Michael George Botts | Registered representative | Nov 1999 (27y) | ||
| Nader Ahmad Issa | Registered representative | Chartered Financial Consultant | Dec 1999 (27y) | |
| Dale Joseph Seymour | Registered representative | Chartered Financial Consultant | Dec 1999 (27y) | |
| Penny Patrice Crowell | Registered representative | Dec 1999 (27y) | ||
| Peter Spencer Sechler | Registered representative | Dec 1999 (27y) | ||
| Kathleen Sue Kawczynski | Registered representative | Jan 2000 (27y) | ||
| Robert Kelly Mcgee | Registered representative | Jan 2000 (27y) | ||
| William Thaddeus Davis | Registered representative | Feb 2000 (26y) | ||
| Karl Frederick Rickel | Registered representative | Feb 2000 (26y) | ||
| Samuel Eugene Rincker | Registered representative | Feb 2000 (26y) | ||
| Timothy Alan Danehower | Registered representative | Feb 2000 (26y) | ||
| William Ernest Anast | Registered representative | Feb 2000 (26y) | ||
| Joseph William Scheid | Registered representative | May 2000 (26y) | ||
| Bryan Scott Hanning | Registered representative | May 2000 (26y) | ||
| Gus Nicholas Zefkeles | Registered representative | Chartered Financial Consultant | May 2000 (26y) | |
| Sandra Uyemura Strong | Registered representative | Chartered Financial Consultant | May 2000 (26y) | |
| Charles William Potts | Registered representative | Jun 2000 (26y) | ||
| Jennifer Lynn Thomsen | Registered representative | Chartered Financial Consultant | Jul 2000 (26y) | |
| Darren Jay Wright | Registered representative | Aug 2000 (26y) | ||
| James Chandler Richards | Registered representative | Sep 2000 (26y) | ||
| George Gram Nolen | Registered representative | Oct 2000 (26y) | ||
| Christopher William Dilts | Registered representative | CFP | Oct 2000 (26y) | |
| Margaret Ann Reister | Registered representative | Nov 2000 (26y) | ||
| Larry G Foster | Registered representative | Dec 2000 (26y) | ||
| Jeremy Scott Fagan | Registered representative | Chartered Financial Consultant | Jan 2001 (26y) | |
| Dennis Francis Zielinski | Registered representative | Jan 2001 (26y) | ||
| Gordon Marshfield Kimpel | Registered representative | Jan 2001 (26y) | ||
| Dan Dewitt Shaner | Registered representative | Jan 2001 (26y) | ||
| David Matthew Bodner | Registered representative | Mar 2001 (25y) | ||
| Angela Mae Wingerd | Registered representative | CFP Chartered Financial Consultant | Mar 2001 (25y) | |
| Sam Michael Huston | Registered representative | Mar 2001 (25y) | ||
| Lawrence Norbert Holden | Registered representative | Apr 2001 (25y) | ||
| Patrick Michael Sullivan | Registered representative | Apr 2001 (25y) | ||
| Paul Michael Joanou | Registered representative | Chartered Financial Consultant | Apr 2001 (25y) | |
| Gary Lee Wise | Registered representative | May 2001 (25y) | ||
| Rodney Edward Jewell | Registered representative | May 2001 (25y) | ||
| Edward Ira Wight | Registered representative | CFP Chartered Financial Consultant | May 2001 (25y) | |
| Bruce Anthony Deboer | Registered representative | Chartered Financial Consultant | Jun 2001 (25y) | |
| James Michael Wehr | Registered representative | Jun 2001 (25y) | ||
| Kent D Ashley | Registered representative | Jun 2001 (25y) | ||
| John Edward Mickey | Registered representative | Jun 2001 (25y) | ||
| Steven Thomas Voiland | Registered representative | Jun 2001 (25y) | ||
| William Cromwell Haycox | Registered representative | Jul 2001 (25y) | ||
| John Russell Degen | Registered representative | Jul 2001 (25y) | ||
| Kathleen Hull Degen | Registered representative | Jul 2001 (25y) | ||
| Matt Tapani Kokkonen | Registered representative | Jul 2001 (25y) | ||
| Christopher Anthony Perme | Registered representative | Aug 2001 (25y) | ||
| Louis Belinkie | Registered representative | Aug 2001 (25y) | ||
| Gregory Dean Soulsburg | Registered representative | Aug 2001 (25y) | ||
| Robert John Conlisk | Registered representative | Sep 2001 (25y) | ||
| Brock Thomas Jolly | Registered representative | Oct 2001 (25y) | ||
| Harutune Hamassian | Registered representative | Oct 2001 (25y) | ||
| Shane Blake Tenny | Registered representative | Nov 2001 (25y) | ||
| Christopher Robert Harding | Registered representative | Dec 2001 (25y) | ||
| Joseph Mundy Rhyne | Registered representative | CFP | Dec 2001 (25y) | |
| Blake Welles Lund | Registered representative | Feb 2002 (24y) | ||
| Gerald Joseph Radican | Registered representative | Feb 2002 (24y) | ||
| James Charles Brocke | Registered representative | CFP | Feb 2002 (24y) | |
| Christopher Lee Heerdegen | Registered representative | Mar 2002 (24y) | ||
| T Ray Phillips | Registered representative | Chartered Financial Consultant | Mar 2002 (24y) | |
| Todd Paul Gullickson | Registered representative | Chartered Financial Consultant | Mar 2002 (24y) | |
| Kent Leslie Wyse | Registered representative | Apr 2002 (24y) | ||
| Donald Joseph Uhrin | Registered representative | Chartered Financial Consultant | May 2002 (24y) | |
| James Frederick Glass | Registered representative | May 2002 (24y) | ||
| Walter Everett Katz | Registered representative | CFP Chartered Financial Consultant | Jun 2002 (24y) | |
| Robert Francis Ehinger | Registered representative | CFP Chartered Financial Consultant | Jun 2002 (24y) | |
| Scott Charles Curran | Registered representative | Chartered Financial Consultant | Jun 2002 (24y) | |
| Harry Mc Ennis Harris | Registered representative | Jun 2002 (24y) | ||
| George Ralph Koroghlian | Registered representative | Jun 2002 (24y) | ||
| Yin Long | Registered representative | Jun 2002 (24y) | ||
| Carmen Cheung Goldsmith | Registered representative | CFP | Jun 2002 (24y) | |
| Michael Raphael Lonergan | Registered representative | Jun 2002 (24y) | ||
| James William Toth | Registered representative | Chartered Financial Consultant | Jun 2002 (24y) | |
| Daniel Lee Turnmeyer | Registered representative | Chartered Financial Consultant | Jun 2002 (24y) | |
| Michael Vesuvio | Registered representative | Jul 2002 (24y) | ||
| Patrick James Dolan | Registered representative | Chartered Financial Consultant | Jul 2002 (24y) | |
| Roy Francis Halvorsen | Registered representative | Chartered Financial Consultant | Jul 2002 (24y) | |
| Peter Nicholas Pitucco | Registered representative | Jul 2002 (24y) | ||
| Lee Frederick Windt | Registered representative | Jul 2002 (24y) | ||
| Michael Scott Pine | Registered representative | Jul 2002 (24y) | ||
| Jeffrey Paul Durr | Registered representative | Jul 2002 (24y) | ||
| Laura Elizabeth Riley | Registered representative | Chartered Financial Consultant | Jul 2002 (24y) | |
| Paul George Stappas | Registered representative | Aug 2002 (24y) | ||
| Greg Alan Harvey | Registered representative | Aug 2002 (24y) | ||
| Brooks L Kickham | Registered representative | Chartered Financial Consultant | Aug 2002 (24y) | |
| Mark Andrew Lester | Registered representative | CFP | Aug 2002 (24y) | |
| John Stuart Dameron | Registered representative | Aug 2002 (24y) | ||
| Troy Edward Sheets | Registered representative | Aug 2002 (24y) | ||
| Steven Richard Serotte | Registered representative | Chartered Financial Consultant | Oct 2002 (24y) | |
| Mark Allen Amato | Registered representative | Oct 2002 (24y) | ||
| Todd Edward Binder | Registered representative | Jan 2003 (24y) | ||
| Scott Walter Clippinger | Registered representative | Jan 2003 (24y) | ||
| David Lawrence Holden | Registered representative | Jan 2003 (24y) | ||
| Christopher Evans Collier | Registered representative | Chartered Financial Consultant | Feb 2003 (23y) | |
| Robert Charles Herdler | Registered representative | Chartered Financial Consultant | Feb 2003 (23y) | |
| Sergio O Pessoa | Registered representative | CFP Chartered Financial Consultant | Mar 2003 (23y) | |
| Jason H Jones | Registered representative | CFP Chartered Financial Consultant | Mar 2003 (23y) | |
| Mark Julian Lerner | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| Andrew William Watson | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| John Ray Richardson | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| Gary Philip Jones | Registered representative | Apr 2003 (23y) | ||
| Reginald Colden Riggins | Registered representative | Chartered Financial Consultant | Apr 2003 (23y) | |
| Paul Gassel | Registered representative | Apr 2003 (23y) | ||
| David Allen Kucharski | Registered representative | May 2003 (23y) | ||
| Paul Alphonsus Fox | Registered representative | May 2003 (23y) | ||
| Andrew William Schnipke | Registered representative | Jun 2003 (23y) | ||
| Scott Gregory Sinek | Registered representative | Jun 2003 (23y) | ||
| Ron Eugene Opolka | Registered representative | Jun 2003 (23y) | ||
| Keven Paul Prather | Registered representative | Jul 2003 (23y) | ||
| Gregory Louis Cohn | Registered representative | Aug 2003 (23y) | ||
| Jeffrey Franklin Paine | Registered representative | Aug 2003 (23y) | ||
| Ivan David Hilliard | Registered representative | Sep 2003 (23y) | ||
| Harold Vinson Synan | Registered representative | Sep 2003 (23y) | ||
| David Alan Belinkie | Registered representative | Oct 2003 (23y) | ||
| Charles H. Lundeen | Registered representative | Nov 2003 (23y) | ||
| Tony Delumen | Registered representative | Nov 2003 (23y) | ||
| Charlotte Mcbryde Cooper | Registered representative | Jan 2004 (23y) | ||
| Kenneth Gordon Harpe | Registered representative | Jan 2004 (23y) | ||
| Milton Lyman Knowlton | Registered representative | Chartered Financial Consultant | Jan 2004 (23y) | |
| Robert Howard Levy | Registered representative | Jan 2004 (23y) | ||
| Charles Val Collins | Registered representative | Chartered Financial Consultant | Jan 2004 (23y) | |
| John Christopher Prather | Registered representative | Jan 2004 (23y) | ||
| Julius Randolph Flatt | Registered representative | Jan 2004 (23y) | ||
| Matthew Dean Hutcheson | Registered representative | CFP | Jan 2004 (23y) | |
| Theodore Michael Boerger | Registered representative | Jan 2004 (23y) | ||
| Wilson Scott Cannon | Registered representative | Jan 2004 (23y) | ||
| Jesse Ryan Holman | Registered representative | CFP | Jan 2004 (23y) | |
| John David Mcdowell | Registered representative | Jan 2004 (23y) | ||
| Timothy Daniell | Registered representative | Jan 2004 (23y) | ||
| William B Sanders | Registered representative | Jan 2004 (23y) | ||
| Ann Hauser Laufman | Registered representative | CFP | Jan 2004 (23y) | |
| Jay Robert Conner | Registered representative | Jan 2004 (23y) | ||
| Robert Carl Ruff | Registered representative | Jan 2004 (23y) | ||
| James David Hutchison | Registered representative | Jan 2004 (23y) | ||
| Jeffrey Manson Turner | Registered representative | CFP | Feb 2004 (22y) | |
| Michael Shad Robertson | Registered representative | CFP | Feb 2004 (22y) | |
| Rama S Mutyala | Registered representative | Feb 2004 (22y) | ||
| Brian Kamhung Lee | Registered representative | CFP Chartered Financial Consultant | Mar 2004 (22y) | |
| Charles Randall Williams | Registered representative | CFP | Mar 2004 (22y) | |
| David Edward Foley | Registered representative | Apr 2004 (22y) | ||
| Jason Edward Duelm | Registered representative | Apr 2004 (22y) | ||
| James Edward Sypher | Registered representative | May 2004 (22y) | ||
| Kim Allen Havens | Registered representative | May 2004 (22y) | ||
| David Vincent Cove | Registered representative | CFP | May 2004 (22y) | |
| Raymond Edward Welsh | Registered representative | May 2004 (22y) | ||
| Todd C Johnson | Registered representative | Jun 2004 (22y) | ||
| John Henry Haslam | Registered representative | Jun 2004 (22y) | ||
| Ronald David Weinberg | Registered representative | Jun 2004 (22y) | ||
| Amie Lauren Fox | Registered representative | Jul 2004 (22y) | ||
| Stuart Hilton Grove | Registered representative | Aug 2004 (22y) | ||
| Luiggino Joseph Galletto | Registered representative | Sep 2004 (22y) | ||
| Michael William Ealey | Registered representative | Sep 2004 (22y) | ||
| Ryan Fitzpatrick Platt | Registered representative | Sep 2004 (22y) | ||
| Peter John Leblanc | Registered representative | Chartered Financial Consultant | Oct 2004 (22y) | |
| Peter Lee Hart | Registered representative | Oct 2004 (22y) | ||
| Wendy Louise Spinner | Registered representative | Jan 2005 (22y) | ||
| Seth Michael Cohn | Registered representative | Jan 2005 (22y) | ||
| William Andrew Keen | Registered representative | Chartered Financial Consultant | Jan 2005 (22y) | |
| Judith Stoddard Sherman | Registered representative | Jan 2005 (22y) | ||
| Justin Haslam Ricks | Registered representative | Jan 2005 (22y) | ||
| William Thomas Olsen | Registered representative | Feb 2005 (21y) | ||
| John Christopher Higgins | Registered representative | Mar 2005 (21y) | ||
| Martin Roy Schenkel | Registered representative | Apr 2005 (21y) | ||
| Larry Edward Nevonen | Registered representative | Apr 2005 (21y) | ||
| Scott Eugene Pettyjohn | Registered representative | May 2005 (21y) | ||
| David Wesley Humphreys | Registered representative | Jun 2005 (21y) | ||
| William Davidson Mcleod | Registered representative | Jun 2005 (21y) | ||
| Marc Barry Hammer | Registered representative | Jun 2005 (21y) | ||
| Richard Wayne Roman | Registered representative | CFP | Jul 2005 (21y) | |
| Grace Liang | Registered representative | Chartered Financial Consultant | Jul 2005 (21y) | |
| Wesley Robert Marshall | Registered representative | Jul 2005 (21y) | ||
| Lisa Rapfogel Ostroff | Registered representative | Jul 2005 (21y) | ||
| Thomas Steven Mueller | Registered representative | Aug 2005 (21y) | ||
| John Robert Barnes | Registered representative | Aug 2005 (21y) | ||
| Kevin Winthrop Paasch | Registered representative | Aug 2005 (21y) | ||
| Lawrence Otis Myers | Registered representative | Aug 2005 (21y) | ||
| Joshua Ryan Plank | Registered representative | Aug 2005 (21y) | ||
| Kevin Werner Clasen | Registered representative | CFP | Aug 2005 (21y) | |
| Walter Philip Schaefer | Registered representative | Aug 2005 (21y) | ||
| Scott Wendell Eckart | Registered representative | Aug 2005 (21y) | ||
| Florence E Brown | Registered representative | Sep 2005 (21y) | ||
| Brandon Hedreen Roberts | Registered representative | Sep 2005 (21y) | ||
| Gregory Allen Mcroberts | Registered representative | CFP Chartered Financial Consultant | Sep 2005 (21y) | |
| Matthew Paul Milburn | Registered representative | Sep 2005 (21y) | ||
| Jason Ryan Goldy | Registered representative | CFP Chartered Financial Consultant | Oct 2005 (21y) | |
| Howard Lewis Schuster | Registered representative | CFP | Oct 2005 (21y) | |
| Dustin Michael Voag | Registered representative | Oct 2005 (21y) | ||
| Brett Taylor Courtmanche | Registered representative | Oct 2005 (21y) | ||
| Cindy Belmore | Registered representative | Oct 2005 (21y) | ||
| Daniel R Ryder | Registered representative | Oct 2005 (21y) | ||
| Melissa Jane Lang | Registered representative | Oct 2005 (21y) | ||
| Christopher Romolo Caira | Registered representative | Oct 2005 (21y) | ||
| Gregory Blair Thomas | Registered representative | Oct 2005 (21y) | ||
| Michael Muller Woods | Registered representative | CFP | Dec 2005 (21y) | |
| Scott Garrison Schuebel | Registered representative | Jan 2006 (21y) | ||
| Michael Thomas Fleming | Registered representative | CFP Chartered Financial Consultant | Jan 2006 (21y) | |
| Drue Wesley Garrison | Registered representative | CFP | Jan 2006 (21y) | |
| Brian Mitchell Roberts | Registered representative | Feb 2006 (21y) | ||
| Thomas William Fritze | Registered representative | Chartered Financial Consultant | Feb 2006 (21y) | |
| Samantha Sagers Davenport | Registered representative | Feb 2006 (20y) | ||
| Oran James Tsakopulos | Registered representative | Feb 2006 (20y) | ||
| Michael Jonathan Zager | Registered representative | Feb 2006 (20y) | ||
| Zachary Heath Lampert | Registered representative | Mar 2006 (20y) | ||
| Julie A Veltus | Registered representative | Mar 2006 (20y) | ||
| Wayne Joseph Dennen | Registered representative | Apr 2006 (20y) | ||
| Aaron Stephen Curry | Registered representative | Apr 2006 (20y) | ||
| Klynt Hugh Brummett | Registered representative | Apr 2006 (20y) | ||
| Robert Michael Smith | Registered representative | Chartered Financial Consultant | May 2006 (20y) | |
| R. Reginald Brann | Registered representative | May 2006 (20y) | ||
| Jay Estill Tilton | Registered representative | May 2006 (20y) | ||
| Diana Lynn Scheel | Registered representative | May 2006 (20y) | ||
| Teresa M Devries | Registered representative | Jun 2006 (20y) | ||
| Jeffrey B. Anderson | Registered representative | CFP | Jun 2006 (20y) | |
| Christopher Jon Lenz | Registered representative | Jul 2006 (20y) | ||
| Byron Paul Rayburn | Registered representative | Aug 2006 (20y) | ||
| Christopher Mark Reinke | Registered representative | Aug 2006 (20y) | ||
| Bradley Yeiser Burcham | Registered representative | Aug 2006 (20y) | ||
| Roger Hampton Reed | Registered representative | Aug 2006 (20y) | ||
| David Elliot Rauseo | Registered representative | Aug 2006 (20y) | ||
| Bradley Joe Stepp | Registered representative | Sep 2006 (20y) | ||
| George M Jellison | Registered representative | Oct 2006 (20y) | ||
| Brian James Roell | Registered representative | Dec 2006 (20y) | ||
| Christopher Scott Deter | Registered representative | Jan 2007 (20y) | ||
| Michael Jerome Zepeda | Registered representative | Jan 2007 (20y) | ||
| Patrick Lee Mcnair | Registered representative | Chartered Financial Consultant | Jan 2007 (20y) | |
| Steven Todd Dyches | Registered representative | Jan 2007 (20y) | ||
| Robert Randall Nemec | Registered representative | Jan 2007 (20y) | ||
| Amy Renee Longenbaugh | Registered representative | Jan 2007 (20y) | ||
| Joel Warren Saperstein | Registered representative | Jan 2007 (20y) | ||
| Brant Robert Hinckley | Registered representative | Jan 2007 (20y) | ||
| Daniel Arthur Henley | Registered representative | Jan 2007 (20y) | ||
| Dennis Alan Cohan | Registered representative | Feb 2007 (19y) | ||
| Karen Peterson Pearl | Registered representative | Chartered Financial Consultant | Feb 2007 (19y) | |
| Sarah Jean Kim | Registered representative | CFP | Feb 2007 (19y) | |
| Michael Scott Miller | Registered representative | Feb 2007 (19y) | ||
| Nathaniel Gerrit Brinkman | Registered representative | Feb 2007 (19y) | ||
| Ryan Lambert Donaghy | Registered representative | Chartered Financial Consultant | Feb 2007 (19y) | |
| Jacob Robert Lanford | Registered representative | Mar 2007 (19y) | ||
| Justin Ross Dockrey | Registered representative | Mar 2007 (19y) | ||
| Donovan Clark Fikes | Registered representative | Mar 2007 (19y) | ||
| Thomas Joe Wagner | Registered representative | Mar 2007 (19y) | ||
| David Samuel Grodin | Registered representative | Apr 2007 (19y) | ||
| Jamison Jeffrey Russ | Registered representative | Apr 2007 (19y) | ||
| Howard P Cohen | Registered representative | Apr 2007 (19y) | ||
| Daniel James Peffley | Registered representative | May 2007 (19y) | ||
| Sheryl Leigh Klutch | Registered representative | May 2007 (19y) | ||
| Jeffrey Jun Loong Ling | Registered representative | May 2007 (19y) | ||
| Gary Wayne Roberts | Registered representative | CFP Chartered Financial Consultant | May 2007 (19y) | |
| James Patrick Mcgoldrick | Registered representative | CFP Chartered Financial Consultant | Jun 2007 (19y) | |
| Stephen Sercheow Koh | Registered representative | Jul 2007 (19y) | ||
| Scotti Sulak | Registered representative | Jul 2007 (19y) | ||
| David Franklyn Greenberg | Registered representative | Jul 2007 (19y) | ||
| Melanie Jo Harada | Registered representative | Aug 2007 (19y) | ||
| Jason Lee Peeples | Registered representative | Aug 2007 (19y) | ||
| Harold F Jarvis | Registered representative | Aug 2007 (19y) | ||
| David Louis Lyon | Registered representative | Chartered Financial Consultant | Aug 2007 (19y) | |
| Gregory David Sirko | Registered representative | CFP | Sep 2007 (19y) | |
| Neal Andrew Faught | Registered representative | CFP | Oct 2007 (19y) | |
| Adam B Duff | Registered representative | Nov 2007 (19y) | ||
| Travis Melbourne Brown | Registered representative | Nov 2007 (19y) | ||
| George Kelby Gelston | Registered representative | Dec 2007 (19y) | ||
| Luis Alberto Hernandez | Registered representative | Jan 2008 (19y) | ||
| Patrick Michael Taylor | Registered representative | Jan 2008 (19y) | ||
| Parth Jayant Rana | Registered representative | Jan 2008 (19y) | ||
| Pamela Marie Green | Registered representative | Chartered Financial Consultant | Jan 2008 (19y) | |
| James Nicholas Ritter | Registered representative | Jan 2008 (19y) | ||
| Max Alexander Adams | Registered representative | Jan 2008 (19y) | ||
| Michelle Veronica Ransom | Registered representative | Feb 2008 (18y) | ||
| Seth Leldon Knight | Registered representative | Mar 2008 (18y) | ||
| Anthony Spatichia | Registered representative | Mar 2008 (18y) | ||
| Jason Robert Smith | Registered representative | CFP Chartered Financial Consultant | Mar 2008 (18y) | |
| David Leon Valtierra | Registered representative | Mar 2008 (18y) | ||
| Christopher Jeremiah King | Registered representative | Mar 2008 (18y) | ||
| Jongsik Kim | Registered representative | Mar 2008 (18y) | ||
| Brian William Martin | Registered representative | Mar 2008 (18y) | ||
| Devon Lynn Reynolds | Registered representative | Chartered Financial Consultant | Mar 2008 (18y) | |
| Timothy Campbell Flanagan | Registered representative | CFP Chartered Financial Consultant | Apr 2008 (18y) | |
| Shad Clinton Reynolds | Registered representative | CFP Chartered Financial Consultant | Apr 2008 (18y) | |
| John Dominic Donofrio | Registered representative | Apr 2008 (18y) | ||
| Mark Jeffrey Kashar | Registered representative | Chartered Financial Consultant | May 2008 (18y) | |
| W. Kent Althouse | Registered representative | May 2008 (18y) | ||
| Scott Bruce Taylor | Registered representative | May 2008 (18y) | ||
| Edward Joseph Wirtz | Registered representative | May 2008 (18y) | ||
| Campbell Cavasso | Registered representative | Jun 2008 (18y) | ||
| John Christopher Micavich | Registered representative | Jun 2008 (18y) | ||
| Edgar Francis Whitmore | Registered representative | Chartered Financial Consultant | Jun 2008 (18y) | |
| Steven Eliot Krasnipol | Registered representative | CFP Chartered Financial Consultant | Jul 2008 (18y) | |
| Matthew Kemsuzian | Registered representative | Aug 2008 (18y) | ||
| Chris Spyker Hosterman | Registered representative | Sep 2008 (18y) | ||
| Brandon Owen Jordan | Registered representative | CFP | Sep 2008 (18y) | |
| Jeffrey Todd Hayes | Registered representative | Nov 2008 (18y) | ||
| Hallye H Perkins | Registered representative | Nov 2008 (18y) | ||
| Byron J Dunlap | Registered representative | Jan 2009 (18y) | ||
| Mark Joseph Gerdelmann | Registered representative | Jan 2009 (18y) | ||
| Edward Minnich Trainor | Registered representative | CFP | Feb 2009 (17y) | |
| Laura L Gruendler | Registered representative | Chartered Financial Consultant | Mar 2009 (17y) | |
| Jeffrey Stewart Mccreery | Registered representative | Apr 2009 (17y) | ||
| Ryan Klose | Registered representative | Apr 2009 (17y) | ||
| Karen Marguerite Walker | Registered representative | CFP | Apr 2009 (17y) | |
| Jeffrey Carl Dollarhide | Registered representative | CFP | May 2009 (17y) | |
| Nicholas Steven Chavis | Registered representative | May 2009 (17y) | ||
| James Lawrence Todd | Registered representative | CFP Chartered Financial Consultant | Jun 2009 (17y) | |
| Ryan Christopher Puckett | Registered representative | CFP | Jun 2009 (17y) | |
| Heather A Bonomi | Registered representative | Jun 2009 (17y) | ||
| John Stratton Hettiger | Registered representative | Jul 2009 (17y) | ||
| Scott Eric Talbott | Registered representative | Aug 2009 (17y) | ||
| Jeromia J Burger | Registered representative | Chartered Financial Consultant | Aug 2009 (17y) | |
| Jefferson Kent Jarrell | Registered representative | Chartered Financial Consultant | Aug 2009 (17y) | |
| Sara Catherine Canterbury | Registered representative | CFP | Sep 2009 (17y) | |
| Nermin Ferhadbegovic | Registered representative | Sep 2009 (17y) | ||
| Jason Andrew Cutler | Registered representative | CFP | Sep 2009 (17y) | |
| William Raymond Travis | Registered representative | CFA | Sep 2009 (17y) | |
| Patrick Alan Mcdonough | Registered representative | Oct 2009 (17y) | ||
| Felipe Manuel Venegas | Registered representative | Oct 2009 (17y) | ||
| Stacy Suzanne Matthews | Registered representative | Oct 2009 (17y) | ||
| Robert Francis Devine | Registered representative | CFP | Oct 2009 (17y) | |
| Gregory Louis Olsen | Registered representative | CFP | Oct 2009 (17y) | |
| Ryan D Oestreich | Registered representative | Chartered Financial Consultant | Dec 2009 (17y) | |
| Travis Alden Mann | Registered representative | Jan 2010 (17y) | ||
| Darren Scott Scrimpshire | Registered representative | Jan 2010 (17y) | ||
| Edward O Quinn | Registered representative | Jan 2010 (17y) | ||
| Richard Alan Jones | Registered representative | CFP | Jan 2010 (17y) | |
| Andrew Starfield | Registered representative | Chartered Financial Consultant | Jan 2010 (17y) | |
| Michael John Kautz | Registered representative | Chartered Financial Consultant | Jan 2010 (17y) | |
| Dean Stewart Cady | Registered representative | Chartered Financial Consultant | Feb 2010 (16y) | |
| Keith Edward Padilla | Registered representative | Feb 2010 (16y) | ||
| Michael Patrick Cahill | Registered representative | CFP | Feb 2010 (16y) | |
| Scott David Warshaw | Registered representative | Chartered Financial Consultant | Feb 2010 (16y) | |
| Bavy Uriah Lopez | Registered representative | Feb 2010 (16y) | ||
| Daniel Jerome Donohue | Registered representative | Chartered Financial Consultant | Feb 2010 (16y) | |
| Jeffrey John Snider | Registered representative | Feb 2010 (16y) | ||
| Harris Steven Fishman | Registered representative | Chartered Financial Consultant | Mar 2010 (16y) | |
| Robert Crawford Macwhinnie | Registered representative | Chartered Financial Consultant | Mar 2010 (16y) | |
| Donald J Fitzgerald | Registered representative | CFP | Mar 2010 (16y) | |
| Bryce Louis Miller | Registered representative | Mar 2010 (16y) | ||
| Edward Stanley Fedell | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Robert Henry Zirker | Registered representative | Apr 2010 (16y) | ||
| Earl Edward Mchugh | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Jeffrey Brian Richards | Registered representative | Apr 2010 (16y) | ||
| William Louis Holmes | Registered representative | Apr 2010 (16y) | ||
| Jana Devijaya Handwerk | Registered representative | Apr 2010 (16y) | ||
| George Thomas Slikkers | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Yechiel Shalom Goldberg | Registered representative | Apr 2010 (16y) | ||
| Beth Jennifer Ulrich | Registered representative | May 2010 (16y) | ||
| Christopher Edward Wieters | Registered representative | May 2010 (16y) | ||
| Philip James Mason | Registered representative | May 2010 (16y) | ||
| Ian Thomas Frederick | Registered representative | May 2010 (16y) | ||
| David Michael Becker | Registered representative | CFP | May 2010 (16y) | |
| Bret Joseph Buterbaugh | Registered representative | CFP | Jun 2010 (16y) | |
| Brent Russel George | Registered representative | CFP | Jun 2010 (16y) | |
| Edmond Brent Cherry | Registered representative | Jun 2010 (16y) | ||
| Michael Rutherford Skiff | Registered representative | CFP Chartered Financial Consultant | Jun 2010 (16y) | |
| Brian Robert Logan | Registered representative | Jun 2010 (16y) | ||
| George Auston Snook | Registered representative | Jun 2010 (16y) | ||
| Donald Andrew Wadsworth | Registered representative | Chartered Financial Consultant | Jun 2010 (16y) | |
| Michael John Lynch | Registered representative | CFP Chartered Financial Consultant | Jun 2010 (16y) | |
| Allen Wesley Carr | Registered representative | Chartered Financial Consultant | Jun 2010 (16y) | |
| Robert Perley Crockett | Registered representative | Chartered Financial Consultant | Jun 2010 (16y) | |
| Victor Edward Dupuis | Registered representative | CFP | Jun 2010 (16y) | |
| Tony Feliciano | Registered representative | Chartered Financial Consultant | Jun 2010 (16y) | |
| Christopher James Jackson | Registered representative | Jun 2010 (16y) | ||
| Robert Mark Means | Registered representative | Jun 2010 (16y) | ||
| Daniel Pierce Batty | Registered representative | CFP | Jun 2010 (16y) | |
| Charles Ross Edmonds | Registered representative | CFP | Jun 2010 (16y) | |
| Edmund John Dracup | Registered representative | CFP | Jun 2010 (16y) | |
| Edward Allan Wood | Registered representative | CFP | Jun 2010 (16y) | |
| Deborah Ellen Pajak | Registered representative | Jun 2010 (16y) | ||
| Mark Yale Segel | Registered representative | Jun 2010 (16y) | ||
| William Harry Martin | Registered representative | CFP | Jun 2010 (16y) | |
| Adam Campbell Simon | Registered representative | Jul 2010 (16y) | ||
| David Harvey Ferguson | Registered representative | Chartered Financial Consultant | Aug 2010 (16y) | |
| Jodie Benevitae West | Registered representative | Aug 2010 (16y) | ||
| Timothy Lake Mcdonough | Registered representative | CFP | Aug 2010 (16y) | |
| Tyler Craig Wyse | Registered representative | Aug 2010 (16y) | ||
| Andrew Frederick Slater Warner | Registered representative | Chartered Financial Consultant | Aug 2010 (16y) | |
| Gregory Bernard Falkenbach | Registered representative | Chartered Financial Consultant | Aug 2010 (16y) | |
| Jared A Rose | Registered representative | Aug 2010 (16y) | ||
| George Joseph Audi | Registered representative | Aug 2010 (16y) | ||
| Jon Alan Henderson | Registered representative | Aug 2010 (16y) | ||
| Marshall Eric Brooks | Registered representative | Aug 2010 (16y) | ||
| Karen Lynne Starbowski | Registered representative | Aug 2010 (16y) | ||
| Roman Anthony Matusz | Registered representative | Sep 2010 (16y) | ||
| Jeffrey William Kammeraad | Registered representative | Chartered Financial Consultant | Sep 2010 (16y) | |
| Adam David Goetz | Registered representative | Sep 2010 (16y) | ||
| Jonathan David Lau | Registered representative | CFP | Sep 2010 (16y) | |
| James E Thomas | Registered representative | Oct 2010 (16y) | ||
| Timothy J Martin | Registered representative | CFP | Oct 2010 (16y) | |
| Adam Garrett Claerbout | Registered representative | CFP | Oct 2010 (16y) | |
| Clinton M Gruettert | Registered representative | Chartered Financial Consultant | Oct 2010 (16y) | |
| David Poll Knooihuizen | Registered representative | Oct 2010 (16y) | ||
| Ronald Roy Hebert | Registered representative | Oct 2010 (16y) | ||
| Peter J Hall | Registered representative | Oct 2010 (16y) | ||
| Michael Girard Abruzzo | Registered representative | Oct 2010 (16y) | ||
| Caren R Levine | Registered representative | Oct 2010 (16y) | ||
| Grigori V Bagdasaryan | Registered representative | Oct 2010 (16y) | ||
| Marcus Worth Bosley | Registered representative | Chartered Financial Consultant | Oct 2010 (16y) | |
| Peter Dunn | Registered representative | Oct 2010 (16y) | ||
| Alvin Kingcade | Registered representative | Chartered Financial Consultant | Oct 2010 (16y) | |
| Linda Ruth Katz | Registered representative | Chartered Financial Consultant | Oct 2010 (16y) | |
| John Joseph Perras | Registered representative | Nov 2010 (16y) | ||
| Kenneth T Podell | Registered representative | Chartered Financial Consultant | Nov 2010 (16y) | |
| Peter Jay Chadwick | Registered representative | Chartered Financial Consultant | Nov 2010 (16y) | |
| Robert William Fitzmaurice | Registered representative | CFP | Nov 2010 (16y) | |
| James Michael Warren | Registered representative | Nov 2010 (16y) | ||
| Cindi Ashley Bosley | Registered representative | Nov 2010 (16y) | ||
| Thomas Mcelroy Jarboe | Registered representative | Nov 2010 (16y) | ||
| Bruce Harvey Sham | Registered representative | Nov 2010 (16y) | ||
| Donald Wayne Bratcher | Registered representative | Nov 2010 (16y) | ||
| John Michael Novak | Registered representative | Nov 2010 (16y) | ||
| Brian Eric Baker | Registered representative | Nov 2010 (16y) | ||
| Jason Eric Heller | Registered representative | CFP Chartered Financial Consultant | Dec 2010 (16y) | |
| Anne Marie Albertine | Registered representative | Dec 2010 (16y) | ||
| William James Mcquaid | Registered representative | Dec 2010 (16y) | ||
| Ann Raleigh Lang | Registered representative | Jan 2011 (16y) | ||
| Robert Charles Carty | Registered representative | Jan 2011 (16y) | ||
| Timothy Lee Finster | Registered representative | Jan 2011 (16y) | ||
| Timothy Robert Smith | Registered representative | Chartered Financial Consultant | Jan 2011 (16y) | |
| Christopher Michael Rogers | Registered representative | Jan 2011 (16y) | ||
| Drew Ernest Yerger | Registered representative | Jan 2011 (16y) | ||
| Donald Andrews Montgomery | Registered representative | Jan 2011 (16y) | ||
| Joseph Patrick Mallee | Registered representative | Jan 2011 (16y) | ||
| Katherine Ruth Mclernon | Registered representative | Feb 2011 (15y) | ||
| Gerald Michael Malmo | Registered representative | Feb 2011 (15y) | ||
| Kevin Carl Gutwein | Registered representative | Feb 2011 (15y) | ||
| Mark Joseph Wasikonis | Registered representative | Feb 2011 (15y) | ||
| Neepa V Shah | Registered representative | Feb 2011 (15y) | ||
| Franklin Lee Rankin | Registered representative | Feb 2011 (15y) | ||
| Jesse Stephens | Registered representative | Feb 2011 (15y) | ||
| Paul Denis Jobin | Registered representative | CFP | Feb 2011 (15y) | |
| Scott Abraham Martin | Registered representative | CFP Chartered Financial Consultant | Mar 2011 (15y) | |
| Brent Nathaniel Christian | Registered representative | CFP | Mar 2011 (15y) | |
| Christopher Nicholas Depaola | Registered representative | CFP | Mar 2011 (15y) | |
| Charles Stamm | Registered representative | Apr 2011 (15y) | ||
| Christopher C Cocores | Registered representative | Apr 2011 (15y) | ||
| Lyndon Lapasaran | Registered representative | Apr 2011 (15y) | ||
| Steven Reynolds Fisher | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Terry Richard Varner | Registered representative | May 2011 (15y) | ||
| James Scott Massie | Registered representative | May 2011 (15y) | ||
| John David Funk | Registered representative | May 2011 (15y) | ||
| William Martin Liberman | Registered representative | May 2011 (15y) | ||
| Robert John Smith | Registered representative | Jun 2011 (15y) | ||
| Jeffrey Russell Rotman | Registered representative | Jul 2011 (15y) | ||
| Christopher James Metkiff | Registered representative | Aug 2011 (15y) | ||
| Richard Brian Owens | Registered representative | Sep 2011 (15y) | ||
| Mark Allen Karcher | Registered representative | Sep 2011 (15y) | ||
| Thomas Evan Naylor | Registered representative | CFP | Sep 2011 (15y) | |
| Robert Louis Skloff | Registered representative | Sep 2011 (15y) | ||
| Dominic Gino Marinucci | Registered representative | Sep 2011 (15y) | ||
| James Alfred Adlam | Registered representative | Chartered Financial Consultant | Sep 2011 (15y) | |
| Mark Elliot Levine | Registered representative | Chartered Financial Consultant | Sep 2011 (15y) | |
| Timothy John Dougherty | Registered representative | Chartered Financial Consultant | Sep 2011 (15y) | |
| Celia Rachel Sandel | Registered representative | CFP | Oct 2011 (15y) | |
| Amanda Snider Doren | Registered representative | Chartered Financial Consultant | Oct 2011 (15y) | |
| Andrew Lee Moore | Registered representative | Nov 2011 (15y) | ||
| Brian J Laroche | Registered representative | Dec 2011 (15y) | ||
| Charles Herbert Locy | Registered representative | Dec 2011 (15y) | ||
| Charles Elwood Dreibelbis | Registered representative | Jan 2012 (15y) | ||
| Carmen Irene Corona | Registered representative | Jan 2012 (15y) | ||
| Bryan Andrew Powell | Registered representative | CFP | Jan 2012 (15y) | |
| Marcus Edward Esposito | Registered representative | CFP Chartered Financial Consultant | Jan 2012 (15y) | |
| Abigail Sinks Spaulding | Registered representative | Jan 2012 (15y) | ||
| Christopher Michael Delaney | Registered representative | Jan 2012 (15y) | ||
| Gino Donato Callisto | Registered representative | Feb 2012 (14y) | ||
| Jerry Ira Corless | Registered representative | CFP | Feb 2012 (14y) | |
| Daniel Louis Diamond | Registered representative | Feb 2012 (14y) | ||
| Jeffrey Dale Miller | Registered representative | Feb 2012 (14y) | ||
| Kathryn J Bryan | Registered representative | Feb 2012 (14y) | ||
| Christopher Robinette | Registered representative | Feb 2012 (14y) | ||
| Kristen Kelly Gratton | Registered representative | CFP Chartered Financial Consultant | Feb 2012 (14y) | |
| Eamon Francis Gibbons | Registered representative | Feb 2012 (14y) | ||
| Michael B Curtis | Registered representative | Feb 2012 (14y) | ||
| Stephen Kenneth Collins | Registered representative | Mar 2012 (14y) | ||
| Kevin Edward Stokesbary | Registered representative | Mar 2012 (14y) | ||
| Lynn Marie Foley | Registered representative | Apr 2012 (14y) | ||
| Luke Randall Chapman | Registered representative | CFP | Apr 2012 (14y) | |
| Kirby Richard Pederson | Registered representative | CFP Chartered Financial Consultant | Apr 2012 (14y) | |
| Jennifer Paige Mann | Registered representative | May 2012 (14y) | ||
| Brandon Joseph Shaw | Registered representative | CFP | May 2012 (14y) | |
| Alan Richard Streiter | Registered representative | May 2012 (14y) | ||
| Raymond Keith Adair | Registered representative | May 2012 (14y) | ||
| Ralph Gary Sabine | Registered representative | Jun 2012 (14y) | ||
| William Joel Bell | Registered representative | CFP | Jun 2012 (14y) | |
| Van Michael Hess | Registered representative | Jun 2012 (14y) | ||
| Michael Robert Piechowiak | Registered representative | Jul 2012 (14y) | ||
| Brett Andrew Bauch | Registered representative | Aug 2012 (14y) | ||
| Michael Robert Nusbaum | Registered representative | Aug 2012 (14y) | ||
| Theresa Renda King | Registered representative | Aug 2012 (14y) | ||
| Bradley Ward Gooch | Registered representative | Aug 2012 (14y) | ||
| Dennis Chenette | Registered representative | Aug 2012 (14y) | ||
| Zachary Dov Golen | Registered representative | Aug 2012 (14y) | ||
| Matthew J. Pime | Registered representative | Sep 2012 (14y) | ||
| Gary Allen Raymond | Registered representative | Sep 2012 (14y) | ||
| Roy Perez | Registered representative | Sep 2012 (14y) | ||
| Ryan M Montgomery | Registered representative | Chartered Financial Consultant | Sep 2012 (14y) | |
| Lee M Bowman | Registered representative | Oct 2012 (14y) | ||
| Brett Douglas Kovach | Registered representative | Oct 2012 (14y) | ||
| Steven Claude Glenn | Registered representative | Chartered Financial Consultant | Oct 2012 (14y) | |
| Jose Behar | Registered representative | Chartered Financial Consultant | Nov 2012 (14y) | |
| Philip Asbury Insley | Registered representative | Nov 2012 (14y) | ||
| Peter Francis Roberts | Registered representative | Chartered Financial Consultant | Nov 2012 (14y) | |
| Arturo Lopez Unzueta | Registered representative | Nov 2012 (14y) | ||
| Adam T Taff | Registered representative | Chartered Financial Consultant | Nov 2012 (14y) | |
| Gary Wayne Farley | Registered representative | Nov 2012 (14y) | ||
| Genesis Loera | Registered representative | CFP | Dec 2012 (14y) | |
| Robert Patrick Hennessy | Registered representative | CFP | Dec 2012 (14y) | |
| Anthony Michael Fiore | Registered representative | Jan 2013 (14y) | ||
| Timothy Darren Stark | Registered representative | CFP | Jan 2013 (14y) | |
| Joshua J Bach | Registered representative | Jan 2013 (14y) | ||
| Robert Jeffrey Grabiel | Registered representative | Jan 2013 (14y) | ||
| Jeffrey Belfield Bush | Registered representative | Jan 2013 (14y) | ||
| Ethan Thomas Eitel | Registered representative | Feb 2013 (13y) | ||
| Brian Herbert Held | Registered representative | Feb 2013 (13y) | ||
| Francis Robert Surette | Registered representative | Chartered Financial Consultant | Feb 2013 (13y) | |
| Jason Richard Bach | Registered representative | Feb 2013 (13y) | ||
| Jonathan David Archer | Registered representative | CFP Chartered Financial Consultant | Feb 2013 (13y) | |
| Nicholas Cain Jones | Registered representative | CFP Chartered Financial Consultant | Feb 2013 (13y) | |
| Andrew James Cardile | Registered representative | Mar 2013 (13y) | ||
| Michael P Barclay | Registered representative | Mar 2013 (13y) | ||
| Gary Lawrence Ciampitti | Registered representative | CFP Chartered Financial Consultant | Mar 2013 (13y) | |
| Jason Gregory Auricchio | Registered representative | CFP Chartered Financial Consultant | Mar 2013 (13y) | |
| Katherine E. Shepard | Registered representative | Apr 2013 (13y) | ||
| August Fredrick Wossner | Registered representative | Apr 2013 (13y) | ||
| Eric Ray Wilbur | Registered representative | Apr 2013 (13y) | ||
| Eric Lee Spindt | Registered representative | Apr 2013 (13y) | ||
| Kevin Matthew Burns | Registered representative | May 2013 (13y) | ||
| Jonathan Cunningham Cobb | Registered representative | May 2013 (13y) | ||
| Leonard Gabriel Cherry | Registered representative | May 2013 (13y) | ||
| Cameron F Miller | Registered representative | May 2013 (13y) | ||
| Richard Edwin Lenhardt | Registered representative | May 2013 (13y) | ||
| Brady Murray | Registered representative | CFP | May 2013 (13y) | |
| Andrew Shull | Registered representative | May 2013 (13y) | ||
| William Naikwan Lee | Registered representative | May 2013 (13y) | ||
| Brad Emory Buterbaugh | Registered representative | May 2013 (13y) | ||
| Karen May | Registered representative | Jul 2013 (13y) | ||
| Nickolas David Wagner | Registered representative | CFP Chartered Financial Consultant | Jul 2013 (13y) | |
| Stacey Marie Wisman | Registered representative | Chartered Financial Consultant | Jul 2013 (13y) | |
| Mario Earl Carannante | Registered representative | Jul 2013 (13y) | ||
| Jacqueline Marie Geary | Registered representative | CFP | Aug 2013 (13y) | |
| Grant Ethan Buster | Registered representative | Sep 2013 (13y) | ||
| William Jeffrey Collier | Registered representative | Sep 2013 (13y) | ||
| Bryan Paul Andersen | Registered representative | CFA | Sep 2013 (13y) | |
| Mark Wood Mooberry | Registered representative | Sep 2013 (13y) | ||
| Douglas W Van Order | Registered representative | Sep 2013 (13y) | ||
| Michael James Middleton | Registered representative | Sep 2013 (13y) | ||
| John J Miller | Registered representative | CFP | Oct 2013 (13y) | |
| James Martin Jasper | Registered representative | Oct 2013 (13y) | ||
| Maurice K. Clarke | Registered representative | Oct 2013 (13y) | ||
| Steven Kent Knudson | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Evan Samuel Silverstein | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Ira Mark Hermann | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Eric Lee Smith | Registered representative | Nov 2013 (13y) | ||
| Alicia Emily Mckie | Registered representative | Nov 2013 (13y) | ||
| Patrick Edward Murray | Registered representative | Nov 2013 (13y) | ||
| Richard Alan Rudnicki | Registered representative | Nov 2013 (13y) | ||
| Peter Lee Schulte | Registered representative | Chartered Financial Consultant | Nov 2013 (13y) | |
| Andrew William Todd | Registered representative | Dec 2013 (13y) | ||
| Anthony M Gleason | Registered representative | Dec 2013 (13y) | ||
| Bruce Raymond Bremer | Registered representative | Dec 2013 (13y) | ||
| Carl Harland Lottman | Registered representative | Dec 2013 (13y) | ||
| Daniel Goldsmith | Registered representative | Dec 2013 (13y) | ||
| David Eugene Keller | Registered representative | Dec 2013 (13y) | ||
| David James Means | Registered representative | CFP | Dec 2013 (13y) | |
| Donald L Gretta | Registered representative | Dec 2013 (13y) | ||
| Hugo Hietapelto | Registered representative | CFP Chartered Financial Consultant | Dec 2013 (13y) | |
| Jason James Dekeuster | Registered representative | Dec 2013 (13y) | ||
| Jesse Michael Polk | Registered representative | Dec 2013 (13y) | ||
| Joseph Paul Feldmeier | Registered representative | CFP | Dec 2013 (13y) | |
| Martin James Mcalpin | Registered representative | Dec 2013 (13y) | ||
| Nicholas Lee Pariseau | Registered representative | Dec 2013 (13y) | ||
| Sahand Elmtalab | Registered representative | Chartered Financial Consultant | Dec 2013 (13y) | |
| Stephanie Kathleen Weems Baker | Registered representative | Dec 2013 (13y) | ||
| Steven Patrick Rowan | Registered representative | Dec 2013 (13y) | ||
| Phyllis Karen Martin | Registered representative | Dec 2013 (13y) | ||
| Jeffrey Marshall Albin | Registered representative | Dec 2013 (13y) | ||
| James Lopes Hicks | Registered representative | Dec 2013 (13y) | ||
| Marc Richard Chenot | Registered representative | Dec 2013 (13y) | ||
| Eric Fisher Gross | Registered representative | CFP | Dec 2013 (13y) | |
| Peter E Glassman | Registered representative | Jan 2014 (13y) | ||
| Douglas James Johnson | Registered representative | Jan 2014 (13y) | ||
| Richard Friaglia | Registered representative | Jan 2014 (13y) | ||
| Michael Hans Windisch | Registered representative | Jan 2014 (13y) | ||
| Mark Eric Scarbrough | Registered representative | Feb 2014 (12y) | ||
| Domenica Santoro Stuckey | Registered representative | Feb 2014 (12y) | ||
| Joseph Jonathon Caira | Registered representative | Feb 2014 (12y) | ||
| Evan Michael Mayse | Registered representative | Feb 2014 (12y) | ||
| Michael Alan Buganski | Registered representative | Feb 2014 (12y) | ||
| Joseph Tyler Foxworth | Registered representative | Feb 2014 (12y) | ||
| Joseph P Knoth | Registered representative | Mar 2014 (12y) | ||
| Pete Dennis Bouros | Registered representative | Mar 2014 (12y) | ||
| Steve M Stevens | Registered representative | Mar 2014 (12y) | ||
| Roy Robert Caso | Registered representative | Mar 2014 (12y) | ||
| Donald Joesph Draudt | Registered representative | CFP | Mar 2014 (12y) | |
| Scott Christopher Cantwell | Registered representative | Mar 2014 (12y) | ||
| Sterling Grant Widmer | Registered representative | CFP | Mar 2014 (12y) | |
| Paul M Mitchell | Registered representative | CFP | Apr 2014 (12y) | |
| Robert Powell Rueseler | Registered representative | Chartered Financial Consultant | Apr 2014 (12y) | |
| Everett Lee Morris | Registered representative | CFP | Apr 2014 (12y) | |
| James Edward Schreiber | Registered representative | Chartered Financial Consultant | Apr 2014 (12y) | |
| Peter Gerard Milillo | Registered representative | Apr 2014 (12y) | ||
| Savas Saymaz | Registered representative | Chartered Financial Consultant | Apr 2014 (12y) | |
| Dolford Lance Layson | Registered representative | Apr 2014 (12y) | ||
| Michael Bernard Kessling | Registered representative | May 2014 (12y) | ||
| Blake Elliott Materewicz | Registered representative | May 2014 (12y) | ||
| Abraham Weiss | Registered representative | Jun 2014 (12y) | ||
| Derek John Szczupakowski | Registered representative | Jun 2014 (12y) | ||
| Austin Anthony Wolf | Registered representative | CFP | Jun 2014 (12y) | |
| Gary Bruce Woolman | Registered representative | Jun 2014 (12y) | ||
| Charles Albert Cunningham | Registered representative | Jun 2014 (12y) | ||
| Daniel John Drabinski | Registered representative | CFP CFA | Jul 2014 (12y) | |
| Matthew Aaron Clayson | Registered representative | Jul 2014 (12y) | ||
| Philip Andrew Roberts | Registered representative | CFP Chartered Financial Consultant | Jul 2014 (12y) | |
| Michael A Russell | Registered representative | Jul 2014 (12y) | ||
| Michael Madsen | Registered representative | Jul 2014 (12y) | ||
| Thomas John Gallagher | Registered representative | Jul 2014 (12y) | ||
| William Nicholson Homer | Registered representative | Jul 2014 (12y) | ||
| Michael Anthony Melito | Registered representative | Jul 2014 (12y) | ||
| Thomas O Blackwell | Registered representative | Jul 2014 (12y) | ||
| Bruce William Marche | Registered representative | Jul 2014 (12y) | ||
| Justin John Willmott | Registered representative | Jul 2014 (12y) | ||
| Adrienne Elizabeth Upchurch | Registered representative | CFP | Aug 2014 (12y) | |
| Matthew John Asciutto | Registered representative | Aug 2014 (12y) | ||
| Benjamin Jack Walton | Registered representative | Chartered Financial Consultant | Aug 2014 (12y) | |
| Christopher L Shuck | Registered representative | CFP Chartered Financial Consultant | Sep 2014 (12y) | |
| Bret Allan Hartung | Registered representative | Sep 2014 (12y) | ||
| Matthew William Benson | Registered representative | Sep 2014 (12y) | ||
| Cynthia Richards Donald | Registered representative | CFP | Sep 2014 (12y) | |
| Brian Kent Woolman | Registered representative | Sep 2014 (12y) | ||
| Kelley Leigh Gibbons | Registered representative | Sep 2014 (12y) | ||
| Brian Mark Lonergan | Registered representative | Sep 2014 (12y) | ||
| Gregory James Seals | Registered representative | Sep 2014 (12y) | ||
| Ronald Joseph Gruninger | Registered representative | CFP | Sep 2014 (12y) | |
| Louis John Cassara | Registered representative | Chartered Financial Consultant | Oct 2014 (12y) | |
| Deanna Ann Filosa | Registered representative | Oct 2014 (12y) | ||
| William J Condon | Registered representative | Oct 2014 (12y) | ||
| Richard D Singer | Registered representative | Oct 2014 (12y) | ||
| Brian Keith Mariano | Registered representative | Nov 2014 (12y) | ||
| James Morgan Ziel | Registered representative | Nov 2014 (12y) | ||
| Peirce Colton Ward | Registered representative | Nov 2014 (12y) | ||
| Fernando Francisco Lopez | Registered representative | CFP Chartered Financial Consultant | Nov 2014 (12y) | |
| Kyle Emory Buterbaugh | Registered representative | Chartered Financial Consultant | Nov 2014 (12y) | |
| Robert John Blauer | Registered representative | Nov 2014 (12y) | ||
| Bradley Ward Gramm | Registered representative | Dec 2014 (12y) | ||
| Michael A Riback | Registered representative | Dec 2014 (12y) | ||
| Michael B Argaman | Registered representative | Chartered Financial Consultant | Dec 2014 (12y) | |
| Brian Stephen Luce | Registered representative | Jan 2015 (12y) | ||
| Vincent Raymond Russo | Registered representative | Chartered Financial Consultant | Jan 2015 (12y) | |
| Joshua P Jenkins | Registered representative | Chartered Financial Consultant | Jan 2015 (12y) | |
| Matthew Benjamin Eberly | Registered representative | Chartered Financial Consultant | Jan 2015 (12y) | |
| Vincent Michael Silva | Registered representative | CFP | Jan 2015 (12y) | |
| Robert Burger | Registered representative | Jan 2015 (12y) | ||
| Daniel Scott Blum | Registered representative | Jan 2015 (12y) | ||
| Neville Von Brock Fearing | Registered representative | Jan 2015 (12y) | ||
| Angela Lynn Barney | Registered representative | Jan 2015 (12y) | ||
| Christopher Michael Nunn | Registered representative | Feb 2015 (11y) | ||
| Donovan Dale Pfaff | Registered representative | Feb 2015 (11y) | ||
| James William Winstel | Registered representative | Feb 2015 (11y) | ||
| Brad Simonds | Registered representative | Feb 2015 (11y) | ||
| Jeremy Todd Lindquist | Registered representative | Feb 2015 (11y) | ||
| Tyler Jameson Huston | Registered representative | CFP Chartered Financial Consultant | Feb 2015 (11y) | |
| Adam Joseph Folkerts | Registered representative | Feb 2015 (11y) | ||
| Addison Bartlett | Registered representative | Feb 2015 (11y) | ||
| Matthew Eugene Ligurotis | Registered representative | CFP Chartered Financial Consultant | Feb 2015 (11y) | |
| Robert Leroy Homer | Registered representative | Chartered Financial Consultant | Feb 2015 (11y) | |
| William Basel | Registered representative | CFP | Mar 2015 (11y) | |
| Philip J. Mason | Registered representative | Mar 2015 (11y) | ||
| Everette Scott Scrivner | Registered representative | Mar 2015 (11y) | ||
| Stephen Leif Grossman | Registered representative | Mar 2015 (11y) | ||
| John Calvin Kelly | Registered representative | Mar 2015 (11y) | ||
| Luis R Mayoral Morales | Registered representative | CFP Chartered Financial Consultant | Mar 2015 (11y) | |
| Jonathan D Phan | Registered representative | Chartered Financial Consultant | Mar 2015 (11y) | |
| Sheila Sui Lai Chau | Registered representative | Chartered Financial Consultant | Mar 2015 (11y) | |
| Darwin Earl Beard | Registered representative | Mar 2015 (11y) | ||
| Raymond Irizarry Torres | Registered representative | Mar 2015 (11y) | ||
| Scott Owen Mcdonald | Registered representative | Mar 2015 (11y) | ||
| Benson Barry Terrell | Registered representative | CFP Chartered Financial Consultant | Apr 2015 (11y) | |
| Joseph Rocco Dalessio | Registered representative | Chartered Financial Consultant | Apr 2015 (11y) | |
| Paul Evan Karlitz | Registered representative | Apr 2015 (11y) | ||
| Frank Grooss | Registered representative | Apr 2015 (11y) | ||
| Michael Joseph Baker | Registered representative | Apr 2015 (11y) | ||
| Garrett Phillips Flasinski | Registered representative | Apr 2015 (11y) | ||
| William Paul Avril | Registered representative | Apr 2015 (11y) | ||
| Christopher Michael Hodgson | Registered representative | May 2015 (11y) | ||
| Eric Jeffers Everitt | Registered representative | May 2015 (11y) | ||
| Kimy S Smith | Registered representative | May 2015 (11y) | ||
| Steven Mark Sanford | Registered representative | May 2015 (11y) | ||
| Scott Anthony Paciocco | Registered representative | May 2015 (11y) | ||
| Matthew Thomas Ferrel | Registered representative | Jun 2015 (11y) | ||
| Max Alexander Dembow | Registered representative | CFP | Jun 2015 (11y) | |
| James M Bolton | Registered representative | CFP | Jun 2015 (11y) | |
| Matthew D Addy | Registered representative | Jun 2015 (11y) | ||
| Diane Picciotto Everhart | Registered representative | Chartered Financial Consultant | Jun 2015 (11y) | |
| Timothy Richard Dupont | Registered representative | Jun 2015 (11y) | ||
| Nathan Allen Lash | Registered representative | Jun 2015 (11y) | ||
| Thomas Thacher Richmond Jennings | Registered representative | Jul 2015 (11y) | ||
| Craig James Armstrong | Registered representative | Jul 2015 (11y) | ||
| Jason M Castaldi | Registered representative | Jul 2015 (11y) | ||
| Jeremy John Bosch | Registered representative | CFP | Jul 2015 (11y) | |
| Raymond Joseph Kubick | Registered representative | CFP | Jul 2015 (11y) | |
| Bobak Khodaie | Registered representative | Jul 2015 (11y) | ||
| Brian Lee Harris | Registered representative | Jul 2015 (11y) | ||
| Hayley Anne Hill | Registered representative | Chartered Financial Consultant | Jul 2015 (11y) | |
| Joseph Allan Jenkins | Registered representative | Jul 2015 (11y) | ||
| Michael Brent Gordon | Registered representative | CFP | Jul 2015 (11y) | |
| Stephen Andrew Bishop | Registered representative | Jul 2015 (11y) | ||
| Tuong Dung Nguyen Vu | Registered representative | Jul 2015 (11y) | ||
| Curtis David Barnes | Registered representative | Aug 2015 (11y) | ||
| Lauren Pua La'a Marshell | Registered representative | Aug 2015 (11y) | ||
| Joshua Trev Lieberman | Registered representative | CFP | Aug 2015 (11y) | |
| Derek Snider | Registered representative | Aug 2015 (11y) | ||
| Mark Monkarsh | Registered representative | Aug 2015 (11y) | ||
| William Alan Franks | Registered representative | Aug 2015 (11y) | ||
| Joel Douglas Gilley | Registered representative | Aug 2015 (11y) | ||
| Curtis Leroy Klieger | Registered representative | Aug 2015 (11y) | ||
| Joseph E Johnson | Registered representative | Aug 2015 (11y) | ||
| William Patrick Mulcahy | Registered representative | CFP Chartered Financial Consultant | Sep 2015 (11y) | |
| Gary M. Gibson | Registered representative | CFP | Sep 2015 (11y) | |
| Kevin Christopher Hamill | Registered representative | CFP | Sep 2015 (11y) | |
| Christopher Andrew Decola | Registered representative | Oct 2015 (11y) | ||
| Gary Scott Johnson | Registered representative | Chartered Financial Consultant | Oct 2015 (11y) | |
| John L Schriever | Registered representative | Oct 2015 (11y) | ||
| Harrison David Nathan | Registered representative | Oct 2015 (11y) | ||
| David Stuart Kates | Registered representative | Chartered Financial Consultant | Oct 2015 (11y) | |
| Adam Robert Skartvedt | Registered representative | Oct 2015 (11y) | ||
| Andrew Christopher Eppes | Registered representative | Oct 2015 (11y) | ||
| Sherie Miller Higgins | Registered representative | Oct 2015 (11y) | ||
| Christopher Michael Young | Registered representative | Nov 2015 (11y) | ||
| Nicholas Henry Muraca | Registered representative | CFP | Nov 2015 (11y) | |
| Stephen J Ross | Registered representative | Nov 2015 (11y) | ||
| Howard Disavino | Registered representative | Nov 2015 (11y) | ||
| Nolan Charles Cleary | Registered representative | Dec 2015 (11y) | ||
| Elayne Marie Jackson | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Ryan Chad Hamman | Registered representative | Dec 2015 (11y) | ||
| Robert Jonathan Segall | Registered representative | Dec 2015 (11y) | ||
| Dean Arnold Hardy | Registered representative | Dec 2015 (11y) | ||
| Edwin Joseph Erickson | Registered representative | Dec 2015 (11y) | ||
| James Patrick Keane | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Clayton James Mahone | Registered representative | Dec 2015 (11y) | ||
| Kyler Floyd Harder | Registered representative | Dec 2015 (11y) | ||
| Michael Robert Thompson | Registered representative | Jan 2016 (11y) | ||
| Justin Lane Miller | Registered representative | Jan 2016 (11y) | ||
| Rachel Elizabeth Comfort | Registered representative | CFP Chartered Financial Consultant | Jan 2016 (11y) | |
| Emma Margaret Mcroberts Huke | Registered representative | Jan 2016 (11y) | ||
| Matthew D Pawlowski | Registered representative | Jan 2016 (11y) | ||
| Nicholas J Penido | Registered representative | Jan 2016 (11y) | ||
| Nicolas Williams | Registered representative | Jan 2016 (11y) | ||
| Terrence Benjamin Mcallister | Registered representative | Jan 2016 (11y) | ||
| Timothy Fitzgerald Cummings | Registered representative | Jan 2016 (11y) | ||
| Jason Philip Schultz | Registered representative | CFP Chartered Financial Consultant | Feb 2016 (11y) | |
| Robert Joseph Pykosz | Registered representative | Feb 2016 (11y) | ||
| H Blake Parkinson | Registered representative | Feb 2016 (10y) | ||
| Ronald F Mead | Registered representative | CFP Chartered Financial Consultant | Feb 2016 (10y) | |
| Zaina Bankwalla | Registered representative | Feb 2016 (10y) | ||
| Christopher Michael Shinn | Registered representative | Feb 2016 (10y) | ||
| Evan Blake Harris | Registered representative | Chartered Financial Consultant | Feb 2016 (10y) | |
| Reva Zhao Azeez | Registered representative | Feb 2016 (10y) | ||
| Ryan Lee Soulier | Registered representative | CFP | Feb 2016 (10y) | |
| Russell Hewitt | Registered representative | Feb 2016 (10y) | ||
| David Michael Connelly | Registered representative | CFP | Feb 2016 (10y) | |
| Ricardo A Cruz Emmanuelli | Registered representative | Feb 2016 (10y) | ||
| Mitchell Paul Holland | Registered representative | Feb 2016 (10y) | ||
| Paul William Tokarz | Registered representative | Chartered Financial Consultant | Mar 2016 (10y) | |
| Jose R Alicea Cruz | Registered representative | Mar 2016 (10y) | ||
| Nathanael J Pacheco | Registered representative | CFP | Mar 2016 (10y) | |
| Ami Kitner Howes | Registered representative | Mar 2016 (10y) | ||
| Sultan Hassan Bilal | Registered representative | Mar 2016 (10y) | ||
| Joshua Andrew Miceli | Registered representative | CFP | Mar 2016 (10y) | |
| Jonathan Michael Mull | Registered representative | Mar 2016 (10y) | ||
| Matthew A Miller | Registered representative | Mar 2016 (10y) | ||
| John Christopher Mcgowan | Registered representative | Mar 2016 (10y) | ||
| Huey Chian Foo | Registered representative | Apr 2016 (10y) | ||
| Matthew A Merrick | Registered representative | Apr 2016 (10y) | ||
| Stephen R Todd | Registered representative | Apr 2016 (10y) | ||
| Adalberto Quinones Seda | Registered representative | Apr 2016 (10y) | ||
| Donald Paul Robbins | Registered representative | Apr 2016 (10y) | ||
| Nicholas Bozanich | Registered representative | Apr 2016 (10y) | ||
| Frank Jordan Erstad | Registered representative | Apr 2016 (10y) | ||
| Matthew B Sendach | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Son Duy Le | Registered representative | Apr 2016 (10y) | ||
| Luis Roberto Saucedo | Registered representative | Apr 2016 (10y) | ||
| Eric Bruce Felt | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Daniel Vincent Marcotte | Registered representative | Apr 2016 (10y) | ||
| Michael John Levin | Registered representative | Apr 2016 (10y) | ||
| Nicholas Randall Sangermano | Registered representative | May 2016 (10y) | ||
| Michelle Evans Day | Registered representative | May 2016 (10y) | ||
| Nhan Quang Nguyen | Registered representative | May 2016 (10y) | ||
| Kevin James Dykes | Registered representative | May 2016 (10y) | ||
| Daniel Joseph Mullen | Registered representative | May 2016 (10y) | ||
| Antonio Accardo | Registered representative | May 2016 (10y) | ||
| John James Watts | Registered representative | CFP | May 2016 (10y) | |
| Thomas Laurie Southern | Registered representative | Chartered Financial Consultant | May 2016 (10y) | |
| Patrick Menerey | Registered representative | CFP | May 2016 (10y) | |
| Charles Benjamin Clark | Registered representative | Jun 2016 (10y) | ||
| Bradley Tennyson Fair | Registered representative | Jun 2016 (10y) | ||
| Justin Thomas Elliott | Registered representative | Chartered Financial Consultant | Jun 2016 (10y) | |
| Mengning Zhou | Registered representative | Chartered Financial Consultant | Jun 2016 (10y) | |
| Tim Bartolomeo | Registered representative | Jun 2016 (10y) | ||
| Trenton Oran Carothers | Registered representative | Jun 2016 (10y) | ||
| Michael Solomon Gorin | Registered representative | CFP | Jun 2016 (10y) | |
| Ryan Oliver Rouille | Registered representative | Jun 2016 (10y) | ||
| Joshua Von Steinfeld | Registered representative | Jun 2016 (10y) | ||
| Mark Thomas Sollomi | Registered representative | Jun 2016 (10y) | ||
| Jacob Neal Martin | Registered representative | Chartered Financial Consultant | Jul 2016 (10y) | |
| Michael O'shaughnessey | Registered representative | Jul 2016 (10y) | ||
| Justin Mark Walker | Registered representative | Jul 2016 (10y) | ||
| Marcus Leung | Registered representative | Jul 2016 (10y) | ||
| Bryan Russell Gratton | Registered representative | Jul 2016 (10y) | ||
| Cesar Vinicio Canizalez | Registered representative | Jul 2016 (10y) | ||
| Lawrence M Mchugh | Registered representative | Jul 2016 (10y) | ||
| Steven Frederick Kenger | Registered representative | Jul 2016 (10y) | ||
| Lawrence Henry Nold | Registered representative | Jul 2016 (10y) | ||
| Tracy John Brown | Registered representative | Jul 2016 (10y) | ||
| Thomas David Ogrady | Registered representative | Jul 2016 (10y) | ||
| Stephen Paul Vecchione | Registered representative | CFP | Aug 2016 (10y) | |
| Thomas E Weber | Registered representative | Aug 2016 (10y) | ||
| Roscoe Otis Orton | Registered representative | Aug 2016 (10y) | ||
| Thomas Harlan Kyle | Registered representative | Aug 2016 (10y) | ||
| Gregory James Avallon | Registered representative | Aug 2016 (10y) | ||
| Thomas Randall Mccoy | Registered representative | Sep 2016 (10y) | ||
| Lindsay Capozza Miceli | Registered representative | Sep 2016 (10y) | ||
| Evan Fabricant | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Ryan Michael Paulsen | Registered representative | Sep 2016 (10y) | ||
| James Imboden Finney | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Zachary Brent Mann | Registered representative | Sep 2016 (10y) | ||
| Carla Jean Mulcahy | Registered representative | Sep 2016 (10y) | ||
| Steven Davis | Registered representative | Sep 2016 (10y) | ||
| Steven Edward Chick | Registered representative | Oct 2016 (10y) | ||
| Mark David Debord | Registered representative | Oct 2016 (10y) | ||
| Luis Alberto Perez Gonzalez | Registered representative | Oct 2016 (10y) | ||
| Robert Louis Pickett | Registered representative | Oct 2016 (10y) | ||
| Aaron Harris Freedman | Registered representative | Oct 2016 (10y) | ||
| Thomas Herbert House | Registered representative | Oct 2016 (10y) | ||
| John C Weeks | Registered representative | Nov 2016 (10y) | ||
| Ashley Marie Glynn | Registered representative | Nov 2016 (10y) | ||
| Ryan David Glynn | Registered representative | Nov 2016 (10y) | ||
| Edwin Spencer Cultra | Registered representative | Nov 2016 (10y) | ||
| Jeremiah Williamson | Registered representative | CFP | Dec 2016 (10y) | |
| Jason Dean Head | Registered representative | Dec 2016 (10y) | ||
| Stephanie Stokes Ellsworth | Registered representative | Jan 2017 (10y) | ||
| Nicole Hobson | Registered representative | Jan 2017 (10y) | ||
| Cody Austin Sutton | Registered representative | Jan 2017 (10y) | ||
| Samuel Alan Eppy | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Paul Bryan Hill | Registered representative | CFP | Jan 2017 (10y) | |
| Yitzchak Z Goldsmith | Registered representative | CFP | Jan 2017 (10y) | |
| David Marc Streit | Registered representative | Jan 2017 (10y) | ||
| Wade E Curry | Registered representative | Jan 2017 (10y) | ||
| Eric Michael Toggart | Registered representative | Jan 2017 (10y) | ||
| Tyler J Ver Steeg | Registered representative | CFP | Jan 2017 (10y) | |
| Brock Martin Tallakson | Registered representative | Jan 2017 (10y) | ||
| Brannigan Heath Beam | Registered representative | CFP Chartered Financial Consultant | Jan 2017 (10y) | |
| Andrew Taylor Spafford | Registered representative | Chartered Financial Consultant | Feb 2017 (9y) | |
| Brandon Blake Levithan | Registered representative | CFP | Feb 2017 (9y) | |
| Jason Steven Goldstein | Registered representative | Feb 2017 (9y) | ||
| Zanna Slaveniece Priede | Registered representative | Feb 2017 (9y) | ||
| Robert Puzant Sarkissian | Registered representative | CFP | Feb 2017 (9y) | |
| Helen Hyoyoung Kim | Registered representative | Feb 2017 (9y) | ||
| John Menton Webster | Registered representative | Feb 2017 (9y) | ||
| Joseph Goldberg | Registered representative | Mar 2017 (9y) | ||
| Dakota Anne Brizendine | Registered representative | Mar 2017 (9y) | ||
| Jason Bishop | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Matthew Ronald Williams | Registered representative | Mar 2017 (9y) | ||
| Richard Harris Wurst | Registered representative | Mar 2017 (9y) | ||
| David Edwin Nau | Registered representative | Mar 2017 (9y) | ||
| Patrick Noll Hanosek | Registered representative | Mar 2017 (9y) | ||
| Aaron Guy Draper | Registered representative | Mar 2017 (9y) | ||
| Aaron Michael Bockman | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Adam C. Douglas | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Adam L Johnstone | Registered representative | CFP | Mar 2017 (9y) | |
| Adam Wesley Townsend | Registered representative | Mar 2017 (9y) | ||
| Ahmad Moghis Mian | Registered representative | Mar 2017 (9y) | ||
| Ahmed Sourour | Registered representative | Mar 2017 (9y) | ||
| Ajit Pant | Registered representative | Mar 2017 (9y) | ||
| Alan Edward Becke | Registered representative | Mar 2017 (9y) | ||
| Alan Keith Hallman | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Alan Nazarow | Registered representative | Mar 2017 (9y) | ||
| Alane Margaret Downes | Registered representative | Mar 2017 (9y) | ||
| Albert M Corrato | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Albin Guillot | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Alejandro Mendieta | Registered representative | Mar 2017 (9y) | ||
| Alexander Aldrich Krisak | Registered representative | Mar 2017 (9y) | ||
| Alexander Alfano | Registered representative | Mar 2017 (9y) | ||
| Alexander Tomei Jr | Registered representative | Mar 2017 (9y) | ||
| Alfred Ewald Anke | Registered representative | Mar 2017 (9y) | ||
| Ali Mahallati | Registered representative | Mar 2017 (9y) | ||
| Aline Lenore Fisher | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Allan Dinglasan Lebiga | Registered representative | Mar 2017 (9y) | ||
| Allan Eugene Cameron | Registered representative | Mar 2017 (9y) | ||
| Allen Hatfield Smith | Registered representative | Mar 2017 (9y) | ||
| Allison Mislow | Registered representative | Mar 2017 (9y) | ||
| Alyson Jane Guest | Registered representative | Mar 2017 (9y) | ||
| Amarjit Singh | Registered representative | Mar 2017 (9y) | ||
| Amy Takkeu Ng | Registered representative | Mar 2017 (9y) | ||
| Andrea Lynne Whitican | Registered representative | CFP | Mar 2017 (9y) | |
| Andrew Anthony Del Beato | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Andrew Carlos Vasquez | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Andrew Cazimer Waligora | Registered representative | Mar 2017 (9y) | ||
| Andrew Dominick Roselli | Registered representative | Mar 2017 (9y) | ||
| Andrew Jay Goldner | Registered representative | Mar 2017 (9y) | ||
| Andrew John Busby | Registered representative | Mar 2017 (9y) | ||
| Andrew John Wigzell | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Andrew Marvin Rocco | Registered representative | Mar 2017 (9y) | ||
| Andrew Maxwell Sorger | Registered representative | Mar 2017 (9y) | ||
| Andrew Robert Cramer | Registered representative | Mar 2017 (9y) | ||
| Andrew Robert Joyce | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Andrew Robert Schneegold | Registered representative | Mar 2017 (9y) | ||
| Angelo E Tardi | Registered representative | Mar 2017 (9y) | ||
| Angelo Peter Schiralli | Registered representative | Mar 2017 (9y) | ||
| Anh Luong Tho Nguyen | Registered representative | CFP CFA | Mar 2017 (9y) | |
| Anita Louise Hawks | Registered representative | CFP | Mar 2017 (9y) | |
| Annmarie Miller | Registered representative | Mar 2017 (9y) | ||
| Anthony George Lea | Registered representative | Mar 2017 (9y) | ||
| Anthony J. Nicodemo | Registered representative | Mar 2017 (9y) | ||
| Anthony John Santisi | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Anthony Joseph Canderozzi | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Anthony Leonardo Maiuolo | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Anthony Linh Gian | Registered representative | Mar 2017 (9y) | ||
| Anthony Michael Karabas | Registered representative | Mar 2017 (9y) | ||
| Anthony Thomas Nofi | Registered representative | Mar 2017 (9y) | ||
| Anthony Zitella | Registered representative | Mar 2017 (9y) | ||
| Ari Neal Tenenbaum | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Arnie David Bergman | Registered representative | Mar 2017 (9y) | ||
| Arthur Gallant | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Arthur Roy Riley | Registered representative | CFP | Mar 2017 (9y) | |
| Alec Clayton Hardy | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Barbara Darlene Sepulvado | Registered representative | Mar 2017 (9y) | ||
| Barbara Reese Hunter | Registered representative | Mar 2017 (9y) | ||
| Barbara Ridings Exter | Registered representative | Mar 2017 (9y) | ||
| Bart James Broussard | Registered representative | CFP | Mar 2017 (9y) | |
| Becky Tan Tochip | Registered representative | Mar 2017 (9y) | ||
| Bellaria Jimenez | Registered representative | CFP | Mar 2017 (9y) | |
| Benjamin Cardinale | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Benjamin Ian Skupp | Registered representative | Mar 2017 (9y) | ||
| Benjamin L Broome | Registered representative | Mar 2017 (9y) | ||
| Benjamin Matthew Howarth | Registered representative | Mar 2017 (9y) | ||
| Benjamin Soccodato | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Benjamin Yeager | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Bernadette L Krueger | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Betsy Ann Mullan | Registered representative | Mar 2017 (9y) | ||
| Blair Hunt Rogers | Registered representative | Mar 2017 (9y) | ||
| Bob Vladimir Malitsky | Registered representative | Mar 2017 (9y) | ||
| Bonnie Domangue Leerkes | Registered representative | Mar 2017 (9y) | ||
| Bowen Silver Leary | Registered representative | CFP | Mar 2017 (9y) | |
| Brad Lee Martin | Registered representative | Mar 2017 (9y) | ||
| Bradley A Seib | Registered representative | Mar 2017 (9y) | ||
| Bradly Germain Masek | Registered representative | CFP | Mar 2017 (9y) | |
| Branden Cameron Schiralli | Registered representative | Mar 2017 (9y) | ||
| Brandon Cohen | Registered representative | Mar 2017 (9y) | ||
| Brandon Wayne Kuhn | Registered representative | CFP | Mar 2017 (9y) | |
| Brent Michael Affolter | Registered representative | Mar 2017 (9y) | ||
| Bret Alan Ford | Registered representative | Mar 2017 (9y) | ||
| Brett Andrew Laferrera | Registered representative | Mar 2017 (9y) | ||
| Brian Alexander Parmelee | Registered representative | CFP | Mar 2017 (9y) | |
| Brian Charles Mcgeehan | Registered representative | CFP | Mar 2017 (9y) | |
| Brian Eberle | Registered representative | CFP | Mar 2017 (9y) | |
| Brian Eugene Meyers | Registered representative | Mar 2017 (9y) | ||
| Brian Hugh Taylor | Registered representative | Mar 2017 (9y) | ||
| Brian Joel Waddell | Registered representative | CFP | Mar 2017 (9y) | |
| Brian Joseph Buckley | Registered representative | Mar 2017 (9y) | ||
| Brian Keith Salmonson | Registered representative | Mar 2017 (9y) | ||
| Brian Raymond Clifford | Registered representative | Mar 2017 (9y) | ||
| Brian Robert Schmuke | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Brian Stewart Desoye | Registered representative | Mar 2017 (9y) | ||
| Brian T Bednarz | Registered representative | Mar 2017 (9y) | ||
| Brian Thomas Paquette | Registered representative | Mar 2017 (9y) | ||
| Brooke C Larsen | Registered representative | Mar 2017 (9y) | ||
| Brooke S. Hourigan Bertholf | Registered representative | Mar 2017 (9y) | ||
| Bruce Michael Lutz | Registered representative | Mar 2017 (9y) | ||
| Bryan Douglas Becotte | Registered representative | Mar 2017 (9y) | ||
| Bryan Jon Gosda | Registered representative | Mar 2017 (9y) | ||
| Bryan K Durrington | Registered representative | Mar 2017 (9y) | ||
| Bryan Keith Palmisano | Registered representative | Mar 2017 (9y) | ||
| Bryan Rosen | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Bryan Telzer | Registered representative | Mar 2017 (9y) | ||
| Bryn Michael Doyle | Registered representative | CFP | Mar 2017 (9y) | |
| Buhm Jin Nam | Registered representative | Mar 2017 (9y) | ||
| Burak Alpaslan | Registered representative | CFP | Mar 2017 (9y) | |
| Brenan Sanders Mc Allister | Registered representative | Mar 2017 (9y) | ||
| Caitlin Alicia Desoye | Registered representative | Mar 2017 (9y) | ||
| Caleb Neves | Registered representative | Mar 2017 (9y) | ||
| Candace Yvette Seto | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Caren Lee Sgarlato | Registered representative | Mar 2017 (9y) | ||
| Carl Edward Scarbrough | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Carla C Hellmann | Registered representative | Mar 2017 (9y) | ||
| Carlos Antonio Forde Jr | Registered representative | Mar 2017 (9y) | ||
| Carmen Ferranti | Registered representative | Mar 2017 (9y) | ||
| Carmen John Locascio | Registered representative | Mar 2017 (9y) | ||
| Caryn Marie Mcgrath | Registered representative | Mar 2017 (9y) | ||
| Casey Robert Kreatz | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Casey Scott Johnson | Registered representative | Mar 2017 (9y) | ||
| Chad M. Liston | Registered representative | Mar 2017 (9y) | ||
| Charles Alan Wayne | Registered representative | CFP | Mar 2017 (9y) | |
| Charles Anthony Lambert | Registered representative | Mar 2017 (9y) | ||
| Charles Anthony Mcdonald | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Charles Earl Cooper | Registered representative | Mar 2017 (9y) | ||
| Charles Edward Pollock | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Charles Irvin Cook | Registered representative | Mar 2017 (9y) | ||
| Charles Joseph Dowds | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Charles Joseph Giardina | Registered representative | Mar 2017 (9y) | ||
| Charles Joseph Linfante | Registered representative | Mar 2017 (9y) | ||
| Charles Mark Ringwald | Registered representative | Mar 2017 (9y) | ||
| Charles Melford Hite | Registered representative | CFP | Mar 2017 (9y) | |
| Charles Salvatore Marisca | Registered representative | Mar 2017 (9y) | ||
| Charles Victor Rousseau | Registered representative | Mar 2017 (9y) | ||
| Charles Wayne Mulkey | Registered representative | Mar 2017 (9y) | ||
| Charlie Henry Sottoriva | Registered representative | Mar 2017 (9y) | ||
| Charlton J Bulkin | Registered representative | Mar 2017 (9y) | ||
| Chihjung Tracy Lu | Registered representative | Mar 2017 (9y) | ||
| Chris Aitken | Registered representative | Mar 2017 (9y) | ||
| Chris Kampitsis | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Chris S Fiorenzi | Registered representative | Mar 2017 (9y) | ||
| Chris Varlotta | Registered representative | Mar 2017 (9y) | ||
| Chris William Sousounis | Registered representative | Mar 2017 (9y) | ||
| Christi Deneen Koehle | Registered representative | Mar 2017 (9y) | ||
| Christopher A Esposito | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Christopher Alan Meninno | Registered representative | Mar 2017 (9y) | ||
| Christopher Brett Montich | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Christopher Charles Hasselgren | Registered representative | Mar 2017 (9y) | ||
| Christopher Charles Holland | Registered representative | Mar 2017 (9y) | ||
| Christopher George Lauer | Registered representative | Mar 2017 (9y) | ||
| Christopher Hiza | Registered representative | Mar 2017 (9y) | ||
| Christopher Holley | Registered representative | Mar 2017 (9y) | ||
| Christopher J. Kusick | Registered representative | Mar 2017 (9y) | ||
| Christopher Joseph Pitera | Registered representative | Mar 2017 (9y) | ||
| Christopher Joshua Campo | Registered representative | Mar 2017 (9y) | ||
| Christopher Kim | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Christopher Lee Shockley | Registered representative | CFP | Mar 2017 (9y) | |
| Christopher Mark Williamson | Registered representative | Mar 2017 (9y) | ||
| Christopher Michael Fallon | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Christopher Michael Riffle | Registered representative | CFP | Mar 2017 (9y) | |
| Christopher Phillip Kramer | Registered representative | Mar 2017 (9y) | ||
| Christopher R. Perry | Registered representative | Mar 2017 (9y) | ||
| Cindi Marie Shrader | Registered representative | Mar 2017 (9y) | ||
| Claire R Williams | Registered representative | Mar 2017 (9y) | ||
| Cliff Ray Lloyd | Registered representative | Mar 2017 (9y) | ||
| Coleman Arrington Barron | Registered representative | Mar 2017 (9y) | ||
| Colin Baxter Law | Registered representative | CFP | Mar 2017 (9y) | |
| Colin Hamilton Smith | Registered representative | Mar 2017 (9y) | ||
| Conor John Egan | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Constance Marie Urbanek | Registered representative | Mar 2017 (9y) | ||
| Constantine J Pihakis | Registered representative | CFP | Mar 2017 (9y) | |
| Cory Alan Weiser | Registered representative | Mar 2017 (9y) | ||
| Craig Clifton | Registered representative | Mar 2017 (9y) | ||
| Craig Parker Bonnifield | Registered representative | Mar 2017 (9y) | ||
| Craig Seminara | Registered representative | Mar 2017 (9y) | ||
| Craig Steven Mckinley | Registered representative | Mar 2017 (9y) | ||
| Curtis Edward Shoemaker | Registered representative | Mar 2017 (9y) | ||
| Cynthia Lee Balkwell | Registered representative | Mar 2017 (9y) | ||
| Cole R Vanderwerf | Registered representative | Mar 2017 (9y) | ||
| Daniel Allen Norris | Registered representative | Mar 2017 (9y) | ||
| Daniel Brian Long | Registered representative | CFP | Mar 2017 (9y) | |
| Daniel David Stroud | Registered representative | CFP | Mar 2017 (9y) | |
| Daniel Edward Ortman | Registered representative | Mar 2017 (9y) | ||
| Daniel Elfred Krout | Registered representative | Mar 2017 (9y) | ||
| Daniel Eric Simon | Registered representative | Mar 2017 (9y) | ||
| Daniel J Cappucci | Registered representative | CFP | Mar 2017 (9y) | |
| Daniel Joseph Champagne | Registered representative | CFP | Mar 2017 (9y) | |
| Daniel Joseph Fordice | Registered representative | Mar 2017 (9y) | ||
| Daniel Joseph Ortoli | Registered representative | Mar 2017 (9y) | ||
| Daniel Mark Mccoy | Registered representative | Mar 2017 (9y) | ||
| Daniel Patrick Maguire | Registered representative | Mar 2017 (9y) | ||
| Daniel Ralph Joie | Registered representative | CFP | Mar 2017 (9y) | |
| Daniel Robert Dunn | Registered representative | Mar 2017 (9y) | ||
| Daniel Rushefsky | Registered representative | Mar 2017 (9y) | ||
| Daniel Scott Bravo | Registered representative | Mar 2017 (9y) | ||
| Daniel Scott Lengyel | Registered representative | Mar 2017 (9y) | ||
| Daniel Scott Pfeiffer | Registered representative | Mar 2017 (9y) | ||
| Daniel Todd First | Registered representative | Mar 2017 (9y) | ||
| Daniel Vandersteeg | Registered representative | CFP | Mar 2017 (9y) | |
| Daniela Gerhard | Registered representative | Mar 2017 (9y) | ||
| Daniela Miraballes Aponte | Registered representative | CFP | Mar 2017 (9y) | |
| Danny Conti Mica | Registered representative | Mar 2017 (9y) | ||
| Darrel Allen Sumner | Registered representative | Mar 2017 (9y) | ||
| David A. Broll | Registered representative | Mar 2017 (9y) | ||
| David A. Wachter | Registered representative | Mar 2017 (9y) | ||
| David Ashley Yount | Registered representative | Mar 2017 (9y) | ||
| David Beeman | Registered representative | CFP | Mar 2017 (9y) | |
| David Byron Fontenot | Registered representative | Mar 2017 (9y) | ||
| David Chang | Registered representative | Mar 2017 (9y) | ||
| David Christopher Jones | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| David Craig Porter | Registered representative | Mar 2017 (9y) | ||
| David Dominic Mirabito | Registered representative | Mar 2017 (9y) | ||
| David Edmond Price | Registered representative | Mar 2017 (9y) | ||
| David Eugene Maschio | Registered representative | Mar 2017 (9y) | ||
| David Foguet | Registered representative | Mar 2017 (9y) | ||
| David Hugh Morgan | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| David J Macdonald | Registered representative | Mar 2017 (9y) | ||
| David James Hollkamp | Registered representative | Mar 2017 (9y) | ||
| David Jay Weisman | Registered representative | Mar 2017 (9y) | ||
| David Jeffrey Moss | Registered representative | Mar 2017 (9y) | ||
| David Joel Jacobius | Registered representative | Mar 2017 (9y) | ||
| David John Mingori | Registered representative | Mar 2017 (9y) | ||
| David Joseph Monastra | Registered representative | Mar 2017 (9y) | ||
| David Joseph Patchcoski | Registered representative | Mar 2017 (9y) | ||
| David L Maurer | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| David Lee Taylor | Registered representative | Mar 2017 (9y) | ||
| David Lewis Coleman | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| David Michael Lane | Registered representative | Mar 2017 (9y) | ||
| David Michael Sharpe | Registered representative | Mar 2017 (9y) | ||
| David Michael Staton | Registered representative | Mar 2017 (9y) | ||
| David Noel Morales | Registered representative | Mar 2017 (9y) | ||
| David Rand Pittman | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| David Scott Carr | Registered representative | Mar 2017 (9y) | ||
| David Wayne Hummel | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Davis Lee Whitley | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Dawn A Robinson | Registered representative | Mar 2017 (9y) | ||
| Dean Michael Mansavage | Registered representative | Mar 2017 (9y) | ||
| Debra Renee Blevins | Registered representative | Mar 2017 (9y) | ||
| Delano Eugene Williams | Registered representative | Mar 2017 (9y) | ||
| Denis Charles Walker | Registered representative | CFP | Mar 2017 (9y) | |
| Denis Michael Kelly | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Dennis James Quinn | Registered representative | Mar 2017 (9y) | ||
| Dennis Robert Rustad | Registered representative | Mar 2017 (9y) | ||
| Derek J Weisend | Registered representative | Mar 2017 (9y) | ||
| Derek P Happy | Registered representative | Mar 2017 (9y) | ||
| Dianne A Machinist | Registered representative | Mar 2017 (9y) | ||
| Diego Montoya | Registered representative | Mar 2017 (9y) | ||
| Dina Marie Delre | Registered representative | Mar 2017 (9y) | ||
| Dmitri A. Knysh | Registered representative | Mar 2017 (9y) | ||
| Dominic B Schioppo | Registered representative | Mar 2017 (9y) | ||
| Donald Francis Vendetti | Registered representative | Mar 2017 (9y) | ||
| Donald Jerome Norse | Registered representative | Mar 2017 (9y) | ||
| Donald John Kuntzman | Registered representative | Mar 2017 (9y) | ||
| Donald Marcus Boyce | Registered representative | Mar 2017 (9y) | ||
| Donna Gerace | Registered representative | CFP | Mar 2017 (9y) | |
| Donna Turcotte Caccia | Registered representative | Mar 2017 (9y) | ||
| Douglas Dandrea | Registered representative | Mar 2017 (9y) | ||
| Douglas Eugene Berry | Registered representative | Mar 2017 (9y) | ||
| Douglas Glenn Huie | Registered representative | Mar 2017 (9y) | ||
| Douglas James Rechtine | Registered representative | Mar 2017 (9y) | ||
| Douglas Jeb Stephen | Registered representative | Mar 2017 (9y) | ||
| Douglas Myles Gordon | Registered representative | Mar 2017 (9y) | ||
| Duston Ladieu | Registered representative | CFP | Mar 2017 (9y) | |
| Dwight Donald Hakala | Registered representative | Mar 2017 (9y) | ||
| Dianne Kollette Rizzo | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| E. B Loomis | Registered representative | Mar 2017 (9y) | ||
| Earl Joe Muse | Registered representative | Mar 2017 (9y) | ||
| Edward Alferoff | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Edward Andrew Pelletier | Registered representative | Mar 2017 (9y) | ||
| Edward August Pelletier | Registered representative | Mar 2017 (9y) | ||
| Edward George Kerschner | Registered representative | Mar 2017 (9y) | ||
| Edward John Eckhoff | Registered representative | Mar 2017 (9y) | ||
| Edward Michael Giblin | Registered representative | Mar 2017 (9y) | ||
| Edward Raymond Wood | Registered representative | Mar 2017 (9y) | ||
| Edward Sidney Felsenthal | Registered representative | Mar 2017 (9y) | ||
| Edwin Arnold Abrams | Registered representative | Mar 2017 (9y) | ||
| Eileen Cioe | Registered representative | CFP | Mar 2017 (9y) | |
| Elaine Marie Carvelli | Registered representative | Mar 2017 (9y) | ||
| Elizabeth Anne Moore | Registered representative | Mar 2017 (9y) | ||
| Elizabeth Lefebvre Cleary | Registered representative | CFP | Mar 2017 (9y) | |
| Ellen Margaret Donahue | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Elly Chan | Registered representative | Mar 2017 (9y) | ||
| Elvin Spaho | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Emanuel Mark Strategos | Registered representative | Mar 2017 (9y) | ||
| Emily Chen Pendleton | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Enrico Phillip Zollo | Registered representative | Mar 2017 (9y) | ||
| Eric Allan Brandt | Registered representative | Mar 2017 (9y) | ||
| Eric Christopher Gratz | Registered representative | Mar 2017 (9y) | ||
| Eric Dean Froyen | Registered representative | Mar 2017 (9y) | ||
| Eric Marshall Frantz | Registered representative | Mar 2017 (9y) | ||
| Eric Michael Gerhard | Registered representative | Mar 2017 (9y) | ||
| Eric S Bubrig | Registered representative | Mar 2017 (9y) | ||
| Eric Thomas Murtha | Registered representative | Mar 2017 (9y) | ||
| Erich Gary Strunk | Registered representative | Mar 2017 (9y) | ||
| Erik J Holton | Registered representative | Mar 2017 (9y) | ||
| Erik Jordan Gaines | Registered representative | Mar 2017 (9y) | ||
| Ethan C Betts | Registered representative | Mar 2017 (9y) | ||
| Eugene Boyd Thomas | Registered representative | Mar 2017 (9y) | ||
| Eugene Louis Rodriguez | Registered representative | CFP | Mar 2017 (9y) | |
| Eunie Y. Lee | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Fatin N Said | Registered representative | Mar 2017 (9y) | ||
| Felicia J Carucci | Registered representative | Mar 2017 (9y) | ||
| Flora K Kam | Registered representative | CFP | Mar 2017 (9y) | |
| Francis Anthony Naselli | Registered representative | Mar 2017 (9y) | ||
| Francis Joseph Rudisill | Registered representative | CFP | Mar 2017 (9y) | |
| Francis Patrick Otoole | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Franco Piscitelli | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Frank Anthony Fasano | Registered representative | Mar 2017 (9y) | ||
| Frank C. Miller | Registered representative | Mar 2017 (9y) | ||
| Frank Jason Karpack | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Frank John Petrocelli | Registered representative | Mar 2017 (9y) | ||
| Frank Joseph Charlton | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Franklin Clark Denton | Registered representative | Mar 2017 (9y) | ||
| Fred Eugene Nabors | Registered representative | Mar 2017 (9y) | ||
| Frederick Charles Schaeffer | Registered representative | Mar 2017 (9y) | ||
| Frederick Norman Welch | Registered representative | Mar 2017 (9y) | ||
| Fredrick John Pepperday | Registered representative | Mar 2017 (9y) | ||
| Gary Anthony Bonavita | Registered representative | Mar 2017 (9y) | ||
| Gary Britton Underbrink | Registered representative | Mar 2017 (9y) | ||
| Gary Earl Daniels | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Gary Laverne Frazier | Registered representative | Mar 2017 (9y) | ||
| Gary Lee Peters | Registered representative | CFP | Mar 2017 (9y) | |
| Geoffrey Allen Fedurek | Registered representative | CFP | Mar 2017 (9y) | |
| Geoffrey L Ernst | Registered representative | Mar 2017 (9y) | ||
| Geoffrey Rampola Bernal | Registered representative | Mar 2017 (9y) | ||
| George Adam Goldman | Registered representative | Mar 2017 (9y) | ||
| George Davis Avant | Registered representative | Mar 2017 (9y) | ||
| George T. Sawyer | Registered representative | Mar 2017 (9y) | ||
| George Teng | Registered representative | Mar 2017 (9y) | ||
| George W Jackson | Registered representative | Mar 2017 (9y) | ||
| Georgia Maria Christodoulou | Registered representative | Mar 2017 (9y) | ||
| Gerald Bruce Silberman | Registered representative | Mar 2017 (9y) | ||
| Gerald Charles Jarmusik | Registered representative | Mar 2017 (9y) | ||
| Gerald John Janosko | Registered representative | Mar 2017 (9y) | ||
| Gerald Kenneth Doran | Registered representative | Mar 2017 (9y) | ||
| Gerard Augustine Ransing | Registered representative | Mar 2017 (9y) | ||
| Gerard Benedict | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Gil Donald Hannon | Registered representative | Mar 2017 (9y) | ||
| Gina Magaudda | Registered representative | Mar 2017 (9y) | ||
| Gisook Jin Lim | Registered representative | Mar 2017 (9y) | ||
| Glen Christopher Spice | Registered representative | Mar 2017 (9y) | ||
| Glenn Chester Thompson | Registered representative | Mar 2017 (9y) | ||
| Glory Becker Toups | Registered representative | Mar 2017 (9y) | ||
| Gordon Fox Homes | Registered representative | Mar 2017 (9y) | ||
| Gordon Keith Mcelrath | Registered representative | Mar 2017 (9y) | ||
| Grant E Piller | Registered representative | CFP | Mar 2017 (9y) | |
| Grant Ryan Bridges | Registered representative | Mar 2017 (9y) | ||
| Gregory Briant Zander | Registered representative | Mar 2017 (9y) | ||
| Gregory Dale Stein | Registered representative | Mar 2017 (9y) | ||
| Gregory Harris Silverman | Registered representative | Mar 2017 (9y) | ||
| Gregory Lee Rychlik | Registered representative | Mar 2017 (9y) | ||
| Gregory Michael Dietz | Registered representative | Mar 2017 (9y) | ||
| Gregory Michael Palmer | Registered representative | Mar 2017 (9y) | ||
| Gregory Michael Small | Registered representative | Mar 2017 (9y) | ||
| Gregory Ray Williams | Registered representative | CFP | Mar 2017 (9y) | |
| Gregory Robert Jones | Registered representative | Mar 2017 (9y) | ||
| Gregory S Rovinski | Registered representative | Mar 2017 (9y) | ||
| Gregory Scott Stacy | Registered representative | Mar 2017 (9y) | ||
| Gregory Wachter | Registered representative | Mar 2017 (9y) | ||
| Gregory Wayne Alvis | Registered representative | Mar 2017 (9y) | ||
| Gretchen Elizabeth Chapdelaine | Registered representative | Mar 2017 (9y) | ||
| Gurdeep Singh | Registered representative | CFP | Mar 2017 (9y) | |
| H. Warren Ingersoll | Registered representative | Mar 2017 (9y) | ||
| Hampton Andrew Holcomb | Registered representative | Mar 2017 (9y) | ||
| Harold Morton Ryley | Registered representative | Mar 2017 (9y) | ||
| Harris Scott Green | Registered representative | Mar 2017 (9y) | ||
| Harry Aloysius Carroll | Registered representative | Mar 2017 (9y) | ||
| Harvey David Silverman | Registered representative | Mar 2017 (9y) | ||
| Haywood Jerome Tellis | Registered representative | Mar 2017 (9y) | ||
| Hemal N Parikh | Registered representative | Mar 2017 (9y) | ||
| Henry Hung Do | Registered representative | Mar 2017 (9y) | ||
| Henry J Plyler | Registered representative | Mar 2017 (9y) | ||
| Herbert Karl Daroff | Registered representative | CFP | Mar 2017 (9y) | |
| Herve Leclerc Vixamar | Registered representative | Mar 2017 (9y) | ||
| Hiram Esteban Hernandez | Registered representative | Mar 2017 (9y) | ||
| Hollie Ann Donovan | Registered representative | Mar 2017 (9y) | ||
| Hongze Victor Chen | Registered representative | CFP | Mar 2017 (9y) | |
| Hubert Larry Redden | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Hubert N Parris | Registered representative | Mar 2017 (9y) | ||
| Huiqing Henry Gu | Registered representative | Mar 2017 (9y) | ||
| Hunter Scott Trotter | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Hussam Jaser Zayyad | Registered representative | CFP | Mar 2017 (9y) | |
| Hyun Joo Park | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Hyungghee Kim | Registered representative | CFP | Mar 2017 (9y) | |
| Ian Richard Ruderman | Registered representative | Mar 2017 (9y) | ||
| Ilyas Akbar | Registered representative | CFP | Mar 2017 (9y) | |
| Iris Amalfi Lavigne | Registered representative | Mar 2017 (9y) | ||
| Irving Birnbaum | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Israel Mordecai Eichenholz | Registered representative | Mar 2017 (9y) | ||
| J Timothy Essman | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Jacob Nathan Goldberg | Registered representative | Mar 2017 (9y) | ||
| Jacob Solomon | Registered representative | CFP | Mar 2017 (9y) | |
| Jacquelyn Ann Kuhn | Registered representative | Mar 2017 (9y) | ||
| Jaime Villa | Registered representative | Mar 2017 (9y) | ||
| Jake Surma | Registered representative | Mar 2017 (9y) | ||
| James Bryan Daniel | Registered representative | Mar 2017 (9y) | ||
| James Edward Diemer | Registered representative | Mar 2017 (9y) | ||
| James Edward Menis | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| James Edward Sugden | Registered representative | Mar 2017 (9y) | ||
| James Francis Burns | Registered representative | Mar 2017 (9y) | ||
| James Frederick Rodd | Registered representative | Mar 2017 (9y) | ||
| James Harold Unger | Registered representative | CFP | Mar 2017 (9y) | |
| James Husin Hasnah | Registered representative | Mar 2017 (9y) | ||
| James John Oboyle | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| James John Scureman | Registered representative | Mar 2017 (9y) | ||
| James Joseph Cunningham | Registered representative | Mar 2017 (9y) | ||
| James Joseph Ian | Registered representative | Mar 2017 (9y) | ||
| James Joseph Ranieri | Registered representative | Mar 2017 (9y) | ||
| James Kenneth Krueger | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| James Magnus Allotey | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| James Mark Lee | Registered representative | Mar 2017 (9y) | ||
| James Michael Cunningham | Registered representative | Mar 2017 (9y) | ||
| James Michael Fisher | Registered representative | Mar 2017 (9y) | ||
| James Michael Parsons | Registered representative | Mar 2017 (9y) | ||
| James Michael Seminara | Registered representative | Mar 2017 (9y) | ||
| James Nathan Abels | Registered representative | Mar 2017 (9y) | ||
| James Otto Hubbuch | Registered representative | Mar 2017 (9y) | ||
| James Raymond Dearden | Registered representative | Mar 2017 (9y) | ||
| James Robert Holt | Registered representative | Mar 2017 (9y) | ||
| James Robert Veit | Registered representative | Mar 2017 (9y) | ||
| James Roger White | Registered representative | Mar 2017 (9y) | ||
| James Russell Fortune | Registered representative | Mar 2017 (9y) | ||
| James Russell Graham | Registered representative | Mar 2017 (9y) | ||
| James S Trotter | Registered representative | CFP | Mar 2017 (9y) | |
| James Sewell Ibach | Registered representative | Mar 2017 (9y) | ||
| James Ward Marlor | Registered representative | Mar 2017 (9y) | ||
| James William Cleary | Registered representative | Mar 2017 (9y) | ||
| Janet Shun Chow | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Janice Junghwa Ahn | Registered representative | Mar 2017 (9y) | ||
| Janice Virginia Berner | Registered representative | Mar 2017 (9y) | ||
| Jared Seth Levy | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Jared Seth Morgenstern | Registered representative | Mar 2017 (9y) | ||
| Jason Edward Sirotak | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Jason H Bayuk | Registered representative | CFP | Mar 2017 (9y) | |
| Jason Lane Parker | Registered representative | Mar 2017 (9y) | ||
| Jason Lee Aldred | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Javid Jaraiedi | Registered representative | Mar 2017 (9y) | ||
| Jayson Decandia | Registered representative | Mar 2017 (9y) | ||
| Jeanette Fields Williams | Registered representative | Mar 2017 (9y) | ||
| Jeannette Doreen Jordan | Registered representative | Mar 2017 (9y) | ||
| Jeffrey A. Bailey | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Allan Shapiro | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Allen Casey | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Allen Moll | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Allen Walters | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Jeffrey Alvin Witmer | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Charles Reimer | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Duncan Logan | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Force Dickinson | Registered representative | CFP | Mar 2017 (9y) | |
| Jeffrey Goldstein | Registered representative | Mar 2017 (9y) | ||
| Jeffrey John Bannon | Registered representative | Mar 2017 (9y) | ||
| Jeffrey L Gordon | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Laurence Gruehn | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Leonard Allison | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Jeffrey Rice | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Thomas Rodd | Registered representative | CFP | Mar 2017 (9y) | |
| Jeffrey William Day | Registered representative | Mar 2017 (9y) | ||
| Jennifer Funk | Registered representative | Mar 2017 (9y) | ||
| Jens Frederik Busch | Registered representative | Mar 2017 (9y) | ||
| Jeremy D Rainwater | Registered representative | Mar 2017 (9y) | ||
| Jeremy Hus | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Jeremy Michael Dalidowitz | Registered representative | Mar 2017 (9y) | ||
| Jeremy Michael Straub | Registered representative | Mar 2017 (9y) | ||
| Jerry Justin Dipert | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Jesse Lee Lempesis | Registered representative | Mar 2017 (9y) | ||
| Jessica K Chan | Registered representative | CFP | Mar 2017 (9y) | |
| Jessica Lynn Laferrera | Registered representative | Mar 2017 (9y) | ||
| Joanne L Resh | Registered representative | Mar 2017 (9y) | ||
| Joel Ira Bernstein | Registered representative | Mar 2017 (9y) | ||
| John Adam Trouy | Registered representative | Mar 2017 (9y) | ||
| John Anthony Costello | Registered representative | Mar 2017 (9y) | ||
| John Anthony Mendes | Registered representative | Mar 2017 (9y) | ||
| John Charles Milacki | Registered representative | Mar 2017 (9y) | ||
| John David Mccullough | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| John Day Billington | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| John Dimitrios Dragonas | Registered representative | Mar 2017 (9y) | ||
| John Elliott Deysher | Registered representative | Mar 2017 (9y) | ||
| John Francis Bucsek | Registered representative | CFP | Mar 2017 (9y) | |
| John Francis Paros | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| John Francis Pearson | Registered representative | Mar 2017 (9y) | ||
| John Frank Mazzola | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| John Gene Allison | Registered representative | Mar 2017 (9y) | ||
| John J Presta | Registered representative | Mar 2017 (9y) | ||
| John Jerome Buckley | Registered representative | Mar 2017 (9y) | ||
| John Joseph Euchner | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| John Joseph Schofield | Registered representative | Mar 2017 (9y) | ||
| John Kenneth Scheidler | Registered representative | Mar 2017 (9y) | ||
| John Leonard Strange | Registered representative | Mar 2017 (9y) | ||
| John Lucien Kashmanian | Registered representative | Mar 2017 (9y) | ||
| John Mead Foreman | Registered representative | Mar 2017 (9y) | ||
| John Michael Klusarits | Registered representative | Mar 2017 (9y) | ||
| John Nardone | Registered representative | Mar 2017 (9y) | ||
| John Phillips | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| John Pier Desmond | Registered representative | Mar 2017 (9y) | ||
| John Rainey Morris | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| John Robert Kaine | Registered representative | Mar 2017 (9y) | ||
| John Ryan Corraro | Registered representative | Mar 2017 (9y) | ||
| John Smith Swarts | Registered representative | Mar 2017 (9y) | ||
| John Timothy Felton | Registered representative | Mar 2017 (9y) | ||
| John Tumminia | Registered representative | Mar 2017 (9y) | ||
| John Varley Iarussi | Registered representative | CFP | Mar 2017 (9y) | |
| Jon D Hunt | Registered representative | CFP | Mar 2017 (9y) | |
| Jon Michael Gladstone | Registered representative | CFP | Mar 2017 (9y) | |
| Jonathan Jamsheed Jaraiedi | Registered representative | Mar 2017 (9y) | ||
| Jonathan Matthew Mandas | Registered representative | Mar 2017 (9y) | ||
| Jonathan Robert Waters | Registered representative | CFP | Mar 2017 (9y) | |
| Jonathan Wayne Hiltz | Registered representative | CFP | Mar 2017 (9y) | |
| Jordan J. Kessel | Registered representative | Mar 2017 (9y) | ||
| Jose Fernando Velasco | Registered representative | CFP | Mar 2017 (9y) | |
| Joseph Bernard Manley | Registered representative | Mar 2017 (9y) | ||
| Joseph Bogardus | Registered representative | CFP | Mar 2017 (9y) | |
| Joseph Bohdan Kotula | Registered representative | Mar 2017 (9y) | ||
| Joseph Bohn Nicholson | Registered representative | Mar 2017 (9y) | ||
| Joseph Charles Carr | Registered representative | Mar 2017 (9y) | ||
| Joseph David Lopresti | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Joseph Edward Syernick | Registered representative | Mar 2017 (9y) | ||
| Joseph Francis Mcandrew | Registered representative | Mar 2017 (9y) | ||
| Joseph James Mccusker | Registered representative | Mar 2017 (9y) | ||
| Joseph John Todice | Registered representative | Mar 2017 (9y) | ||
| Joseph M Fountain | Registered representative | Mar 2017 (9y) | ||
| Joseph Mathew Kavumpurath | Registered representative | Mar 2017 (9y) | ||
| Joseph Nicholas Moore | Registered representative | Mar 2017 (9y) | ||
| Joseph Rea | Registered representative | Mar 2017 (9y) | ||
| Joseph Robert Peterson | Registered representative | Mar 2017 (9y) | ||
| Joseph Ryan Kendron | Registered representative | Mar 2017 (9y) | ||
| Joseph Thomas Burkhard | Registered representative | CFP | Mar 2017 (9y) | |
| Joseph Thomas Kurzeja | Registered representative | Mar 2017 (9y) | ||
| Joseph Vincent Delguercio | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Joseph Vincent Naselli | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Joseph William Leary | Registered representative | Mar 2017 (9y) | ||
| Joseph Yeganegi | Registered representative | Mar 2017 (9y) | ||
| Joshua Brent Howarth | Registered representative | Mar 2017 (9y) | ||
| Joshua James Fischer | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Joy Lynn Richardson | Registered representative | Mar 2017 (9y) | ||
| Judah Jeffrey Piano | Registered representative | CFP | Mar 2017 (9y) | |
| Judith Anne Cassidy | Registered representative | Mar 2017 (9y) | ||
| Julian Luis Diaz | Registered representative | Mar 2017 (9y) | ||
| Julie Langelier Yunker | Registered representative | Mar 2017 (9y) | ||
| Julio C Aller | Registered representative | Mar 2017 (9y) | ||
| Julio Cesar Blanco | Registered representative | Mar 2017 (9y) | ||
| Justin Kyle Bowmaker | Registered representative | Mar 2017 (9y) | ||
| Justin Leigh Williamson | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Justin Patchcoski | Registered representative | Mar 2017 (9y) | ||
| Justin Patrick Pattishall | Registered representative | Mar 2017 (9y) | ||
| Justin Taylor | Registered representative | CFP | Mar 2017 (9y) | |
| Justin Thomas Podbielski | Registered representative | CFP | Mar 2017 (9y) | |
| Karen Dale Poore | Registered representative | Mar 2017 (9y) | ||
| Karen Jean Nagle | Registered representative | Mar 2017 (9y) | ||
| Karl Heinz Lorch | Registered representative | Mar 2017 (9y) | ||
| Karl Justin Stuppnig | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Katherine Ann Caso | Registered representative | CFP | Mar 2017 (9y) | |
| Kathryn Louise Fitzgerald | Registered representative | CFP | Mar 2017 (9y) | |
| Keith B Abrosh | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Keith Caro Allen | Registered representative | Mar 2017 (9y) | ||
| Keith J Wolff | Registered representative | Mar 2017 (9y) | ||
| Keith Nelson Congdon | Registered representative | Mar 2017 (9y) | ||
| Keith R Forbes | Registered representative | Mar 2017 (9y) | ||
| Keith T Inman | Registered representative | Mar 2017 (9y) | ||
| Keith Vincent Lecky | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Kelly Ann Weaver | Registered representative | CFP | Mar 2017 (9y) | |
| Kelly Roxanne Pachelo Forehand | Registered representative | Mar 2017 (9y) | ||
| Kenneth Allen Turner | Registered representative | Mar 2017 (9y) | ||
| Kenneth Charles Heiser | Registered representative | Mar 2017 (9y) | ||
| Kenneth Clifton Davis | Registered representative | Mar 2017 (9y) | ||
| Kenneth Growney | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Kenneth J Conway | Registered representative | Mar 2017 (9y) | ||
| Kenneth Joseph Wirtz | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Kenneth Mark Gable | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Kenneth Robert Altman | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Kenneth Walter Dorsch | Registered representative | Mar 2017 (9y) | ||
| Kenneth Wesley Mills | Registered representative | Mar 2017 (9y) | ||
| Kevin Barry Oneill | Registered representative | Mar 2017 (9y) | ||
| Kevin E. Lynch | Registered representative | Mar 2017 (9y) | ||
| Kevin John Canfield | Registered representative | Mar 2017 (9y) | ||
| Kevin Keith Carriere | Registered representative | Mar 2017 (9y) | ||
| Kevin M Erb | Registered representative | Mar 2017 (9y) | ||
| Kevin Mccartney | Registered representative | Mar 2017 (9y) | ||
| Kevin Patrick Mcavoy | Registered representative | Mar 2017 (9y) | ||
| Kimberly Christine Riccoboni | Registered representative | Mar 2017 (9y) | ||
| Kirk Christopher Kinsman | Registered representative | Mar 2017 (9y) | ||
| Kirk Patrick Jones | Registered representative | Mar 2017 (9y) | ||
| Kristin Ann Nordahl | Registered representative | CFP | Mar 2017 (9y) | |
| Kristopher Dean Marion | Registered representative | Mar 2017 (9y) | ||
| Kungyee Thompson | Registered representative | CFP | Mar 2017 (9y) | |
| Kyle James Cleary | Registered representative | Mar 2017 (9y) | ||
| Kyle Scott Brennan | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Kyle Tousain | Registered representative | Mar 2017 (9y) | ||
| Lance Edward Curnes | Registered representative | Mar 2017 (9y) | ||
| Larry Ray Gann | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Laura Lynn Voigt | Registered representative | Mar 2017 (9y) | ||
| Laurie Ellen Madenfort | Registered representative | Mar 2017 (9y) | ||
| Lawrence Davis Yingling | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Lawrence Joseph Perry | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Lawrence Richard Siliato | Registered representative | Mar 2017 (9y) | ||
| Layne R Miller | Registered representative | Mar 2017 (9y) | ||
| Leisa Jo Scott | Registered representative | Mar 2017 (9y) | ||
| Leon Michael Almeida | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Li Zhu | Registered representative | Mar 2017 (9y) | ||
| Linh Thieu Ma | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Lisa Ann Rydzefski | Registered representative | Mar 2017 (9y) | ||
| Lisa Shipp Frankovich | Registered representative | Mar 2017 (9y) | ||
| Lori Howe | Registered representative | Mar 2017 (9y) | ||
| Lorraine Vicino | Registered representative | Mar 2017 (9y) | ||
| Lottie Ann Barcus | Registered representative | Mar 2017 (9y) | ||
| Louis Anthony Cardinale | Registered representative | Mar 2017 (9y) | ||
| Lucas John Matarazzo | Registered representative | CFP | Mar 2017 (9y) | |
| Luke Duncan Achay | Registered representative | CFP | Mar 2017 (9y) | |
| Luvern Nickerson | Registered representative | Mar 2017 (9y) | ||
| Lyle Wallace Vanhorn | Registered representative | Mar 2017 (9y) | ||
| Lynn Marie Mack | Registered representative | Mar 2017 (9y) | ||
| Manohar Kasetty | Registered representative | Mar 2017 (9y) | ||
| Maohong Li | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Marc David Laxer | Registered representative | Mar 2017 (9y) | ||
| Marc E Markovitz | Registered representative | Mar 2017 (9y) | ||
| Marc P Virga | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Marcello E De Pascale | Registered representative | Mar 2017 (9y) | ||
| Marcia Lyn Wooley | Registered representative | CFP | Mar 2017 (9y) | |
| Marion Sommer | Registered representative | CFP | Mar 2017 (9y) | |
| Mark A Delgrego | Registered representative | CFP | Mar 2017 (9y) | |
| Mark A Macinnis | Registered representative | Mar 2017 (9y) | ||
| Mark A Sutherland | Registered representative | Mar 2017 (9y) | ||
| Mark A. Stephenson | Registered representative | Mar 2017 (9y) | ||
| Mark Allen Rothman | Registered representative | CFP | Mar 2017 (9y) | |
| Mark Andrew Kirsch | Registered representative | Mar 2017 (9y) | ||
| Mark Bernard Fuessinger | Registered representative | Mar 2017 (9y) | ||
| Mark Christopher Loftis | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Mark Daniel Krupkowski | Registered representative | Mar 2017 (9y) | ||
| Mark David Wolpert | Registered representative | Mar 2017 (9y) | ||
| Mark Eldred Zobl | Registered representative | CFP | Mar 2017 (9y) | |
| Mark Jerome Lasko | Registered representative | Mar 2017 (9y) | ||
| Mark Joseph Reddington | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Mark Joseph Zumack | Registered representative | Mar 2017 (9y) | ||
| Mark Paul Mesco | Registered representative | Mar 2017 (9y) | ||
| Mark Steven Bowen | Registered representative | Mar 2017 (9y) | ||
| Martin Earl Battock | Registered representative | Mar 2017 (9y) | ||
| Martin Gordon Kelln | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Martin James Girouard | Registered representative | Mar 2017 (9y) | ||
| Mary Ellen Elizabeth Jansen | Registered representative | Mar 2017 (9y) | ||
| Maryanne Theresa Ibach | Registered representative | Mar 2017 (9y) | ||
| Mathew C Noel | Registered representative | Mar 2017 (9y) | ||
| Mathew Robert Degroff | Registered representative | CFP | Mar 2017 (9y) | |
| Mathias Joseph Rick | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Matias De Llano | Registered representative | Mar 2017 (9y) | ||
| Matt Paulsen | Registered representative | Mar 2017 (9y) | ||
| Matthew D Siegel | Registered representative | Mar 2017 (9y) | ||
| Matthew David Phillips | Registered representative | Mar 2017 (9y) | ||
| Matthew Eric Pratzner | Registered representative | Mar 2017 (9y) | ||
| Matthew James Rush | Registered representative | Mar 2017 (9y) | ||
| Matthew James Sawyer | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Matthew Judkins Barrett | Registered representative | Mar 2017 (9y) | ||
| Matthew Kletti | Registered representative | Mar 2017 (9y) | ||
| Matthew Phillip Galasso | Registered representative | Mar 2017 (9y) | ||
| Matthew Read Junkin | Registered representative | Mar 2017 (9y) | ||
| Matthew Shane Greco | Registered representative | Mar 2017 (9y) | ||
| Matthew Stanley Sinclair | Registered representative | Mar 2017 (9y) | ||
| Matthew Sullivan | Registered representative | Mar 2017 (9y) | ||
| Maura Rose Laudone | Registered representative | Mar 2017 (9y) | ||
| Maxwell Thomas Madsen | Registered representative | Mar 2017 (9y) | ||
| Mei Li Lee | Registered representative | Mar 2017 (9y) | ||
| Melanie Kopka Dahl | Registered representative | Mar 2017 (9y) | ||
| Melvin James Honda | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Melvin Leon Roberts | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Micah Robert Moscovis | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael A Morales | Registered representative | Mar 2017 (9y) | ||
| Michael Anthony Cammarata | Registered representative | CFP | Mar 2017 (9y) | |
| Michael Bayer | Registered representative | CFP | Mar 2017 (9y) | |
| Michael Bogardus | Registered representative | CFP | Mar 2017 (9y) | |
| Michael Charles Leonard | Registered representative | Mar 2017 (9y) | ||
| Michael Connole | Registered representative | Mar 2017 (9y) | ||
| Michael Craig Mccall | Registered representative | Mar 2017 (9y) | ||
| Michael Curran | Registered representative | Mar 2017 (9y) | ||
| Michael Edward Klems | Registered representative | Mar 2017 (9y) | ||
| Michael Edward Mcdermott | Registered representative | Mar 2017 (9y) | ||
| Michael Eugene Maxstadt | Registered representative | Mar 2017 (9y) | ||
| Michael Everett Genetti | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael Fitzgerald Cotton | Registered representative | Mar 2017 (9y) | ||
| Michael George Wolken | Registered representative | Mar 2017 (9y) | ||
| Michael Glenn Childers | Registered representative | Mar 2017 (9y) | ||
| Michael Hugh Clark | Registered representative | Mar 2017 (9y) | ||
| Michael J Mc Conachie | Registered representative | Mar 2017 (9y) | ||
| Michael J. Regan | Registered representative | Mar 2017 (9y) | ||
| Michael James Dimaggio | Registered representative | CFP | Mar 2017 (9y) | |
| Michael John Blomstrand | Registered representative | Mar 2017 (9y) | ||
| Michael John Liskowitz | Registered representative | Mar 2017 (9y) | ||
| Michael John Sousou | Registered representative | Mar 2017 (9y) | ||
| Michael Joseph Binswanger | Registered representative | Mar 2017 (9y) | ||
| Michael Joseph Lavalley | Registered representative | Mar 2017 (9y) | ||
| Michael Joseph Marse | Registered representative | Mar 2017 (9y) | ||
| Michael Joseph Modica | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael Joseph Pimpinelli | Registered representative | Mar 2017 (9y) | ||
| Michael Joseph Russo | Registered representative | Mar 2017 (9y) | ||
| Michael L Miley | Registered representative | CFP | Mar 2017 (9y) | |
| Michael Lonny Berling | Registered representative | Mar 2017 (9y) | ||
| Michael Min Yang | Registered representative | CFP | Mar 2017 (9y) | |
| Michael Nilo Priede | Registered representative | Mar 2017 (9y) | ||
| Michael Odell Mcknight | Registered representative | Mar 2017 (9y) | ||
| Michael Owen Jones | Registered representative | CFP | Mar 2017 (9y) | |
| Michael Patrick Behrens | Registered representative | Mar 2017 (9y) | ||
| Michael Patrick Root | Registered representative | Mar 2017 (9y) | ||
| Michael Paul Darragh | Registered representative | Mar 2017 (9y) | ||
| Michael Raymond Taylor | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael Reid Havlik | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael Rigby Miller | Registered representative | Mar 2017 (9y) | ||
| Michael Robert Achatz | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael Robert Dayton | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael Robert Gonzalez | Registered representative | Mar 2017 (9y) | ||
| Michael Samuel Monastra | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Michael Samuel Monastra Jr. | Registered representative | Mar 2017 (9y) | ||
| Michael Scott Slayton | Registered representative | Mar 2017 (9y) | ||
| Michael T Dimos | Registered representative | Mar 2017 (9y) | ||
| Michael Terry Stark | Registered representative | Mar 2017 (9y) | ||
| Michael Thomas Mcginn | Registered representative | Mar 2017 (9y) | ||
| Michael Todd Elders | Registered representative | Mar 2017 (9y) | ||
| Michael Vincent Deer | Registered representative | Mar 2017 (9y) | ||
| Michael William Defoney | Registered representative | Mar 2017 (9y) | ||
| Michael William Haskins | Registered representative | Mar 2017 (9y) | ||
| Michael William Lynch | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Michele Karpack Hakes | Registered representative | Mar 2017 (9y) | ||
| Michelle C Moser | Registered representative | Mar 2017 (9y) | ||
| Michelle Nancy Foley | Registered representative | Mar 2017 (9y) | ||
| Michelle Nicole Balfe | Registered representative | Mar 2017 (9y) | ||
| Mihai Florin Stan | Registered representative | Mar 2017 (9y) | ||
| Mikael C Lee | Registered representative | Mar 2017 (9y) | ||
| Miles Harris | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Mukund Meghasham Hanumante | Registered representative | Mar 2017 (9y) | ||
| Mark Tsoulos | Registered representative | CFP | Mar 2017 (9y) | |
| Matthew Phillip Corrigan | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Nancy Dale Sullivan | Registered representative | Mar 2017 (9y) | ||
| Nancy Jean Littleton | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Nancy Liebermann | Registered representative | Mar 2017 (9y) | ||
| Nancy Ricciardi | Registered representative | Mar 2017 (9y) | ||
| Natalina Demeis | Registered representative | Mar 2017 (9y) | ||
| Nathan Goldwasser | Registered representative | Mar 2017 (9y) | ||
| Nathan Jay Serven | Registered representative | CFP | Mar 2017 (9y) | |
| Nathan Paul Shive | Registered representative | Mar 2017 (9y) | ||
| Nelson Camargo Castro | Registered representative | Mar 2017 (9y) | ||
| Nicholas Alan Otto | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Nicholas Anthony Dilello | Registered representative | Mar 2017 (9y) | ||
| Nicholas Jay Bonomolo | Registered representative | Mar 2017 (9y) | ||
| Nicholas Vamvakas | Registered representative | Mar 2017 (9y) | ||
| Nicola Aldo Delicata | Registered representative | Mar 2017 (9y) | ||
| Nidal Naseeb Hamameh | Registered representative | Mar 2017 (9y) | ||
| Norman St Aubyn Leslie | Registered representative | Mar 2017 (9y) | ||
| Norman Stewart Chevlin | Registered representative | Mar 2017 (9y) | ||
| Nuno Tecla | Registered representative | Mar 2017 (9y) | ||
| Ning Jiang | Registered representative | Mar 2017 (9y) | ||
| Oleg Metsaev | Registered representative | Mar 2017 (9y) | ||
| Oscar Luis Mestre | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Pamela Jean Hoppe | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Pamela Jo Thayer | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Patrick Christopher Woodward | Registered representative | Mar 2017 (9y) | ||
| Patrick E Randall | Registered representative | Mar 2017 (9y) | ||
| Patrick J. Shanley | Registered representative | Mar 2017 (9y) | ||
| Patrick James Mccarthy | Registered representative | Mar 2017 (9y) | ||
| Patrick James Sawyer | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Patrick Joseph Caligiuri | Registered representative | Mar 2017 (9y) | ||
| Patrick M Kenny | Registered representative | Mar 2017 (9y) | ||
| Patrick Michael Connelly | Registered representative | Mar 2017 (9y) | ||
| Patrick Michael Mccann | Registered representative | Mar 2017 (9y) | ||
| Paul Allen Waters | Registered representative | Mar 2017 (9y) | ||
| Paul Brian Mayhew | Registered representative | Mar 2017 (9y) | ||
| Paul Edward Bozymowski | Registered representative | Mar 2017 (9y) | ||
| Paul Francis Iandoli | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Paul Francis Ruggiero | Registered representative | Mar 2017 (9y) | ||
| Paul Gagliardi | Registered representative | Mar 2017 (9y) | ||
| Paul Gregory Evans | Registered representative | Mar 2017 (9y) | ||
| Paul John Montefiore | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Paul John Svetik | Registered representative | Mar 2017 (9y) | ||
| Pedro Miguel Tecla | Registered representative | Mar 2017 (9y) | ||
| Peggy Yu Ping Tung | Registered representative | Mar 2017 (9y) | ||
| Pei Gu | Registered representative | Mar 2017 (9y) | ||
| Peri Kaitlin Jacobowitz | Registered representative | Mar 2017 (9y) | ||
| Peter Craig Lotridge | Registered representative | Mar 2017 (9y) | ||
| Peter Greco | Registered representative | Mar 2017 (9y) | ||
| Peter Jacob Darsch | Registered representative | Mar 2017 (9y) | ||
| Peter John Emigh | Registered representative | Mar 2017 (9y) | ||
| Peter Joseph Blauert | Registered representative | Mar 2017 (9y) | ||
| Peter Nathen Alexander Banne | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Peter Nicholas Luzak | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Peter Paul Berardino | Registered representative | Mar 2017 (9y) | ||
| Peter Smith Zonino | Registered representative | Mar 2017 (9y) | ||
| Philip E Lamoreaux | Registered representative | Mar 2017 (9y) | ||
| Philip Michael Ruggio | Registered representative | Mar 2017 (9y) | ||
| Philip Raymond Engelmann | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Philip Stanley Barnes | Registered representative | Mar 2017 (9y) | ||
| Philip Stoltzfus | Registered representative | Mar 2017 (9y) | ||
| Phillip Francis Doherty | Registered representative | Mar 2017 (9y) | ||
| Purvi Bhaskar Bhavsar | Registered representative | CFP | Mar 2017 (9y) | |
| Rachel Marie Walter | Registered representative | Mar 2017 (9y) | ||
| Randa Farhat Dagher | Registered representative | Mar 2017 (9y) | ||
| Randall M Rubenstein | Registered representative | Mar 2017 (9y) | ||
| Randi Kay Saboski | Registered representative | Mar 2017 (9y) | ||
| Randy Gerard Day | Registered representative | Mar 2017 (9y) | ||
| Raymond E Moore | Registered representative | Mar 2017 (9y) | ||
| Raymond Earl Nelson | Registered representative | CFP | Mar 2017 (9y) | |
| Raymond John Creamer | Registered representative | Mar 2017 (9y) | ||
| Raymond Lawerence Wellspeak | Registered representative | CFP | Mar 2017 (9y) | |
| Raymond Michael Congelosi | Registered representative | Mar 2017 (9y) | ||
| Rebecca L Maurer | Registered representative | Mar 2017 (9y) | ||
| Regina Theresa Schwartz | Registered representative | Mar 2017 (9y) | ||
| Reynaldo M Martinez Jr | Registered representative | Mar 2017 (9y) | ||
| Richard A Blessing | Registered representative | Mar 2017 (9y) | ||
| Richard Akirmaian | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Richard Allyn Quan | Registered representative | CFP | Mar 2017 (9y) | |
| Richard Anthony Schega | Registered representative | CFP | Mar 2017 (9y) | |
| Richard Ashleigh Fortune | Registered representative | Mar 2017 (9y) | ||
| Richard Biagio Ioli | Registered representative | Mar 2017 (9y) | ||
| Richard Caiazzo | Registered representative | CFP | Mar 2017 (9y) | |
| Richard Carrington Wright | Registered representative | Mar 2017 (9y) | ||
| Richard Edward Whitaker | Registered representative | Mar 2017 (9y) | ||
| Richard Francis Hennessy | Registered representative | Mar 2017 (9y) | ||
| Richard Gordon Carmel | Registered representative | Mar 2017 (9y) | ||
| Richard John Hendricks | Registered representative | Mar 2017 (9y) | ||
| Richard Mark Thompson | Registered representative | Mar 2017 (9y) | ||
| Richard Michael Caruso | Registered representative | Mar 2017 (9y) | ||
| Richard Patrick Hagan | Registered representative | Mar 2017 (9y) | ||
| Richard Samuel Basham | Registered representative | Mar 2017 (9y) | ||
| Richard Thomas Cook | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Richard Thomas Mccabe | Registered representative | Mar 2017 (9y) | ||
| Richard Toni | Registered representative | Mar 2017 (9y) | ||
| Ricky Dale Garner | Registered representative | Mar 2017 (9y) | ||
| Ricky Van Zachry | Registered representative | Mar 2017 (9y) | ||
| Rita Shihping Lee Yeh | Registered representative | Mar 2017 (9y) | ||
| Ritia Dawn Brown | Registered representative | Mar 2017 (9y) | ||
| Robert Allen Kershner | Registered representative | Mar 2017 (9y) | ||
| Robert Anthony Schaefer | Registered representative | Mar 2017 (9y) | ||
| Robert Arthur Newman | Registered representative | Mar 2017 (9y) | ||
| Robert C Mcmaster | Registered representative | Mar 2017 (9y) | ||
| Robert Charles Virden | Registered representative | Mar 2017 (9y) | ||
| Robert Clayton Burns | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Robert David Muri | Registered representative | Mar 2017 (9y) | ||
| Robert Errichetti | Registered representative | Mar 2017 (9y) | ||
| Robert Eugene Brune | Registered representative | Mar 2017 (9y) | ||
| Robert Francis Mcnichol | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Robert Joseph Hagenberg | Registered representative | Mar 2017 (9y) | ||
| Robert Joseph Mullin | Registered representative | Mar 2017 (9y) | ||
| Robert Joseph Mullin | Registered representative | Mar 2017 (9y) | ||
| Robert Joseph Tuschinski | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Robert Kaltman Descherer | Registered representative | Mar 2017 (9y) | ||
| Robert Lee Davis | Registered representative | Mar 2017 (9y) | ||
| Robert Lester Porack | Registered representative | Mar 2017 (9y) | ||
| Robert Louis Azzollini | Registered representative | Mar 2017 (9y) | ||
| Robert M Marasheski | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Robert Manning Boyles | Registered representative | Mar 2017 (9y) | ||
| Robert Matthew Hellwig | Registered representative | Mar 2017 (9y) | ||
| Robert Michael Lembo | Registered representative | Mar 2017 (9y) | ||
| Robert Norman Adams | Registered representative | CFP | Mar 2017 (9y) | |
| Robert Roy Snider | Registered representative | Mar 2017 (9y) | ||
| Robert Samuel Berman | Registered representative | Mar 2017 (9y) | ||
| Robert Thomas Buckley | Registered representative | Mar 2017 (9y) | ||
| Robert Vincent Zabrocki | Registered representative | Mar 2017 (9y) | ||
| Robert W Davidge | Registered representative | Mar 2017 (9y) | ||
| Robert Wells Lucke | Registered representative | Mar 2017 (9y) | ||
| Robin Price | Registered representative | Mar 2017 (9y) | ||
| Rodney Lawrence Boylan | Registered representative | Mar 2017 (9y) | ||
| Roger Lane Webster | Registered representative | Mar 2017 (9y) | ||
| Roland John Sample | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Ronald Clemente Davis | Registered representative | Mar 2017 (9y) | ||
| Ronald David Rubin | Registered representative | Mar 2017 (9y) | ||
| Ronald Howard Carr | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Ronald Lee Koehler | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Ronald Paul Kashmanian | Registered representative | Mar 2017 (9y) | ||
| Rory D Lea | Registered representative | Mar 2017 (9y) | ||
| Roya Anise Dolezal Moltaji | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Rugmini Padmakumar | Registered representative | Mar 2017 (9y) | ||
| Russel Singer | Registered representative | Mar 2017 (9y) | ||
| Russell Gary Demarest | Registered representative | Mar 2017 (9y) | ||
| Russell Lee Clousing | Registered representative | Mar 2017 (9y) | ||
| Russell Wayne Vandersteeg | Registered representative | Mar 2017 (9y) | ||
| Ryan Gregory Solma | Registered representative | Mar 2017 (9y) | ||
| Ryan Scott Galloway | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Robert Lauren Johnson | Registered representative | Mar 2017 (9y) | ||
| Sabra G Donovan | Registered representative | Mar 2017 (9y) | ||
| Sailesh Hiralal Shah | Registered representative | Mar 2017 (9y) | ||
| Sajal Shrestha | Registered representative | CFP | Mar 2017 (9y) | |
| Sal Martin Sanchez | Registered representative | Mar 2017 (9y) | ||
| Salina Chorsai Lo | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Salvatore Francis Dileo | Registered representative | CFP | Mar 2017 (9y) | |
| Samuel Efren Chavarria | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Samuel Hawks Goodhue | Registered representative | Mar 2017 (9y) | ||
| Sarah Ashlyn Clark | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Schuyler Colfax Woodhull | Registered representative | Mar 2017 (9y) | ||
| Scott Alan Geer | Registered representative | Mar 2017 (9y) | ||
| Scott Alan Plathe | Registered representative | Mar 2017 (9y) | ||
| Scott Anderson Trammell | Registered representative | CFP | Mar 2017 (9y) | |
| Scott C. Lingrell | Registered representative | Mar 2017 (9y) | ||
| Scott Dana Gordon Macey | Registered representative | CFP | Mar 2017 (9y) | |
| Scott Edward Shoemaker | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Scott Eric Violette | Registered representative | Mar 2017 (9y) | ||
| Scott Ira Lissansky | Registered representative | Mar 2017 (9y) | ||
| Scott Joseph Wheeler | Registered representative | Mar 2017 (9y) | ||
| Scott M Panza | Registered representative | Mar 2017 (9y) | ||
| Scott Peter Barker | Registered representative | Mar 2017 (9y) | ||
| Scott Roger Martin | Registered representative | Mar 2017 (9y) | ||
| Scott Roland Werner | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Sean Francis Tucker | Registered representative | Mar 2017 (9y) | ||
| Sean Michael Donlan | Registered representative | Mar 2017 (9y) | ||
| Sean S Cooper | Registered representative | Mar 2017 (9y) | ||
| Sean Warner | Registered representative | Mar 2017 (9y) | ||
| Sergey Grigorevich Solovyev | Registered representative | Mar 2017 (9y) | ||
| Seung Y Cho | Registered representative | CFP | Mar 2017 (9y) | |
| Seung Chul Kang | Registered representative | Mar 2017 (9y) | ||
| Shane Daniel Gornik | Registered representative | Mar 2017 (9y) | ||
| Shane Elliott Larson | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Shane Joseph Duhe | Registered representative | Mar 2017 (9y) | ||
| Shannon A Thompson | Registered representative | Mar 2017 (9y) | ||
| Sharon Lee Mckenna | Registered representative | Mar 2017 (9y) | ||
| Sharon Lynn Daly | Registered representative | Mar 2017 (9y) | ||
| Shawn Ernest Wermerskirchen | Registered representative | Mar 2017 (9y) | ||
| Stanley Edward Minka | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Stefani Scott Price | Registered representative | Mar 2017 (9y) | ||
| Stephan Peter Dipierno | Registered representative | Mar 2017 (9y) | ||
| Stephanie Demuesy | Registered representative | Mar 2017 (9y) | ||
| Stephanie Rinschler Trentowski | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Stephanie Simone Brandon | Registered representative | Mar 2017 (9y) | ||
| Stephen Andrew Cassidy | Registered representative | Mar 2017 (9y) | ||
| Stephen Charles Brody | Registered representative | Mar 2017 (9y) | ||
| Stephen Francis Izzi | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Stephen Hendrick Hodson | Registered representative | Mar 2017 (9y) | ||
| Stephen J Demchyk | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Stephen Kent Stemple | Registered representative | Mar 2017 (9y) | ||
| Stephen Lynn Baker | Registered representative | Mar 2017 (9y) | ||
| Stephen Michael Siderewicz | Registered representative | Mar 2017 (9y) | ||
| Stephen Sheehan Mcguirk | Registered representative | Mar 2017 (9y) | ||
| Stephen Thomas Graham | Registered representative | Mar 2017 (9y) | ||
| Stephen Wendell Bryars | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Steve Anthony Janvier | Registered representative | Mar 2017 (9y) | ||
| Steven B Campbell | Registered representative | Mar 2017 (9y) | ||
| Steven Craig Whitecar | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Steven Johnson | Registered representative | Mar 2017 (9y) | ||
| Steven Matthew Kaplan | Registered representative | Mar 2017 (9y) | ||
| Steven Michael Lustig | Registered representative | Mar 2017 (9y) | ||
| Steven Robert Dolzani | Registered representative | Mar 2017 (9y) | ||
| Steven Samuel | Registered representative | Mar 2017 (9y) | ||
| Steven Sevits | Registered representative | Mar 2017 (9y) | ||
| Sung Gun Park | Registered representative | Mar 2017 (9y) | ||
| Sunil Prem Nagpal | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Susan A Murphy Reid | Registered representative | Mar 2017 (9y) | ||
| Susan Andrea Myers | Registered representative | CFP | Mar 2017 (9y) | |
| Susan Kay Sparr | Registered representative | CFP | Mar 2017 (9y) | |
| Susan Maginn Christ | Registered representative | Mar 2017 (9y) | ||
| Susan Weidner Cooke | Registered representative | Mar 2017 (9y) | ||
| Suzannah Katrine Gusukuma | Registered representative | Mar 2017 (9y) | ||
| Steven Tanner Broll | Registered representative | Mar 2017 (9y) | ||
| Tac Nhit Tang | Registered representative | Mar 2017 (9y) | ||
| Taechan Yang | Registered representative | Mar 2017 (9y) | ||
| Tamal Majumdar | Registered representative | Mar 2017 (9y) | ||
| Tammy Kerner | Registered representative | Mar 2017 (9y) | ||
| Tera Susan Wiggins | Registered representative | Mar 2017 (9y) | ||
| Terence William Hunady | Registered representative | Mar 2017 (9y) | ||
| Terrence Sean Carey | Registered representative | Mar 2017 (9y) | ||
| Terry Michael Hartnett | Registered representative | Mar 2017 (9y) | ||
| Thelma Charlotte Ruff | Registered representative | Mar 2017 (9y) | ||
| Thomas Alexander Westmoreland | Registered representative | Mar 2017 (9y) | ||
| Thomas Allan Mcnichol | Registered representative | Mar 2017 (9y) | ||
| Thomas Anthony Gallagher | Registered representative | Mar 2017 (9y) | ||
| Thomas C. Madison | Registered representative | Mar 2017 (9y) | ||
| Thomas Charles Quay | Registered representative | Mar 2017 (9y) | ||
| Thomas Cornfield | Registered representative | Mar 2017 (9y) | ||
| Thomas Damian Mckenzie | Registered representative | Mar 2017 (9y) | ||
| Thomas Daniel Reehorst | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Thomas Eugene Walsh | Registered representative | Mar 2017 (9y) | ||
| Thomas Francis Gallagher | Registered representative | Mar 2017 (9y) | ||
| Thomas George Bongiorno | Registered representative | Mar 2017 (9y) | ||
| Thomas Jason Austell | Registered representative | Mar 2017 (9y) | ||
| Thomas Jay Julian | Registered representative | Mar 2017 (9y) | ||
| Thomas John Trea | Registered representative | Mar 2017 (9y) | ||
| Thomas John Wieczerak | Registered representative | Mar 2017 (9y) | ||
| Thomas Joseph Bottone | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Thomas Joseph Marney | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Thomas Lucia | Registered representative | Mar 2017 (9y) | ||
| Thomas Michael Hadican | Registered representative | Mar 2017 (9y) | ||
| Thomas William Klamo | Registered representative | Mar 2017 (9y) | ||
| Tillman Pugh | Registered representative | Mar 2017 (9y) | ||
| Tim Edward Cornelius | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Timothy Andrew Ferrell | Registered representative | Mar 2017 (9y) | ||
| Timothy David Tanner | Registered representative | Mar 2017 (9y) | ||
| Timothy James Mcnamara | Registered representative | Mar 2017 (9y) | ||
| Timothy Keith Walker | Registered representative | Mar 2017 (9y) | ||
| Timothy Scott Conti | Registered representative | Mar 2017 (9y) | ||
| Timothy Thomas Irvine | Registered representative | Mar 2017 (9y) | ||
| Todd John Hietpas | Registered representative | Mar 2017 (9y) | ||
| Todd Wayne Lockhart | Registered representative | Mar 2017 (9y) | ||
| Tracy Martin Pick | Registered representative | Mar 2017 (9y) | ||
| Tracy Neil Sledd | Registered representative | Mar 2017 (9y) | ||
| Travis A Cloud | Registered representative | Mar 2017 (9y) | ||
| Trent Michael Fetters | Registered representative | Mar 2017 (9y) | ||
| Trent Michael Leupold | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Troy David Bergeron | Registered representative | Mar 2017 (9y) | ||
| Ty Victor Lee | Registered representative | Mar 2017 (9y) | ||
| Timothy J Loeffler | Registered representative | CFP | Mar 2017 (9y) | |
| Valerie Elizabeth Bevan | Registered representative | Mar 2017 (9y) | ||
| Vasilios Savas Haralambous | Registered representative | Mar 2017 (9y) | ||
| Veikko Antero Vasara | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Vicky Lynn Deshazier | Registered representative | Mar 2017 (9y) | ||
| Victor A Dillard | Registered representative | Mar 2017 (9y) | ||
| Victor Christopher Garra | Registered representative | Mar 2017 (9y) | ||
| Victor Lee | Registered representative | CFP | Mar 2017 (9y) | |
| Victoria Lynn Thomas | Registered representative | Mar 2017 (9y) | ||
| Vikram Keshavlal Sheth | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Vincent John Jule | Registered representative | Mar 2017 (9y) | ||
| Vincent Jude Saul | Registered representative | Mar 2017 (9y) | ||
| Vincent Michael Tagliaferri | Registered representative | Mar 2017 (9y) | ||
| Vincent Pace | Registered representative | Mar 2017 (9y) | ||
| Vincent Paul Durso | Registered representative | Mar 2017 (9y) | ||
| Vinton Mclaughlin | Registered representative | Mar 2017 (9y) | ||
| Wade D Ullsperger | Registered representative | Mar 2017 (9y) | ||
| Walter Alan Clark | Registered representative | Mar 2017 (9y) | ||
| Walter David Jezak Jr | Registered representative | Mar 2017 (9y) | ||
| Walter J Timby | Registered representative | Mar 2017 (9y) | ||
| Walter King Corbett | Registered representative | Mar 2017 (9y) | ||
| Walter Richard May | Registered representative | Mar 2017 (9y) | ||
| Wayne Frederick Slattery | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| Weiping Chen | Registered representative | CFP | Mar 2017 (9y) | |
| William Andrew Stanik | Registered representative | Mar 2017 (9y) | ||
| William B Edwards | Registered representative | Mar 2017 (9y) | ||
| William Benjamin Fischer | Registered representative | CFP | Mar 2017 (9y) | |
| William D Tsoulos | Registered representative | Mar 2017 (9y) | ||
| William Donaldson Root | Registered representative | Mar 2017 (9y) | ||
| William Edward Mcintosh | Registered representative | Mar 2017 (9y) | ||
| William Francis Campbell | Registered representative | Mar 2017 (9y) | ||
| William Hardin Bundrant | Registered representative | Mar 2017 (9y) | ||
| William Harry Haak | Registered representative | Mar 2017 (9y) | ||
| William J. Lacy | Registered representative | Mar 2017 (9y) | ||
| William Jay Sanders | Registered representative | Mar 2017 (9y) | ||
| William Joseph Egan | Registered representative | CFP | Mar 2017 (9y) | |
| William Joseph Sloan | Registered representative | Mar 2017 (9y) | ||
| William Keith Dorr | Registered representative | Mar 2017 (9y) | ||
| William Michael Dicristofaro | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| William Neil Cummins | Registered representative | Mar 2017 (9y) | ||
| William Owens Ahonen | Registered representative | Mar 2017 (9y) | ||
| William Raymond Stinger | Registered representative | Chartered Financial Consultant | Mar 2017 (9y) | |
| William Thomas Smith | Registered representative | Mar 2017 (9y) | ||
| Warren Dean Cates | Registered representative | Mar 2017 (9y) | ||
| Yara Michele Mojena | Registered representative | CFP | Mar 2017 (9y) | |
| Yi Qin | Registered representative | Mar 2017 (9y) | ||
| Yong Bum Kim | Registered representative | Mar 2017 (9y) | ||
| Yoon Yong Lim | Registered representative | Mar 2017 (9y) | ||
| Youngwoo Kwak | Registered representative | Mar 2017 (9y) | ||
| Yousef Jaffer Surmawala | Registered representative | Mar 2017 (9y) | ||
| Yung Ki Moon | Registered representative | Mar 2017 (9y) | ||
| Zachary Dugas | Registered representative | Mar 2017 (9y) | ||
| Zachary Plager Mulford | Registered representative | CFP Chartered Financial Consultant | Mar 2017 (9y) | |
| Cooper Dean Hanning | Registered representative | Mar 2017 (9y) | ||
| Jonathan Christopher Leonard | Registered representative | CFP | Mar 2017 (9y) | |
| Matthew Steven Schade | Registered representative | Mar 2017 (9y) | ||
| Raymond Lee Wickham | Registered representative | Mar 2017 (9y) | ||
| Scott E. Dubin | Registered representative | Apr 2017 (9y) | ||
| Lucas D Craig | Registered representative | Apr 2017 (9y) | ||
| Rachel Menge Partin | Registered representative | Apr 2017 (9y) | ||
| Xochil Ariela Rivera | Registered representative | Apr 2017 (9y) | ||
| Todd Hunter Parker | Registered representative | Apr 2017 (9y) | ||
| Austin Krutzsch | Registered representative | Apr 2017 (9y) | ||
| Jason Adam Klein | Registered representative | Apr 2017 (9y) | ||
| Michael Scott Luftman | Registered representative | Chartered Financial Consultant | Apr 2017 (9y) | |
| Stephen Mark Cohen | Registered representative | Apr 2017 (9y) | ||
| Paul Matthew Diduro | Registered representative | Apr 2017 (9y) | ||
| Robert Leonard Walls | Registered representative | Apr 2017 (9y) | ||
| Gabriel Benedict Micca | Registered representative | Apr 2017 (9y) | ||
| David Christopher Leali | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Chandler Gagnon | Registered representative | May 2017 (9y) | ||
| Denise Miriam Abi Fadel | Registered representative | CFP | May 2017 (9y) | |
| Gregory Large | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Ben Sarsozo | Registered representative | May 2017 (9y) | ||
| Daniel H Mckeever | Registered representative | May 2017 (9y) | ||
| Joseph Parker Davies | Registered representative | CFP | May 2017 (9y) | |
| Andrea Leigh Wiegand | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Anita Chan Ong | Registered representative | May 2017 (9y) | ||
| Bharat Didwania | Registered representative | CFP | May 2017 (9y) | |
| Corey Robert Miller | Registered representative | May 2017 (9y) | ||
| David Edward Mahler | Registered representative | May 2017 (9y) | ||
| Edward Kenneth Kovac | Registered representative | May 2017 (9y) | ||
| Felix Malitsky | Registered representative | May 2017 (9y) | ||
| Frank Neal Youdelman | Registered representative | May 2017 (9y) | ||
| Gregory Sean Clague | Registered representative | May 2017 (9y) | ||
| Jonathan Dean Mabb | Registered representative | May 2017 (9y) | ||
| Michael Hanna | Registered representative | CFP | May 2017 (9y) | |
| Michael Werfel | Registered representative | May 2017 (9y) | ||
| Robert Joseph Sturges | Registered representative | May 2017 (9y) | ||
| Steven Gary Newman | Registered representative | May 2017 (9y) | ||
| Sunnie Park Lee | Registered representative | May 2017 (9y) | ||
| William J Castagna | Registered representative | May 2017 (9y) | ||
| Daniel Michael Smith | Registered representative | May 2017 (9y) | ||
| Edward M Tunmore | Registered representative | May 2017 (9y) | ||
| Louis C Tabone | Registered representative | May 2017 (9y) | ||
| Nathan Allen Way | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Terrence Gerard Sprow | Registered representative | May 2017 (9y) | ||
| George Joseph | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Diane Stuart | Registered representative | May 2017 (9y) | ||
| Eric Harlan Bryson | Registered representative | May 2017 (9y) | ||
| Richard Eugene Cote | Registered representative | May 2017 (9y) | ||
| Tahir Mahmood Jaffri | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Luz Nancy Giraldo | Registered representative | May 2017 (9y) | ||
| William Alan Edelson | Registered representative | CFP Chartered Financial Consultant | Jun 2017 (9y) | |
| Christopher Michael Derham | Registered representative | Jun 2017 (9y) | ||
| Daniel Grant Mccarthy | Registered representative | Chartered Financial Consultant | Jun 2017 (9y) | |
| Nicholle M Overkamp | Registered representative | Jun 2017 (9y) | ||
| Sarah Nicole Blankenship | Registered representative | Jun 2017 (9y) | ||
| Alan Lee Silverman | Registered representative | CFP Chartered Financial Consultant | Jun 2017 (9y) | |
| James Stephen Wolfson | Registered representative | CFP | Jun 2017 (9y) | |
| Randall Clark Zinn | Registered representative | Jun 2017 (9y) | ||
| Daniel Robert Lamego | Registered representative | Jun 2017 (9y) | ||
| William Joseph Babicke | Registered representative | Jun 2017 (9y) | ||
| Michael John Perisho | Registered representative | Jun 2017 (9y) | ||
| Russell Earl Holmes | Registered representative | CFP | Jun 2017 (9y) | |
| Michael Wayne Sumi | Registered representative | Jun 2017 (9y) | ||
| Alfred Thomas Santosuosso | Registered representative | CFP | Jun 2017 (9y) | |
| David Gerhard Kopittke | Registered representative | CFP | Jun 2017 (9y) | |
| John William Haas | Registered representative | Jun 2017 (9y) | ||
| Thomas Joseph Henske | Registered representative | CFP Chartered Financial Consultant | Jun 2017 (9y) | |
| Jordan Cowley Jones | Registered representative | Jul 2017 (9y) | ||
| Gaston De La Torre | Registered representative | Jul 2017 (9y) | ||
| Thomas Joseph Holt | Registered representative | CFP | Jul 2017 (9y) | |
| Edward Costigan Jordan | Registered representative | Jul 2017 (9y) | ||
| Justin J Slattery | Registered representative | Jul 2017 (9y) | ||
| Stephen S. Gons | Registered representative | Jul 2017 (9y) | ||
| Hansen Lowell Seitz | Registered representative | Jul 2017 (9y) | ||
| Thomas Di Fiore | Registered representative | Jul 2017 (9y) | ||
| Randall James Murphy | Registered representative | Jul 2017 (9y) | ||
| Steven Don Garber | Registered representative | Jul 2017 (9y) | ||
| Ajdin Jakub Dropic | Registered representative | Jul 2017 (9y) | ||
| Ryan Sean Taylor | Registered representative | Jul 2017 (9y) | ||
| Philip Anthony Miceli | Registered representative | Jul 2017 (9y) | ||
| Chase Alexander Skistimas | Registered representative | Jul 2017 (9y) | ||
| Brian Lee Mawhinney | Registered representative | Jul 2017 (9y) | ||
| Hank Yeh Wang | Registered representative | Jul 2017 (9y) | ||
| Brian Joseph Holden | Registered representative | Jul 2017 (9y) | ||
| Shane Matthew Edwards | Registered representative | Jul 2017 (9y) | ||
| John Sikaras | Registered representative | Aug 2017 (9y) | ||
| Patricia Anne Martinez | Registered representative | Aug 2017 (9y) | ||
| Michael Hartsough | Registered representative | Aug 2017 (9y) | ||
| Vincenzo Pietro Garganese | Registered representative | Aug 2017 (9y) | ||
| Paul Joseph Salerno | Registered representative | Aug 2017 (9y) | ||
| David Brandon Cooil | Registered representative | Aug 2017 (9y) | ||
| Christopher Raddie | Registered representative | Chartered Financial Consultant | Aug 2017 (9y) | |
| Diana Kokhan | Registered representative | CFP Chartered Financial Consultant | Aug 2017 (9y) | |
| Patrick Jay Underwood | Registered representative | Aug 2017 (9y) | ||
| Brad Alan Berkowitz | Registered representative | Aug 2017 (9y) | ||
| Michelle Valante Beausejour | Registered representative | Aug 2017 (9y) | ||
| Christa Marie Sharkey | Registered representative | Aug 2017 (9y) | ||
| Thomas Michael Cataldo | Registered representative | Aug 2017 (9y) | ||
| Dennis Doyle Hamilton | Registered representative | Aug 2017 (9y) | ||
| Dustin Anthony Soflin | Registered representative | Aug 2017 (9y) | ||
| David Andrew Samuelsen | Registered representative | CFP | Aug 2017 (9y) | |
| Nicole Elizabeth Santos | Registered representative | Aug 2017 (9y) | ||
| Jonathan Paul Matrullo | Registered representative | Sep 2017 (9y) | ||
| Andrew Hyun | Registered representative | Sep 2017 (9y) | ||
| Thomas Edward Shaughnessy | Registered representative | Sep 2017 (9y) | ||
| Trenton L Geringer | Registered representative | Sep 2017 (9y) | ||
| Jules Andrew Klose | Registered representative | CFP | Sep 2017 (9y) | |
| Eric Karlik | Registered representative | Sep 2017 (9y) | ||
| Gregory Dain Hancock | Registered representative | Sep 2017 (9y) | ||
| Joseph James Haman | Registered representative | Sep 2017 (9y) | ||
| Olanrewaju Segun Oladipo | Registered representative | Sep 2017 (9y) | ||
| Nicholas John Fowler | Registered representative | Sep 2017 (9y) | ||
| Louis Bryan Hoffman | Registered representative | Sep 2017 (9y) | ||
| Trisha Sue Tetzlaff | Registered representative | Sep 2017 (9y) | ||
| Jason Ari Feldman | Registered representative | CFP Chartered Financial Consultant | Oct 2017 (9y) | |
| Robert Allan Glycenfer | Registered representative | Oct 2017 (9y) | ||
| Jason Ernest Luck | Registered representative | Oct 2017 (9y) | ||
| Laura Juliana Rodriguez Sabogal | Registered representative | CFP | Oct 2017 (9y) | |
| Robert Michael Heller | Registered representative | Oct 2017 (9y) | ||
| Andrew Coe Cleary | Registered representative | CFP | Oct 2017 (9y) | |
| Maria Popa | Registered representative | Oct 2017 (9y) | ||
| Matthew Charles Hoger | Registered representative | Oct 2017 (9y) | ||
| Sam Irby Jordan | Registered representative | Oct 2017 (9y) | ||
| Frank T Scalese | Registered representative | Oct 2017 (9y) | ||
| James Ryan | Registered representative | Oct 2017 (9y) | ||
| Bryce James Smetana | Registered representative | Oct 2017 (9y) | ||
| Carol Hakemian Felt | Registered representative | Oct 2017 (9y) | ||
| Charles Emerson | Registered representative | CFP Chartered Financial Consultant | Oct 2017 (9y) | |
| Christopher James Acheson | Registered representative | Oct 2017 (9y) | ||
| David Paul Walta | Registered representative | Nov 2017 (9y) | ||
| Sarah Isabelle Scruggs Reddell | Registered representative | Nov 2017 (9y) | ||
| Mark Biagio Martone | Registered representative | Nov 2017 (9y) | ||
| Kristina Maria Bergman | Registered representative | Nov 2017 (9y) | ||
| Patrick D Crowley | Registered representative | Nov 2017 (9y) | ||
| Daniel M St. Jean | Registered representative | Nov 2017 (9y) | ||
| Barrett Jones | Registered representative | Nov 2017 (9y) | ||
| Matthew William Potter | Registered representative | Nov 2017 (9y) | ||
| Philip Dominic Rogero | Registered representative | Nov 2017 (9y) | ||
| Jarad Thomas Plummer | Registered representative | Nov 2017 (9y) | ||
| David Scott Sourber | Registered representative | Nov 2017 (9y) | ||
| Aaron M Odom | Registered representative | CFP Chartered Financial Consultant | Nov 2017 (9y) | |
| Timothy David O'connell | Registered representative | CFP | Nov 2017 (9y) | |
| Jeffrey Arthur Smith | Registered representative | Dec 2017 (9y) | ||
| Gary Peter Conicella | Registered representative | Dec 2017 (9y) | ||
| David E Maas | Registered representative | Dec 2017 (9y) | ||
| Douglas A Shannon | Registered representative | CFP Chartered Financial Consultant | Dec 2017 (9y) | |
| Graham Scott Shullman | Registered representative | Jan 2018 (9y) | ||
| James Roy Ibach | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| April Lynn Romero | Registered representative | Jan 2018 (9y) | ||
| Derek John Pierce | Registered representative | Jan 2018 (9y) | ||
| Lauren Feigelman Colon | Registered representative | Chartered Financial Consultant | Jan 2018 (9y) | |
| Nino Vincenzo Luciano | Registered representative | Jan 2018 (9y) | ||
| Vincent Ely Colon | Registered representative | CFP | Jan 2018 (9y) | |
| Danielle Robertson | Registered representative | Jan 2018 (9y) | ||
| Michael Burl Everritt | Registered representative | Jan 2018 (9y) | ||
| Dennis C Hou | Registered representative | Jan 2018 (9y) | ||
| Joseph William Schreck | Registered representative | Jan 2018 (9y) | ||
| James C Fitze | Registered representative | Jan 2018 (9y) | ||
| Brian Arthur Fenn | Registered representative | Jan 2018 (9y) | ||
| Eric Graupensperger | Registered representative | Jan 2018 (9y) | ||
| Frederick B Denitz | Registered representative | Chartered Financial Consultant | Feb 2018 (9y) | |
| Fredric Robert Horowitz | Registered representative | Feb 2018 (9y) | ||
| Karl Johanson | Registered representative | Chartered Financial Consultant | Feb 2018 (9y) | |
| Robert Walter Shangraw | Registered representative | Chartered Financial Consultant | Feb 2018 (9y) | |
| Michael J Perinelli | Registered representative | Feb 2018 (8y) | ||
| Michael Il Yoon | Registered representative | CFP | Feb 2018 (8y) | |
| Eugene A Peysakh | Registered representative | Feb 2018 (8y) | ||
| Ryan James Wright | Registered representative | CFP | Feb 2018 (8y) | |
| Colin Walsh Kimpel | Registered representative | Feb 2018 (8y) | ||
| Paula Concetta Brancato | Registered representative | CFP | Feb 2018 (8y) | |
| Paxton Jordan Smith | Registered representative | CFP Chartered Financial Consultant | Feb 2018 (8y) | |
| Eugene Inchang Song | Registered representative | Feb 2018 (8y) | ||
| Logan Harding Killpack | Registered representative | Feb 2018 (8y) | ||
| Susan Anne Knox | Registered representative | Feb 2018 (8y) | ||
| Christopher M. Otten | Registered representative | Feb 2018 (8y) | ||
| Carlos Javier La Verde | Registered representative | Feb 2018 (8y) | ||
| Eric Wells Sharpe | Registered representative | Feb 2018 (8y) | ||
| Joseph Cornelius Godsey | Registered representative | CFP CFA | Feb 2018 (8y) | |
| Laurinda Rodrigues Ferreira | Registered representative | Feb 2018 (8y) | ||
| Robert Brito | Registered representative | Feb 2018 (8y) | ||
| Shey Thomas Stegall | Registered representative | Feb 2018 (8y) | ||
| Kelly Erwin Hejtmancik | Registered representative | Feb 2018 (8y) | ||
| Brent Harrison Sheppard | Registered representative | Mar 2018 (8y) | ||
| William Clement Franko | Registered representative | Mar 2018 (8y) | ||
| Alexander Craig Mitchum | Registered representative | Mar 2018 (8y) | ||
| Ronnie King | Registered representative | Mar 2018 (8y) | ||
| Samuel William Di Gaetano | Registered representative | Mar 2018 (8y) | ||
| Kyle C Ortmann | Registered representative | Mar 2018 (8y) | ||
| Lincoln G Miller | Registered representative | Mar 2018 (8y) | ||
| Lynne H Murray | Registered representative | Chartered Financial Consultant | Mar 2018 (8y) | |
| Ronald Lewis Millar | Registered representative | Mar 2018 (8y) | ||
| Jerry Joe Horton | Registered representative | Apr 2018 (8y) | ||
| Sang Gao | Registered representative | Apr 2018 (8y) | ||
| Joseph Nevin Croshaw | Registered representative | Apr 2018 (8y) | ||
| William Stephens Koster | Registered representative | CFP | Apr 2018 (8y) | |
| Kenneth J. Speroni | Registered representative | Apr 2018 (8y) | ||
| Steven A Cohen | Registered representative | Apr 2018 (8y) | ||
| Tara Nicole Eulenfeld | Registered representative | Apr 2018 (8y) | ||
| Jason T Cabot | Registered representative | Apr 2018 (8y) | ||
| Richard George Meier | Registered representative | Apr 2018 (8y) | ||
| Jessica Gabrielle Tarantino | Registered representative | May 2018 (8y) | ||
| Robert A Anderson | Registered representative | Chartered Financial Consultant | May 2018 (8y) | |
| James Homer Moore | Registered representative | CFP | May 2018 (8y) | |
| Jonathan Michael Constant | Registered representative | May 2018 (8y) | ||
| Shana Marie Parrish Despres | Registered representative | May 2018 (8y) | ||
| Garrett Matthew East | Registered representative | CFP | May 2018 (8y) | |
| Brian Michael Barron | Registered representative | May 2018 (8y) | ||
| Jonathan Jordan Lyphout | Registered representative | May 2018 (8y) | ||
| Richard Ashley Hamilton | Registered representative | CFP Chartered Financial Consultant | May 2018 (8y) | |
| Angelo V Carcioppolo | Registered representative | CFP Chartered Financial Consultant | May 2018 (8y) | |
| Alondra Azurmendi | Registered representative | May 2018 (8y) | ||
| Trevor Ryan Mc Nulty | Registered representative | May 2018 (8y) | ||
| Bryce Robert Schafer | Registered representative | May 2018 (8y) | ||
| Jonathan Davis | Registered representative | CFP | Jun 2018 (8y) | |
| Shane Kenneth Mulligan | Registered representative | Chartered Financial Consultant | Jun 2018 (8y) | |
| Michael Andrew Gilliland | Registered representative | Jun 2018 (8y) | ||
| Craig Drisko Worcester | Registered representative | Jun 2018 (8y) | ||
| Matthew Michael Stranix | Registered representative | CFP | Jun 2018 (8y) | |
| Robert K Raposa | Registered representative | Jun 2018 (8y) | ||
| Gregory Scott Lippert | Registered representative | CFP | Jun 2018 (8y) | |
| Michael James Weaverling | Registered representative | Jun 2018 (8y) | ||
| Philip Blum | Registered representative | Jul 2018 (8y) | ||
| Tiffany E Delisi | Registered representative | Jul 2018 (8y) | ||
| Jeremy Richard Fager | Registered representative | Jul 2018 (8y) | ||
| Thomas John Brudzinski | Registered representative | Jul 2018 (8y) | ||
| Thomas M Melfi | Registered representative | Jul 2018 (8y) | ||
| Jeffrey Steven Chipper | Registered representative | Jul 2018 (8y) | ||
| Debby P Pan | Registered representative | Jul 2018 (8y) | ||
| Benjamin Patrick Mitchell | Registered representative | Jul 2018 (8y) | ||
| Ross A Burke | Registered representative | Aug 2018 (8y) | ||
| Brett Thomas Meredith | Registered representative | CFP | Aug 2018 (8y) | |
| Chad Clinton Boudreau | Registered representative | Aug 2018 (8y) | ||
| Samuel Christie | Registered representative | Aug 2018 (8y) | ||
| Michael Prokop | Registered representative | Aug 2018 (8y) | ||
| Douglas Michael Osborne | Registered representative | Chartered Financial Consultant | Aug 2018 (8y) | |
| Margaret M Ehrhart | Registered representative | Aug 2018 (8y) | ||
| Zikun Cai | Registered representative | Aug 2018 (8y) | ||
| Guangzhi Zhai | Registered representative | CFP | Aug 2018 (8y) | |
| Zachary Wojtowicz | Registered representative | CFP Chartered Financial Consultant | Aug 2018 (8y) | |
| Christopher Michael Lewis | Registered representative | CFP | Aug 2018 (8y) | |
| Seth William Smith | Registered representative | Aug 2018 (8y) | ||
| Akeem Marak Prosser | Registered representative | Aug 2018 (8y) | ||
| Earl Avery Stallings | Registered representative | Aug 2018 (8y) | ||
| Gerald Daniel. Rasmus | Registered representative | Aug 2018 (8y) | ||
| Nathan Lee Price | Registered representative | Aug 2018 (8y) | ||
| Ashleigh Fruge' Angelle | Registered representative | Sep 2018 (8y) | ||
| Adam C Taylor | Registered representative | Chartered Financial Consultant | Sep 2018 (8y) | |
| Peter William England | Registered representative | Sep 2018 (8y) | ||
| Alex Lane Vasichek | Registered representative | Sep 2018 (8y) | ||
| Michael Oneal Sharpton | Registered representative | CFP | Sep 2018 (8y) | |
| Leslie J Pettinelli | Registered representative | Sep 2018 (8y) | ||
| Lucas Jon Noble | Registered representative | CFP Chartered Financial Consultant | Sep 2018 (8y) | |
| Scott Laurence Greenfield | Registered representative | Sep 2018 (8y) | ||
| Bryan Wittenbraker | Registered representative | Sep 2018 (8y) | ||
| Jarrod C Desantis | Registered representative | Sep 2018 (8y) | ||
| Dirk Kuehler | Registered representative | CFP | Sep 2018 (8y) | |
| Matthew Joseph Higgins | Registered representative | Sep 2018 (8y) | ||
| Diane Toyama Thomas | Registered representative | Sep 2018 (8y) | ||
| Jason Theodore Robinson | Registered representative | CFP Chartered Financial Consultant | Sep 2018 (8y) | |
| Matthew Ian Hecker | Registered representative | Sep 2018 (8y) | ||
| Stefan E Greenberg | Registered representative | CFP | Sep 2018 (8y) | |
| Jason O Champion | Registered representative | Oct 2018 (8y) | ||
| Brian Mc Cullough | Registered representative | Oct 2018 (8y) | ||
| Marcus Darweshi Turner | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| Chad M Tourin | Registered representative | CFP | Oct 2018 (8y) | |
| Craig A Grayson | Registered representative | Oct 2018 (8y) | ||
| Maribeth Scott | Registered representative | Oct 2018 (8y) | ||
| Matthew Anthony Delpriore | Registered representative | CFP | Oct 2018 (8y) | |
| Thomas James Kunkle | Registered representative | Oct 2018 (8y) | ||
| Jeremy David Mandel | Registered representative | Oct 2018 (8y) | ||
| Martin Daniel Ferraro | Registered representative | CFP | Oct 2018 (8y) | |
| Thomas Scott Knowlton | Registered representative | Oct 2018 (8y) | ||
| Brandon Royce Martin | Registered representative | Oct 2018 (8y) | ||
| Eric Lee Nash | Registered representative | Oct 2018 (8y) | ||
| John Charles Hill | Registered representative | Oct 2018 (8y) | ||
| Patrick Albert Kramer | Registered representative | Oct 2018 (8y) | ||
| Jeremy A Cook | Registered representative | Nov 2018 (8y) | ||
| James I Grier | Registered representative | Nov 2018 (8y) | ||
| Sarah Laurene Santeufemio | Registered representative | CFP | Nov 2018 (8y) | |
| Maria Del Carmen Maisonet Gonzalez | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Andrew J Riley | Registered representative | Nov 2018 (8y) | ||
| Morgan Lougee | Registered representative | Nov 2018 (8y) | ||
| Rebecca Frances Saccone | Registered representative | Nov 2018 (8y) | ||
| Gisela A. Lopez | Registered representative | Nov 2018 (8y) | ||
| Michael Nicholas Leanch | Registered representative | Nov 2018 (8y) | ||
| Patrick Thomas Nolan | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Reed Emil Willett | Registered representative | Nov 2018 (8y) | ||
| Rodd Shannon Mcminn | Registered representative | Nov 2018 (8y) | ||
| Brandon Kerley | Registered representative | Nov 2018 (8y) | ||
| Claude Herve Devillers | Registered representative | Nov 2018 (8y) | ||
| John Clement Curvin | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| Kayla Marie Santos | Registered representative | Nov 2018 (8y) | ||
| Mark Eugene Dundon | Registered representative | Nov 2018 (8y) | ||
| Amber Quagliaroli | Registered representative | Dec 2018 (8y) | ||
| Nikolas B Sellers | Registered representative | Dec 2018 (8y) | ||
| Paul Peter Brokenshire | Registered representative | Jan 2019 (8y) | ||
| Mark Ralph Mcmanus | Registered representative | Jan 2019 (8y) | ||
| Michael Paul Serfillippi | Registered representative | Jan 2019 (8y) | ||
| Alec David Beauchemin | Registered representative | CFP Chartered Financial Consultant | Jan 2019 (8y) | |
| Robb Christopher Hageman | Registered representative | Jan 2019 (8y) | ||
| Eric Paul Lovas | Registered representative | Jan 2019 (8y) | ||
| Joel David Heimbigner | Registered representative | Jan 2019 (8y) | ||
| Jose Rivera Caamano | Registered representative | Jan 2019 (8y) | ||
| Joseph Mario Minieri | Registered representative | Jan 2019 (8y) | ||
| Kyle A Jarvis | Registered representative | Jan 2019 (8y) | ||
| Kael Alexander Cheatham | Registered representative | Jan 2019 (8y) | ||
| Nicholas Steven Schummer | Registered representative | Jan 2019 (8y) | ||
| Cody M Morris | Registered representative | Jan 2019 (8y) | ||
| Jake Maxwell Mc Neil | Registered representative | Jan 2019 (8y) | ||
| David Michael Capozzi | Registered representative | Jan 2019 (8y) | ||
| Michael Richard Davis | Registered representative | Jan 2019 (8y) | ||
| Alicia Margarita Figueroa | Registered representative | Jan 2019 (8y) | ||
| Mateo A Garcia | Registered representative | Jan 2019 (8y) | ||
| Jonathon Whitacre Sanning | Registered representative | Chartered Financial Consultant | Feb 2019 (8y) | |
| Charles E Drescher | Registered representative | Feb 2019 (7y) | ||
| David Hogen | Registered representative | Feb 2019 (7y) | ||
| Brian William Osullivan | Registered representative | Feb 2019 (7y) | ||
| Gregory H. Van Ess | Registered representative | Feb 2019 (7y) | ||
| Kira Robinson Kates | Registered representative | Feb 2019 (7y) | ||
| Peter R Paris | Registered representative | CFP | Feb 2019 (7y) | |
| Dmitriy Yankelevich | Registered representative | CFP | Feb 2019 (7y) | |
| Robert Oliver Larochelle | Registered representative | Feb 2019 (7y) | ||
| Ottilia Boechat Stura | Registered representative | Feb 2019 (7y) | ||
| Jordan Michael Mc Caffrey | Registered representative | Feb 2019 (7y) | ||
| Matthew Anthony Martinez | Registered representative | Feb 2019 (7y) | ||
| Matthew Robert Fiore | Registered representative | Mar 2019 (7y) | ||
| Richard Michael Curcio | Registered representative | CFP | Mar 2019 (7y) | |
| Connor Jacob Fernholz | Registered representative | Mar 2019 (7y) | ||
| Paul Mac Donald | Registered representative | Mar 2019 (7y) | ||
| Gary M Dennis | Registered representative | Mar 2019 (7y) | ||
| Jennifer Catherine Erickson | Registered representative | Mar 2019 (7y) | ||
| Raymond Cui | Registered representative | Mar 2019 (7y) | ||
| Blake Stephen Abel | Registered representative | Apr 2019 (7y) | ||
| Alexander Russell Mottle | Registered representative | Apr 2019 (7y) | ||
| John Kenneth Caiafa | Registered representative | Apr 2019 (7y) | ||
| Anna Gabrielle Day | Registered representative | Apr 2019 (7y) | ||
| Thomas Henry Gwin | Registered representative | Apr 2019 (7y) | ||
| Jerrell Karris Mure | Registered representative | Apr 2019 (7y) | ||
| John T. Demarinis | Registered representative | Apr 2019 (7y) | ||
| James Laurence Unger | Registered representative | Apr 2019 (7y) | ||
| James D Thibaut | Registered representative | Apr 2019 (7y) | ||
| Nelson M Ribeiro | Registered representative | Apr 2019 (7y) | ||
| Shanda Marie Bortner | Registered representative | Apr 2019 (7y) | ||
| Faris Foshay El Gosa Nagle | Registered representative | CFP | May 2019 (7y) | |
| Jordan Normand Paul Bilodeau | Registered representative | CFP | May 2019 (7y) | |
| Vincent Scott Winans | Registered representative | May 2019 (7y) | ||
| Kevin Barry Power | Registered representative | May 2019 (7y) | ||
| Sharon Ann Staley Smith | Registered representative | May 2019 (7y) | ||
| John Douglas Palic | Registered representative | May 2019 (7y) | ||
| Joseph Thomas Duffy | Registered representative | May 2019 (7y) | ||
| Christopher James Barr | Registered representative | May 2019 (7y) | ||
| Matthew Lawrence Goodrich | Registered representative | May 2019 (7y) | ||
| Victor Vyas | Registered representative | CFP | May 2019 (7y) | |
| Bobbie Zerby | Registered representative | CFP | Jun 2019 (7y) | |
| Christopher George Bieler | Registered representative | CFP | Jun 2019 (7y) | |
| Harrison Robert Wentworth Weems | Registered representative | Jun 2019 (7y) | ||
| Jonathan Samuel Perry | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Garner Louis Lyon | Registered representative | Jun 2019 (7y) | ||
| Sean Patrick O'rourke | Registered representative | Jun 2019 (7y) | ||
| Vincent Eugene Delicata | Registered representative | CFP | Jun 2019 (7y) | |
| Liane Kimura Chong | Registered representative | Jun 2019 (7y) | ||
| Cory H Clair | Registered representative | Jun 2019 (7y) | ||
| Jason Alec Braunstein | Registered representative | Jun 2019 (7y) | ||
| Daniel Antonio Capote | Registered representative | Jun 2019 (7y) | ||
| John Jordan | Registered representative | Jun 2019 (7y) | ||
| Daniel Alan Baldwin | Registered representative | CFP | Jun 2019 (7y) | |
| Gabriel Nader Issa | Registered representative | CFP Chartered Financial Consultant | Jul 2019 (7y) | |
| Craig Joseph Caimi | Registered representative | Jul 2019 (7y) | ||
| Hunter Holliday | Registered representative | Jul 2019 (7y) | ||
| Timothy James Lynch | Registered representative | CFP | Jul 2019 (7y) | |
| Justin M Breen | Registered representative | Jul 2019 (7y) | ||
| Alisha Langford | Registered representative | Jul 2019 (7y) | ||
| Thomas Joseph Gallagher | Registered representative | CFP Chartered Financial Consultant | Jul 2019 (7y) | |
| David Erik Olson | Registered representative | CFA | Jul 2019 (7y) | |
| Robert Crawford Mac Whinnie | Registered representative | Jul 2019 (7y) | ||
| Jay Thomas Lancaster | Registered representative | Aug 2019 (7y) | ||
| Andrew James Ferrell | Registered representative | Aug 2019 (7y) | ||
| Emerald Lupita Bonansea | Registered representative | Aug 2019 (7y) | ||
| Jennifer De Leon | Registered representative | Aug 2019 (7y) | ||
| Steven Michael Shermetta | Registered representative | Aug 2019 (7y) | ||
| Michael Profit | Registered representative | Aug 2019 (7y) | ||
| Matthew Charles Hunter | Registered representative | Aug 2019 (7y) | ||
| Ryan Dugan | Registered representative | Aug 2019 (7y) | ||
| Craig Eppy | Registered representative | Aug 2019 (7y) | ||
| Richard Sterling Price | Registered representative | Aug 2019 (7y) | ||
| Ammon Andelin | Registered representative | Aug 2019 (7y) | ||
| Adam Vincent Bukowski | Registered representative | Aug 2019 (7y) | ||
| Joshua Ivey | Registered representative | Aug 2019 (7y) | ||
| Matthew R Liffick | Registered representative | Aug 2019 (7y) | ||
| Caleb Klein | Registered representative | Aug 2019 (7y) | ||
| Reid J Butler | Registered representative | Sep 2019 (7y) | ||
| Jason Michael Mcfaul | Registered representative | Sep 2019 (7y) | ||
| Jason Patrick Krupa | Registered representative | Sep 2019 (7y) | ||
| Alisa Marie Olsen | Registered representative | CFP | Sep 2019 (7y) | |
| Lindsey M Sherer | Registered representative | CFP | Sep 2019 (7y) | |
| William Wayne Gruehn | Registered representative | Sep 2019 (7y) | ||
| James Joseph Raiola | Registered representative | CFP Chartered Financial Consultant | Sep 2019 (7y) | |
| John D Tosatto | Registered representative | CFP | Sep 2019 (7y) | |
| Jeffrey Michael Sajdak | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Gregg Seth Miles | Registered representative | Sep 2019 (7y) | ||
| Colin Caldarera | Registered representative | Sep 2019 (7y) | ||
| Donte Tyree Lloyd | Registered representative | CFP | Sep 2019 (7y) | |
| Jacob Parker Myers | Registered representative | CFP Chartered Financial Consultant | Sep 2019 (7y) | |
| Marcie Belle Linduff Plumbtree | Registered representative | Sep 2019 (7y) | ||
| Fritz Donald Ek | Registered representative | CFP Chartered Financial Consultant | Sep 2019 (7y) | |
| Nicholas Patrick Carter | Registered representative | Sep 2019 (7y) | ||
| Patrick Thomas Silva | Registered representative | Sep 2019 (7y) | ||
| Stephen Glenn Gulley | Registered representative | Sep 2019 (7y) | ||
| Rekha Trivedi | Registered representative | Sep 2019 (7y) | ||
| Matthew Thomas Resh | Registered representative | Sep 2019 (7y) | ||
| Kyle Frechette | Registered representative | Oct 2019 (7y) | ||
| Christopher Nicholas Lee | Registered representative | Oct 2019 (7y) | ||
| Mark Anthony Thomas Taverno | Registered representative | Oct 2019 (7y) | ||
| Jill Christine Raymond | Registered representative | Oct 2019 (7y) | ||
| Gary Michael Tsoumas | Registered representative | Oct 2019 (7y) | ||
| Garrett James Schwan | Registered representative | Oct 2019 (7y) | ||
| David Craig | Registered representative | Oct 2019 (7y) | ||
| Taylor Edward Livingston | Registered representative | Oct 2019 (7y) | ||
| Connor Thomas Davis | Registered representative | Oct 2019 (7y) | ||
| Gregory William Meahl | Registered representative | Oct 2019 (7y) | ||
| Josiah Paul Martin | Registered representative | Oct 2019 (7y) | ||
| Rory T Sullivan | Registered representative | Oct 2019 (7y) | ||
| Carter James Moebius | Registered representative | Oct 2019 (7y) | ||
| James Coleman Dixon | Registered representative | Oct 2019 (7y) | ||
| Rajesh David Malhotra | Registered representative | Oct 2019 (7y) | ||
| Michael James Maletteri | Registered representative | CFP Chartered Financial Consultant | Nov 2019 (7y) | |
| Nicholas Thomas Auriemma | Registered representative | Nov 2019 (7y) | ||
| Gil Eladio Fernandez | Registered representative | Nov 2019 (7y) | ||
| Dhilan N Shah | Registered representative | Nov 2019 (7y) | ||
| Nicholas Samuel Gentile | Registered representative | CFP | Nov 2019 (7y) | |
| Matthew Ashbrook Griffith | Registered representative | Nov 2019 (7y) | ||
| Bret Michael Alexander | Registered representative | Nov 2019 (7y) | ||
| Steven Gerald Karlik | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Michael T Mock | Registered representative | Nov 2019 (7y) | ||
| Connor John Iarussi | Registered representative | Nov 2019 (7y) | ||
| Matthew Jason Douce | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| Keith James Russell | Registered representative | CFP | Dec 2019 (7y) | |
| Michael Charles Di Rocco | Registered representative | Dec 2019 (7y) | ||
| James Edward Bell | Registered representative | CFP | Dec 2019 (7y) | |
| Mark D Greenblatt | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| Cooper Ryan Smith | Registered representative | Dec 2019 (7y) | ||
| Jeff John Romond | Registered representative | Dec 2019 (7y) | ||
| Brian Large | Registered representative | Dec 2019 (7y) | ||
| Claudia Frade Ferreira | Registered representative | CFP | Jan 2020 (7y) | |
| Robert Karl Apple | Registered representative | CFP | Jan 2020 (7y) | |
| Adam Jared Seltzer | Registered representative | Jan 2020 (7y) | ||
| Mark Alan Yuhnke | Registered representative | Jan 2020 (7y) | ||
| Kurt Lovell | Registered representative | Jan 2020 (7y) | ||
| Seth Raynor Waltz | Registered representative | Jan 2020 (7y) | ||
| Graeme Hart | Registered representative | Jan 2020 (7y) | ||
| John Michael Van De Bogart | Registered representative | Jan 2020 (7y) | ||
| Michael P Sexton | Registered representative | Jan 2020 (7y) | ||
| Robert Houle | Registered representative | Jan 2020 (7y) | ||
| Thomas Andrew O'hara | Registered representative | Jan 2020 (7y) | ||
| Geoffrey Joseph Croteau | Registered representative | Jan 2020 (7y) | ||
| John Anthony Johnson | Registered representative | Jan 2020 (7y) | ||
| Mark Condon | Registered representative | Jan 2020 (7y) | ||
| Claudia Maxine Spence | Registered representative | Jan 2020 (7y) | ||
| Michael Andrew Crowley | Registered representative | Jan 2020 (7y) | ||
| Emily Rose Keating | Registered representative | CFP | Jan 2020 (7y) | |
| Robert Lee Berkowitz | Registered representative | Jan 2020 (7y) | ||
| Scott E Barton | Registered representative | Jan 2020 (7y) | ||
| Woong Lee | Registered representative | Jan 2020 (7y) | ||
| Andrew Michael Reese | Registered representative | Jan 2020 (7y) | ||
| Alexandra Marie Nelson | Registered representative | Jan 2020 (7y) | ||
| Subhash C Jatana | Registered representative | Jan 2020 (7y) | ||
| Stephen John Kostyk | Registered representative | Jan 2020 (7y) | ||
| Mark Andrew Cramer | Registered representative | Feb 2020 (6y) | ||
| Aaron Jeffrey Snider | Registered representative | Feb 2020 (6y) | ||
| Kaitlyn Alexandra Plourde | Registered representative | CFP | Feb 2020 (6y) | |
| Ryan Michael Clarke | Registered representative | Feb 2020 (6y) | ||
| Kevin M Cernuto | Registered representative | Feb 2020 (6y) | ||
| Bryan Douglas Smith | Registered representative | Feb 2020 (6y) | ||
| Chang Baek Chun | Registered representative | Chartered Financial Consultant | Feb 2020 (6y) | |
| Eric Donohue | Registered representative | Feb 2020 (6y) | ||
| Matthew William Geherin | Registered representative | Chartered Financial Consultant | Feb 2020 (6y) | |
| Michele Victoria Ednock | Registered representative | Feb 2020 (6y) | ||
| Benjamin William Whitford | Registered representative | Feb 2020 (6y) | ||
| William Alan Frechtman | Registered representative | Feb 2020 (6y) | ||
| James Michael Ditzel | Registered representative | CFP Chartered Financial Consultant | Feb 2020 (6y) | |
| Julie Elizabeth Mc Cormick | Registered representative | CFP | Feb 2020 (6y) | |
| Marvin Orell Davis | Registered representative | Feb 2020 (6y) | ||
| Paul John Felix | Registered representative | Chartered Financial Consultant | Feb 2020 (6y) | |
| Mollie Lehman | Registered representative | Feb 2020 (6y) | ||
| Thomas Joseph Picone | Registered representative | Feb 2020 (6y) | ||
| Daniel D Dennis | Registered representative | Feb 2020 (6y) | ||
| Brad A Somma | Registered representative | Feb 2020 (6y) | ||
| Jon Christopher Ingalls | Registered representative | Feb 2020 (6y) | ||
| Logan Offner | Registered representative | Feb 2020 (6y) | ||
| Erik Fischer | Registered representative | CFP | Feb 2020 (6y) | |
| Janos Vincent Von Aulock | Registered representative | Mar 2020 (6y) | ||
| Emily Barbara Polaczyk | Registered representative | Mar 2020 (6y) | ||
| Michael Vincent Mc Knight | Registered representative | Mar 2020 (6y) | ||
| William Greer | Registered representative | Mar 2020 (6y) | ||
| Timothy John Lavelle | Registered representative | Mar 2020 (6y) | ||
| Scott Jordan Kohen | Registered representative | Mar 2020 (6y) | ||
| Nicholas Miguel Angel Oliveros Pipkin | Registered representative | Mar 2020 (6y) | ||
| Nicholas Familetti | Registered representative | Mar 2020 (6y) | ||
| Brandon Michael Sheh | Registered representative | Mar 2020 (6y) | ||
| Nicholas Ryan Roop | Registered representative | Mar 2020 (6y) | ||
| Craig E Cross | Registered representative | Mar 2020 (6y) | ||
| Leann Kathlene Price | Registered representative | Mar 2020 (6y) | ||
| Matthew Temple Corrigan | Registered representative | Mar 2020 (6y) | ||
| Jason Matthew Tether | Registered representative | Mar 2020 (6y) | ||
| Laura Elizabeth Olmedo | Registered representative | Apr 2020 (6y) | ||
| William George Conroy | Registered representative | CFP | Apr 2020 (6y) | |
| Oscar Guerrero Gazcon | Registered representative | Apr 2020 (6y) | ||
| Christopher George Price | Registered representative | CFP Chartered Financial Consultant | Apr 2020 (6y) | |
| Joseph Marriott Steele | Registered representative | Chartered Financial Consultant | Apr 2020 (6y) | |
| Philip Conjerti | Registered representative | Apr 2020 (6y) | ||
| Samuel Howard Schiffer | Registered representative | Apr 2020 (6y) | ||
| Claire Marie Hayes | Registered representative | CFP | Apr 2020 (6y) | |
| Ryan Stefan Jay Schopp | Registered representative | Apr 2020 (6y) | ||
| Elwyn George Voss | Registered representative | May 2020 (6y) | ||
| Kristopher Bryan Wackerlin | Registered representative | May 2020 (6y) | ||
| Robert Allan Blundon | Registered representative | May 2020 (6y) | ||
| Lawrence S Friedman | Registered representative | May 2020 (6y) | ||
| Russell B Moore | Registered representative | May 2020 (6y) | ||
| David J Schmidl | Registered representative | May 2020 (6y) | ||
| Brandon Richard Johnson | Registered representative | May 2020 (6y) | ||
| Jeffrey Thomas Carey | Registered representative | May 2020 (6y) | ||
| Michael Heberlein | Registered representative | CFP | May 2020 (6y) | |
| Philip Gerard Lampe | Registered representative | Chartered Financial Consultant | May 2020 (6y) | |
| Vincent Michael Bruno | Registered representative | May 2020 (6y) | ||
| Paul Grande | Registered representative | May 2020 (6y) | ||
| Bryan Christopher Byrd | Registered representative | May 2020 (6y) | ||
| David W Grulich | Registered representative | May 2020 (6y) | ||
| Jeremiah James Goldenetz | Registered representative | Jun 2020 (6y) | ||
| Miriam Ann Williams | Registered representative | CFP | Jun 2020 (6y) | |
| Scott Broman | Registered representative | CFP | Jun 2020 (6y) | |
| Matthew Foster | Registered representative | Jun 2020 (6y) | ||
| Joseph Peter Zandlo | Registered representative | Jun 2020 (6y) | ||
| John Mc Caffery | Registered representative | Jun 2020 (6y) | ||
| Kristi H. Gomez | Registered representative | Jun 2020 (6y) | ||
| Nicholas S Patterson | Registered representative | CFP | Jun 2020 (6y) | |
| John Joseph Tierney | Registered representative | Jun 2020 (6y) | ||
| George Francis Grant | Registered representative | Jun 2020 (6y) | ||
| Jason M. Daily | Registered representative | Jun 2020 (6y) | ||
| Clinton Troy Newman | Registered representative | Jun 2020 (6y) | ||
| Lester F Hamrick | Registered representative | Jun 2020 (6y) | ||
| Derek Baade | Registered representative | Jun 2020 (6y) | ||
| Jennee Ana Blanco | Registered representative | CFP Chartered Financial Consultant | Jun 2020 (6y) | |
| Hannah Davis Butler | Registered representative | Chartered Financial Consultant | Jun 2020 (6y) | |
| Peter Slesinski | Registered representative | Jun 2020 (6y) | ||
| Daniel Jamal Threlkeld | Registered representative | Jun 2020 (6y) | ||
| Dominic Daniel Maloni | Registered representative | Jun 2020 (6y) | ||
| Matthew Robert Sagers | Registered representative | CFP | Jun 2020 (6y) | |
| Cameron Mactavish | Registered representative | Jul 2020 (6y) | ||
| Brandon Edward Razler | Registered representative | Jul 2020 (6y) | ||
| Melinda Adams | Registered representative | Jul 2020 (6y) | ||
| Michael Shane Foley | Registered representative | Jul 2020 (6y) | ||
| Tyler Douglas White | Registered representative | Jul 2020 (6y) | ||
| Thomas Bongiorni | Registered representative | Jul 2020 (6y) | ||
| Michael Joseph Thomas | Registered representative | Chartered Financial Consultant | Jul 2020 (6y) | |
| Anthony Frank Geary | Registered representative | Jul 2020 (6y) | ||
| Blair Leroy Fetzer | Registered representative | Jul 2020 (6y) | ||
| Zakary Cianciolo | Registered representative | Jul 2020 (6y) | ||
| Tyler Tucker | Registered representative | Jul 2020 (6y) | ||
| Robin Leighton Skillingberg | Registered representative | Jul 2020 (6y) | ||
| Keith Evans Jordan | Registered representative | Aug 2020 (6y) | ||
| Cole Richard Crocker | Registered representative | Aug 2020 (6y) | ||
| Joshua Michael Rockwell | Registered representative | Aug 2020 (6y) | ||
| Dylan Mcdearmon | Registered representative | Aug 2020 (6y) | ||
| John Hampton Hodge | Registered representative | Aug 2020 (6y) | ||
| William Walker Heath | Registered representative | Chartered Financial Consultant | Aug 2020 (6y) | |
| Bojan Tuco | Registered representative | Aug 2020 (6y) | ||
| Nathan Andrew Pera | Registered representative | Aug 2020 (6y) | ||
| Michael Jason Sacher | Registered representative | Aug 2020 (6y) | ||
| Patrick Thomas Gallagher | Registered representative | Aug 2020 (6y) | ||
| Reynaldo Jerome Stoddart | Registered representative | Aug 2020 (6y) | ||
| Eric Jeffrey Terry | Registered representative | Aug 2020 (6y) | ||
| Ana Paula Reid | Registered representative | Aug 2020 (6y) | ||
| Brian Bradley | Registered representative | Aug 2020 (6y) | ||
| Kyle Murrell Mcburney | Registered representative | CFP | Sep 2020 (6y) | |
| Jeffrey Meeks | Registered representative | Sep 2020 (6y) | ||
| Logan Lippert | Registered representative | Sep 2020 (6y) | ||
| Philip Andrew Lago | Registered representative | Sep 2020 (6y) | ||
| Timothy Michael Foster | Registered representative | Sep 2020 (6y) | ||
| Jesse Allan Huggins | Registered representative | Sep 2020 (6y) | ||
| William Anthony Ravotti | Registered representative | CFP | Sep 2020 (6y) | |
| Bradley W Wood | Registered representative | Sep 2020 (6y) | ||
| Brett Ashleigh Fortune | Registered representative | Sep 2020 (6y) | ||
| Kyle M Greenwell | Registered representative | CFP | Sep 2020 (6y) | |
| Cathy Guiying Mu | Registered representative | Sep 2020 (6y) | ||
| Sabu Lukose | Registered representative | Sep 2020 (6y) | ||
| Andrew John Kaczkowski | Registered representative | Sep 2020 (6y) | ||
| Rodney Wayne Brewer | Registered representative | CFP | Sep 2020 (6y) | |
| Emily Laurel Bordeau | Registered representative | Oct 2020 (6y) | ||
| Nicholas Ferbert | Registered representative | Oct 2020 (6y) | ||
| Douglas Steven Gold | Registered representative | Oct 2020 (6y) | ||
| Nacole Marie Light | Registered representative | Oct 2020 (6y) | ||
| Jeffery D Bordelon | Registered representative | Oct 2020 (6y) | ||
| Nathan Hedlund Kaiser | Registered representative | CFP | Oct 2020 (6y) | |
| Brian Michael Ward | Registered representative | Oct 2020 (6y) | ||
| Joseph Robert Hughes | Registered representative | Oct 2020 (6y) | ||
| Alexander Joseph Hall | Registered representative | Oct 2020 (6y) | ||
| Jack Dylan Giles | Registered representative | Oct 2020 (6y) | ||
| Amy Wienczkowski Kramer | Registered representative | Oct 2020 (6y) | ||
| Francis John Viglione | Registered representative | Nov 2020 (6y) | ||
| Anthony Jack Annunziata | Registered representative | Nov 2020 (6y) | ||
| Matthew Rozzi | Registered representative | Nov 2020 (6y) | ||
| Patrick Cole Bush | Registered representative | Nov 2020 (6y) | ||
| Vincent John Cucuzza | Registered representative | CFP | Nov 2020 (6y) | |
| Jesse Howard Israel | Registered representative | CFP Chartered Financial Consultant | Nov 2020 (6y) | |
| Joseph Michael Ayers | Registered representative | Nov 2020 (6y) | ||
| Jonathan P Worobow | Registered representative | Nov 2020 (6y) | ||
| Rosanna Guardavaccaro | Registered representative | Nov 2020 (6y) | ||
| David James Desanti | Registered representative | Nov 2020 (6y) | ||
| Jeremy Michael Jamison | Registered representative | Nov 2020 (6y) | ||
| Rachana Puri | Registered representative | Nov 2020 (6y) | ||
| Daniel Aaron Rosales | Registered representative | Nov 2020 (6y) | ||
| Justin Everett Hayward | Registered representative | Nov 2020 (6y) | ||
| William Joseph Sergio | Registered representative | Dec 2020 (6y) | ||
| Jared Mitchell Chin | Registered representative | CFP Chartered Financial Consultant | Dec 2020 (6y) | |
| Matthew Wells Corbishley | Registered representative | Chartered Financial Consultant | Dec 2020 (6y) | |
| London Carlyle Huie | Registered representative | Dec 2020 (6y) | ||
| Nicholas Alan Gardner | Registered representative | Dec 2020 (6y) | ||
| Melanie Skroski | Registered representative | Dec 2020 (6y) | ||
| Bryan Zic | Registered representative | Dec 2020 (6y) | ||
| Sara Gayle Enos | Registered representative | Dec 2020 (6y) | ||
| Daniel Sung Hwan Oh | Registered representative | Dec 2020 (6y) | ||
| Irvin Han Hu | Registered representative | Dec 2020 (6y) | ||
| Jacob Barry Ernst | Registered representative | Jan 2021 (6y) | ||
| Logan Carlile Johnson | Registered representative | Jan 2021 (6y) | ||
| Robin K Vernon | Registered representative | CFP | Jan 2021 (6y) | |
| Andrew Gordon Meyer | Registered representative | Jan 2021 (6y) | ||
| Nicholas Peter Manolakis | Registered representative | Jan 2021 (6y) | ||
| Conor Fitzhenry | Registered representative | Jan 2021 (6y) | ||
| Matthew Alan Rittenhouse | Registered representative | Jan 2021 (6y) | ||
| Charles Joseph Oconnell | Registered representative | Jan 2021 (6y) | ||
| Francis Mahoney | Registered representative | Jan 2021 (6y) | ||
| Marc Jay Lowenberg | Registered representative | CFP Chartered Financial Consultant | Jan 2021 (6y) | |
| Richard Jacob Swearingen | Registered representative | CFP | Jan 2021 (6y) | |
| Edward John Lebold | Registered representative | CFP Chartered Financial Consultant | Jan 2021 (6y) | |
| Sara Marie Noyes | Registered representative | Jan 2021 (6y) | ||
| Douglas Scott Grant | Registered representative | Jan 2021 (6y) | ||
| Kristofer Michael Copeland | Registered representative | Chartered Financial Consultant | Jan 2021 (6y) | |
| Joseph Roland Christian | Registered representative | Jan 2021 (6y) | ||
| Louis Marc Giangrande | Registered representative | Jan 2021 (6y) | ||
| Ronald Bryan Goss | Registered representative | Jan 2021 (6y) | ||
| Brittani Morgan Long | Registered representative | CFP Chartered Financial Consultant | Jan 2021 (6y) | |
| Alexander Stewart | Registered representative | Jan 2021 (6y) | ||
| Susan Tallakson | Registered representative | Jan 2021 (6y) | ||
| Edward Raphael Williams | Registered representative | Jan 2021 (6y) | ||
| Eric Joseph Cella | Registered representative | Jan 2021 (6y) | ||
| John David Panico | Registered representative | Jan 2021 (6y) | ||
| Brett Lyle Skloff | Registered representative | CFP | Jan 2021 (6y) | |
| Michael Joseph Pimpinelli | Registered representative | Jan 2021 (6y) | ||
| Justin Shumate | Registered representative | Jan 2021 (6y) | ||
| Jerald Paul Facey | Registered representative | CFP Chartered Financial Consultant | Jan 2021 (6y) | |
| Armando Sallavanti | Registered representative | Feb 2021 (6y) | ||
| Maryann Renee Keith | Registered representative | CFP | Feb 2021 (5y) | |
| Teig Kennon Hauer | Registered representative | Feb 2021 (5y) | ||
| Edward Todd Motley | Registered representative | Chartered Financial Consultant | Feb 2021 (5y) | |
| Kerri A Melley | Registered representative | Feb 2021 (5y) | ||
| Christopher J Close | Registered representative | Feb 2021 (5y) | ||
| Thomas Michael Yannetti | Registered representative | CFP Chartered Financial Consultant | Feb 2021 (5y) | |
| Michael Koukoumanos | Registered representative | Feb 2021 (5y) | ||
| Joseph Dae Yup Kim | Registered representative | Feb 2021 (5y) | ||
| Todd Lyle Seresky | Registered representative | Feb 2021 (5y) | ||
| Albert Jiray Sung | Registered representative | Feb 2021 (5y) | ||
| Kyle Steven Rayder | Registered representative | Feb 2021 (5y) | ||
| Kenneth Eric Ilgner | Registered representative | Feb 2021 (5y) | ||
| Robert Lloyd Macnider | Registered representative | Feb 2021 (5y) | ||
| Davis Michael Mc Nichol | Registered representative | CFP Chartered Financial Consultant | Feb 2021 (5y) | |
| Hector Alexis Delgado Oliveras | Registered representative | Feb 2021 (5y) | ||
| Christopher Michael Standridge | Registered representative | Feb 2021 (5y) | ||
| Michael A Lanza | Registered representative | Feb 2021 (5y) | ||
| Ryan Michael Miller | Registered representative | Feb 2021 (5y) | ||
| Zachary Grant Hogentogler | Registered representative | Feb 2021 (5y) | ||
| Artis Garrett | Registered representative | Mar 2021 (5y) | ||
| Matthew Atiyeh | Registered representative | Mar 2021 (5y) | ||
| Wendy Michele Mayfield | Registered representative | Mar 2021 (5y) | ||
| Mason Benjamin Abate | Registered representative | Mar 2021 (5y) | ||
| Mitchell Austin Todd | Registered representative | Mar 2021 (5y) | ||
| Wei Yang | Registered representative | Mar 2021 (5y) | ||
| Paul Reed Hales | Registered representative | Mar 2021 (5y) | ||
| Sheila N Stotler | Registered representative | Mar 2021 (5y) | ||
| Andrew Carl Welsh | Registered representative | Mar 2021 (5y) | ||
| Scott Christopher Grove | Registered representative | Mar 2021 (5y) | ||
| Bryn Crowley Rykr | Registered representative | Mar 2021 (5y) | ||
| Patrick Louis Shovlin | Registered representative | CFP | Mar 2021 (5y) | |
| Christopher Thomas Pajak | Registered representative | Mar 2021 (5y) | ||
| Pietro Salvatore Ruggeri | Registered representative | Mar 2021 (5y) | ||
| Kyle Benjamin Smith | Registered representative | Mar 2021 (5y) | ||
| Michael Saphel Romaine | Registered representative | CFP Chartered Financial Consultant | Mar 2021 (5y) | |
| Charles Henry Dow | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Kyle Jamison Krebs | Registered representative | Mar 2021 (5y) | ||
| Richard James Dipasquale | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Yosef Amir Benson | Registered representative | Mar 2021 (5y) | ||
| Micah James Lemoine | Registered representative | Apr 2021 (5y) | ||
| Collin Bradley Daniell | Registered representative | Apr 2021 (5y) | ||
| Andrzej Dudus | Registered representative | Apr 2021 (5y) | ||
| Colin Pomer | Registered representative | Apr 2021 (5y) | ||
| Lukas Mcelhenie | Registered representative | Apr 2021 (5y) | ||
| Matthew Robert Wilkow | Registered representative | Apr 2021 (5y) | ||
| Christopher Adam Fields | Registered representative | Apr 2021 (5y) | ||
| Ryan Austin Farber | Registered representative | CFP | Apr 2021 (5y) | |
| Brendan Keohane | Registered representative | Apr 2021 (5y) | ||
| Eric Shawnyee Tom | Registered representative | CFP | Apr 2021 (5y) | |
| Robert Louis Belvedere | Registered representative | Apr 2021 (5y) | ||
| Vincent Anthony Petracco | Registered representative | CFP | Apr 2021 (5y) | |
| Charles J Dweck | Registered representative | Apr 2021 (5y) | ||
| Haley Gray | Registered representative | Apr 2021 (5y) | ||
| Amy Jamrog | Registered representative | CFP Chartered Financial Consultant | Apr 2021 (5y) | |
| Arnaldo Toledo Ortiz | Registered representative | Apr 2021 (5y) | ||
| Jessica M Holloway | Registered representative | CFP Chartered Financial Consultant | Apr 2021 (5y) | |
| Victoria Henning Smejda | Registered representative | CFA | Apr 2021 (5y) | |
| Adam Charles Donohoe | Registered representative | Apr 2021 (5y) | ||
| Debra Lynn Gibson | Registered representative | Apr 2021 (5y) | ||
| Michael Anthony Davila | Registered representative | Apr 2021 (5y) | ||
| Thomas Joseph English | Registered representative | Apr 2021 (5y) | ||
| David Jay Goldwasser | Registered representative | Apr 2021 (5y) | ||
| Vincent James Paone | Registered representative | Apr 2021 (5y) | ||
| Lance Steven Lichorat | Registered representative | Apr 2021 (5y) | ||
| Michael Alan Ford | Registered representative | Apr 2021 (5y) | ||
| Chun Wai Wong | Registered representative | Apr 2021 (5y) | ||
| Gary Nesta | Registered representative | CFP Chartered Financial Consultant | May 2021 (5y) | |
| Jack Spencer Webber | Registered representative | May 2021 (5y) | ||
| Frank Carmen Zito | Registered representative | May 2021 (5y) | ||
| Tony Roberts | Registered representative | May 2021 (5y) | ||
| Beau Gregory Gunderson | Registered representative | May 2021 (5y) | ||
| Enrico R. Piatelli | Registered representative | CFP | May 2021 (5y) | |
| James Kevin Convery | Registered representative | May 2021 (5y) | ||
| Joseph Altobello | Registered representative | May 2021 (5y) | ||
| Kuldeep Singh Madan | Registered representative | May 2021 (5y) | ||
| Andrew G Pierce | Registered representative | May 2021 (5y) | ||
| Matthew A Kotula | Registered representative | CFP | May 2021 (5y) | |
| Daniel Philip Dukart | Registered representative | May 2021 (5y) | ||
| Douglas A Harbaugh | Registered representative | May 2021 (5y) | ||
| Christopher Kinzler | Registered representative | May 2021 (5y) | ||
| Scott W Mccool | Registered representative | May 2021 (5y) | ||
| Adam G Follmer | Registered representative | May 2021 (5y) | ||
| Anthony John Murray | Registered representative | May 2021 (5y) | ||
| William Iaian Oliver | Registered representative | May 2021 (5y) | ||
| Nicholas Judd | Registered representative | May 2021 (5y) | ||
| Christian Thomas Fairbanks | Registered representative | May 2021 (5y) | ||
| Thomas J Case | Registered representative | May 2021 (5y) | ||
| Jordan Paul Earles | Registered representative | May 2021 (5y) | ||
| Nicola Ottavio Caporaso | Registered representative | May 2021 (5y) | ||
| Robin Sue Weingast | Registered representative | May 2021 (5y) | ||
| Todd Adam Glazer | Registered representative | May 2021 (5y) | ||
| Jeffrey Owen Girsky | Registered representative | May 2021 (5y) | ||
| George William Lenz | Registered representative | Jun 2021 (5y) | ||
| Michael Philip Devine | Registered representative | Jun 2021 (5y) | ||
| Carolyne Marie Charvoz | Registered representative | Jun 2021 (5y) | ||
| John Richard Nagle Caraluzzo | Registered representative | Jun 2021 (5y) | ||
| Zachary Kriftcher | Registered representative | Jun 2021 (5y) | ||
| Scott Laffie | Registered representative | CFP | Jun 2021 (5y) | |
| Alexander Jackman Nolan | Registered representative | CFP | Jun 2021 (5y) | |
| Joel Robert Henning | Registered representative | Jun 2021 (5y) | ||
| Ryan Alexander Judson | Registered representative | Jun 2021 (5y) | ||
| Carter Roy Reese | Registered representative | Jun 2021 (5y) | ||
| Nicholas Ernst | Registered representative | Jun 2021 (5y) | ||
| Mary J Greenwood Ellsworth | Registered representative | Jun 2021 (5y) | ||
| Alex John Wenke | Registered representative | Jun 2021 (5y) | ||
| Abraham Fried | Registered representative | Jun 2021 (5y) | ||
| Adam Randall Cherney | Registered representative | Jun 2021 (5y) | ||
| Adam Ross Friedman | Registered representative | Jun 2021 (5y) | ||
| Ailing Mei | Registered representative | Jun 2021 (5y) | ||
| Aiyoung Nam | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Alessandro Caringi | Registered representative | CFP | Jun 2021 (5y) | |
| Alexandra Catherine Erath | Registered representative | Jun 2021 (5y) | ||
| Alexei V Heringer | Registered representative | Jun 2021 (5y) | ||
| Amanda Walton O'neal | Registered representative | Jun 2021 (5y) | ||
| Amir N Asadi | Registered representative | Jun 2021 (5y) | ||
| Amy Ellen Hrichak | Registered representative | Jun 2021 (5y) | ||
| Andrei Catrinici | Registered representative | Jun 2021 (5y) | ||
| Andrew Lawrence Levine | Registered representative | Jun 2021 (5y) | ||
| Andrew Sanborn | Registered representative | Jun 2021 (5y) | ||
| Anil Lamba | Registered representative | Jun 2021 (5y) | ||
| Ann Marie Mcgreevy Doria | Registered representative | Jun 2021 (5y) | ||
| Anthony Charles Bartolini | Registered representative | Jun 2021 (5y) | ||
| Anthony John Caputo | Registered representative | Jun 2021 (5y) | ||
| Anthony Joseph Pacifico | Registered representative | Jun 2021 (5y) | ||
| Anthony Louis Borelli | Registered representative | Jun 2021 (5y) | ||
| Antonio A Cunha | Registered representative | Jun 2021 (5y) | ||
| Antonios George Franks | Registered representative | Jun 2021 (5y) | ||
| Ari Greenman | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Austin Paul Blujus | Registered representative | Jun 2021 (5y) | ||
| Avi N Ashkenazy | Registered representative | Jun 2021 (5y) | ||
| Amanda Jean Kremer | Registered representative | Jun 2021 (5y) | ||
| Babak Moshe Rambod | Registered representative | Jun 2021 (5y) | ||
| Barbara Koppelkiernan | Registered representative | Jun 2021 (5y) | ||
| Bing Vun Cheng | Registered representative | Jun 2021 (5y) | ||
| Bradley P Smith | Registered representative | Jun 2021 (5y) | ||
| Braken Fiore | Registered representative | Jun 2021 (5y) | ||
| Brendan Jude Kenny | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Brent Henig | Registered representative | Jun 2021 (5y) | ||
| Brent Philip Kessler | Registered representative | Jun 2021 (5y) | ||
| Brett Micheal Garbut | Registered representative | Jun 2021 (5y) | ||
| Brett Norton | Registered representative | Jun 2021 (5y) | ||
| Brian Charles Johnston | Registered representative | Jun 2021 (5y) | ||
| Brian Edward Gaine | Registered representative | Jun 2021 (5y) | ||
| Brian Joseph White | Registered representative | Jun 2021 (5y) | ||
| Brian Michael Kaplan | Registered representative | CFP | Jun 2021 (5y) | |
| Brian Scully Conboy | Registered representative | Jun 2021 (5y) | ||
| Britt Szostak | Registered representative | CFP | Jun 2021 (5y) | |
| Bruce Edward Sunderville | Registered representative | Jun 2021 (5y) | ||
| Bruce Sinclair Erath | Registered representative | Jun 2021 (5y) | ||
| Bruce William Bowman | Registered representative | Jun 2021 (5y) | ||
| Carl Kravitz | Registered representative | Jun 2021 (5y) | ||
| Carol Lewbell Gray | Registered representative | Jun 2021 (5y) | ||
| Carolyn Ann Phillips | Registered representative | Jun 2021 (5y) | ||
| Charles Thomas Ciravolo | Registered representative | Jun 2021 (5y) | ||
| Chase Benjamin Golomb | Registered representative | Jun 2021 (5y) | ||
| Christopher John Spadafora | Registered representative | Jun 2021 (5y) | ||
| Christopher Joseph Ahrens | Registered representative | Jun 2021 (5y) | ||
| Christopher Lee Shekell | Registered representative | Jun 2021 (5y) | ||
| Christopher Robert Fiorello | Registered representative | Jun 2021 (5y) | ||
| Colleen Marie Fitzhenry | Registered representative | CFP | Jun 2021 (5y) | |
| Corey Adam Schneider | Registered representative | CFP | Jun 2021 (5y) | |
| Craig Douglas Mellenthine | Registered representative | Jun 2021 (5y) | ||
| Craig Paloscio | Registered representative | Jun 2021 (5y) | ||
| Daniel J Rudd | Registered representative | Jun 2021 (5y) | ||
| Daniel Richard Rohnke | Registered representative | Jun 2021 (5y) | ||
| Daniel Shawn Blake | Registered representative | Jun 2021 (5y) | ||
| Darren Gerstenblatt | Registered representative | CFP | Jun 2021 (5y) | |
| David Alan Piscitello | Registered representative | Jun 2021 (5y) | ||
| David Alonzo Disunno | Registered representative | Jun 2021 (5y) | ||
| David Andrew Suzzan | Registered representative | Jun 2021 (5y) | ||
| David James O Connell | Registered representative | Jun 2021 (5y) | ||
| David M Sacher | Registered representative | Jun 2021 (5y) | ||
| Dewitte Talmadge Kersh | Registered representative | Jun 2021 (5y) | ||
| Donald Karlik | Registered representative | Jun 2021 (5y) | ||
| Doug Ho Lee | Registered representative | Jun 2021 (5y) | ||
| Douglas Jordan Licari | Registered representative | CFP | Jun 2021 (5y) | |
| Douglas Robert Collins | Registered representative | CFP | Jun 2021 (5y) | |
| Douglas S Okin | Registered representative | Jun 2021 (5y) | ||
| Daniel Justin Solazzo | Registered representative | Jun 2021 (5y) | ||
| Edward John Vespa | Registered representative | Jun 2021 (5y) | ||
| Eliezer Gewirtzman | Registered representative | Jun 2021 (5y) | ||
| Eric Justin Goldsmith | Registered representative | Jun 2021 (5y) | ||
| Eric Michael Flowers | Registered representative | Jun 2021 (5y) | ||
| Eric Michael Palumbo | Registered representative | Jun 2021 (5y) | ||
| Eric Robert Goldberg | Registered representative | Jun 2021 (5y) | ||
| Ernest Raymond Selke | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Evan N Rogdakis | Registered representative | Jun 2021 (5y) | ||
| Eric Rogers | Registered representative | Jun 2021 (5y) | ||
| Fazal Imtazam Muhammad | Registered representative | Jun 2021 (5y) | ||
| Francis James Ginnane | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Frank Cirasola | Registered representative | Jun 2021 (5y) | ||
| Frank Cranwell Baird | Registered representative | Jun 2021 (5y) | ||
| Frank Domenick Palmeri | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Frederick Philip Kessler | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Gary Peter Ranftle | Registered representative | Jun 2021 (5y) | ||
| Gary Ray Acker | Registered representative | Jun 2021 (5y) | ||
| Geoffrey Michael Mcdermid | Registered representative | Jun 2021 (5y) | ||
| Georg Farrak | Registered representative | Jun 2021 (5y) | ||
| George Anthony Schmansky | Registered representative | Jun 2021 (5y) | ||
| Gerald Wallace Sanborn | Registered representative | Jun 2021 (5y) | ||
| Gino Gerard Devivo | Registered representative | Jun 2021 (5y) | ||
| Gordon W Zhang | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Gregory Allen Blum | Registered representative | Jun 2021 (5y) | ||
| Gregory Paul Borgosz | Registered representative | Jun 2021 (5y) | ||
| Gregory Sullivan | Registered representative | Jun 2021 (5y) | ||
| Haerok Yoon | Registered representative | Jun 2021 (5y) | ||
| Harry A Ayala | Registered representative | Jun 2021 (5y) | ||
| Heather M Wilbur | Registered representative | Jun 2021 (5y) | ||
| Hysen Ulaj | Registered representative | Jun 2021 (5y) | ||
| Jack Alan Stevens | Registered representative | Jun 2021 (5y) | ||
| Jack Edmund Rahmey | Registered representative | Jun 2021 (5y) | ||
| Jacob Glofka | Registered representative | Jun 2021 (5y) | ||
| James Alex | Registered representative | Jun 2021 (5y) | ||
| James Christopher Macri | Registered representative | Jun 2021 (5y) | ||
| James David Nikolai | Registered representative | CFP | Jun 2021 (5y) | |
| James David Vavonese | Registered representative | Jun 2021 (5y) | ||
| James Enrico Ferrari | Registered representative | Jun 2021 (5y) | ||
| James Fay | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| James Michael Guardiola | Registered representative | Jun 2021 (5y) | ||
| James Vincent Mctighe | Registered representative | Jun 2021 (5y) | ||
| Janet Gail Fleishman | Registered representative | Jun 2021 (5y) | ||
| Janice Elaine Smith | Registered representative | Jun 2021 (5y) | ||
| Janis Lee Dunworth | Registered representative | Jun 2021 (5y) | ||
| Jared J Finkelstein | Registered representative | Jun 2021 (5y) | ||
| Jason Douglas Doi | Registered representative | Jun 2021 (5y) | ||
| Jason J Kwon | Registered representative | Jun 2021 (5y) | ||
| Jason Paul Malmendier | Registered representative | Jun 2021 (5y) | ||
| Jason Ray Breit | Registered representative | Jun 2021 (5y) | ||
| Jay H Marks | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Jay Patrick Sullivan | Registered representative | Jun 2021 (5y) | ||
| Jeff Tommy Velastegui | Registered representative | Jun 2021 (5y) | ||
| Jefferson Avery Webster | Registered representative | Jun 2021 (5y) | ||
| Jeffrey Joseph Loiselle | Registered representative | Jun 2021 (5y) | ||
| Jeffrey Lawrence Berg | Registered representative | Jun 2021 (5y) | ||
| Jeffrey M Klein | Registered representative | CFP | Jun 2021 (5y) | |
| Jeffrey Richard Silverman | Registered representative | Jun 2021 (5y) | ||
| Joanne Marie Beaton | Registered representative | Jun 2021 (5y) | ||
| Joel Leon St Hilaire | Registered representative | Jun 2021 (5y) | ||
| John Augustine Manning | Registered representative | Jun 2021 (5y) | ||
| John Charles Moshides | Registered representative | Jun 2021 (5y) | ||
| John Joseph Lavo | Registered representative | Jun 2021 (5y) | ||
| John Justus Irving | Registered representative | Jun 2021 (5y) | ||
| John M Mitrano | Registered representative | Jun 2021 (5y) | ||
| John M Yerkes | Registered representative | Jun 2021 (5y) | ||
| John Michael Ceddia | Registered representative | Jun 2021 (5y) | ||
| John P Lepore | Registered representative | Jun 2021 (5y) | ||
| John Raymond Ahrens | Registered representative | Jun 2021 (5y) | ||
| John Richard Desio | Registered representative | Jun 2021 (5y) | ||
| John Whitney Coogan | Registered representative | Jun 2021 (5y) | ||
| Jonathan Liam Hoffman | Registered representative | Jun 2021 (5y) | ||
| Joseph Anthony Parisi | Registered representative | Jun 2021 (5y) | ||
| Joseph Edward Obrien | Registered representative | Jun 2021 (5y) | ||
| Joseph Louis Dileo | Registered representative | Jun 2021 (5y) | ||
| Joseph Michael Muzio | Registered representative | Jun 2021 (5y) | ||
| Joseph N Bianchi | Registered representative | Jun 2021 (5y) | ||
| Joseph Paul Connor | Registered representative | Jun 2021 (5y) | ||
| Joseph Peter Guarino | Registered representative | Jun 2021 (5y) | ||
| Joshua Alexander Lauer | Registered representative | Jun 2021 (5y) | ||
| Joylynn Veronica Gandolfi | Registered representative | Jun 2021 (5y) | ||
| Julie Anita Deliso | Registered representative | Jun 2021 (5y) | ||
| Jun Peng Huang | Registered representative | Jun 2021 (5y) | ||
| James De Gaetano | Registered representative | Jun 2021 (5y) | ||
| Jay Shingo Nakahara | Registered representative | CFA | Jun 2021 (5y) | |
| Jonathan Polanco | Registered representative | Jun 2021 (5y) | ||
| Karl E Heath Jr | Registered representative | Jun 2021 (5y) | ||
| Kenneth Edward Sendlak | Registered representative | Jun 2021 (5y) | ||
| Kenneth Kar Yerng Eng | Registered representative | Jun 2021 (5y) | ||
| Kenneth M Gross | Registered representative | Jun 2021 (5y) | ||
| Kenneth Paul Sicari | Registered representative | Jun 2021 (5y) | ||
| Kenneth Weiss | Registered representative | CFP | Jun 2021 (5y) | |
| Kevin John Conlon | Registered representative | Jun 2021 (5y) | ||
| Kit Ling Chow | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Kyle Walker Sumple | Registered representative | Jun 2021 (5y) | ||
| Kenneth Frank Di Cairano | Registered representative | CFP | Jun 2021 (5y) | |
| Kyle Welles Boudreau | Registered representative | Jun 2021 (5y) | ||
| Laurie Lee Augustynek | Registered representative | Jun 2021 (5y) | ||
| Lawrence Chalson | Registered representative | Jun 2021 (5y) | ||
| Lea M Bancroft | Registered representative | Jun 2021 (5y) | ||
| Leon Jacob Slavutin | Registered representative | Jun 2021 (5y) | ||
| Li Ping Wang | Registered representative | Jun 2021 (5y) | ||
| Lisa D Mulvaney | Registered representative | Jun 2021 (5y) | ||
| Lisa Robin Dudelson | Registered representative | Jun 2021 (5y) | ||
| Louis Michael Eliasof | Registered representative | CFP | Jun 2021 (5y) | |
| Mahmoud Arjomand | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Marc Horst Adamek | Registered representative | Jun 2021 (5y) | ||
| Marek Milik | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Mario Virgil Longo | Registered representative | Jun 2021 (5y) | ||
| Mark Abbey Varon | Registered representative | Jun 2021 (5y) | ||
| Mark Anthony Badami | Registered representative | CFP | Jun 2021 (5y) | |
| Mark David Daviau | Registered representative | Jun 2021 (5y) | ||
| Mark Kenneth Kellogg | Registered representative | Jun 2021 (5y) | ||
| Mark Philip Hodge | Registered representative | Jun 2021 (5y) | ||
| Maro Andrianou | Registered representative | Jun 2021 (5y) | ||
| Martin Dean Steck | Registered representative | Jun 2021 (5y) | ||
| Mary B Homyak | Registered representative | Jun 2021 (5y) | ||
| Maryjane Hosmer | Registered representative | Jun 2021 (5y) | ||
| Matthew Michael Jacob | Registered representative | CFP | Jun 2021 (5y) | |
| Mauro Caringi | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Melissa Marie Reali | Registered representative | Jun 2021 (5y) | ||
| Michael Brian Sparks | Registered representative | Jun 2021 (5y) | ||
| Michael Charles Herholtz | Registered representative | Jun 2021 (5y) | ||
| Michael Craig Lapage | Registered representative | Jun 2021 (5y) | ||
| Michael Eisner | Registered representative | Jun 2021 (5y) | ||
| Michael John Asseng | Registered representative | Jun 2021 (5y) | ||
| Michael John Koziol | Registered representative | Jun 2021 (5y) | ||
| Michael Joseph Dipaulo | Registered representative | Jun 2021 (5y) | ||
| Michael Joseph Gnacinski | Registered representative | Jun 2021 (5y) | ||
| Michael Robert Donahue | Registered representative | Jun 2021 (5y) | ||
| Michael Snow | Registered representative | Jun 2021 (5y) | ||
| Mikhail Leyon | Registered representative | Jun 2021 (5y) | ||
| Mindi Lynn Wernick | Registered representative | CFP | Jun 2021 (5y) | |
| Mizanur Mohammed Rahman | Registered representative | Jun 2021 (5y) | ||
| Mohammad Shawkat Ali | Registered representative | Jun 2021 (5y) | ||
| Mohammed M Rahman | Registered representative | Jun 2021 (5y) | ||
| Morey Becker | Registered representative | Jun 2021 (5y) | ||
| Myron Hal Edelman | Registered representative | Jun 2021 (5y) | ||
| Malcolm Scott Ac Bosse | Registered representative | CFP | Jun 2021 (5y) | |
| Nicholas Cacace | Registered representative | Jun 2021 (5y) | ||
| Nicholas G Gnacinski | Registered representative | Jun 2021 (5y) | ||
| Nicholas Greene | Registered representative | CFP | Jun 2021 (5y) | |
| Nicholas Sousanidis | Registered representative | Jun 2021 (5y) | ||
| Nicolaos Kavallieratos | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Nicolo Macedonio Platas | Registered representative | Jun 2021 (5y) | ||
| Osip Makagon | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Pamela Jane Baker | Registered representative | Jun 2021 (5y) | ||
| Patricia Anne Brooks | Registered representative | Jun 2021 (5y) | ||
| Paul Anthony Wajda | Registered representative | Jun 2021 (5y) | ||
| Paul Conaty Hashim | Registered representative | Jun 2021 (5y) | ||
| Paul Evan Mass | Registered representative | Jun 2021 (5y) | ||
| Paul Stefan Feigenbaum | Registered representative | Jun 2021 (5y) | ||
| Paul Treistman | Registered representative | Jun 2021 (5y) | ||
| Paul Triano | Registered representative | Jun 2021 (5y) | ||
| Peter Chris Paizis | Registered representative | Jun 2021 (5y) | ||
| Peter Michael Kane | Registered representative | Jun 2021 (5y) | ||
| Peter Vafiades | Registered representative | Jun 2021 (5y) | ||
| Philip Jay Kaplan | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Philipose George Samuel | Registered representative | Jun 2021 (5y) | ||
| Phillip Held | Registered representative | Jun 2021 (5y) | ||
| Philip Martin La Russo | Registered representative | Jun 2021 (5y) | ||
| Qingrong Cristina Cai Nicolay | Registered representative | Jun 2021 (5y) | ||
| Rachelle L Snyder | Registered representative | Jun 2021 (5y) | ||
| Ralph Augustine Figueroa | Registered representative | Jun 2021 (5y) | ||
| Ramnarine Ramdhani | Registered representative | Jun 2021 (5y) | ||
| Raymond Samuel Pavicich | Registered representative | Jun 2021 (5y) | ||
| Rhys Garcia Pablo | Registered representative | Jun 2021 (5y) | ||
| Richard Patrick Pauli | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Richard William Catucci | Registered representative | Jun 2021 (5y) | ||
| Robert Capra | Registered representative | CFP | Jun 2021 (5y) | |
| Robert Gary Diamond | Registered representative | Jun 2021 (5y) | ||
| Robert J Pimpinella | Registered representative | Jun 2021 (5y) | ||
| Robert Joseph Scrivens | Registered representative | CFP | Jun 2021 (5y) | |
| Robert Priest | Registered representative | Jun 2021 (5y) | ||
| Robert Prusiewicz | Registered representative | Jun 2021 (5y) | ||
| Robert S Vitiello | Registered representative | Jun 2021 (5y) | ||
| Robert Scott Cohen | Registered representative | Jun 2021 (5y) | ||
| Rocco Berardi | Registered representative | Jun 2021 (5y) | ||
| Ronald Bennett Lee | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Ronald C. Scott | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Ronald Francis Moskala | Registered representative | Jun 2021 (5y) | ||
| Ronald Goodman | Registered representative | Jun 2021 (5y) | ||
| Ronnie Don Bentoff | Registered representative | Jun 2021 (5y) | ||
| Rory Jordan Zipper | Registered representative | Jun 2021 (5y) | ||
| Russell Donath | Registered representative | Jun 2021 (5y) | ||
| Russell Jay Rolnick | Registered representative | CFP | Jun 2021 (5y) | |
| Ryan Charles Kane | Registered representative | Jun 2021 (5y) | ||
| Salvatore Rosario Tringali | Registered representative | Jun 2021 (5y) | ||
| Samantha Clark | Registered representative | Jun 2021 (5y) | ||
| Samuel Andrew Leonard | Registered representative | Jun 2021 (5y) | ||
| Samuel Leib Zaidman | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Samuel Ross Gugliuzza | Registered representative | Jun 2021 (5y) | ||
| Scott Ditzell | Registered representative | Jun 2021 (5y) | ||
| Scott Joseph Menta | Registered representative | Jun 2021 (5y) | ||
| Scott Marcin | Registered representative | Jun 2021 (5y) | ||
| Shah Irfan Gorgani | Registered representative | Jun 2021 (5y) | ||
| Sharon Thompson Dilorenzo | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Sidney Joseph Weinstock | Registered representative | Jun 2021 (5y) | ||
| Sigrid Goltz | Registered representative | Jun 2021 (5y) | ||
| Sonalika Ramnani | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Soofia F Naqvi | Registered representative | Jun 2021 (5y) | ||
| Stephen Marc Seligman | Registered representative | Jun 2021 (5y) | ||
| Stephen Paul Carr | Registered representative | Jun 2021 (5y) | ||
| Steven James Bellon | Registered representative | CFP | Jun 2021 (5y) | |
| Steven Lajka | Registered representative | Jun 2021 (5y) | ||
| Steven Michael Grzelka | Registered representative | Jun 2021 (5y) | ||
| Steven Novick | Registered representative | Jun 2021 (5y) | ||
| Sunita Bajaj | Registered representative | Jun 2021 (5y) | ||
| Susan Lynn Davis | Registered representative | Jun 2021 (5y) | ||
| Susy Li Young Chang | Registered representative | Jun 2021 (5y) | ||
| Sydney Joseph Khedouri | Registered representative | Jun 2021 (5y) | ||
| Tadas Vincent Petkevicius | Registered representative | Jun 2021 (5y) | ||
| Tevin Rudolph Hodge | Registered representative | Jun 2021 (5y) | ||
| Thomas E Weiss | Registered representative | Jun 2021 (5y) | ||
| Timothy Alan Stalker | Registered representative | Jun 2021 (5y) | ||
| Timothy Patrick Downing | Registered representative | Jun 2021 (5y) | ||
| Todd John Mcdonald | Registered representative | Jun 2021 (5y) | ||
| Tomislav Govorcin | Registered representative | Jun 2021 (5y) | ||
| Tracy Lillian Deer | Registered representative | CFP | Jun 2021 (5y) | |
| Victor A. Tomasulo | Registered representative | Jun 2021 (5y) | ||
| Victor Anthony Falci | Registered representative | Jun 2021 (5y) | ||
| Vincent Lecce | Registered representative | Jun 2021 (5y) | ||
| Vincent Peter Delrosso | Registered representative | Jun 2021 (5y) | ||
| Vincent Steve Trimarco | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| W Keith Schmidt | Registered representative | Jun 2021 (5y) | ||
| Warren A Pena | Registered representative | CFP | Jun 2021 (5y) | |
| William Albert Patterson | Registered representative | Jun 2021 (5y) | ||
| William Charles Riechert | Registered representative | Jun 2021 (5y) | ||
| William H Horan | Registered representative | Jun 2021 (5y) | ||
| William Howard Vanevera | Registered representative | Jun 2021 (5y) | ||
| William I Matteson | Registered representative | Jun 2021 (5y) | ||
| William Mark Norkin | Registered representative | Jun 2021 (5y) | ||
| William Pergola | Registered representative | Jun 2021 (5y) | ||
| William Randall Wyrozub | Registered representative | Jun 2021 (5y) | ||
| Ying Hong Huang | Registered representative | Jun 2021 (5y) | ||
| Ying Ling Eileen Zhang | Registered representative | Jun 2021 (5y) | ||
| Youkyung Kim | Registered representative | Jun 2021 (5y) | ||
| Jennifer Anne Stucka | Registered representative | Jun 2021 (5y) | ||
| Michael Sean Orentlich | Registered representative | Jun 2021 (5y) | ||
| John M Doyle | Registered representative | Jun 2021 (5y) | ||
| Robert Peter Bourque | Registered representative | Jun 2021 (5y) | ||
| John Eric Carlson | Registered representative | Jun 2021 (5y) | ||
| Brian Antonio Madrigal | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Timothy Patrick Curran | Registered representative | CFP | Jun 2021 (5y) | |
| Justin Andrew Meyer | Registered representative | Jun 2021 (5y) | ||
| Mary Jane Schroeder | Registered representative | Jun 2021 (5y) | ||
| Christopher Reynolds Oconnor | Registered representative | Jun 2021 (5y) | ||
| Daniel Guerra | Registered representative | Jun 2021 (5y) | ||
| David Freno | Registered representative | CFP | Jun 2021 (5y) | |
| Robert William Clayton | Registered representative | Jun 2021 (5y) | ||
| Charles Prince | Registered representative | Jun 2021 (5y) | ||
| Stephen Weigner | Registered representative | Jun 2021 (5y) | ||
| Nicholas Gregory Olivares | Registered representative | Jun 2021 (5y) | ||
| Nicholas Anthony Stinson | Registered representative | Jun 2021 (5y) | ||
| Patrick Ralph Pilla | Registered representative | Jul 2021 (5y) | ||
| Drew Gee | Registered representative | Jul 2021 (5y) | ||
| Patrick William O'rourke | Registered representative | Jul 2021 (5y) | ||
| Samuel Stuart Gruehn | Registered representative | Jul 2021 (5y) | ||
| Sophia Belilovskiy | Registered representative | Jul 2021 (5y) | ||
| Edward Eric Zang | Registered representative | Jul 2021 (5y) | ||
| Geoffrey Lowell Allan Pyke | Registered representative | Jul 2021 (5y) | ||
| Carl Eugene Olson | Registered representative | Jul 2021 (5y) | ||
| Niccolas Vincent James Hernandez | Registered representative | Jul 2021 (5y) | ||
| Sam Scott Stritchko | Registered representative | Jul 2021 (5y) | ||
| Victoria Joy Avedesian | Registered representative | Jul 2021 (5y) | ||
| Kristen Olsziewski | Registered representative | Jul 2021 (5y) | ||
| Jack David Patten | Registered representative | Jul 2021 (5y) | ||
| Noah James Douglas | Registered representative | Jul 2021 (5y) | ||
| Tricia Pape | Registered representative | Jul 2021 (5y) | ||
| William Edwin Moody | Registered representative | CFP | Jul 2021 (5y) | |
| Kenneth B Baron | Registered representative | CFP | Jul 2021 (5y) | |
| Charles Albert Logue | Registered representative | Aug 2021 (5y) | ||
| Ian Michael Sylves | Registered representative | Aug 2021 (5y) | ||
| Ryan William Paisley | Registered representative | Aug 2021 (5y) | ||
| Matthew Alexander Westphal | Registered representative | Aug 2021 (5y) | ||
| Nilay S Patel | Registered representative | Aug 2021 (5y) | ||
| Nicholas Dobie | Registered representative | CFP | Aug 2021 (5y) | |
| Michael P Lacey | Registered representative | Aug 2021 (5y) | ||
| Paul Michael Sinaly | Registered representative | Aug 2021 (5y) | ||
| Mark Andrew Uzzell | Registered representative | Aug 2021 (5y) | ||
| Michael Scott Enos | Registered representative | Aug 2021 (5y) | ||
| Scott Laurence Simon | Registered representative | Aug 2021 (5y) | ||
| Joe Lee | Registered representative | Aug 2021 (5y) | ||
| Timothy James Whitney | Registered representative | Aug 2021 (5y) | ||
| Brooks Taylor Pitaniello | Registered representative | Aug 2021 (5y) | ||
| Daniel Velazquez | Registered representative | Aug 2021 (5y) | ||
| Graham Thomas Miller | Registered representative | Aug 2021 (5y) | ||
| Rocco Benedict Bonazza | Registered representative | Aug 2021 (5y) | ||
| Austin Coristine | Registered representative | Aug 2021 (5y) | ||
| Alexander Santiago Alequin | Registered representative | Aug 2021 (5y) | ||
| John Kyle Annas | Registered representative | Aug 2021 (5y) | ||
| Laura Gilchrist | Registered representative | Aug 2021 (5y) | ||
| James Ryan Glaser | Registered representative | Aug 2021 (5y) | ||
| Robert Rosenberg | Registered representative | CFP | Aug 2021 (5y) | |
| Chris Jensen | Registered representative | Aug 2021 (5y) | ||
| Melissa L Rodriguez | Registered representative | Aug 2021 (5y) | ||
| Christopher Marc Bertinelli | Registered representative | Aug 2021 (5y) | ||
| Emily Reading | Registered representative | Aug 2021 (5y) | ||
| Michael Girasole | Registered representative | Aug 2021 (5y) | ||
| Mayra Alejandra Corrada Fernandez | Registered representative | Aug 2021 (5y) | ||
| Robert J Link | Registered representative | Aug 2021 (5y) | ||
| Milton Gorsuch White | Registered representative | Aug 2021 (5y) | ||
| Manik Singh Nindra | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Shawn Bradley | Registered representative | Aug 2021 (5y) | ||
| William Michael De Mayo | Registered representative | CFP | Aug 2021 (5y) | |
| Gregory Joseph Caturano | Registered representative | CFP | Sep 2021 (5y) | |
| Michael Anthony Nigro | Registered representative | Sep 2021 (5y) | ||
| Jaime Kobin | Registered representative | CFP | Sep 2021 (5y) | |
| Ian Carbone | Registered representative | Sep 2021 (5y) | ||
| Brady Haupt | Registered representative | Sep 2021 (5y) | ||
| Dominic Bisirri | Registered representative | Sep 2021 (5y) | ||
| James S Boyd | Registered representative | CFP | Sep 2021 (5y) | |
| Domenick George Snook | Registered representative | Sep 2021 (5y) | ||
| Matthew Dieker | Registered representative | Sep 2021 (5y) | ||
| Lucas Robert Amell | Registered representative | Sep 2021 (5y) | ||
| Roger Stephen Szczypien | Registered representative | Sep 2021 (5y) | ||
| Parker Andrew Reynolds | Registered representative | CFP | Sep 2021 (5y) | |
| Thomas Walter Janovic | Registered representative | Sep 2021 (5y) | ||
| Christian Manuel Estrada | Registered representative | Sep 2021 (5y) | ||
| Daken John Vanderburg | Registered representative | CFA | Sep 2021 (5y) | |
| Kevin Ellsworth Myers | Registered representative | Sep 2021 (5y) | ||
| Austin Anthony Aguilar | Registered representative | Oct 2021 (5y) | ||
| Gabriel Schulman | Registered representative | Oct 2021 (5y) | ||
| Patrick Matthew Curley | Registered representative | CFP | Oct 2021 (5y) | |
| Connor Conforto | Registered representative | Oct 2021 (5y) | ||
| Jose Luis Novoa | Registered representative | Oct 2021 (5y) | ||
| Kerry Ray Hendrix | Registered representative | Oct 2021 (5y) | ||
| Zachary William Kammeraad | Registered representative | CFP | Oct 2021 (5y) | |
| David Moshe Shamash | Registered representative | Oct 2021 (5y) | ||
| Thomas Cosgriff | Registered representative | Oct 2021 (5y) | ||
| Derek Daniel Frame | Registered representative | Oct 2021 (5y) | ||
| Benjamin Alexander Kleinschmidt | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Mariana Isabel Ruiz Posada | Registered representative | Oct 2021 (5y) | ||
| Christopher Neil Jenkins | Registered representative | Oct 2021 (5y) | ||
| Gavriel Epstein | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Karen Elizabeth Schoeller | Registered representative | Oct 2021 (5y) | ||
| Morgan Sund | Registered representative | CFP | Oct 2021 (5y) | |
| Ellen Jean Bauers | Registered representative | Nov 2021 (5y) | ||
| Paul Joseph Scioli | Registered representative | Nov 2021 (5y) | ||
| Alison Mills Gardner | Registered representative | Nov 2021 (5y) | ||
| Anthony Lynn Cross | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Adam Brian Bykowski | Registered representative | Nov 2021 (5y) | ||
| Michael Edwin Fleming | Registered representative | Nov 2021 (5y) | ||
| Michael Lane Muncy | Registered representative | Nov 2021 (5y) | ||
| Barry Franklin Johnson | Registered representative | CFP Chartered Financial Consultant | Nov 2021 (5y) | |
| Benjamin Michael Muirhead | Registered representative | Nov 2021 (5y) | ||
| Brian Kelly Pitaniello | Registered representative | Nov 2021 (5y) | ||
| Charles Christopher Matt | Registered representative | Nov 2021 (5y) | ||
| Frank Melvin Stogner | Registered representative | Nov 2021 (5y) | ||
| George Phelps Becknell | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Hershel Sterling Meriwether | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| James Lloyd Jahnsen | Registered representative | Nov 2021 (5y) | ||
| Jay Ronald Eagan | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Julie Lynn Bird | Registered representative | Nov 2021 (5y) | ||
| Mickey Lynn Ray | Registered representative | Nov 2021 (5y) | ||
| Michael La Costa | Registered representative | Nov 2021 (5y) | ||
| Patrick Francis Thuecks | Registered representative | Nov 2021 (5y) | ||
| Paul Joseph Scioli | Registered representative | Nov 2021 (5y) | ||
| Peter Matthew Lewis | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Richard Charles Kuriger | Registered representative | Nov 2021 (5y) | ||
| Ryan Michael Hill | Registered representative | Nov 2021 (5y) | ||
| Sebastien Watters Cassu | Registered representative | Nov 2021 (5y) | ||
| Stuart Randall Romal | Registered representative | Nov 2021 (5y) | ||
| Thomas Scott Maples | Registered representative | Nov 2021 (5y) | ||
| Waymon Howard Little | Registered representative | Nov 2021 (5y) | ||
| Holly Brown Clapp | Registered representative | CFP | Nov 2021 (5y) | |
| Jennifer O Kelly Dickson | Registered representative | Nov 2021 (5y) | ||
| Van Alan Echols | Registered representative | CFP | Nov 2021 (5y) | |
| Christopher Mcroberts Smith | Registered representative | Nov 2021 (5y) | ||
| Patrick Ruhland | Registered representative | Nov 2021 (5y) | ||
| William Joseph Ward | Registered representative | Nov 2021 (5y) | ||
| Kelli Hampton | Registered representative | Dec 2021 (5y) | ||
| Jeffrey J Wohlfahrt | Registered representative | Dec 2021 (5y) | ||
| Thomas Joseph Rogers | Registered representative | Dec 2021 (5y) | ||
| Christopher Aaron Miller | Registered representative | Dec 2021 (5y) | ||
| Luke Grabowski | Registered representative | Dec 2021 (5y) | ||
| Anthony Joseph Marino | Registered representative | Dec 2021 (5y) | ||
| Sarah Stackpole | Registered representative | Dec 2021 (5y) | ||
| Brian Keith Mc Koy | Registered representative | Dec 2021 (5y) | ||
| Jameson Dance Bunger | Registered representative | Dec 2021 (5y) | ||
| Angelantonio L Ciaglia | Registered representative | Dec 2021 (5y) | ||
| Liam Campbell | Registered representative | Dec 2021 (5y) | ||
| Caleb Ryan Hamlin | Registered representative | Dec 2021 (5y) | ||
| John Thomas Murphy | Registered representative | Dec 2021 (5y) | ||
| Dawn Tyra Tobin | Registered representative | Dec 2021 (5y) | ||
| Joseph Patrick Kazlau | Registered representative | Dec 2021 (5y) | ||
| Peter Klein | Registered representative | Jan 2022 (5y) | ||
| Raymond John Pedrick | Registered representative | CFP | Jan 2022 (5y) | |
| Timothy Joseph Tedesco | Registered representative | Jan 2022 (5y) | ||
| Jared Hill | Registered representative | CFP | Jan 2022 (5y) | |
| Jeffrey Harold Duncan | Registered representative | Jan 2022 (5y) | ||
| Justin Winkelman | Registered representative | Jan 2022 (5y) | ||
| Kellen Noel Hardy | Registered representative | CFP | Jan 2022 (5y) | |
| Lucas Ciabattoni | Registered representative | CFA | Jan 2022 (5y) | |
| Mallory Nicole Immethun | Registered representative | Jan 2022 (5y) | ||
| Paul David Ferrante | Registered representative | Jan 2022 (5y) | ||
| Fang Gu | Registered representative | Jan 2022 (5y) | ||
| Robert Sean Mc Kernan | Registered representative | Jan 2022 (5y) | ||
| Michael Stephen Farrell | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Molly Anne Konefes | Registered representative | Jan 2022 (5y) | ||
| Peter Marino Colianni | Registered representative | Jan 2022 (5y) | ||
| Paul Francois Dechadenedes | Registered representative | Jan 2022 (5y) | ||
| Timothy Ryan Smith | Registered representative | Jan 2022 (5y) | ||
| Liam Thomas Mcgann | Registered representative | Jan 2022 (5y) | ||
| Caren Ng Malitsky | Registered representative | Jan 2022 (5y) | ||
| Samantha Seabury Vona | Registered representative | Jan 2022 (5y) | ||
| Shulem Ehrenfeld | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Anastasia Markovna Surmava | Registered representative | Jan 2022 (5y) | ||
| Ja Rashande Graham Smith | Registered representative | Jan 2022 (5y) | ||
| Jonathan David Goldman | Registered representative | Jan 2022 (5y) | ||
| Mauricio Coutinho Trabuco | Registered representative | Jan 2022 (5y) | ||
| Robert Matthew Schraeder | Registered representative | Jan 2022 (5y) | ||
| Ryan William Orvis | Registered representative | Jan 2022 (5y) | ||
| Scott Torello | Registered representative | Jan 2022 (5y) | ||
| Joseph John Glavinich | Registered representative | Feb 2022 (4y) | ||
| Samantha Ann Coulombe | Registered representative | Feb 2022 (4y) | ||
| James Christopher Zervas | Registered representative | Feb 2022 (4y) | ||
| Francis J Maguire | Registered representative | Feb 2022 (4y) | ||
| David Guangren Xi | Registered representative | Feb 2022 (4y) | ||
| Matthew Lawrence Kogan | Registered representative | Feb 2022 (4y) | ||
| Helen Elizabeth Hamilton | Registered representative | Feb 2022 (4y) | ||
| Justin Pelletier | Registered representative | Feb 2022 (4y) | ||
| Lucas Krier | Registered representative | Feb 2022 (4y) | ||
| David March | Registered representative | Feb 2022 (4y) | ||
| Jeffrey Dean Hollifield | Registered representative | Feb 2022 (4y) | ||
| Jeffrey Gaier | Registered representative | CFP | Feb 2022 (4y) | |
| Wayne Mark Bartolacci | Registered representative | Feb 2022 (4y) | ||
| Christopher Isaac Hernandez | Registered representative | Feb 2022 (4y) | ||
| Jorge Gonzalez | Registered representative | Feb 2022 (4y) | ||
| William Joseph Pfeifer Iii | Registered representative | Feb 2022 (4y) | ||
| Lukas Michael Charles Foley | Registered representative | Feb 2022 (4y) | ||
| Thomas Patrick Zanovich | Registered representative | Feb 2022 (4y) | ||
| Stacy Suzanne Segal | Registered representative | Feb 2022 (4y) | ||
| William Stirling Pittman | Registered representative | Feb 2022 (4y) | ||
| Christopher Edward Distefano | Registered representative | CFP | Mar 2022 (4y) | |
| Rafael Jorge Roca | Registered representative | Mar 2022 (4y) | ||
| Charles Idemudia | Registered representative | Mar 2022 (4y) | ||
| Anthony Stephen Degli Obizzi | Registered representative | Mar 2022 (4y) | ||
| Joshua Richard Waterman | Registered representative | Mar 2022 (4y) | ||
| Justin William Allen | Registered representative | CFP | Mar 2022 (4y) | |
| Sean Taylor Stodart | Registered representative | Mar 2022 (4y) | ||
| Sean Patrick Joiner | Registered representative | Mar 2022 (4y) | ||
| Beau Rylie Yurkevicius | Registered representative | Mar 2022 (4y) | ||
| Kelly Louise Davis | Registered representative | Mar 2022 (4y) | ||
| Lloyd H Polmateer | Registered representative | Mar 2022 (4y) | ||
| Noah Z Kahn | Registered representative | Mar 2022 (4y) | ||
| Isabella M Brunk | Registered representative | Mar 2022 (4y) | ||
| Denise J Daley | Registered representative | Mar 2022 (4y) | ||
| L Maurice Rowe | Registered representative | Mar 2022 (4y) | ||
| Francis P Lowery | Registered representative | Mar 2022 (4y) | ||
| James Blake Sypher | Registered representative | Mar 2022 (4y) | ||
| Lee Stipp | Registered representative | Mar 2022 (4y) | ||
| William L Dudley | Registered representative | CFP | Mar 2022 (4y) | |
| David Edward Schoening | Registered representative | CFP | Mar 2022 (4y) | |
| Jack Reynolds Edwards | Registered representative | Apr 2022 (4y) | ||
| Brian Donald Book | Registered representative | Apr 2022 (4y) | ||
| Christopher W Foder | Registered representative | Apr 2022 (4y) | ||
| Daniel De Sena | Registered representative | Apr 2022 (4y) | ||
| David Dong Hyun Park | Registered representative | Apr 2022 (4y) | ||
| Kenneth P Bowley | Registered representative | Apr 2022 (4y) | ||
| Matthew Robert Fletcher | Registered representative | Apr 2022 (4y) | ||
| Stanton Lohrengel | Registered representative | Apr 2022 (4y) | ||
| Benton Paul Garrison | Registered representative | Apr 2022 (4y) | ||
| Tyler Mc Intire Jordan | Registered representative | CFP | Apr 2022 (4y) | |
| Evan Robert Hays | Registered representative | Apr 2022 (4y) | ||
| Trey Austin Campbell | Registered representative | Apr 2022 (4y) | ||
| Joel Blanco Gilhang | Registered representative | Apr 2022 (4y) | ||
| Julia Patterson | Registered representative | Apr 2022 (4y) | ||
| Benjamin Martin Dubinski | Registered representative | Apr 2022 (4y) | ||
| Christopher Masato Mc Kinley | Registered representative | CFP | Apr 2022 (4y) | |
| Robert L Brooks | Registered representative | Apr 2022 (4y) | ||
| Samuel Toskin | Registered representative | Apr 2022 (4y) | ||
| Jason Morris Sebell | Registered representative | Apr 2022 (4y) | ||
| Jordana Barnett | Registered representative | Apr 2022 (4y) | ||
| Thomas Michael Giovanoli | Registered representative | Apr 2022 (4y) | ||
| Sheri Ann Delisle | Registered representative | Apr 2022 (4y) | ||
| Andrew Howrigan | Registered representative | Apr 2022 (4y) | ||
| Tyler League | Registered representative | May 2022 (4y) | ||
| Matthew J Grace | Registered representative | May 2022 (4y) | ||
| Malcolm Louis Terrell | Registered representative | May 2022 (4y) | ||
| Shane Norris | Registered representative | May 2022 (4y) | ||
| Richard Lee Bloom | Registered representative | May 2022 (4y) | ||
| Paul Joseph Castellano | Registered representative | May 2022 (4y) | ||
| David Alexander Zacharias | Registered representative | May 2022 (4y) | ||
| Ian R Hastings | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Joseph R D'amore | Registered representative | CFP | May 2022 (4y) | |
| Chadwick R Noyes | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Matthew John Mattimore | Registered representative | May 2022 (4y) | ||
| Matthew Francis Catania | Registered representative | May 2022 (4y) | ||
| Brian R Dougher | Registered representative | May 2022 (4y) | ||
| Christopher Daniel Poston | Registered representative | May 2022 (4y) | ||
| David Grazi | Registered representative | May 2022 (4y) | ||
| Spencer Allen Kamoni | Registered representative | CFP | May 2022 (4y) | |
| Tiffany A Hoff | Registered representative | May 2022 (4y) | ||
| Ryan Louis Mclaughlin | Registered representative | CFP | May 2022 (4y) | |
| Benjamin S Taylor | Registered representative | Jun 2022 (4y) | ||
| Holly Amber Hatfield | Registered representative | Jun 2022 (4y) | ||
| Javier Perez | Registered representative | Jun 2022 (4y) | ||
| Cameron Monette | Registered representative | Jun 2022 (4y) | ||
| Donald Vincent Cericola | Registered representative | Jun 2022 (4y) | ||
| Robert Charles Chase | Registered representative | Jun 2022 (4y) | ||
| Alexander Arthur Aderman | Registered representative | Chartered Financial Consultant | Jun 2022 (4y) | |
| Shahzeib Parvez | Registered representative | Jun 2022 (4y) | ||
| Colen W La Plante | Registered representative | Jun 2022 (4y) | ||
| Shalom Moldavski | Registered representative | Jun 2022 (4y) | ||
| Dana Shelley Beden | Registered representative | Jun 2022 (4y) | ||
| Steven Andrew Gasparian | Registered representative | Jun 2022 (4y) | ||
| Jason P Watson | Registered representative | Jun 2022 (4y) | ||
| Michael Anthony Cogliano | Registered representative | Jun 2022 (4y) | ||
| Michael John Mc Geoghan | Registered representative | CFP CFA | Jun 2022 (4y) | |
| Janet Kerr Rinker | Registered representative | Jun 2022 (4y) | ||
| William John Kostecki | Registered representative | Jun 2022 (4y) | ||
| Adrian Javier Amaya | Registered representative | Jun 2022 (4y) | ||
| Christopher Michael Hodgson | Registered representative | Jun 2022 (4y) | ||
| Carson Stimpson | Registered representative | Jun 2022 (4y) | ||
| Zachary Baldwin Sims | Registered representative | Jun 2022 (4y) | ||
| James Craig Chesser | Registered representative | Jun 2022 (4y) | ||
| Kadishe Limani | Registered representative | Jun 2022 (4y) | ||
| Zachary Czaplicki | Registered representative | Jun 2022 (4y) | ||
| Ralph Lawrence Peeples | Registered representative | Jul 2022 (4y) | ||
| Christopher Russell Cuccia | Registered representative | Jul 2022 (4y) | ||
| Todd William Schultz | Registered representative | Jul 2022 (4y) | ||
| Steve Grossbard | Registered representative | Jul 2022 (4y) | ||
| Ryan E Riggs | Registered representative | CFP Chartered Financial Consultant | Jul 2022 (4y) | |
| Daniel Robert Hoffmann | Registered representative | Jul 2022 (4y) | ||
| Marquisse Dewayne Taylor | Registered representative | Jul 2022 (4y) | ||
| Emily Forte | Registered representative | Jul 2022 (4y) | ||
| Hunter Pitaniello | Registered representative | Jul 2022 (4y) | ||
| Michael Thomas Peasley | Registered representative | Jul 2022 (4y) | ||
| Christopher Jordan Gregory | Registered representative | Jul 2022 (4y) | ||
| Lee Gary Weinstein | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Justin Wells | Registered representative | Jul 2022 (4y) | ||
| Joseph A Midili | Registered representative | Jul 2022 (4y) | ||
| Reid Ashford Barber | Registered representative | Jul 2022 (4y) | ||
| Daniel Boehm | Registered representative | Jul 2022 (4y) | ||
| John Walter Depaola | Registered representative | CFP Chartered Financial Consultant | Jul 2022 (4y) | |
| Leslie A Morgan | Registered representative | CFP | Jul 2022 (4y) | |
| Michael Richard Briggs | Registered representative | Jul 2022 (4y) | ||
| Sandra Scanni | Registered representative | Jul 2022 (4y) | ||
| William Jay Sanders | Registered representative | Aug 2022 (4y) | ||
| Andrew Scott Klein | Registered representative | Aug 2022 (4y) | ||
| Michael J C Kniess | Registered representative | Aug 2022 (4y) | ||
| Austin Tackmann | Registered representative | Aug 2022 (4y) | ||
| Quincy Francis West | Registered representative | Aug 2022 (4y) | ||
| Kevin Michael Mullaney | Registered representative | Aug 2022 (4y) | ||
| Luke Niemeyer | Registered representative | Aug 2022 (4y) | ||
| Anthony Patrick Wight | Registered representative | CFP | Aug 2022 (4y) | |
| Paul Thomas Swift | Registered representative | Aug 2022 (4y) | ||
| Justin Nicholaus Hennessey | Registered representative | CFP Chartered Financial Consultant | Aug 2022 (4y) | |
| Peter John Cadieux | Registered representative | Aug 2022 (4y) | ||
| Kristi Acree | Registered representative | Aug 2022 (4y) | ||
| Mauro Gonzalez | Registered representative | Aug 2022 (4y) | ||
| Kevin R Hill | Registered representative | Aug 2022 (4y) | ||
| Jeffry Coolidge Campbell | Registered representative | Aug 2022 (4y) | ||
| Antonio Keala Bale | Registered representative | Aug 2022 (4y) | ||
| Arthur E Daube | Registered representative | Aug 2022 (4y) | ||
| Dennis Charles Jumper | Registered representative | Aug 2022 (4y) | ||
| Dwayne Kenneth Demond | Registered representative | CFP Chartered Financial Consultant | Aug 2022 (4y) | |
| James M Castro | Registered representative | Aug 2022 (4y) | ||
| Vitangelo Recchia | Registered representative | Sep 2022 (4y) | ||
| Robert Michael Fichter | Registered representative | Sep 2022 (4y) | ||
| Anthony M. Spinelli | Registered representative | Sep 2022 (4y) | ||
| Everette Meade Seay | Registered representative | Sep 2022 (4y) | ||
| Jesus Orlando Pineda | Registered representative | Sep 2022 (4y) | ||
| Walker Jones | Registered representative | Sep 2022 (4y) | ||
| Anna Dinh | Registered representative | Sep 2022 (4y) | ||
| Mitchell Edwin Dean | Registered representative | Sep 2022 (4y) | ||
| Prerak Patel | Registered representative | Sep 2022 (4y) | ||
| Thomas Nicholas Bindbeutel | Registered representative | Sep 2022 (4y) | ||
| Gregory Shawn Barnett | Registered representative | Sep 2022 (4y) | ||
| Addison John Degen | Registered representative | Sep 2022 (4y) | ||
| Gregg Alan Knudten | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| Robert Jeffrey Ross | Registered representative | Sep 2022 (4y) | ||
| Kurt Thomas Lippincott | Registered representative | CFA | Sep 2022 (4y) | |
| Francis Joseph Mara | Registered representative | Sep 2022 (4y) | ||
| Matthew Kochen | Registered representative | Sep 2022 (4y) | ||
| Austin Ryan Farmer | Registered representative | Sep 2022 (4y) | ||
| John Joseph Trepanier | Registered representative | CFP | Sep 2022 (4y) | |
| Charlene Renee Flick | Registered representative | Sep 2022 (4y) | ||
| Jeffrey Max Minkos | Registered representative | Sep 2022 (4y) | ||
| Steven Dauglash | Registered representative | Sep 2022 (4y) | ||
| Stephen Charles Mc Clellan | Registered representative | Oct 2022 (4y) | ||
| Brian Scott Gallacher | Registered representative | CFP | Oct 2022 (4y) | |
| Connor Davis | Registered representative | Oct 2022 (4y) | ||
| Danielle Couture | Registered representative | Oct 2022 (4y) | ||
| Vincent Silvio | Registered representative | CFP | Oct 2022 (4y) | |
| Carmella Marie Stamm | Registered representative | Oct 2022 (4y) | ||
| Michaela Marie Paige Gould | Registered representative | CFP | Oct 2022 (4y) | |
| Brendan Sean Daly | Registered representative | Oct 2022 (4y) | ||
| Robert Milton Cornett | Registered representative | Oct 2022 (4y) | ||
| Sierra Mercedes Gibson | Registered representative | Oct 2022 (4y) | ||
| Delaszo Isaiah Smith | Registered representative | Oct 2022 (4y) | ||
| Kamron Chris Wootton | Registered representative | Oct 2022 (4y) | ||
| Dillon Matthew Smith | Registered representative | CFP | Oct 2022 (4y) | |
| Timothy Tyler Jones | Registered representative | Oct 2022 (4y) | ||
| Lucas Bianculli | Registered representative | Oct 2022 (4y) | ||
| Henry Daniel Hernandez | Registered representative | Oct 2022 (4y) | ||
| Jameson Robert Lett | Registered representative | Oct 2022 (4y) | ||
| Larry Scott Olthoff | Registered representative | Nov 2022 (4y) | ||
| Sergei Yelizarov | Registered representative | Nov 2022 (4y) | ||
| John Joseph Serrecchia | Registered representative | Nov 2022 (4y) | ||
| Kevin Michael Stroiney | Registered representative | Nov 2022 (4y) | ||
| Adam F Potulski | Registered representative | Nov 2022 (4y) | ||
| John Stephen Matthews | Registered representative | Nov 2022 (4y) | ||
| Justin Solo | Registered representative | Dec 2022 (4y) | ||
| Kindle C Rudolph | Registered representative | Dec 2022 (4y) | ||
| Jonathan Evan Berniger | Registered representative | Dec 2022 (4y) | ||
| Tucker James Landry | Registered representative | Dec 2022 (4y) | ||
| Tyler Rae Lank | Registered representative | Dec 2022 (4y) | ||
| Benjamin David Bauer | Registered representative | Dec 2022 (4y) | ||
| Charles H. Krahmer | Registered representative | Dec 2022 (4y) | ||
| Timothy Michael Rickard | Registered representative | CFP | Dec 2022 (4y) | |
| Christopher Stockstrom | Registered representative | Dec 2022 (4y) | ||
| Christopher Blaine Plummer | Registered representative | Dec 2022 (4y) | ||
| Shaun Bernstein | Registered representative | Jan 2023 (4y) | ||
| Jeffrey Rodman Benson | Registered representative | Jan 2023 (4y) | ||
| Tyler Emery Brown | Registered representative | Jan 2023 (4y) | ||
| Ashley Judice Thayer | Registered representative | Jan 2023 (4y) | ||
| Christopher Joseph Scoffone | Registered representative | Jan 2023 (4y) | ||
| Samuel E Thorp Nichols | Registered representative | CFP | Jan 2023 (4y) | |
| Brandon Beckham | Registered representative | CFP | Jan 2023 (4y) | |
| Jacklyn Naselli | Registered representative | Jan 2023 (4y) | ||
| Anthony Paul Basciano | Registered representative | Jan 2023 (4y) | ||
| Bradford Valois | Registered representative | Jan 2023 (4y) | ||
| Shane Minks | Registered representative | Jan 2023 (4y) | ||
| David James Smarrelli | Registered representative | Chartered Financial Consultant | Jan 2023 (4y) | |
| Zachary Tyler Buster | Registered representative | CFP | Jan 2023 (4y) | |
| Anthony Gerard Pagano | Registered representative | Chartered Financial Consultant | Jan 2023 (4y) | |
| Cody Reid Cabler | Registered representative | Jan 2023 (4y) | ||
| Frank Joseph Newman | Registered representative | CFP Chartered Financial Consultant | Jan 2023 (4y) | |
| Nathan James Duncan | Registered representative | Jan 2023 (4y) | ||
| Derek Knight Fairchild | Registered representative | Jan 2023 (4y) | ||
| Robert Dylan Rose | Registered representative | Jan 2023 (4y) | ||
| Matthew Delphais | Registered representative | Jan 2023 (4y) | ||
| Gabriel Palacios | Registered representative | CFP Chartered Financial Consultant | Jan 2023 (4y) | |
| Joshua Joseph Felice | Registered representative | CFP | Jan 2023 (4y) | |
| Theodore Alphonse Boulay | Registered representative | Jan 2023 (4y) | ||
| Nicholas Martino | Registered representative | Jan 2023 (4y) | ||
| Thomas Bohanon | Registered representative | Jan 2023 (4y) | ||
| Joseph Carroll Thomas | Registered representative | Jan 2023 (4y) | ||
| Cynthia Lynn Bryant | Registered representative | Jan 2023 (4y) | ||
| Michael N Kouroupakis | Registered representative | Jan 2023 (4y) | ||
| Omar Rahman Azeez | Registered representative | Jan 2023 (4y) | ||
| Alejandro Pena | Registered representative | Jan 2023 (4y) | ||
| Addie Noelle Kolling | Registered representative | Jan 2023 (4y) | ||
| De Von Arandus Pruitt | Registered representative | Jan 2023 (4y) | ||
| Cole William Billington | Registered representative | CFP | Jan 2023 (4y) | |
| Lynn Hall Ballinger | Registered representative | CFP | Jan 2023 (4y) | |
| Samuel Eli Paul | Registered representative | Jan 2023 (4y) | ||
| Matthew Hadley | Registered representative | Jan 2023 (4y) | ||
| Mitchell Mendel | Registered representative | Jan 2023 (4y) | ||
| Benjamin Mackebee Hunter | Registered representative | Feb 2023 (4y) | ||
| Christopher Duke | Registered representative | CFA | Feb 2023 (4y) | |
| Mark Molowa | Registered representative | CFP | Feb 2023 (3y) | |
| Marco Mizrahi | Registered representative | Feb 2023 (3y) | ||
| William Mitchell Marino | Registered representative | CFP | Feb 2023 (3y) | |
| Daniel Joseph Flynn | Registered representative | Feb 2023 (3y) | ||
| Guhan Mohan | Registered representative | CFP | Feb 2023 (3y) | |
| Richard Jorge | Registered representative | Feb 2023 (3y) | ||
| Ferdinand Louis Fiastro | Registered representative | Feb 2023 (3y) | ||
| Christopher Roy Smith | Registered representative | Feb 2023 (3y) | ||
| Matthew Mabbitt | Registered representative | Feb 2023 (3y) | ||
| Peter Everett Cassell | Registered representative | Feb 2023 (3y) | ||
| Robert Smith | Registered representative | Feb 2023 (3y) | ||
| Brian Edmund Sigwart | Registered representative | CFP | Feb 2023 (3y) | |
| Chase Andrew Chick | Registered representative | Feb 2023 (3y) | ||
| Jackson Lathrop | Registered representative | Feb 2023 (3y) | ||
| Wesley Russell Warren | Registered representative | Feb 2023 (3y) | ||
| Aron Maddox | Registered representative | Feb 2023 (3y) | ||
| Christopher John Bradley | Registered representative | Feb 2023 (3y) | ||
| Curtis Paul Meyer | Registered representative | Feb 2023 (3y) | ||
| Robert F Ryan | Registered representative | Feb 2023 (3y) | ||
| Eli John Hopkins | Registered representative | Feb 2023 (3y) | ||
| Gil Elmaleh | Registered representative | Feb 2023 (3y) | ||
| Braxton Jared Stofferahn | Registered representative | Feb 2023 (3y) | ||
| Miriam Mc Millan Powers | Registered representative | Feb 2023 (3y) | ||
| Sanjay Prasad | Registered representative | CFP | Mar 2023 (3y) | |
| Juan Carlos Alfaro Campos | Registered representative | Mar 2023 (3y) | ||
| Samuel John Lusardi | Registered representative | Mar 2023 (3y) | ||
| Timothy J Korwin | Registered representative | Mar 2023 (3y) | ||
| Michael Morelli | Registered representative | Mar 2023 (3y) | ||
| Hunter Herschell | Registered representative | Mar 2023 (3y) | ||
| Nicholas Petrole | Registered representative | Mar 2023 (3y) | ||
| Daniel Grove | Registered representative | Mar 2023 (3y) | ||
| Daphine Laverne Ates | Registered representative | Mar 2023 (3y) | ||
| Alexander G. Glancy | Registered representative | Mar 2023 (3y) | ||
| Christopher Panza | Registered representative | Mar 2023 (3y) | ||
| Joshua Ryan Mansavage | Registered representative | Mar 2023 (3y) | ||
| Matthew Ryan Young | Registered representative | Mar 2023 (3y) | ||
| Brandi Marie Palomo | Registered representative | Mar 2023 (3y) | ||
| Brett Humphrey | Registered representative | Mar 2023 (3y) | ||
| Nilesh M Patel | Registered representative | Mar 2023 (3y) | ||
| William Francis Summers | Registered representative | Mar 2023 (3y) | ||
| Mark Anthony Teh | Registered representative | Mar 2023 (3y) | ||
| Payton Nicole Vitale Warner | Registered representative | Mar 2023 (3y) | ||
| Daniel Timothy Schmaltz | Registered representative | CFP | Mar 2023 (3y) | |
| Jeffrey Burgess | Registered representative | Mar 2023 (3y) | ||
| Thomas Guido Ambrosi | Registered representative | Mar 2023 (3y) | ||
| Karen Elizabeth Bliss | Registered representative | Mar 2023 (3y) | ||
| Zachary Mitchell Cooper | Registered representative | Mar 2023 (3y) | ||
| Benjamin Roy Wagner | Registered representative | Mar 2023 (3y) | ||
| Stephen Robert Shaw | Registered representative | Mar 2023 (3y) | ||
| Jonathan Samuel Philbrook | Registered representative | Apr 2023 (3y) | ||
| Seth Howard Frimere | Registered representative | Apr 2023 (3y) | ||
| Heather Christine Le Compte | Registered representative | Apr 2023 (3y) | ||
| Brian William Ford | Registered representative | Apr 2023 (3y) | ||
| Moshe Feinstein | Registered representative | Apr 2023 (3y) | ||
| Brian Norton Caine | Registered representative | Apr 2023 (3y) | ||
| Dakota Adams | Registered representative | Apr 2023 (3y) | ||
| Gregory Paul Lowhorn | Registered representative | Apr 2023 (3y) | ||
| Stephen Edward Napier | Registered representative | Apr 2023 (3y) | ||
| Kevin Anthony Reich | Registered representative | Apr 2023 (3y) | ||
| Binyamin E Smith | Registered representative | Apr 2023 (3y) | ||
| Stephen Gerard Camarro | Registered representative | Apr 2023 (3y) | ||
| Christopher Michael Kyle | Registered representative | CFA | Apr 2023 (3y) | |
| Mark Christopher Meek | Registered representative | Apr 2023 (3y) | ||
| Michael John Ricci | Registered representative | Apr 2023 (3y) | ||
| James Banks Brown | Registered representative | Apr 2023 (3y) | ||
| Payton Poche | Registered representative | May 2023 (3y) | ||
| Richard Schembechler | Registered representative | May 2023 (3y) | ||
| Joseph Michael Kennedy | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Ryan Joshua Woolhiser | Registered representative | CFA | May 2023 (3y) | |
| Britton D Adams | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Sidney Noah Warrenbrand | Registered representative | May 2023 (3y) | ||
| Graham Grisoli | Registered representative | May 2023 (3y) | ||
| Colin Mathew Huber | Registered representative | May 2023 (3y) | ||
| Lauren Hesler | Registered representative | May 2023 (3y) | ||
| Christopher Mack Riggs | Registered representative | May 2023 (3y) | ||
| Katherine A Lewis | Registered representative | May 2023 (3y) | ||
| Raymond Di Sunno | Registered representative | May 2023 (3y) | ||
| William Bearden | Registered representative | May 2023 (3y) | ||
| Fred Harraka | Registered representative | May 2023 (3y) | ||
| Gabrielle Dawn Vigil | Registered representative | May 2023 (3y) | ||
| Jeffrey Louis Krowne | Registered representative | May 2023 (3y) | ||
| Ryan M Azinger | Registered representative | May 2023 (3y) | ||
| Anna V Dashkevich | Registered representative | CFP | May 2023 (3y) | |
| Stephen J Scuttaro | Registered representative | May 2023 (3y) | ||
| Joshua Lyndon Carter | Registered representative | May 2023 (3y) | ||
| Mitchell Brent Mass | Registered representative | CFP | May 2023 (3y) | |
| Drew Anthony Gainor | Registered representative | May 2023 (3y) | ||
| Matthew Jeffrey Hope | Registered representative | May 2023 (3y) | ||
| Eric Paul Kiel | Registered representative | Jun 2023 (3y) | ||
| Daniel Wayne Meredith | Registered representative | Jun 2023 (3y) | ||
| Robert William Clayton | Registered representative | Jun 2023 (3y) | ||
| Thomas A Wilander | Registered representative | Jun 2023 (3y) | ||
| Colin Thomas Chesser | Registered representative | Jun 2023 (3y) | ||
| Lynn Marie Bowser | Registered representative | Jun 2023 (3y) | ||
| Robert Michael Clark | Registered representative | Jun 2023 (3y) | ||
| Andrew Patrick Thomas | Registered representative | Jun 2023 (3y) | ||
| Jessica J Ciccarelli | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Joseph Michael Stoll | Registered representative | Jun 2023 (3y) | ||
| Luke Casmir Gawronski | Registered representative | CFP | Jun 2023 (3y) | |
| Guillermo Castro Aguirre | Registered representative | Jun 2023 (3y) | ||
| Anthony Alexander Castro Guzman | Registered representative | Jun 2023 (3y) | ||
| Justin Baack | Registered representative | Jun 2023 (3y) | ||
| Kai Arce | Registered representative | Jun 2023 (3y) | ||
| Aubrey E Vaughn | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Timothy James Over | Registered representative | Jun 2023 (3y) | ||
| Steven Karnig Johnian | Registered representative | Jun 2023 (3y) | ||
| Jeffrey Craig Shaughnessy | Registered representative | Jun 2023 (3y) | ||
| Rhonda M Growney | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Theodore John Koppy | Registered representative | Jun 2023 (3y) | ||
| Evan Allaire | Registered representative | Jul 2023 (3y) | ||
| Jeffrey Eugene Edwards | Registered representative | CFP | Jul 2023 (3y) | |
| Conner Rudolph | Registered representative | Jul 2023 (3y) | ||
| Shervin Sadr | Registered representative | Jul 2023 (3y) | ||
| Jeffrey William Lancaster | Registered representative | Jul 2023 (3y) | ||
| Ryan Doyle | Registered representative | Jul 2023 (3y) | ||
| William Allen Burger | Registered representative | Jul 2023 (3y) | ||
| Dallas Gibson | Registered representative | Jul 2023 (3y) | ||
| Samuel Kwun Pong Lau | Registered representative | Jul 2023 (3y) | ||
| Brian Abraham Bulger | Registered representative | Jul 2023 (3y) | ||
| William James Larson | Registered representative | Jul 2023 (3y) | ||
| Evan Centopani | Registered representative | Jul 2023 (3y) | ||
| Michael Arthur Juszczak | Registered representative | Jul 2023 (3y) | ||
| Tyler An | Registered representative | Jul 2023 (3y) | ||
| Dennis Paul Gorski | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Jacob P Smith | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Jonathan P Babin | Registered representative | Jul 2023 (3y) | ||
| Ryan Mac Donell | Registered representative | Jul 2023 (3y) | ||
| Ayinde J Shepherd | Registered representative | Jul 2023 (3y) | ||
| Christopher Michael Gendreau | Registered representative | Jul 2023 (3y) | ||
| Jordan Wright | Registered representative | Jul 2023 (3y) | ||
| Kearen Quinn Miller | Registered representative | Aug 2023 (3y) | ||
| Kristen Anne Storey | Registered representative | Aug 2023 (3y) | ||
| Kyle Baus | Registered representative | Aug 2023 (3y) | ||
| Michael T Saunders | Registered representative | Aug 2023 (3y) | ||
| Cody Lynch | Registered representative | Aug 2023 (3y) | ||
| Christine Marie Topping | Registered representative | Aug 2023 (3y) | ||
| Mark David Borak | Registered representative | Aug 2023 (3y) | ||
| Scott M Turner | Registered representative | CFP | Aug 2023 (3y) | |
| Zachary James Grady | Registered representative | CFP Chartered Financial Consultant | Aug 2023 (3y) | |
| Jonathan Beaubien | Registered representative | Aug 2023 (3y) | ||
| Steven Thomas Klimaszewski | Registered representative | CFP | Aug 2023 (3y) | |
| Jacob A. Rose | Registered representative | Aug 2023 (3y) | ||
| Christian Francis Messina | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Gino Russo | Registered representative | Aug 2023 (3y) | ||
| Brooks Christopher Berardi | Registered representative | Aug 2023 (3y) | ||
| Andrew R Roquet | Registered representative | Aug 2023 (3y) | ||
| Arthur Abraham Akopyan | Registered representative | Aug 2023 (3y) | ||
| Bailey Closser | Registered representative | Aug 2023 (3y) | ||
| Michael Schwed | Registered representative | Aug 2023 (3y) | ||
| Nathaniel Rafael Choo | Registered representative | Aug 2023 (3y) | ||
| Laura Dalessio | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Linda Arous Bestepe | Registered representative | Aug 2023 (3y) | ||
| Christopher Lee Burke | Registered representative | Aug 2023 (3y) | ||
| Michael Dean Pendergrass | Registered representative | Aug 2023 (3y) | ||
| Kody Lee Cook | Registered representative | Aug 2023 (3y) | ||
| Thomas Mayhew | Registered representative | Aug 2023 (3y) | ||
| John Daniel Penney | Registered representative | Aug 2023 (3y) | ||
| Bruce Jay Bauer | Registered representative | Aug 2023 (3y) | ||
| Daniel Ethan Lichtblau | Registered representative | Aug 2023 (3y) | ||
| David Matthew Brennan | Registered representative | CFA | Aug 2023 (3y) | |
| Jenny Qin Foraker | Registered representative | Aug 2023 (3y) | ||
| Frederick James Gillis | Registered representative | Sep 2023 (3y) | ||
| James Patrick Langham | Registered representative | Sep 2023 (3y) | ||
| Jameson Richard Goff | Registered representative | Sep 2023 (3y) | ||
| Jason Lettenberger | Registered representative | Sep 2023 (3y) | ||
| Michael Joseph Bremer | Registered representative | Sep 2023 (3y) | ||
| Woojin Shin | Registered representative | Sep 2023 (3y) | ||
| Alejandro Manuel Sepulveda Goss | Registered representative | Sep 2023 (3y) | ||
| John Willoughby Di Ruggiero | Registered representative | Sep 2023 (3y) | ||
| Luke Johnson | Registered representative | Sep 2023 (3y) | ||
| Alex Blaine Ferreira | Registered representative | Sep 2023 (3y) | ||
| Donald John Swanson | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Matthew Milikowsky | Registered representative | Sep 2023 (3y) | ||
| Nicholas Scott Foreman | Registered representative | CFP | Sep 2023 (3y) | |
| John Anthony Negovetich | Registered representative | Sep 2023 (3y) | ||
| Stephanie S Barnett | Registered representative | Sep 2023 (3y) | ||
| Zachary Thomas Wagner | Registered representative | Sep 2023 (3y) | ||
| Audrey Ellen Johnson | Registered representative | CFP | Sep 2023 (3y) | |
| Griffin Lyle Gaughran | Registered representative | Sep 2023 (3y) | ||
| Alexander Panos | Registered representative | Sep 2023 (3y) | ||
| John Darcy Nagel | Registered representative | Sep 2023 (3y) | ||
| Daniel Luntz | Registered representative | Sep 2023 (3y) | ||
| Swastik Sanjay Deshpande | Registered representative | Sep 2023 (3y) | ||
| Charles David Fazio | Registered representative | Sep 2023 (3y) | ||
| Marc Alan Seymour | Registered representative | Sep 2023 (3y) | ||
| Francis Dale Leidinger | Registered representative | Oct 2023 (3y) | ||
| Jack Walker | Registered representative | Oct 2023 (3y) | ||
| Vanessa Bento Koegler | Registered representative | Oct 2023 (3y) | ||
| Charles William Ransom | Registered representative | CFP | Oct 2023 (3y) | |
| Thomas Scott Anderson | Registered representative | Oct 2023 (3y) | ||
| Taylor Kenrich | Registered representative | Oct 2023 (3y) | ||
| Trevor Jordan Leo | Registered representative | Oct 2023 (3y) | ||
| Veronica Hillari Carrasquillo | Registered representative | Oct 2023 (3y) | ||
| Oliver Bruce Byers | Registered representative | Oct 2023 (3y) | ||
| Jorge Francisco Alifonso Castro | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Manuel Raposo Rosa | Registered representative | Oct 2023 (3y) | ||
| Audrey Kathleen Averill | Registered representative | Oct 2023 (3y) | ||
| Brian Ashley Anderson | Registered representative | CFP | Oct 2023 (3y) | |
| Michael Dimitrios Hoffman | Registered representative | CFP | Oct 2023 (3y) | |
| Colin Castro | Registered representative | Oct 2023 (3y) | ||
| Joel Norman | Registered representative | Oct 2023 (3y) | ||
| Peder Larson | Registered representative | Oct 2023 (3y) | ||
| Michael Taylor Brown | Registered representative | CFP | Oct 2023 (3y) | |
| Annie Chen | Registered representative | Oct 2023 (3y) | ||
| Kyle Erik Rasmussen | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Brandon Laurence Arens | Registered representative | Oct 2023 (3y) | ||
| Jake Austin Ritter | Registered representative | CFP | Oct 2023 (3y) | |
| Robert Willis Couse | Registered representative | Oct 2023 (3y) | ||
| Bryan J. Bonisteel | Registered representative | Nov 2023 (3y) | ||
| Nathan Chi Kong Chan | Registered representative | Nov 2023 (3y) | ||
| Robert Edmund Matricardi | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Christopher Lenz | Registered representative | Nov 2023 (3y) | ||
| David Masa Iwabuchi | Registered representative | Nov 2023 (3y) | ||
| Justin Roderick Massey | Registered representative | Nov 2023 (3y) | ||
| Timothy Jared Anderson | Registered representative | Nov 2023 (3y) | ||
| Anna Kathryn Sundvold | Registered representative | Nov 2023 (3y) | ||
| Stuart J Steckler | Registered representative | Nov 2023 (3y) | ||
| Justin M Carey | Registered representative | Nov 2023 (3y) | ||
| Hendry Nurjadi | Registered representative | Nov 2023 (3y) | ||
| Richard Charles Lewis | Registered representative | Nov 2023 (3y) | ||
| Nicholas Chad Pisorchik | Registered representative | Nov 2023 (3y) | ||
| Benjamin Mc Kinnon Marlor | Registered representative | Nov 2023 (3y) | ||
| Julieann Elizabeth Angie | Registered representative | Nov 2023 (3y) | ||
| Brian Harrison Pulsifer | Registered representative | Dec 2023 (3y) | ||
| Richard Woodruff Chewning | Registered representative | Dec 2023 (3y) | ||
| Weston Akin | Registered representative | Dec 2023 (3y) | ||
| Norman Randolph Jones | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Scott Edward Sylvainus | Registered representative | Dec 2023 (3y) | ||
| Clinton Shane Imes | Registered representative | Dec 2023 (3y) | ||
| Jeremy Allen Noyes | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Tyler Evans Dingler | Registered representative | Dec 2023 (3y) | ||
| Zeynep Mina Karadeniz | Registered representative | Dec 2023 (3y) | ||
| Michael Pappalardo | Registered representative | Jan 2024 (3y) | ||
| Charles Nicholas Ranich | Registered representative | Jan 2024 (3y) | ||
| Jack Richard Yvon | Registered representative | Jan 2024 (3y) | ||
| Brendan Gawel | Registered representative | Jan 2024 (3y) | ||
| Daniel Tobik | Registered representative | Jan 2024 (3y) | ||
| Jocelyn Jee Kim | Registered representative | Jan 2024 (3y) | ||
| Paul Randall Kaye | Registered representative | Jan 2024 (3y) | ||
| Alexandria Megan Williams | Registered representative | Jan 2024 (3y) | ||
| Brendan O Sullivan | Registered representative | Jan 2024 (3y) | ||
| Steven Kyle Sykes | Registered representative | Jan 2024 (3y) | ||
| Laura Fairweather | Registered representative | Jan 2024 (3y) | ||
| Samuel Fanning Marcus | Registered representative | Jan 2024 (3y) | ||
| James Douglas Willson | Registered representative | Jan 2024 (3y) | ||
| Matthew Louis Gagnon | Registered representative | Jan 2024 (3y) | ||
| Anthony Mark Lucidonio | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Bennett Lawrence | Registered representative | Jan 2024 (3y) | ||
| Mitchell John Wheeler | Registered representative | Jan 2024 (3y) | ||
| Nicholas Quagliani | Registered representative | Jan 2024 (3y) | ||
| Tylor J Mcdonald | Registered representative | Jan 2024 (3y) | ||
| Alvin Cornelius Floyd | Registered representative | Jan 2024 (3y) | ||
| Amy Madden | Registered representative | Jan 2024 (3y) | ||
| Corey David Jones | Registered representative | Jan 2024 (3y) | ||
| Kyneshia Hubbard | Registered representative | Jan 2024 (3y) | ||
| Davy Kwok | Registered representative | Jan 2024 (3y) | ||
| John B Troy | Registered representative | CFP | Jan 2024 (3y) | |
| Kevin Michael Grant | Registered representative | Jan 2024 (3y) | ||
| Vincent James Vaghi | Registered representative | Jan 2024 (3y) | ||
| Alec Key Bennett | Registered representative | Jan 2024 (3y) | ||
| Victor Manuel Marcelo | Registered representative | Jan 2024 (3y) | ||
| Alexander Brian Over | Registered representative | Jan 2024 (3y) | ||
| Grant Thomas Saari | Registered representative | Jan 2024 (3y) | ||
| Cullen Bradley Barnes | Registered representative | Jan 2024 (3y) | ||
| Paul M Provost | Registered representative | Jan 2024 (3y) | ||
| Eric Michael Fareri | Registered representative | Jan 2024 (3y) | ||
| Kyle Edward Setzer | Registered representative | Jan 2024 (3y) | ||
| Nicholas John Ellingsworth Perez | Registered representative | Jan 2024 (3y) | ||
| Salvatore Cava Piro | Registered representative | Jan 2024 (3y) | ||
| Alexander Wang | Registered representative | Jan 2024 (3y) | ||
| Andrew Michael Herpich | Registered representative | Jan 2024 (3y) | ||
| Christina Teresa Benintendi | Registered representative | Jan 2024 (3y) | ||
| Kyle Potenski | Registered representative | CFP | Jan 2024 (3y) | |
| Ricardo E Dager | Registered representative | Jan 2024 (3y) | ||
| Mason Fitzpatrick | Registered representative | Jan 2024 (3y) | ||
| Greggory Todd Lindquist | Registered representative | Jan 2024 (3y) | ||
| Mark Frank Testa | Registered representative | CFA | Jan 2024 (3y) | |
| Rachael Hagginbothom | Registered representative | Jan 2024 (3y) | ||
| Tyson Sears | Registered representative | CFP | Jan 2024 (3y) | |
| Brandon Edwards | Registered representative | Jan 2024 (3y) | ||
| Cameron Di Franco | Registered representative | Jan 2024 (3y) | ||
| David Auvil | Registered representative | Jan 2024 (3y) | ||
| Shane Colin Rapsey | Registered representative | Jan 2024 (3y) | ||
| Eduard Douglass Reed Fearon | Registered representative | Feb 2024 (3y) | ||
| Meghan Lee | Registered representative | Feb 2024 (3y) | ||
| Thomas Andrew Hunt | Registered representative | Feb 2024 (3y) | ||
| Robert Cole Martin | Registered representative | Feb 2024 (2y) | ||
| Julian Mathews | Registered representative | Feb 2024 (2y) | ||
| David P Quaglia | Registered representative | Feb 2024 (2y) | ||
| Craig James Millett | Registered representative | Feb 2024 (2y) | ||
| Reid Hamblet | Registered representative | Feb 2024 (2y) | ||
| Anthony Joseph Frierdich | Registered representative | Feb 2024 (2y) | ||
| Michael Lubrani | Registered representative | Feb 2024 (2y) | ||
| Jennifer Leigh Salemme | Registered representative | Feb 2024 (2y) | ||
| Matthew Joseph Whelan | Registered representative | Chartered Financial Consultant | Feb 2024 (2y) | |
| Scott Davies | Registered representative | Feb 2024 (2y) | ||
| Joseph Albert Kayal | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Bland Mc Crary | Registered representative | Feb 2024 (2y) | ||
| Jeremy Sklar | Registered representative | Feb 2024 (2y) | ||
| Alejandro Junior Camacho | Registered representative | Feb 2024 (2y) | ||
| Keith Maguire | Registered representative | Feb 2024 (2y) | ||
| Mark England | Registered representative | Feb 2024 (2y) | ||
| Adrian Nagy | Registered representative | Feb 2024 (2y) | ||
| Anthony Nicholas Pires | Registered representative | CFP Chartered Financial Consultant | Feb 2024 (2y) | |
| Eneko Aritz Clayton | Registered representative | Feb 2024 (2y) | ||
| Michael Dalton | Registered representative | CFP | Feb 2024 (2y) | |
| Jay K Devries | Registered representative | Mar 2024 (2y) | ||
| Jennifer K Boldt | Registered representative | Mar 2024 (2y) | ||
| Tejwant Singh Brar | Registered representative | Mar 2024 (2y) | ||
| Todd D Thomas | Registered representative | Mar 2024 (2y) | ||
| Tony Ryan Patterson | Registered representative | CFP | Mar 2024 (2y) | |
| Mark Weinstock | Registered representative | Mar 2024 (2y) | ||
| Troy Clements | Registered representative | Mar 2024 (2y) | ||
| Michael J Schano | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Anthony Cisek | Registered representative | Mar 2024 (2y) | ||
| Marzana Zaman | Registered representative | Mar 2024 (2y) | ||
| David Vafiadis | Registered representative | Mar 2024 (2y) | ||
| Jon Iosso | Registered representative | Mar 2024 (2y) | ||
| Taylor Eliot Langston | Registered representative | Mar 2024 (2y) | ||
| Joseph Philip Locrotondo | Registered representative | Mar 2024 (2y) | ||
| Rebecca Kathleen Gaylord | Registered representative | Mar 2024 (2y) | ||
| Bryan Atherton Greenleaf | Registered representative | Mar 2024 (2y) | ||
| Justin Manfredo | Registered representative | Mar 2024 (2y) | ||
| Noah Robert Fletcher | Registered representative | Mar 2024 (2y) | ||
| George Rinehart | Registered representative | Mar 2024 (2y) | ||
| Michelle E Janus | Registered representative | Mar 2024 (2y) | ||
| Debbie Mae Feest | Registered representative | Mar 2024 (2y) | ||
| Allen Jerome Williams | Registered representative | Mar 2024 (2y) | ||
| Amanda Jane Hedrick | Registered representative | Mar 2024 (2y) | ||
| Christopher M Covello | Registered representative | CFP | Mar 2024 (2y) | |
| Andrew J Thiermann | Registered representative | Mar 2024 (2y) | ||
| Alexander Kandelaki | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Matthew Thomas Heiar | Registered representative | Mar 2024 (2y) | ||
| Bennett Lewis Shull | Registered representative | Apr 2024 (2y) | ||
| James E Rose Iv | Registered representative | Apr 2024 (2y) | ||
| Joseph John O'shea | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Alyssa Marie Brinkman | Registered representative | Apr 2024 (2y) | ||
| Greta Gleiter | Registered representative | Apr 2024 (2y) | ||
| Noah Bleakley | Registered representative | Apr 2024 (2y) | ||
| Jay Weichen Ding | Registered representative | Apr 2024 (2y) | ||
| Pedro Juan Rodriguez Rivera | Registered representative | Apr 2024 (2y) | ||
| Stewart Kirby Parks | Registered representative | Apr 2024 (2y) | ||
| Dillon Patrick Barry | Registered representative | Apr 2024 (2y) | ||
| John Thomas Grill | Registered representative | Apr 2024 (2y) | ||
| Parker Aubrey Babbe | Registered representative | Apr 2024 (2y) | ||
| Sara Scardaci | Registered representative | Apr 2024 (2y) | ||
| Benjamin Haynes | Registered representative | Apr 2024 (2y) | ||
| Noah Christopher Hillegass | Registered representative | Apr 2024 (2y) | ||
| Bradley Bartkowiak | Registered representative | Apr 2024 (2y) | ||
| Parker Carmine Dellaquila | Registered representative | Apr 2024 (2y) | ||
| Taylor Bonniwell | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| David Luis Fernandez | Registered representative | Apr 2024 (2y) | ||
| Jason Andrew Webster | Registered representative | Apr 2024 (2y) | ||
| Kaden William Pickering | Registered representative | Apr 2024 (2y) | ||
| Ryan Edward Rocheck | Registered representative | Apr 2024 (2y) | ||
| Steven Michael Nigro | Registered representative | CFP CFA | Apr 2024 (2y) | |
| Kyle A Schmutte | Registered representative | Apr 2024 (2y) | ||
| Brendan D Burke | Registered representative | Apr 2024 (2y) | ||
| Brittany June Le Clair | Registered representative | Apr 2024 (2y) | ||
| Darren Michael Direnzo | Registered representative | Apr 2024 (2y) | ||
| Rafael Anibal Lopez | Registered representative | Apr 2024 (2y) | ||
| Jason Edward Rockwell | Registered representative | Apr 2024 (2y) | ||
| Kannan Gabriel Akins | Registered representative | Apr 2024 (2y) | ||
| Tristan Lee Parrotte | Registered representative | Apr 2024 (2y) | ||
| Lori Mansfield Christensen | Registered representative | Apr 2024 (2y) | ||
| Patrick Mac Intyre O'neill | Registered representative | Apr 2024 (2y) | ||
| John Charles Erb | Registered representative | Apr 2024 (2y) | ||
| Santo Dimino | Registered representative | May 2024 (2y) | ||
| Suprita Taparia | Registered representative | May 2024 (2y) | ||
| Paul N Vento | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Brian John Biggs | Registered representative | May 2024 (2y) | ||
| Brook Alexis Maziasz | Registered representative | May 2024 (2y) | ||
| Jonathan Nassimi | Registered representative | May 2024 (2y) | ||
| Yiukong Louie Lau | Registered representative | May 2024 (2y) | ||
| Aline Yurik | Registered representative | CFP | May 2024 (2y) | |
| Thomas Anthony Powers | Registered representative | May 2024 (2y) | ||
| Richard Francis Hennessy | Registered representative | May 2024 (2y) | ||
| Arthur Mikhailovich Kachur | Registered representative | May 2024 (2y) | ||
| Tyler Roberts | Registered representative | May 2024 (2y) | ||
| Dennis Matthew Carr | Registered representative | May 2024 (2y) | ||
| Gina L Maiden | Registered representative | May 2024 (2y) | ||
| Tyler Cavanagh Skvorak | Registered representative | May 2024 (2y) | ||
| Elisabeth Kostin | Registered representative | May 2024 (2y) | ||
| Nathan Lerman | Registered representative | May 2024 (2y) | ||
| Nicholas Sigismondi | Registered representative | May 2024 (2y) | ||
| Terrell Joyner | Registered representative | May 2024 (2y) | ||
| Theodore A Rogu | Registered representative | May 2024 (2y) | ||
| William H Yeung | Registered representative | May 2024 (2y) | ||
| Bryce Andrew Schintzius | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| Justin M La Rosa | Registered representative | May 2024 (2y) | ||
| Heather Brock Yetman | Registered representative | CFP | May 2024 (2y) | |
| John Joseph Salina | Registered representative | May 2024 (2y) | ||
| Margaret O. Moore | Registered representative | CFP | May 2024 (2y) | |
| Steven Dennis Randall | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Tyler Diebold | Registered representative | CFP | May 2024 (2y) | |
| Luke Alan Olney | Registered representative | May 2024 (2y) | ||
| Abbe Falk Large | Registered representative | May 2024 (2y) | ||
| Christopher Hayes | Registered representative | May 2024 (2y) | ||
| G Michael Papaz | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| George Patrick Mitchell | Registered representative | CFP | May 2024 (2y) | |
| Sophie Rose Lorenzo | Registered representative | May 2024 (2y) | ||
| Omar Khan | Registered representative | Jun 2024 (2y) | ||
| John Reid Pendley | Registered representative | Jun 2024 (2y) | ||
| Jordan Chapman | Registered representative | Jun 2024 (2y) | ||
| Aryeh Leib Teren | Registered representative | Jun 2024 (2y) | ||
| Jason Bert Frazier | Registered representative | CFP Chartered Financial Consultant | Jun 2024 (2y) | |
| Jawon Baik | Registered representative | Jun 2024 (2y) | ||
| Maxwell John Stanley | Registered representative | Jun 2024 (2y) | ||
| Daniel T Del Guercio | Registered representative | Jun 2024 (2y) | ||
| Michael Charles Enright | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Jonathan David Cohen | Registered representative | Jun 2024 (2y) | ||
| Patrick Michael Gallagher | Registered representative | Jun 2024 (2y) | ||
| Jenna Byrd | Registered representative | Jun 2024 (2y) | ||
| Victor Dominick Maccagnan | Registered representative | CFP Chartered Financial Consultant | Jun 2024 (2y) | |
| Paulo Jorge Ribeiro De Lemos | Registered representative | Jun 2024 (2y) | ||
| Joanne Amorosi | Registered representative | CFP | Jun 2024 (2y) | |
| Michael J Cole | Registered representative | CFP | Jun 2024 (2y) | |
| Nicholas Aaron Weschler | Registered representative | Jun 2024 (2y) | ||
| Patrick Vincent Domann | Registered representative | Jun 2024 (2y) | ||
| Michael David Lyubinsky | Registered representative | CFP | Jun 2024 (2y) | |
| Richard H Wells | Registered representative | Jun 2024 (2y) | ||
| Christian Robinson | Registered representative | Jun 2024 (2y) | ||
| Paul Matthew Rice | Registered representative | Jun 2024 (2y) | ||
| Samantha Michelle Corbitt | Registered representative | Jun 2024 (2y) | ||
| Jiaxuan Li | Registered representative | Jun 2024 (2y) | ||
| Matthew Smart | Registered representative | Jul 2024 (2y) | ||
| Chase Caldwell | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Peter Kelley | Registered representative | Jul 2024 (2y) | ||
| Kevin Barry Oneill | Registered representative | Jul 2024 (2y) | ||
| Matthew Conlon | Registered representative | Jul 2024 (2y) | ||
| Samuel Chamseddine | Registered representative | Jul 2024 (2y) | ||
| Joseph Gray Hedley | Registered representative | Jul 2024 (2y) | ||
| Andrew T Johnson | Registered representative | Jul 2024 (2y) | ||
| Sean Biolsi | Registered representative | Jul 2024 (2y) | ||
| Hunter Hall | Registered representative | Jul 2024 (2y) | ||
| Hannah Jean Kotsko | Registered representative | Jul 2024 (2y) | ||
| Paul Alexander Peterson | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Brian William Gibaldi | Registered representative | Jul 2024 (2y) | ||
| Francisco Javier Santiago Hernandez | Registered representative | Jul 2024 (2y) | ||
| Robert Stewart Scott | Registered representative | Jul 2024 (2y) | ||
| Duane Rollins | Registered representative | Jul 2024 (2y) | ||
| Mason G Neurath | Registered representative | Jul 2024 (2y) | ||
| Alexander Paul Balboni | Registered representative | Jul 2024 (2y) | ||
| Elizabeth Paxson Neal | Registered representative | Jul 2024 (2y) | ||
| Logan Andrew Hamrick | Registered representative | Jul 2024 (2y) | ||
| Edward Williams Ricker | Registered representative | Jul 2024 (2y) | ||
| Ryan Keith Mudge | Registered representative | Jul 2024 (2y) | ||
| Walter Roland | Registered representative | Jul 2024 (2y) | ||
| Brandan Chasteen | Registered representative | CFP | Jul 2024 (2y) | |
| Phillip Michael Fabry | Registered representative | Jul 2024 (2y) | ||
| Dawson Muth | Registered representative | Aug 2024 (2y) | ||
| James Francis Fergola | Registered representative | Aug 2024 (2y) | ||
| Patricia Anne Richeson | Registered representative | Aug 2024 (2y) | ||
| Albert Rhodes Wilson | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Jesse Thompson | Registered representative | Aug 2024 (2y) | ||
| Nyle Stephen Berkes | Registered representative | Aug 2024 (2y) | ||
| Daniel Green | Registered representative | Aug 2024 (2y) | ||
| Ryan Austin Curran | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Dylan James Mason | Registered representative | Aug 2024 (2y) | ||
| Thomas S Murray | Registered representative | Aug 2024 (2y) | ||
| Bryson Farley | Registered representative | Aug 2024 (2y) | ||
| James Charles Byrnes | Registered representative | Aug 2024 (2y) | ||
| Owen James Mc Mahon | Registered representative | Aug 2024 (2y) | ||
| Ronald Keith Warden | Registered representative | Aug 2024 (2y) | ||
| Kyung Eun Kim | Registered representative | CFP | Aug 2024 (2y) | |
| Christopher Scott Moquin | Registered representative | Aug 2024 (2y) | ||
| Ivan Obra Mattox | Registered representative | Aug 2024 (2y) | ||
| Louis Mario Natale | Registered representative | Aug 2024 (2y) | ||
| Meaghan Alyssa Price | Registered representative | Aug 2024 (2y) | ||
| Dawn Knasas | Registered representative | Aug 2024 (2y) | ||
| Audra Angela King | Registered representative | Aug 2024 (2y) | ||
| Eric Joseph Flores | Registered representative | Aug 2024 (2y) | ||
| Jacob Parent | Registered representative | Aug 2024 (2y) | ||
| Patrick Joseph Hurdle | Registered representative | Aug 2024 (2y) | ||
| Evan Thomas Noack | Registered representative | Aug 2024 (2y) | ||
| Jacob Cadena | Registered representative | Aug 2024 (2y) | ||
| Keiron Obrien | Registered representative | Aug 2024 (2y) | ||
| Timothy John Denton | Registered representative | Aug 2024 (2y) | ||
| Mateo Perez | Registered representative | Aug 2024 (2y) | ||
| Victor Tomasulo | Registered representative | Aug 2024 (2y) | ||
| Po Wei Chang | Registered representative | Aug 2024 (2y) | ||
| Drew William Patton | Registered representative | Aug 2024 (2y) | ||
| Jonathan Whitmore Hagan | Registered representative | Aug 2024 (2y) | ||
| Kenneth L Dean | Registered representative | Aug 2024 (2y) | ||
| Maria Abou Nassar | Registered representative | Aug 2024 (2y) | ||
| Stephen Anthony Stavrou | Registered representative | Aug 2024 (2y) | ||
| Lisa Louise Lauria | Registered representative | Sep 2024 (2y) | ||
| Tzvi Gedaliah Solomon | Registered representative | Sep 2024 (2y) | ||
| Yitao Huang | Registered representative | Sep 2024 (2y) | ||
| Ethan Barnes | Registered representative | Sep 2024 (2y) | ||
| Jacob Lamont Whitman | Registered representative | Sep 2024 (2y) | ||
| Jonathan Twito Rayle | Registered representative | Sep 2024 (2y) | ||
| Jakob Tucker Craven | Registered representative | Sep 2024 (2y) | ||
| Jason Amos Tan | Registered representative | Sep 2024 (2y) | ||
| Patrick Ryan Quinn | Registered representative | Sep 2024 (2y) | ||
| Brandon Douglas Stone | Registered representative | Sep 2024 (2y) | ||
| David Macchia | Registered representative | Sep 2024 (2y) | ||
| Jennifer L Calara | Registered representative | Sep 2024 (2y) | ||
| Adrian Voytelmgum | Registered representative | Sep 2024 (2y) | ||
| Samuel Rozenfeld | Registered representative | Sep 2024 (2y) | ||
| William Edward Thompson | Registered representative | Sep 2024 (2y) | ||
| Gavin Greer Esposito | Registered representative | Sep 2024 (2y) | ||
| Heather Shiver | Registered representative | Sep 2024 (2y) | ||
| Raffi Harout Hamassian | Registered representative | Sep 2024 (2y) | ||
| Collen Keifer | Registered representative | Sep 2024 (2y) | ||
| Cameron Lee Sell | Registered representative | Sep 2024 (2y) | ||
| Craig Allen Moquin | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Max Tyler Tominovich | Registered representative | Sep 2024 (2y) | ||
| Shawn Michael Zwick | Registered representative | Sep 2024 (2y) | ||
| Benjamin David Giese | Registered representative | CFP | Sep 2024 (2y) | |
| Carmelo Bruzzesi | Registered representative | Sep 2024 (2y) | ||
| Daniel Lavian | Registered representative | Sep 2024 (2y) | ||
| Aaron Michael Copple | Registered representative | Oct 2024 (2y) | ||
| Brendan J Conlon | Registered representative | Oct 2024 (2y) | ||
| Taher Assaf | Registered representative | Oct 2024 (2y) | ||
| Benjamin Drew Torgersen | Registered representative | Oct 2024 (2y) | ||
| Bradley Dennis Kast | Registered representative | Oct 2024 (2y) | ||
| George E Neste Gallisa | Registered representative | Oct 2024 (2y) | ||
| Peter Bouillon | Registered representative | Oct 2024 (2y) | ||
| Joseph William Brezden | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Michael Joseph Brezden | Registered representative | Oct 2024 (2y) | ||
| Benjamin Bagnato | Registered representative | CFP | Oct 2024 (2y) | |
| Neal M Desai | Registered representative | Oct 2024 (2y) | ||
| Tyler Dale Mote | Registered representative | Oct 2024 (2y) | ||
| Raymond P Blanar | Registered representative | Oct 2024 (2y) | ||
| Jackson Douglas Modico | Registered representative | Oct 2024 (2y) | ||
| Trevor David Kagan Lyne | Registered representative | Oct 2024 (2y) | ||
| Arthur Matthew Chen | Registered representative | Oct 2024 (2y) | ||
| Daniel Alan Harada | Registered representative | Oct 2024 (2y) | ||
| Brooke Natalie Bastiaans | Registered representative | Oct 2024 (2y) | ||
| Rebecca Marouski | Registered representative | Oct 2024 (2y) | ||
| John Patrick Lynch | Registered representative | Oct 2024 (2y) | ||
| Liam Thomas Whaley | Registered representative | Oct 2024 (2y) | ||
| Vincent Hu | Registered representative | Oct 2024 (2y) | ||
| Joseph W Jeffers | Registered representative | CFP | Oct 2024 (2y) | |
| Scott Drayer | Registered representative | Oct 2024 (2y) | ||
| Wade Phillip Hartman | Registered representative | CFP | Oct 2024 (2y) | |
| David Joseph Ferreira | Registered representative | Oct 2024 (2y) | ||
| John Carmen De Simone | Registered representative | Oct 2024 (2y) | ||
| Chaz James Newton | Registered representative | Oct 2024 (2y) | ||
| Matthew Lee Fleming | Registered representative | Oct 2024 (2y) | ||
| Vanessa Janette Beckman | Registered representative | CFP | Oct 2024 (2y) | |
| Garret Craig Aube | Registered representative | Oct 2024 (2y) | ||
| Alexander Michael Jakucs | Registered representative | Oct 2024 (2y) | ||
| Avery Law | Registered representative | Oct 2024 (2y) | ||
| Brian Louis Urciuoli | Registered representative | CFP | Oct 2024 (2y) | |
| Dolman Winston Vineyard | Registered representative | CFP | Oct 2024 (2y) | |
| Jacob Grauberger | Registered representative | Oct 2024 (2y) | ||
| Christopher Varela | Registered representative | Oct 2024 (2y) | ||
| Joseph Jackson Le Ger | Registered representative | Oct 2024 (2y) | ||
| Steven Stoner Sharp | Registered representative | Oct 2024 (2y) | ||
| Ashton David Stark | Registered representative | Oct 2024 (2y) | ||
| Hakop Jack Mavyan | Registered representative | Oct 2024 (2y) | ||
| Thomas Fischer | Registered representative | Oct 2024 (2y) | ||
| Joseph Zef Marnikovic | Registered representative | Nov 2024 (2y) | ||
| Andre Eduardo Sevilla | Registered representative | Nov 2024 (2y) | ||
| Jeffrey Peter Smithey | Registered representative | Nov 2024 (2y) | ||
| Ryan Charles Isenberger | Registered representative | Nov 2024 (2y) | ||
| James Martin Bassotti | Registered representative | Nov 2024 (2y) | ||
| Austin Hunt | Registered representative | Nov 2024 (2y) | ||
| Jamie Leann Wemhoff | Registered representative | Nov 2024 (2y) | ||
| John La France | Registered representative | Nov 2024 (2y) | ||
| Vance Litchfield | Registered representative | CFP Chartered Financial Consultant | Nov 2024 (2y) | |
| Michael Scott Rothberg | Registered representative | Nov 2024 (2y) | ||
| Stone Gregory Sinek | Registered representative | Nov 2024 (2y) | ||
| Brian Evans | Registered representative | Nov 2024 (2y) | ||
| Charles Richard Cohen | Registered representative | Nov 2024 (2y) | ||
| Angela Marie Moquin | Registered representative | Nov 2024 (2y) | ||
| Les Eisel | Registered representative | Nov 2024 (2y) | ||
| Anthony James Del Prete | Registered representative | Nov 2024 (2y) | ||
| Jacob Charles Gottenborg | Registered representative | Nov 2024 (2y) | ||
| Kyle William Mittelstadt | Registered representative | Nov 2024 (2y) | ||
| Michael William Cothern | Registered representative | Nov 2024 (2y) | ||
| Andrew J Blanchard | Registered representative | Nov 2024 (2y) | ||
| Joseph P Celiberti | Registered representative | Nov 2024 (2y) | ||
| Pouya Mohammad Jalili | Registered representative | Nov 2024 (2y) | ||
| George Calvin West | Registered representative | Nov 2024 (2y) | ||
| Tobias Mc Carthy | Registered representative | Nov 2024 (2y) | ||
| William Francis Flynn | Registered representative | Nov 2024 (2y) | ||
| Nicholas Pavao | Registered representative | Nov 2024 (2y) | ||
| Peter John Salvatori | Registered representative | Nov 2024 (2y) | ||
| Allison Marie Novak | Registered representative | Dec 2024 (2y) | ||
| James Robert Tschudy | Registered representative | Dec 2024 (2y) | ||
| Gabriel Kahler | Registered representative | Dec 2024 (2y) | ||
| Tyrone Ernest Matheny | Registered representative | Dec 2024 (2y) | ||
| Caroline Mira Lee Perry | Registered representative | Dec 2024 (2y) | ||
| Douglas James Perry | Registered representative | Dec 2024 (2y) | ||
| Dylan George Audi | Registered representative | Dec 2024 (2y) | ||
| Emma Margaret Lytle | Registered representative | CFP | Dec 2024 (2y) | |
| Peter Hyman | Registered representative | Dec 2024 (2y) | ||
| Brendan Michael Mc Donald | Registered representative | Dec 2024 (2y) | ||
| Christopher Ray Lewis | Registered representative | Dec 2024 (2y) | ||
| Andres De Jesus Ledesma | Registered representative | Dec 2024 (2y) | ||
| Jonathan Merwin Preston | Registered representative | CFP | Dec 2024 (2y) | |
| Kyle Tarver | Registered representative | Dec 2024 (2y) | ||
| Derek Cole Nuzum | Registered representative | Dec 2024 (2y) | ||
| James Evan Cummings | Registered representative | Dec 2024 (2y) | ||
| Karen Ho Ling Chan | Registered representative | Dec 2024 (2y) | ||
| Robert A Meertins | Registered representative | Dec 2024 (2y) | ||
| Steven J Brown | Registered representative | Dec 2024 (2y) | ||
| Michael Gunnar Mc Laughlin | Registered representative | Dec 2024 (2y) | ||
| Cade Roemmich | Registered representative | Dec 2024 (2y) | ||
| Sylvia Lee | Registered representative | Dec 2024 (2y) | ||
| Riva Lantaya | Registered representative | Dec 2024 (2y) | ||
| Silk Hedges | Registered representative | Dec 2024 (2y) | ||
| Ashwin Jb Mohan | Registered representative | Dec 2024 (2y) | ||
| Trevor William Macmeekin | Registered representative | Dec 2024 (2y) | ||
| Daniel Joseph Carlin | Registered representative | Dec 2024 (2y) | ||
| Joseph J Dolan | Registered representative | Dec 2024 (2y) | ||
| William Shane Robertson | Registered representative | Dec 2024 (2y) | ||
| Nikita Daniel Fidelia | Registered representative | Dec 2024 (2y) | ||
| James Brandon Story | Registered representative | Dec 2024 (2y) | ||
| Matthew Erhardt | Registered representative | Dec 2024 (2y) | ||
| Susan Claire Walter | Registered representative | Dec 2024 (2y) | ||
| Zachary J La Fave | Registered representative | Dec 2024 (2y) | ||
| Christopher Lu | Registered representative | Dec 2024 (2y) | ||
| Myrtis Tilman Hales | Registered representative | Dec 2024 (2y) | ||
| Cory Gaylord | Registered representative | Jan 2025 (2y) | ||
| Melinda Ann Dix | Registered representative | Jan 2025 (2y) | ||
| Gregory Ralph Capozzi | Registered representative | Jan 2025 (2y) | ||
| Jared Michael Tishler | Registered representative | Jan 2025 (2y) | ||
| Marcel Jullian Marsh | Registered representative | Jan 2025 (2y) | ||
| Aaron W Laramore | Registered representative | Jan 2025 (2y) | ||
| Brian Bossman | Registered representative | CFP | Jan 2025 (2y) | |
| Alyssa Ann Zito | Registered representative | Jan 2025 (2y) | ||
| Nicholas Paul Ferrie | Registered representative | Jan 2025 (2y) | ||
| Thomas Joesph Pompei | Registered representative | Jan 2025 (2y) | ||
| Austin River Sarmiento | Registered representative | Jan 2025 (2y) | ||
| Brynne Lee Kuberski Garris | Registered representative | CFP | Jan 2025 (2y) | |
| Joshua Curtis Sapp | Registered representative | Jan 2025 (2y) | ||
| Jackson Kuwata | Registered representative | Jan 2025 (2y) | ||
| Xiao Chen | Registered representative | Jan 2025 (2y) | ||
| Cole Lilley | Registered representative | Jan 2025 (2y) | ||
| Feng Zheng | Registered representative | Jan 2025 (2y) | ||
| Malachai Willey | Registered representative | Jan 2025 (2y) | ||
| Roberto Joel Rivera Leal | Registered representative | Jan 2025 (2y) | ||
| Benjamin Spence Minifie | Registered representative | Jan 2025 (2y) | ||
| Jacob Dunnam Peeples | Registered representative | Jan 2025 (2y) | ||
| Christian Evers | Registered representative | Jan 2025 (2y) | ||
| Jordan Tice | Registered representative | Jan 2025 (2y) | ||
| Arthur Steinkamp | Registered representative | Jan 2025 (2y) | ||
| Arjun Bhandari | Registered representative | Jan 2025 (2y) | ||
| Donald Scott Gondzar | Registered representative | Jan 2025 (2y) | ||
| Justin Horvath | Registered representative | Jan 2025 (2y) | ||
| Manuel Blanco | Registered representative | Jan 2025 (2y) | ||
| Tyler Kraft | Registered representative | Jan 2025 (2y) | ||
| Jason Thornton | Registered representative | Jan 2025 (2y) | ||
| Brian Reetz | Registered representative | Jan 2025 (2y) | ||
| Bryant Mitchel Recker | Registered representative | Jan 2025 (2y) | ||
| Gerald Michael Gray | Registered representative | Jan 2025 (2y) | ||
| Ian Malcolm Woodgate | Registered representative | Jan 2025 (2y) | ||
| Maximilian Mediavilla | Registered representative | Jan 2025 (2y) | ||
| Michael James Botto | Registered representative | Jan 2025 (2y) | ||
| Stephen Walsh Holderness | Registered representative | Jan 2025 (2y) | ||
| Daniel John Kearney | Registered representative | Jan 2025 (2y) | ||
| Jacob T Kranz | Registered representative | Jan 2025 (2y) | ||
| Samuel Gordon | Registered representative | Jan 2025 (2y) | ||
| Benjamin Jacob Zimbel | Registered representative | Jan 2025 (2y) | ||
| Cameron Henry Kremers | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Dirk E.S. Feather | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Jilmmy E Zevallos | Registered representative | Jan 2025 (2y) | ||
| Katharine Fowler Clark | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Ryan Mulligan | Registered representative | Jan 2025 (2y) | ||
| Catherine Joan Clarke | Registered representative | Jan 2025 (2y) | ||
| John Shane Knoernschild | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Michael James O'neill | Registered representative | Jan 2025 (2y) | ||
| Robert Everett Winsor | Registered representative | CFP | Jan 2025 (2y) | |
| Nicholas Carmine Fiore | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Bryan William Morrell | Registered representative | Jan 2025 (2y) | ||
| David James Thielke | Registered representative | Jan 2025 (2y) | ||
| Thomas Brian Brandt | Registered representative | Jan 2025 (2y) | ||
| Antonio Barcelo | Registered representative | Feb 2025 (1y) | ||
| Ernesto Jesus Barcelo | Registered representative | Feb 2025 (1y) | ||
| Daniel John Wethey | Registered representative | Feb 2025 (1y) | ||
| Maria A Delgado | Registered representative | CFP | Feb 2025 (1y) | |
| Cole Dickson Foley | Registered representative | Feb 2025 (1y) | ||
| Dorothy L Jones | Registered representative | Feb 2025 (1y) | ||
| Ryan Young | Registered representative | CFP | Feb 2025 (1y) | |
| Abigail Melissa White | Registered representative | Feb 2025 (1y) | ||
| Andrea June Morris | Registered representative | Feb 2025 (1y) | ||
| Ariel Nicole Bowie | Registered representative | Feb 2025 (1y) | ||
| Jonathan Michael Jones | Registered representative | Feb 2025 (1y) | ||
| Timothy Woodlock | Registered representative | Feb 2025 (1y) | ||
| Erika Diane Hays | Registered representative | Feb 2025 (1y) | ||
| Joshua Opdenbrouw | Registered representative | Feb 2025 (1y) | ||
| Sean Timothy Flanagan | Registered representative | Feb 2025 (1y) | ||
| Thomas Anthony Bishop | Registered representative | Feb 2025 (1y) | ||
| Charles Lee Betz | Registered representative | Feb 2025 (1y) | ||
| Dawn M Wheeler | Registered representative | Feb 2025 (1y) | ||
| Nikolaos John Manousos | Registered representative | Feb 2025 (1y) | ||
| Shawn Patrick Mcdonough | Registered representative | Feb 2025 (1y) | ||
| Cameron Falino | Registered representative | Feb 2025 (1y) | ||
| Dominic Pisanti | Registered representative | CFP | Feb 2025 (1y) | |
| Ronald Ostilio Sosa | Registered representative | Feb 2025 (1y) | ||
| Kimberly Speese | Registered representative | Feb 2025 (1y) | ||
| Zachary Clay William Berry | Registered representative | Feb 2025 (1y) | ||
| Jessica Nicole Fry | Registered representative | Feb 2025 (1y) | ||
| Patrick Michael Mc Cann | Registered representative | Feb 2025 (1y) | ||
| Bailey Harris Gilbert | Registered representative | Feb 2025 (1y) | ||
| Craig Despres | Registered representative | Feb 2025 (1y) | ||
| John Edward Dewey | Registered representative | Feb 2025 (1y) | ||
| Lori Ann Merchant | Registered representative | Feb 2025 (1y) | ||
| Marco Meriwether Giglio | Registered representative | Feb 2025 (1y) | ||
| Thomas Albert Cabral | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Adam Scott Berg | Registered representative | Feb 2025 (1y) | ||
| Jaylen Isaiah De Vries | Registered representative | Feb 2025 (1y) | ||
| Alec Drew Zager | Registered representative | Feb 2025 (1y) | ||
| Charles Colletta | Registered representative | Feb 2025 (1y) | ||
| Michael James Hickey | Registered representative | Feb 2025 (1y) | ||
| Ryan L Eck | Registered representative | Feb 2025 (1y) | ||
| Shane Spencer Smith | Registered representative | Feb 2025 (1y) | ||
| Andrew Salvatore Piatelli | Registered representative | CFP | Feb 2025 (1y) | |
| Ari Daniel Brooks | Registered representative | Feb 2025 (1y) | ||
| John Robert Mc Kay | Registered representative | CFP | Feb 2025 (1y) | |
| Brittni Sennett | Registered representative | Feb 2025 (1y) | ||
| Mark Joseph Mesco | Registered representative | Feb 2025 (1y) | ||
| Achu Tambi Akum | Registered representative | Feb 2025 (1y) | ||
| Charles Salina | Registered representative | Feb 2025 (1y) | ||
| Christopher Leone | Registered representative | Feb 2025 (1y) | ||
| Rachele Brianna Stivaletta | Registered representative | Feb 2025 (1y) | ||
| Thomas M Valentine | Registered representative | Feb 2025 (1y) | ||
| Katie Ann Hudson | Registered representative | Mar 2025 (1y) | ||
| Gary M Kauffman | Registered representative | Mar 2025 (1y) | ||
| Michael Friedman | Registered representative | CFA | Mar 2025 (1y) | |
| Brett A Nanna | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Charles Andrew Hall | Registered representative | Mar 2025 (1y) | ||
| Gale Robert Hopkins | Registered representative | Mar 2025 (1y) | ||
| Kenneth Robert Page | Registered representative | Mar 2025 (1y) | ||
| Michael Dare | Registered representative | Mar 2025 (1y) | ||
| Matthew Aaron Donalds | Registered representative | Mar 2025 (1y) | ||
| Nathan Michael Gregg | Registered representative | Mar 2025 (1y) | ||
| Rachel Maryyanek Davis | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Ashlyn Annelise Gibbs | Registered representative | Mar 2025 (1y) | ||
| Chan Si Huynh | Registered representative | Mar 2025 (1y) | ||
| Alexander J De Meis | Registered representative | Mar 2025 (1y) | ||
| Matthew David Fitzgerald | Registered representative | Mar 2025 (1y) | ||
| Nicholas Jonathan Sayer | Registered representative | CFA | Mar 2025 (1y) | |
| Matthew Ryan Mc Clintock | Registered representative | Mar 2025 (1y) | ||
| Michael Acosta | Registered representative | Mar 2025 (1y) | ||
| Enzo Neto | Registered representative | Mar 2025 (1y) | ||
| Zakkary Tyler Tracy | Registered representative | Mar 2025 (1y) | ||
| Samuel R Lush | Registered representative | Mar 2025 (1y) | ||
| Zachary Stagno | Registered representative | Mar 2025 (1y) | ||
| William Timothy Collins | Registered representative | Mar 2025 (1y) | ||
| Alexander Samuel Parker | Registered representative | Mar 2025 (1y) | ||
| Brenden William Kevelighan | Registered representative | Mar 2025 (1y) | ||
| Matthew E Rydell | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Michael Anthony Cordeiro | Registered representative | Mar 2025 (1y) | ||
| Matthew Erickson | Registered representative | CFP | Mar 2025 (1y) | |
| Curtis Joseph Stanford | Registered representative | Mar 2025 (1y) | ||
| Nathan Thomas Karol | Registered representative | Mar 2025 (1y) | ||
| Raymond Wong | Registered representative | Mar 2025 (1y) | ||
| Ashton Payne Larza | Registered representative | Mar 2025 (1y) | ||
| Christopher John Andrews | Registered representative | Mar 2025 (1y) | ||
| Elijah Joseph Kaufman | Registered representative | Mar 2025 (1y) | ||
| Kelly Angela Zurliene | Registered representative | Mar 2025 (1y) | ||
| Paul C Johns | Registered representative | Mar 2025 (1y) | ||
| Sharon Mary Perhac | Registered representative | Mar 2025 (1y) | ||
| Nathalie Maria Kallab Racimo | Registered representative | Mar 2025 (1y) | ||
| Augustine James Donofrio | Registered representative | Mar 2025 (1y) | ||
| George Robert Nelson | Registered representative | Mar 2025 (1y) | ||
| John Nelson Walker | Registered representative | Mar 2025 (1y) | ||
| Nicholas James Banks | Registered representative | Mar 2025 (1y) | ||
| Samuel T Alt | Registered representative | Mar 2025 (1y) | ||
| William Henry Crum | Registered representative | Mar 2025 (1y) | ||
| Chase Parker Fabio | Registered representative | Mar 2025 (1y) | ||
| Cesario Romeo Cavazos | Registered representative | CFP | Mar 2025 (1y) | |
| Hector Luis Otero Santos | Registered representative | Mar 2025 (1y) | ||
| Joseph Robert Hamilton | Registered representative | Mar 2025 (1y) | ||
| Justin James Simonini | Registered representative | CFP | Mar 2025 (1y) | |
| Matthew Amos Hettinga | Registered representative | Mar 2025 (1y) | ||
| Lucas W Gifford | Registered representative | Apr 2025 (1y) | ||
| Michael Sims | Registered representative | Apr 2025 (1y) | ||
| Stanislav Lisovskiy | Registered representative | Apr 2025 (1y) | ||
| Lauren Jean Mc Nally O'connell | Registered representative | Apr 2025 (1y) | ||
| Paul Anthony Rizzio | Registered representative | Apr 2025 (1y) | ||
| Shown Kumar | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Thomas Roger Sullivan | Registered representative | Apr 2025 (1y) | ||
| Beth Jean Johnson | Registered representative | Apr 2025 (1y) | ||
| Jared Ross Mactas | Registered representative | Apr 2025 (1y) | ||
| Kristina Marilyn Heckel | Registered representative | Apr 2025 (1y) | ||
| Ashley Nicole Johnson | Registered representative | Apr 2025 (1y) | ||
| Cole Stephen Mitchell | Registered representative | CFP | Apr 2025 (1y) | |
| Drake William Harris | Registered representative | Apr 2025 (1y) | ||
| Erik Alfonso Lora | Registered representative | Apr 2025 (1y) | ||
| James Putnam Silvester | Registered representative | Apr 2025 (1y) | ||
| Robert Mc Grath Millett | Registered representative | Apr 2025 (1y) | ||
| Jacob Alton Goodin | Registered representative | Apr 2025 (1y) | ||
| Seth Benjamin Levy | Registered representative | Apr 2025 (1y) | ||
| Edward Bonnefond Kerschner | Registered representative | Apr 2025 (1y) | ||
| Kyle J Kirkham | Registered representative | CFP | Apr 2025 (1y) | |
| Jacob Seeherman | Registered representative | Apr 2025 (1y) | ||
| David James Colangelo | Registered representative | Apr 2025 (1y) | ||
| Lauren Levy | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Alisha Marie Werner | Registered representative | Apr 2025 (1y) | ||
| John Winthrop Foley | Registered representative | CFP | Apr 2025 (1y) | |
| Sean Joseph Dunleavy | Registered representative | Apr 2025 (1y) | ||
| Josh Scott Vanfleteren | Registered representative | Apr 2025 (1y) | ||
| Ka Man Chan | Registered representative | Apr 2025 (1y) | ||
| Zoe Tauriello | Registered representative | CFP | Apr 2025 (1y) | |
| Bradley Zaffram | Registered representative | Apr 2025 (1y) | ||
| Harrison Thomas Schoettley | Registered representative | Apr 2025 (1y) | ||
| Michelle Elizabeth Goertz | Registered representative | Apr 2025 (1y) | ||
| Camrynn Wickenheiser | Registered representative | Apr 2025 (1y) | ||
| Claude Clay | Registered representative | Apr 2025 (1y) | ||
| Jennifer Phillips | Registered representative | Apr 2025 (1y) | ||
| Matthew Bennett | Registered representative | Apr 2025 (1y) | ||
| Matthew Joseph La Sala | Registered representative | CFP | Apr 2025 (1y) | |
| Pation Alexander Reynolds | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Paul Christopher Dettor | Registered representative | Apr 2025 (1y) | ||
| Thomas Brown | Registered representative | Apr 2025 (1y) | ||
| Alice Desdemona Rha | Registered representative | Apr 2025 (1y) | ||
| John Charles Navien | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Megan Margaret Conwell | Registered representative | Apr 2025 (1y) | ||
| Sophie Barrow | Registered representative | Apr 2025 (1y) | ||
| Beth Lynn Bohara | Registered representative | May 2025 (1y) | ||
| Elizabeth Zinchuk Stultz | Registered representative | May 2025 (1y) | ||
| Christopher Charles Mancini | Registered representative | May 2025 (1y) | ||
| David Michael Horine | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Jack Barth Priebe | Registered representative | CFP | May 2025 (1y) | |
| Lynn Marie Elmer | Registered representative | CFP | May 2025 (1y) | |
| Seth Kuhns | Registered representative | May 2025 (1y) | ||
| Anthony Levine | Registered representative | May 2025 (1y) | ||
| Daniel Ryan Calbo | Registered representative | May 2025 (1y) | ||
| Michael Brand | Registered representative | CFA | May 2025 (1y) | |
| Jason Leon Adkins | Registered representative | May 2025 (1y) | ||
| Joshua Ethan Barr | Registered representative | May 2025 (1y) | ||
| Renzo Mauricio Barredo | Registered representative | May 2025 (1y) | ||
| Rosanne Rolon Gil | Registered representative | May 2025 (1y) | ||
| Andrew Jacob Schmidt | Registered representative | May 2025 (1y) | ||
| Christina Zoppi | Registered representative | May 2025 (1y) | ||
| Jacob Christopher Engel | Registered representative | May 2025 (1y) | ||
| Jarrett Lee King | Registered representative | May 2025 (1y) | ||
| Jeremy Layne Helmcamp | Registered representative | May 2025 (1y) | ||
| Tara Beth Hauber | Registered representative | May 2025 (1y) | ||
| Jasmine Mikell | Registered representative | May 2025 (1y) | ||
| Kevin Brian Heninger | Registered representative | May 2025 (1y) | ||
| Lucas Pozzetta | Registered representative | May 2025 (1y) | ||
| Margaret E Simonds | Registered representative | May 2025 (1y) | ||
| Andrew Richard Szklinski | Registered representative | May 2025 (1y) | ||
| Samuel David Grodnick | Registered representative | May 2025 (1y) | ||
| April Wier | Registered representative | May 2025 (1y) | ||
| Sarah Anne Hofferica | Registered representative | May 2025 (1y) | ||
| Aaron Townsend Diaz | Registered representative | CFP | May 2025 (1y) | |
| Brian Gary Mayhall | Registered representative | May 2025 (1y) | ||
| Robert Michael Chester | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Christian Harden | Registered representative | May 2025 (1y) | ||
| Gavin Quinn | Registered representative | May 2025 (1y) | ||
| Lu Song | Registered representative | May 2025 (1y) | ||
| Michael Gusefski | Registered representative | May 2025 (1y) | ||
| Ahmed Boukhris | Registered representative | May 2025 (1y) | ||
| Emmett De Rome | Registered representative | May 2025 (1y) | ||
| Charles P Floeckher | Registered representative | CFP | May 2025 (1y) | |
| Chase Crandell | Registered representative | May 2025 (1y) | ||
| James Politis | Registered representative | CFP Chartered Financial Consultant | May 2025 (1y) | |
| Julia Mclaughlin Perry | Registered representative | May 2025 (1y) | ||
| Kyle Stanley | Registered representative | May 2025 (1y) | ||
| Sofia Victoria Martinez | Registered representative | May 2025 (1y) | ||
| Marsh Sirota Gardner | Registered representative | Jun 2025 (1y) | ||
| Na Gao | Registered representative | Jun 2025 (1y) | ||
| David Wayne Mercer | Registered representative | Jun 2025 (1y) | ||
| Cory Ryan Holman | Registered representative | Jun 2025 (1y) | ||
| Nityesh Arumugam | Registered representative | Jun 2025 (1y) | ||
| Jamar Carr | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Timothy Francis Porter | Registered representative | Jun 2025 (1y) | ||
| Christopher Brock Rickard | Registered representative | Jun 2025 (1y) | ||
| Walter Joseph Roland | Registered representative | Jun 2025 (1y) | ||
| Aaron Paul Rask | Registered representative | Jun 2025 (1y) | ||
| Julia Anne Tomei Schaefer | Registered representative | Jun 2025 (1y) | ||
| Julian Falcioni | Registered representative | Jun 2025 (1y) | ||
| Conor Shears | Registered representative | Jun 2025 (1y) | ||
| Jeremy Seon Mc Hale | Registered representative | Jun 2025 (1y) | ||
| Masataka William Scanlan | Registered representative | Jun 2025 (1y) | ||
| Graham Alexander Comeau | Registered representative | Jun 2025 (1y) | ||
| Phillip Neil Dangello | Registered representative | Jun 2025 (1y) | ||
| Tyler Kersey Charles Glasson | Registered representative | Jun 2025 (1y) | ||
| Charles Cook Schroeder | Registered representative | Jun 2025 (1y) | ||
| Cole Russell Essman | Registered representative | Jun 2025 (1y) | ||
| Kyle William Haskins | Registered representative | Jun 2025 (1y) | ||
| Kyle William Kuriloff | Registered representative | Jun 2025 (1y) | ||
| Shawn M Heckman | Registered representative | Jun 2025 (1y) | ||
| Desi G Berry | Registered representative | Jun 2025 (1y) | ||
| Jeffrey S Baron | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Chase Piatko | Registered representative | Jun 2025 (1y) | ||
| Christian Michael Natareno | Registered representative | Jun 2025 (1y) | ||
| Eric Douglas Miller | Registered representative | Jun 2025 (1y) | ||
| Michael Robert King | Registered representative | Jun 2025 (1y) | ||
| Blake Patrick Karcher | Registered representative | Jun 2025 (1y) | ||
| Jonathan Clark Wheeler | Registered representative | Jun 2025 (1y) | ||
| Mark Lester P Reyes | Registered representative | Jun 2025 (1y) | ||
| Anthony V Sambrato | Registered representative | CFP | Jun 2025 (1y) | |
| Christopher Wilson | Registered representative | Jun 2025 (1y) | ||
| Braden Michael Kocer | Registered representative | Jun 2025 (1y) | ||
| Caitlin Ila Gossett | Registered representative | Jun 2025 (1y) | ||
| Jeffery Robert Kruszka | Registered representative | Jun 2025 (1y) | ||
| Nicholas Haskell Paparo | Registered representative | Jun 2025 (1y) | ||
| Raymond Patrick Crane | Registered representative | Jun 2025 (1y) | ||
| Robert Wayne Romeo | Registered representative | CFP | Jun 2025 (1y) | |
| Justin Lacy | Registered representative | Jun 2025 (1y) | ||
| Domenic Joseph D'errico | Registered representative | Jun 2025 (1y) | ||
| Jorge Carlos Garrido | Registered representative | Jun 2025 (1y) | ||
| Anthony Pacheco Lima | Registered representative | Jun 2025 (1y) | ||
| Emily Marie Simcoke | Registered representative | CFP | Jun 2025 (1y) | |
| James Robert Griglun | Registered representative | CFP | Jun 2025 (1y) | |
| Gary John Thibeault | Registered representative | Jun 2025 (1y) | ||
| Maximo Trama | Registered representative | Jun 2025 (1y) | ||
| Richard Marion Cieslik | Registered representative | Jun 2025 (1y) | ||
| Gilles Adam Owen | Registered representative | Jul 2025 (1y) | ||
| Hayden Blake Cash | Registered representative | CFP | Jul 2025 (1y) | |
| Kamran Saghri | Registered representative | Jul 2025 (1y) | ||
| Kevin Baranello | Registered representative | Jul 2025 (1y) | ||
| Eamon Scanlon | Registered representative | Jul 2025 (1y) | ||
| Joseph Y Shih | Registered representative | Jul 2025 (1y) | ||
| Julia Maria Zumbach | Registered representative | Jul 2025 (1y) | ||
| Samantha Marie Krupczak | Registered representative | Jul 2025 (1y) | ||
| Lincoln Karris Sills | Registered representative | Jul 2025 (1y) | ||
| James William Lilley | Registered representative | Jul 2025 (1y) | ||
| Ryan Davidson | Registered representative | Jul 2025 (1y) | ||
| Anthony Joseph Gallucci | Registered representative | Jul 2025 (1y) | ||
| Jenna Rancourt | Registered representative | Jul 2025 (1y) | ||
| Alex John Lemarier | Registered representative | Jul 2025 (1y) | ||
| Joshua Michael Hoffman | Registered representative | Jul 2025 (1y) | ||
| Todd C Camp | Registered representative | Jul 2025 (1y) | ||
| Alexander Clayton Boehm | Registered representative | Jul 2025 (1y) | ||
| Erica Hubert | Registered representative | CFP | Jul 2025 (1y) | |
| Hanwool J Jung | Registered representative | Jul 2025 (1y) | ||
| Kalyna Carroll | Registered representative | Jul 2025 (1y) | ||
| Michael Paul Huddles | Registered representative | Jul 2025 (1y) | ||
| Justin Volence | Registered representative | Jul 2025 (1y) | ||
| Kareen Ietta Blake | Registered representative | Jul 2025 (1y) | ||
| Perry Edmond Brown | Registered representative | CFP | Jul 2025 (1y) | |
| Byron D Covington | Registered representative | Jul 2025 (1y) | ||
| Ben S David | Registered representative | Jul 2025 (1y) | ||
| Garrett Taylor Cathey | Registered representative | Jul 2025 (1y) | ||
| Matthew James Mullally | Registered representative | Jul 2025 (1y) | ||
| Max Gustaf Kalfjall | Registered representative | Jul 2025 (1y) | ||
| Sarah Elizabeth Henley | Registered representative | Jul 2025 (1y) | ||
| Kenneth Eric Stupski | Registered representative | Jul 2025 (1y) | ||
| Kyle J Funkhouser | Registered representative | Jul 2025 (1y) | ||
| Weston James Graddy | Registered representative | Jul 2025 (1y) | ||
| Barbara Jean Doyne | Registered representative | Jul 2025 (1y) | ||
| Kyu Ho Lee | Registered representative | Jul 2025 (1y) | ||
| Stephen Hirjak | Registered representative | Jul 2025 (1y) | ||
| Tatyana Karayeva | Registered representative | CFP | Jul 2025 (1y) | |
| Kevin R Eidell | Registered representative | Jul 2025 (1y) | ||
| Gabriel Louis Gould | Registered representative | Jul 2025 (1y) | ||
| Brendan Thomas Spillane | Registered representative | Jul 2025 (1y) | ||
| Courtney C Carberry | Registered representative | Jul 2025 (1y) | ||
| Griffin Scott Luke | Registered representative | Jul 2025 (1y) | ||
| Nancy Dabella Eagle | Registered representative | Jul 2025 (1y) | ||
| Benjamin Akyereko | Registered representative | Jul 2025 (1y) | ||
| Joshua Robert Burnham | Registered representative | Jul 2025 (1y) | ||
| Jack Preston Snavely | Registered representative | Jul 2025 (1y) | ||
| Richard A Sterling | Registered representative | Jul 2025 (1y) | ||
| Evan Coley Eggers | Registered representative | Jul 2025 (1y) | ||
| Sara Ahmad | Registered representative | Jul 2025 (1y) | ||
| Cristopher J Crisologo | Registered representative | Aug 2025 (1y) | ||
| John E Jacobson | Registered representative | Aug 2025 (1y) | ||
| Michael Di Franco | Registered representative | Aug 2025 (1y) | ||
| Patrick J Holmay | Registered representative | Aug 2025 (1y) | ||
| William Clifford Rodgers | Registered representative | Aug 2025 (1y) | ||
| Ignacio Calles | Registered representative | Aug 2025 (1y) | ||
| Aiden Louis Horn | Registered representative | Aug 2025 (1y) | ||
| Bonnie Sue Passannante | Registered representative | Aug 2025 (1y) | ||
| Nicholas B Da Bella | Registered representative | Aug 2025 (1y) | ||
| Cole David Shannon | Registered representative | Aug 2025 (1y) | ||
| Ikechi Urum Eke | Registered representative | Aug 2025 (1y) | ||
| Ashley Jade Mikhail | Registered representative | Aug 2025 (1y) | ||
| Charles James Noriega | Registered representative | Aug 2025 (1y) | ||
| Henry Andrew Vincent | Registered representative | CFP | Aug 2025 (1y) | |
| Charles Murphy | Registered representative | Aug 2025 (1y) | ||
| Michael Patrick Hand | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Noel Justin Kaminski | Registered representative | Aug 2025 (1y) | ||
| James Quincy Dean | Registered representative | Aug 2025 (1y) | ||
| Joshua Robert Caughey | Registered representative | Aug 2025 (1y) | ||
| Alexander Greco | Registered representative | Aug 2025 (1y) | ||
| Daniel Joseph Lupo | Registered representative | Aug 2025 (1y) | ||
| James W Allen | Registered representative | Aug 2025 (1y) | ||
| Karin Ruth | Registered representative | Aug 2025 (1y) | ||
| Kendall Suzanne Hill | Registered representative | Aug 2025 (1y) | ||
| Daniel John Dettlaff | Registered representative | Aug 2025 (1y) | ||
| Mark Alexander Monteiro | Registered representative | CFP | Aug 2025 (1y) | |
| Michael Joseph Dusek | Registered representative | Aug 2025 (1y) | ||
| Vidhi Sonani | Registered representative | Aug 2025 (1y) | ||
| Ian James Maldonado | Registered representative | Aug 2025 (1y) | ||
| Michael Di Filippo | Registered representative | Aug 2025 (1y) | ||
| Claire Kelly | Registered representative | Aug 2025 (1y) | ||
| Robert Michael Polletta | Registered representative | Aug 2025 (1y) | ||
| Mandeep Singh | Registered representative | Aug 2025 (1y) | ||
| Sean William Barwick | Registered representative | Aug 2025 (1y) | ||
| William Langston Laury | Registered representative | Aug 2025 (1y) | ||
| Paul Martin Ronzio | Registered representative | Aug 2025 (1y) | ||
| William Hampton Struss | Registered representative | CFA | Aug 2025 (1y) | |
| Andrew Sheehan Christensen | Registered representative | Aug 2025 (1y) | ||
| Cameron S Flasinski | Registered representative | Aug 2025 (1y) | ||
| Carson Rowland | Registered representative | Aug 2025 (1y) | ||
| Neal Andrew Taflinger | Registered representative | Aug 2025 (1y) | ||
| Richard David Schechter | Registered representative | Aug 2025 (1y) | ||
| Ryan James Griffin | Registered representative | CFP | Aug 2025 (1y) | |
| David James Krauklis | Registered representative | Aug 2025 (1y) | ||
| Noah Brian Ozgo | Registered representative | CFA | Aug 2025 (1y) | |
| Christina Marie Custodio Mendoza | Registered representative | Aug 2025 (1y) | ||
| Paskalis Makriannis | Registered representative | Sep 2025 (1y) | ||
| Andrea Paige Gilchrist | Registered representative | Sep 2025 (1y) | ||
| Paul Lanier Bridges | Registered representative | Sep 2025 (1y) | ||
| Ross Bryant Vaden | Registered representative | Sep 2025 (1y) | ||
| Teddy W Welch | Registered representative | Sep 2025 (1y) | ||
| Teddy Wayne Welch | Registered representative | Sep 2025 (1y) | ||
| Connor David Vander Brug | Registered representative | Sep 2025 (1y) | ||
| Clay Bebermeyer | Registered representative | Sep 2025 (1y) | ||
| Kris Martini | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Kistler Jones | Registered representative | Sep 2025 (1y) | ||
| Peyton Wolfe | Registered representative | Sep 2025 (1y) | ||
| Sarah Nicole Dzbynski | Registered representative | Sep 2025 (1y) | ||
| Timothy Jermell Tillman | Registered representative | Sep 2025 (1y) | ||
| Viviana Carrasquillo Zavala | Registered representative | Sep 2025 (1y) | ||
| Xavier Scott | Registered representative | Sep 2025 (1y) | ||
| Blake Warner Barton | Registered representative | Sep 2025 (1y) | ||
| Vicente Jose Munoz Reyes | Registered representative | Sep 2025 (1y) | ||
| Bethany Kirk | Registered representative | Sep 2025 (1y) | ||
| Evan Michael Davis | Registered representative | Sep 2025 (1y) | ||
| Trevor Scott Sprowl | Registered representative | Sep 2025 (1y) | ||
| David Brandon Amiel | Registered representative | Sep 2025 (1y) | ||
| Noel K Elliott | Registered representative | Sep 2025 (1y) | ||
| Tahitta Diaz Resto | Registered representative | Sep 2025 (1y) | ||
| Jason Raymond Bulinski | Registered representative | CFA | Sep 2025 (1y) | |
| James Herbert Ankiewicz | Registered representative | Sep 2025 (1y) | ||
| Thomas Nicholas Smith | Registered representative | Sep 2025 (1y) | ||
| Steven A Trujillo | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Ryan Buckley Goss | Registered representative | Sep 2025 (1y) | ||
| Bree Musser | Registered representative | Sep 2025 (1y) | ||
| Jack Quist | Registered representative | Sep 2025 (1y) | ||
| David Harrison Marcou | Registered representative | Sep 2025 (1y) | ||
| Justin Francis Esposito | Registered representative | Sep 2025 (1y) | ||
| Sonda Rouleau Frattini | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Ryan Abatemarco | Registered representative | Oct 2025 (1y) | ||
| Shawn Thomas Higginbotham | Registered representative | CFP | Oct 2025 (1y) | |
| Zachary Pell Jamison | Registered representative | Oct 2025 (1y) | ||
| Chase Tyler Scott | Registered representative | Oct 2025 (1y) | ||
| David Balkcom | Registered representative | CFA | Oct 2025 (1y) | |
| Joseph Matthew Moran | Registered representative | Oct 2025 (1y) | ||
| Trey Wilson | Registered representative | Oct 2025 (1y) | ||
| Hunter Andrew Weilbacher | Registered representative | Oct 2025 (1y) | ||
| Krissi Leigh Santillana | Registered representative | Oct 2025 (1y) | ||
| Michael Lee Malott | Registered representative | Oct 2025 (1y) | ||
| Lauren Raymond Woods | Registered representative | Oct 2025 (1y) | ||
| Victoria Morin | Registered representative | Oct 2025 (1y) | ||
| Darrec Muraca | Registered representative | Oct 2025 (1y) | ||
| Jennifer Marie Sterlacci | Registered representative | Oct 2025 (1y) | ||
| Ronald Lee Joan | Registered representative | Oct 2025 (1y) | ||
| John E Roehm | Registered representative | Oct 2025 (1y) | ||
| Morgan Bauer Breitbach | Registered representative | Oct 2025 (1y) | ||
| Ryan Michael Maguire | Registered representative | Oct 2025 (1y) | ||
| James Corgan | Registered representative | Oct 2025 (1y) | ||
| Jared Kirk Lourdon | Registered representative | Oct 2025 (1y) | ||
| Michael William Ringler | Registered representative | Oct 2025 (1y) | ||
| William Allen Hanson | Registered representative | Oct 2025 (1y) | ||
| Andrew Pierpont Warner | Registered representative | Oct 2025 (1y) | ||
| Teresa Kaye Mansell | Registered representative | Oct 2025 (1y) | ||
| Joshua Alan Morgan | Registered representative | Oct 2025 (1y) | ||
| Courtney Robyn Boslough | Registered representative | Oct 2025 (1y) | ||
| Dinesh O Saxena | Registered representative | Oct 2025 (1y) | ||
| Randy Eric Watkins | Registered representative | Oct 2025 (1y) | ||
| Tyler Stephen Armillay | Registered representative | Oct 2025 (1y) | ||
| Michael Edward Naughton | Registered representative | Oct 2025 (1y) | ||
| Thomas Twardecki | Registered representative | Oct 2025 (1y) | ||
| Jeffrey Bryan Diamond | Registered representative | Oct 2025 (1y) | ||
| Grant Thomas Kuffa | Registered representative | Oct 2025 (1y) | ||
| Peter Hryb | Registered representative | Oct 2025 (1y) | ||
| Frederick Thomas Hope | Registered representative | Oct 2025 (1y) | ||
| Michael Parks Medlock | Registered representative | Oct 2025 (1y) | ||
| Nathan Allan Pierce | Registered representative | Oct 2025 (1y) | ||
| Douglas Marc Singer | Registered representative | Oct 2025 (1y) | ||
| Nicholas Mc Caleb | Registered representative | Oct 2025 (1y) | ||
| Angel Lynn Gulizio | Registered representative | Oct 2025 (1y) | ||
| Faith Kuny | Registered representative | Oct 2025 (1y) | ||
| Michael Conrad | Registered representative | Oct 2025 (1y) | ||
| Timothy Harper Carmon | Registered representative | Oct 2025 (1y) | ||
| Jeffrey M Nelson | Registered representative | Oct 2025 (1y) | ||
| Andrew Herr | Registered representative | Oct 2025 (1y) | ||
| Joseph Theodore Mecenas | Registered representative | Nov 2025 (1y) | ||
| Michael Joseph Kuebler | Registered representative | Nov 2025 (1y) | ||
| Michael Joseph Pulcini | Registered representative | Nov 2025 (1y) | ||
| Josephine Olmstead | Registered representative | Nov 2025 (1y) | ||
| Oliver Townsend Von Feldt | Registered representative | Nov 2025 (1y) | ||
| Benjamin Castillo | Registered representative | Nov 2025 (1y) | ||
| Colin Juenger | Registered representative | Nov 2025 (1y) | ||
| Callie Nicole Enfield | Registered representative | Nov 2025 (1y) | ||
| Christopher Richard Marziotto | Registered representative | Nov 2025 (1y) | ||
| Kevin Andrew Swander | Registered representative | CFP | Nov 2025 (1y) | |
| Matthew Christopher Riley | Registered representative | Nov 2025 (1y) | ||
| Patrick Joseph O'brien | Registered representative | Nov 2025 (1y) | ||
| Timothy Charles Mauntel | Registered representative | Nov 2025 (1y) | ||
| Conrad Capellen | Registered representative | Nov 2025 (1y) | ||
| Jordan Bean | Registered representative | Nov 2025 (1y) | ||
| Dexter Gooden | Registered representative | Nov 2025 (1y) | ||
| John Hovik Yacoubian | Registered representative | Nov 2025 (1y) | ||
| Matthew Michael Mc Millan | Registered representative | Nov 2025 (1y) | ||
| Seonok Mikaela Shin | Registered representative | Nov 2025 (1y) | ||
| Jason Hui Tan | Registered representative | Nov 2025 (1y) | ||
| Dena K Crosby | Registered representative | Nov 2025 (1y) | ||
| Jae Jin Yang | Registered representative | Nov 2025 (1y) | ||
| Michele Andrea Jackson Oldham | Registered representative | Nov 2025 (1y) | ||
| William Lewis Graddy | Registered representative | Nov 2025 (1y) | ||
| Jacob Heie | Registered representative | Nov 2025 (1y) | ||
| Barnett Gaelan Sporkin Morrison | Registered representative | Nov 2025 (1y) | ||
| De Ante Thompkins | Registered representative | Nov 2025 (1y) | ||
| James Cox | Registered representative | Nov 2025 (1y) | ||
| Ana Elda Mayhall | Registered representative | Nov 2025 (1y) | ||
| Michael Alexander Devine | Registered representative | Nov 2025 (1y) | ||
| Nicklas Raymond Nagengast | Registered representative | Nov 2025 (1y) | ||
| Forrest Magee | Registered representative | Nov 2025 (1y) | ||
| Jonathan Robert Herdler | Registered representative | Nov 2025 (1y) | ||
| Louis Paul Sanfilippo | Registered representative | Nov 2025 (1y) | ||
| Raymond Paul Shive | Registered representative | Nov 2025 (1y) | ||
| Trey Henry Sorenson | Registered representative | Nov 2025 (1y) | ||
| William Bernard Herterich | Registered representative | Nov 2025 (1y) | ||
| Garrett Patterson | Registered representative | Nov 2025 (1y) | ||
| Joshua Shane Michael | Registered representative | Nov 2025 (1y) | ||
| Christopher Alvin Martinson | Registered representative | CFA | Nov 2025 (1y) | |
| Andrew Crozier | Registered representative | Nov 2025 (1y) | ||
| Shimon Heimfeld | Registered representative | Nov 2025 (1y) | ||
| Andrew Gerard Quebbemann | Registered representative | Dec 2025 (1y) | ||
| Colton Sage Good | Registered representative | Dec 2025 (1y) | ||
| Elliot Matthew Barry | Registered representative | Dec 2025 (1y) | ||
| Jordan Marc Hirsch | Registered representative | Dec 2025 (1y) | ||
| Patricia Anne Aarons | Registered representative | Dec 2025 (1y) | ||
| Steven Paul Sorenson | Registered representative | Dec 2025 (1y) | ||
| Tanner Brumby | Registered representative | Dec 2025 (1y) | ||
| Aiden W Krause | Registered representative | Dec 2025 (1y) | ||
| Johanna Raghavendra | Registered representative | CFP | Dec 2025 (1y) | |
| David Anthony Grabowski | Registered representative | Dec 2025 (1y) | ||
| Joshua I Marchal | Registered representative | Dec 2025 (1y) | ||
| Tate Daniel Chatham | Registered representative | Dec 2025 (1y) | ||
| Carlton Rashad Orange | Registered representative | Dec 2025 (1y) | ||
| Darren Robert Chappell | Registered representative | CFA | Dec 2025 (1y) | |
| Marco Guzman Lopez | Registered representative | Dec 2025 (1y) | ||
| Arthur Burton | Registered representative | Dec 2025 (1y) | ||
| Thomas Patrick Fulfaro | Registered representative | CFP Chartered Financial Consultant | Dec 2025 (1y) | |
| William Samuel French | Registered representative | Dec 2025 (1y) | ||
| Anthony Richard Scarpino | Registered representative | Dec 2025 (1y) | ||
| Brad Thomas Corsi | Registered representative | Dec 2025 (1y) | ||
| Keith Anthony Lecky | Registered representative | Dec 2025 (1y) | ||
| Marcos Alfredo Martinez Bergman | Registered representative | Dec 2025 (1y) | ||
| Maynard Keith Hudson | Registered representative | Dec 2025 (1y) | ||
| Elijah Gabriel Hall | Registered representative | Dec 2025 (1y) | ||
| James Willard Burmane | Registered representative | CFP Chartered Financial Consultant | Dec 2025 (1y) | |
| Koby Justin Taylor | Registered representative | Dec 2025 (1y) | ||
| Susan Ingrid Nicholas | Registered representative | Dec 2025 (1y) | ||
| Ying Sun | Registered representative | Dec 2025 (1y) | ||
| Deborah J Naylor | Registered representative | CFP | Dec 2025 (1y) | |
| Michael Warren Ellis | Registered representative | Dec 2025 (1y) | ||
| Philip Michael Napolitano | Registered representative | CFP | Dec 2025 (1y) | |
| Charles King | Registered representative | Dec 2025 (1y) | ||
| Gee Na Park | Registered representative | Dec 2025 (1y) | ||
| James August Rohrer | Registered representative | Dec 2025 (1y) | ||
| Douglas E Mansell | Registered representative | Dec 2025 (1y) | ||
| James Campbell Ingrahm | Registered representative | Dec 2025 (1y) | ||
| Jose Eduardo Mora Lopez | Registered representative | Dec 2025 (1y) | ||
| William Hayden Mc Call | Registered representative | Dec 2025 (1y) | ||
| David S Smith | Registered representative | Dec 2025 (1y) | ||
| Steven Carter | Registered representative | Dec 2025 (1y) | ||
| John Mc Elwee | Registered representative | Dec 2025 (1y) | ||
| Rodrigo Alexander Gonzalez | Registered representative | Jan 2026 (1y) | ||
| Ashley Noelle Nichols | Registered representative | Jan 2026 (1y) | ||
| Brian Robert Popiel | Registered representative | Jan 2026 (1y) | ||
| Connor Steadman | Registered representative | Jan 2026 (1y) | ||
| Conor Driscoll | Registered representative | Jan 2026 (1y) | ||
| Jack Blomstrand | Registered representative | Jan 2026 (1y) | ||
| Nicholas Cay Hoang | Registered representative | Jan 2026 (1y) | ||
| Parker Thomas Stone | Registered representative | Jan 2026 (1y) | ||
| Caleb Gorton | Registered representative | Jan 2026 (1y) | ||
| Carson Coleman | Registered representative | Jan 2026 (1y) | ||
| Logan Gage Isaacs | Registered representative | Jan 2026 (1y) | ||
| Gary Paul Dutchover | Registered representative | Jan 2026 (1y) | ||
| Sari Joy Alexandria Cunningham | Registered representative | Jan 2026 (1y) | ||
| Troy Merritt Blamer | Registered representative | Jan 2026 (1y) | ||
| Bernardo Gabriel Napoles | Registered representative | Jan 2026 (1y) | ||
| Ethan Russell Jandreau | Registered representative | Jan 2026 (1y) | ||
| Jordan Lee Blackwell | Registered representative | Jan 2026 (1y) | ||
| Katelyn Grass | Registered representative | Jan 2026 (1y) | ||
| Kim M Martell | Registered representative | Jan 2026 (1y) | ||
| Michael Joseph King | Registered representative | Jan 2026 (1y) | ||
| Marc Gordon Clark | Registered representative | Jan 2026 (1y) | ||
| Patrick Burke | Registered representative | Jan 2026 (1y) | ||
| Roberto P Pennella | Registered representative | Jan 2026 (1y) | ||
| Ronald Mark Quagliani | Registered representative | Jan 2026 (1y) | ||
| Santino Rao | Registered representative | Jan 2026 (1y) | ||
| Tanya Marie Ferrero | Registered representative | Jan 2026 (1y) | ||
| Ty William Costantino | Registered representative | Jan 2026 (1y) | ||
| David J. Di Biase | Registered representative | Jan 2026 (1y) | ||
| Jonathan Lee Moon | Registered representative | Jan 2026 (1y) | ||
| Kevin Carbone | Registered representative | Jan 2026 (1y) | ||
| Tony Kunal Gomer | Registered representative | Jan 2026 (1y) | ||
| Darren Benjamin Stance | Registered representative | Jan 2026 (1y) | ||
| Jack Matthew Reinoehl | Registered representative | Jan 2026 (1y) | ||
| Joel K Schaefer | Registered representative | Jan 2026 (1y) | ||
| Gaven Robert Peal | Registered representative | Jan 2026 (1y) | ||
| John Hubley | Registered representative | Jan 2026 (1y) | ||
| Naftuli Brach | Registered representative | Jan 2026 (1y) | ||
| Benjamin Paul Mauro | Registered representative | Jan 2026 (1y) | ||
| Chloe Joyce Mc Kee | Registered representative | Jan 2026 (1y) | ||
| Daniel Lee Simard | Registered representative | Jan 2026 (1y) | ||
| Jason Daniel Lowey | Registered representative | Jan 2026 (1y) | ||
| Lucas C Robertson | Registered representative | Jan 2026 (1y) | ||
| Phillip Chai | Registered representative | Jan 2026 (1y) | ||
| Justin M De Prino | Registered representative | Jan 2026 (1y) | ||
| Refael Tucker | Registered representative | Jan 2026 (1y) | ||
| William Richard Rademacher | Registered representative | Jan 2026 (1y) | ||
| Jeremy A Shook | Registered representative | Jan 2026 (1y) | ||
| Grant Daniel Kohler | Registered representative | Jan 2026 (1y) | ||
| Joseph Robert Macdonald | Registered representative | Jan 2026 (1y) | ||
| Bobby Hilton Christian | Registered representative | Jan 2026 (1y) | ||
| Daniel Epstein | Registered representative | Jan 2026 (1y) | ||
| Grey Mitchell | Registered representative | Jan 2026 (1y) | ||
| Logan Joel Ehlenz | Registered representative | Jan 2026 (1y) | ||
| Zachary Cole Ayala | Registered representative | Jan 2026 (1y) | ||
| Charles Thomas Bell | Registered representative | Jan 2026 (1y) | ||
| Joseph Vincent Giudice | Registered representative | Jan 2026 (1y) | ||
| Nicholas Martini | Registered representative | Jan 2026 (1y) | ||
| Brian D Fetsco | Registered representative | Jan 2026 (1y) | ||
| Blake Patrick Murray | Registered representative | Jan 2026 (1y) | ||
| Holly Faith Wilson | Registered representative | Jan 2026 (1y) | ||
| Joxavier Lashondalyn Jackson | Registered representative | Jan 2026 (1y) | ||
| Steven Lusk | Registered representative | Jan 2026 (1y) | ||
| Christopher Warren Bibow | Registered representative | Jan 2026 (1y) | ||
| Mark James Carey | Registered representative | Jan 2026 (1y) | ||
| Mark J Reisman | Registered representative | Jan 2026 (1y) | ||
| Mc Kenna Christine Ryan | Registered representative | Jan 2026 (1y) | ||
| Alan Joel Rivest | Registered representative | Jan 2026 (1y) | ||
| Christopher Guallpa | Registered representative | Jan 2026 (1y) | ||
| Jonathan Daniel Ramsey | Registered representative | Jan 2026 (1y) | ||
| Joseph Thomas Niehoff | Registered representative | Jan 2026 (1y) | ||
| Matteo Falcone | Registered representative | Jan 2026 (1y) | ||
| Ryan Patrick Kasten | Registered representative | Jan 2026 (1y) | ||
| Victor Paul Valeski | Registered representative | Jan 2026 (1y) | ||
| Paul Blaze Blanco | Registered representative | Jan 2026 (1y) | ||
| Anjed Eloued | Registered representative | Feb 2026 (0y) | ||
| Anthony Porchetta | Registered representative | Feb 2026 (0y) | ||
| Calvin Roberts | Registered representative | Feb 2026 (0y) | ||
| Matthew Conroy | Registered representative | Feb 2026 (0y) | ||
| Michael Joseph Wimmer | Registered representative | CFP | Feb 2026 (0y) | |
| Amer Abdel Hack | Registered representative | Feb 2026 (0y) | ||
| Cassandra Quintiliano | Registered representative | Feb 2026 (0y) | ||
| Joshua Leski | Registered representative | Feb 2026 (0y) | ||
| Noah Grossman | Registered representative | Feb 2026 (0y) | ||
| Robert Ricker | Registered representative | Feb 2026 (0y) | ||
| Thomas Nelson Ellis | Registered representative | Feb 2026 (0y) | ||
| Gabriel De Casas | Registered representative | Feb 2026 (0y) | ||
| John Edward Brady | Registered representative | Feb 2026 (0y) | ||
| Alexia Laurel Burns | Registered representative | Feb 2026 (0y) | ||
| Chelsea Grace Shanahan | Registered representative | Feb 2026 (0y) | ||
| James An | Registered representative | Feb 2026 (0y) | ||
| Angela K Arrington | Registered representative | Feb 2026 (0y) | ||
| Evan Baccheus Dupuis | Registered representative | Feb 2026 (0y) | ||
| Jake Michael Guidone | Registered representative | Feb 2026 (0y) | ||
| Vincent Joseph Schohn | Registered representative | Feb 2026 (0y) | ||
| Edmond Hough Johnson | Registered representative | Feb 2026 (0y) | ||
| Joseph Brett Richards | Registered representative | CFA | Feb 2026 (0y) | |
| Karen C Blanco | Registered representative | Feb 2026 (0y) | ||
| Trevor Zachary Hastings | Registered representative | Feb 2026 (0y) | ||
| Casey Murphy Mckee | Registered representative | Feb 2026 (0y) | ||
| Eric Dewon Chappell | Registered representative | Feb 2026 (0y) | ||
| Philip Charles Nuccetelli | Registered representative | Feb 2026 (0y) | ||
| Jackson Wolff | Registered representative | Feb 2026 (0y) | ||
| Jonathan Miguelangel Vasquez Pinto | Registered representative | CFP | Feb 2026 (0y) | |
| Sarissa Fazio | Registered representative | Feb 2026 (0y) | ||
| Alexis Danielle Atchley | Registered representative | Feb 2026 (0y) | ||
| Howard Graham West | Registered representative | Feb 2026 (0y) | ||
| Jacob Castaneda | Registered representative | Feb 2026 (0y) | ||
| Victoria Angelica Caraballo Martinez | Registered representative | Feb 2026 (0y) | ||
| Abigail Fettinger | Registered representative | Feb 2026 (0y) | ||
| Lucas Adrian Vasquez | Registered representative | Feb 2026 (0y) | ||
| Donachris Idieu | Registered representative | Feb 2026 (0y) | ||
| Hayden Bell | Registered representative | Feb 2026 (0y) | ||
| Joseph Montooth | Registered representative | Feb 2026 (0y) | ||
| Samuel Curtis | Registered representative | Feb 2026 (0y) | ||
| William Milligan | Registered representative | Feb 2026 (0y) | ||
| Jacob Andrew Moreno | Registered representative | Feb 2026 (0y) | ||
| Nicholai Sunil Deshmukh | Registered representative | Feb 2026 (0y) | ||
| Oscar Vidal | Registered representative | Feb 2026 (0y) | ||
| Kyle Peter Hammond | Registered representative | Feb 2026 (0y) | ||
| Nicholas Miller | Registered representative | Feb 2026 (0y) | ||
| Andrew Stephen King | Registered representative | Feb 2026 (0y) | ||
| Angelo Antonio Grant | Registered representative | Feb 2026 (0y) | ||
| Sheikh Rafat Rahman | Registered representative | Feb 2026 (0y) | ||
| Stephen James Flamio | Registered representative | Feb 2026 (0y) | ||
| Clifford Andrew Paulson | Registered representative | Feb 2026 (0y) | ||
| Eric Swanson | Registered representative | Feb 2026 (0y) | ||
| Joseph Gautier | Registered representative | Feb 2026 (0y) | ||
| Dante Aniello D'amore | Registered representative | Feb 2026 (0y) | ||
| Justin Christopher Ozdany Newman | Registered representative | Feb 2026 (0y) | ||
| Elizabeth M Gillenwater | Registered representative | Feb 2026 (0y) | ||
| Joshua E Yoder | Registered representative | Feb 2026 (0y) | ||
| Miguel Valdes | Registered representative | Feb 2026 (0y) | ||
| Anthony Liggio | Registered representative | Feb 2026 (0y) | ||
| Dillon Paul Blain | Registered representative | Feb 2026 (0y) | ||
| Dominic S Dowd | Registered representative | Feb 2026 (0y) | ||
| Francis Claiborne Hawkins | Registered representative | Feb 2026 (0y) | ||
| Kamar Plunkett | Registered representative | Mar 2026 (0y) | ||
| Kristo Cule | Registered representative | Mar 2026 (0y) | ||
| Kyle Foreman | Registered representative | Mar 2026 (0y) | ||
| Liam Daniel Brennan | Registered representative | Mar 2026 (0y) | ||
| Mikhail Mikhail | Registered representative | Mar 2026 (0y) | ||
| Sharamaurice Thomas | Registered representative | Mar 2026 (0y) | ||
| Patrick Looney | Registered representative | Mar 2026 (0y) | ||
| To Trinh M Quan | Registered representative | Mar 2026 (0y) | ||
| Tonya Lee Willis | Registered representative | Mar 2026 (0y) | ||
| Austin Charles Cioffi | Registered representative | Mar 2026 (0y) | ||
| David Mc Fadden | Registered representative | Mar 2026 (0y) | ||
| James Rea | Registered representative | Mar 2026 (0y) | ||
| Alexander Jeffrey Rucker | Registered representative | Mar 2026 (0y) | ||
| Martha Christine Lewis | Registered representative | Mar 2026 (0y) | ||
| Michael Donald Ewing | Registered representative | Mar 2026 (0y) | ||
| Michael Talbott Macomson | Registered representative | Mar 2026 (0y) | ||
| Stephen C Fox | Registered representative | Mar 2026 (0y) | ||
| Thomas Alan Moody | Registered representative | Mar 2026 (0y) | ||
| Daniel Edward Foreman | Registered representative | Mar 2026 (0y) | ||
| Jeffrey John Filoon | Registered representative | Mar 2026 (0y) | ||
| Kyle Michalski | Registered representative | Mar 2026 (0y) | ||
| Nicholas Mark Baker | Registered representative | Mar 2026 (0y) | ||
| Nathan Powell | Registered representative | Mar 2026 (0y) | ||
| Nicholas Bocach | Registered representative | Mar 2026 (0y) | ||
| Nikolas Alexander Mandalas | Registered representative | Mar 2026 (0y) | ||
| Leonard John Gargagliano | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Padmaja Kotagiri | Registered representative | Mar 2026 (0y) | ||
| Keith J Naccari | Registered representative | Mar 2026 (0y) | ||
| Nathan Randall Miller | Registered representative | Mar 2026 (0y) | ||
| Evan Willie | Registered representative | Mar 2026 (0y) | ||
| Charlotte Rose Rice | Registered representative | Mar 2026 (0y) | ||
| Robert Berkowitz | Registered representative | Mar 2026 (0y) | ||
| Jason Joseph Said | Registered representative | Mar 2026 (0y) | ||
| Matthew Gaglio | Registered representative | Mar 2026 (0y) | ||
| Michael Joseph Gibbons | Registered representative | Mar 2026 (0y) | ||
| Nathaniel Liam Brubaker | Registered representative | Mar 2026 (0y) | ||
| Thomas Alex Broadbent | Registered representative | Mar 2026 (0y) | ||
| Connor Thomas Brien Berks | Registered representative | Mar 2026 (0y) | ||
| Jake Murphy | Registered representative | Mar 2026 (0y) | ||
| Julia Yvonne Tremblay | Registered representative | Mar 2026 (0y) | ||
| Louis Davis | Registered representative | Mar 2026 (0y) | ||
| Sabrina Marie Tom | Registered representative | Mar 2026 (0y) | ||
| Timothy John Wright | Registered representative | Mar 2026 (0y) | ||
| Christian James Tinory | Registered representative | Mar 2026 (0y) | ||
| Gabriel Garrick Proulx Wein | Registered representative | Mar 2026 (0y) | ||
| Ryan De Cicco | Registered representative | Mar 2026 (0y) | ||
| Joseph Moore | Registered representative | Mar 2026 (0y) | ||
| Allen J Davis | Registered representative | Mar 2026 (0y) | ||
| Abel Alexander Fernandez | Registered representative | Mar 2026 (0y) | ||
| Maguire Allen Smith | Registered representative | Mar 2026 (0y) | ||
| Salvatore Rendin Kaufman | Registered representative | Mar 2026 (0y) | ||
| Jonah Sebastian Callandret | Registered representative | Mar 2026 (0y) | ||
| Justin Edward Pena | Registered representative | Mar 2026 (0y) | ||
| David Wing | Registered representative | Mar 2026 (0y) | ||
| Garrett Douglas Conn | Registered representative | Mar 2026 (0y) | ||
| Nicholas Joel Tilson | Registered representative | Mar 2026 (0y) | ||
| Emily Claire Kadue | Registered representative | Mar 2026 (0y) | ||
| Linnea Marie Rounds | Registered representative | Mar 2026 (0y) | ||
| Michael Swinehart | Registered representative | Mar 2026 (0y) | ||
| Susan Owens | Registered representative | CFP | Mar 2026 (0y) | |
| David Arthur Lange | Registered representative | Apr 2026 (0y) | ||
| Nicholas Rodney Wells | Registered representative | Apr 2026 (0y) | ||
| Anthony S Bentley | Registered representative | Apr 2026 (0y) | ||
| Joseph E Bezjak | Registered representative | Apr 2026 (0y) | ||
| Robert Lee Mitton Iii | Registered representative | Apr 2026 (0y) | ||
| Aaron Matthew Stark | Registered representative | CFP | Apr 2026 (0y) | |
| Anthony Nick Porchetta | Registered representative | Apr 2026 (0y) | ||
| John Bradley Dellaporta | Registered representative | Apr 2026 (0y) | ||
| Austin Smith | Registered representative | Apr 2026 (0y) | ||
| Bryant Chambers | Registered representative | Apr 2026 (0y) | ||
| Christian Kurt Meier | Registered representative | Apr 2026 (0y) | ||
| Graham Harvey | Registered representative | Apr 2026 (0y) | ||
| Michael Andrew Book | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Nicholas Joseph Castrova | Registered representative | Apr 2026 (0y) | ||
| Brian Artiste Jones | Registered representative | Apr 2026 (0y) | ||
| Craig Charles Rushworth | Registered representative | Apr 2026 (0y) | ||
| Nathan James Mc Alister | Registered representative | Apr 2026 (0y) | ||
| Samuel Franklin Perry | Registered representative | Apr 2026 (0y) | ||
| John Stephenson Christo | Registered representative | Apr 2026 (0y) | ||
| Randall Scholl | Registered representative | Apr 2026 (0y) | ||
| Tommey Leverne Lyons | Registered representative | Apr 2026 (0y) | ||
| Andrew Robert Schmelzle | Registered representative | Apr 2026 (0y) | ||
| Dustin Dean Jeschke | Registered representative | Apr 2026 (0y) | ||
| Michael Ryan Lawson | Registered representative | Apr 2026 (0y) | ||
| Raymond Lei Yin | Registered representative | CFA | Apr 2026 (0y) | |
| Avery Cywinski | Registered representative | Apr 2026 (0y) | ||
| Concela Tarver | Registered representative | Apr 2026 (0y) | ||
| Gabriel Roman Martinez | Registered representative | Apr 2026 (0y) | ||
| Jason Daesung Roh | Registered representative | Apr 2026 (0y) | ||
| Jonathan Charles Knaus | Registered representative | Apr 2026 (0y) | ||
| Samuel Teigland | Registered representative | Apr 2026 (0y) | ||
| Todd Alan Cox | Registered representative | Apr 2026 (0y) | ||
| Alison Connell | Registered representative | Apr 2026 (0y) | ||
| Matias L Morales | Registered representative | Apr 2026 (0y) | ||
| Nitung Liao | Registered representative | Apr 2026 (0y) | ||
| Paul Antony Ross Binks | Registered representative | Apr 2026 (0y) | ||
| Ethan Knifechief Herod | Registered representative | Apr 2026 (0y) | ||
| John Michael Arminio | Registered representative | Apr 2026 (0y) | ||
| Michael Volpe | Registered representative | Apr 2026 (0y) | ||
| David Lino Samalenge | Registered representative | Apr 2026 (0y) | ||
| John Zachary Murphy | Registered representative | Apr 2026 (0y) | ||
| Kimberly Ann Kjerstad | Registered representative | Apr 2026 (0y) | ||
| Trenton Manning Bailey | Registered representative | Apr 2026 (0y) | ||
| James Andrew Woodcock | Registered representative | Apr 2026 (0y) | ||
| Janet Sue Cooper | Registered representative | Apr 2026 (0y) | ||
| Reece Goddard | Registered representative | Apr 2026 (0y) | ||
| Andrew Hunt Thorsten | Registered representative | Apr 2026 (0y) | ||
| Daniel Alexander Miller | Registered representative | Apr 2026 (0y) | ||
| Jack Henry Williams | Registered representative | Apr 2026 (0y) | ||
| Jacob Aaron Richins | Registered representative | Apr 2026 (0y) | ||
| Paul Andrew Tompkin | Registered representative | Apr 2026 (0y) | ||
| Glenn Tyran Crawford | Registered representative | Apr 2026 (0y) | ||
| Lisbeth K Arcienega | Registered representative | Apr 2026 (0y) | ||
| Shraga Goldhirsch | Registered representative | Apr 2026 (0y) | ||
| Hayden Duffield | Registered representative | Apr 2026 (0y) | ||
| Peter Francis Alliegro | Registered representative | CFA | Apr 2026 (0y) | |
| Xuzhen Li | Registered representative | Apr 2026 (0y) | ||
| Ryan Shea Purdy | Registered representative | Apr 2026 (0y) | ||
| Scott Christopher Anstine | Registered representative | Apr 2026 (0y) | ||
| Daniel O'sullivan | Registered representative | Apr 2026 (0y) | ||
| Jacob Coleman | Registered representative | Apr 2026 (0y) | ||
| Joseph Scott Mc Kee | Registered representative | Apr 2026 (0y) | ||
| Carmen Gilda Ramirez Oliver | Registered representative | Apr 2026 (0y) | ||
| Ryan Michael Maloney | Registered representative | Apr 2026 (0y) | ||
| James T Snell | Registered representative | May 2026 (0y) | ||
| Preeti Malik | Registered representative | May 2026 (0y) | ||
| Amanda Alejandra Lesmes | Registered representative | May 2026 (0y) | ||
| Dannise Mazzola | Registered representative | May 2026 (0y) | ||
| Nelson Mompierre | Registered representative | May 2026 (0y) | ||
| Russell D Rhodes | Registered representative | May 2026 (0y) | ||
| Sarah Jo Dial | Registered representative | May 2026 (0y) | ||
| Tristan Philip O'hanley | Registered representative | May 2026 (0y) | ||
| Brent Paul Ussary | Registered representative | May 2026 (0y) | ||
| Nicholas Provost | Registered representative | May 2026 (0y) | ||
| Thomas Peter Chiellini | Registered representative | May 2026 (0y) | ||
| Angel Dodson | Registered representative | May 2026 (0y) | ||
| Brent Lewis Wegner | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Shan John Singh Allen | Registered representative | May 2026 (0y) | ||
| Adam Dominak Pryor | Registered representative | May 2026 (0y) | ||
| Caleb Pierce Hunt | Registered representative | May 2026 (0y) | ||
| Eileen Madden | Registered representative | May 2026 (0y) | ||
| Hayden James Taylor | Registered representative | May 2026 (0y) | ||
| Stephen Trent Gilbert | Registered representative | May 2026 (0y) | ||
| Christian James Stacy | Registered representative | May 2026 (0y) | ||
| James Andrew Mullis | Registered representative | May 2026 (0y) | ||
| David Richard Witte | Registered representative | May 2026 (0y) | ||
| Oyunkhand Tserennadmid | Registered representative | May 2026 (0y) | ||
| Laura Beninato | Registered representative | May 2026 (0y) | ||
| Sean Donovan | Registered representative | May 2026 (0y) | ||
| Josue Martin Martin | Registered representative | May 2026 (0y) | ||
| Miguel Angel Acevedo | Registered representative | May 2026 (0y) | ||
| Joad O Taha | Registered representative | May 2026 (0y) | ||
| Sadie Skadron | Registered representative | May 2026 (0y) | ||
| Travis Peterson | Registered representative | May 2026 (0y) | ||
| Jay Michael Malick | Registered representative | May 2026 (0y) | ||
| Robert Edwin Allen Higgins | Registered representative | May 2026 (0y) | ||
| Robert Streeter Mosley | Registered representative | May 2026 (0y) | ||
| Jacob Thomas Heger | Registered representative | May 2026 (0y) | ||
| Joshua Ellis | Registered representative | May 2026 (0y) | ||
| Patrick M Byrnes | Registered representative | May 2026 (0y) | ||
| Charles M Gonzalez | Registered representative | May 2026 (0y) | ||
| Michael L Longo | Registered representative | May 2026 (0y) | ||
| Michael Thomas Nolan | Registered representative | May 2026 (0y) | ||
| Shyamali Mukherjee | Registered representative | May 2026 (0y) | ||
| Kyle Klatt | Registered representative | May 2026 (0y) | ||
| Wesley Sykes | Registered representative | May 2026 (0y) | ||
| Ian Joseph Pacifico | Registered representative | May 2026 (0y) | ||
| Keith Motusesky | Registered representative | May 2026 (0y) | ||
| Blake Klein | Registered representative | May 2026 (0y) | ||
| Francisco Lim | Registered representative | May 2026 (0y) | ||
| Hannah Mathisrud | Registered representative | May 2026 (0y) | ||
| Thomas Norman Zirbel | Registered representative | May 2026 (0y) | ||
| Chelsea Pagoaga | Registered representative | May 2026 (0y) | ||
| Christopher King | Registered representative | May 2026 (0y) | ||
| Douglas James Cornish | Registered representative | May 2026 (0y) | ||
| Kayden Charles Trout | Registered representative | May 2026 (0y) | ||
| Kristin A Anderson | Registered representative | May 2026 (0y) | ||
| Ridge Alexander Dutkin | Registered representative | May 2026 (0y) | ||
| Sean Moro | Registered representative | May 2026 (0y) | ||
| Bryan Alexander Porter | Registered representative | Jun 2026 (0y) | ||
| Jack Dalton Mattera | Registered representative | Jun 2026 (0y) | ||
| Miles Peterson | Registered representative | Jun 2026 (0y) | ||
| William Robert Bentley | Registered representative | Jun 2026 (0y) | ||
| Zubin Abraham Thomas | Registered representative | Jun 2026 (0y) | ||
| Matthew D Tardugno | Registered representative | Jun 2026 (0y) | ||
| William Briggs Ellison | Registered representative | Jun 2026 (0y) | ||
| Nathan Boyce Buchan | Registered representative | Jun 2026 (0y) | ||
| Ryan Flynn | Registered representative | Jun 2026 (0y) | ||
| Emily Donaldson | Registered representative | Jun 2026 (0y) | ||
| Raheel Hussain | Registered representative | CFP | Jun 2026 (0y) | |
| Minneripitiyage Don Karunaratna | Registered representative | Jun 2026 (0y) | ||
| Matthew T Vann | Registered representative | Jun 2026 (0y) | ||
| Sean O'guinn | Registered representative | Jun 2026 (0y) | ||
| Travis Lewis | Registered representative | Jun 2026 (0y) | ||
| Cameron Lyle Ross | Registered representative | Jun 2026 (0y) | ||
| Drew M Shapiro | Registered representative | Jun 2026 (0y) | ||
| Mark Ramos | Registered representative | Jun 2026 (0y) | ||
| Tomas Goncharenko | Registered representative | Jun 2026 (0y) | ||
| Jon Thomas Kattke | Registered representative | Jun 2026 (0y) | ||
| Jacob Ellison Baumann | Registered representative | Jun 2026 (0y) | ||
| Melissa Yerger | Registered representative | Jun 2026 (0y) | ||
| Noah James Zachary Taylor | Registered representative | Jun 2026 (0y) | ||
| Riley Kathryn Fair | Registered representative | Jun 2026 (0y) | ||
| Simon Serra | Registered representative | Jun 2026 (0y) | ||
| William Rosen | Registered representative | Jun 2026 (0y) | ||
| Brandon Andrew Pratt | Registered representative | Jun 2026 (0y) | ||
| Rachael Roth | Registered representative | Jun 2026 (0y) | ||
| Leo Benjamin Warsh | Registered representative | Jun 2026 (0y) | ||
| David Wayne Speckman | Registered representative | Jun 2026 (0y) | ||
| Peter Conrad Holmquist | Registered representative | Jun 2026 (0y) | ||
| Tara Lynn Spencer | Registered representative | Jun 2026 (0y) | ||
| Erik Ivar Elken | Registered representative | Jun 2026 (0y) | ||
| Michael David Kotila | Registered representative | CFP | Jun 2026 (0y) | |
| Trevor Dangerfield Smith | Registered representative | Jun 2026 (0y) | ||
| Andrew Davis Snoddy | Registered representative | Jun 2026 (0y) | ||
| Branden Carter Rogers | Registered representative | Jun 2026 (0y) | ||
| Christopher Piccione | Registered representative | Jun 2026 (0y) | ||
| Demetra J Moore | Registered representative | Jun 2026 (0y) | ||
| Jalen Blackmon | Registered representative | CFP | Jun 2026 (0y) | |
| Robert Douglas Hartman | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Zachary Joseph Daniel | Registered representative | Jun 2026 (0y) | ||
| Helio H Shin | Registered representative | Jun 2026 (0y) | ||
| Jake Charles Hoffman | Registered representative | Jun 2026 (0y) | ||
| Brian Salvatore Serio | Registered representative | Jun 2026 (0y) | ||
| Chase Justice Darden | Registered representative | Jun 2026 (0y) | ||
| Thomas Joseph Lapage | Registered representative | Jun 2026 (0y) | ||
| Torey Bernard Franklin | Registered representative | Jun 2026 (0y) | ||
| Arkady Milgram | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Enrique Ricardo Santos | Registered representative | Jun 2026 (0y) | ||
| Gregory Thomas De Santo | Registered representative | Jun 2026 (0y) | ||
| Jace William Bricker | Registered representative | Jun 2026 (0y) | ||
| Jennifer Flynn | Registered representative | Jun 2026 (0y) | ||
| Martin Andrew Schweiter | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Christopher Todd Chilcoat | Registered representative | Jun 2026 (0y) | ||
| Nicola Claire Vincent | Registered representative | Jun 2026 (0y) | ||
| Parker Edward Nickelsen | Registered representative | Jun 2026 (0y) | ||
| Lindsay Elizabeth Kling | Registered representative | Jul 2026 (0y) | ||
| Paul Michael Suyama | Registered representative | Jul 2026 (0y) | ||
| Patricia Carla Howard | Registered representative | Jul 2026 (0y) | ||
| Zachary Eli Magee | Registered representative | Jul 2026 (0y) | ||
| Andrew James Gilliland | Registered representative | Jul 2026 (0y) | ||
| Ari Zweben | Registered representative | Jul 2026 (0y) | ||
| Jesse Voth | Registered representative | Jul 2026 (0y) | ||
| Harry Gladstone | Registered representative | Jul 2026 (0y) | ||
| Karl Dettmann | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| Kennedy Butcher | Registered representative | Jul 2026 (0y) | ||
| Richard Louis Mastropietro | Registered representative | Jul 2026 (0y) | ||
| Matthew Christian Minshall | Registered representative | Jul 2026 (0y) | ||
| Ryan Paul Wypiszynski | Registered representative | Jul 2026 (0y) | ||
| Shawn David Morin | Registered representative | Jul 2026 (0y) | ||
| Benjamin Barkev Siroonian | Registered representative | Jul 2026 (0y) | ||
| Brenton William Matzek | Registered representative | Jul 2026 (0y) | ||
| Kevin Michael Smith | Registered representative | CFP | Jul 2026 (0y) | |
| Tyler Michael Anderson | Registered representative | Jul 2026 (0y) | ||
| Aaron Kuo | Registered representative | Jul 2026 (0y) | ||
| Cody Lynn Dawkins | Registered representative | Jul 2026 (0y) | ||
| Lucas Michael Schmidt | Registered representative | Jul 2026 (0y) | ||
| Pamela Knight | Registered representative | Jul 2026 (0y) | ||
| Ana Carolina Sierra Chavarria De Gaido | Registered representative | Jul 2026 (0y) | ||
| Alexander Sierra | Registered representative | CFA | Jul 2026 (0y) | |
| Anthony Nettles | Registered representative | Jul 2026 (0y) | ||
| Benjamin William Hyland | Registered representative | Jul 2026 (0y) | ||
| Erin Kronenberg | Registered representative | Jul 2026 (0y) | ||
| Joshua Pearson | Registered representative | Jul 2026 (0y) | ||
| Nikolaus Michael Kilmer | Registered representative | Jul 2026 (0y) | ||
| Ann Marie Hynek | Registered representative | Jul 2026 (0y) | ||
| Carson Bitzer | Registered representative | Jul 2026 (0y) | ||
| Lindsay Berk | Registered representative | Jul 2026 (0y) | ||
| Lukas Alan Cochran | Registered representative | Jul 2026 (0y) | ||
| Kevin Lee Stokes | Registered representative | Jul 2026 (0y) | ||
| Colleen Joy Kehoe | Registered representative | Jul 2026 (0y) | ||
| Daqian Ning | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Massmutual Holding Llc | Member | Jul 2004 | A | 75% or more |
| Massachusetts Mutual Life Insurance Company | Parent Company | Jul 2004 | B | ≈ 56.25% – 100% via Massmutual Holding Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Massachusetts Mutual Life Insurance Company: 75% – 100% of Massmutual Holding Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Wellspring Child & Family Service 403(b) Retirement Plan | Lutheran Child & Family Service Of Michigan | 0 | $0 | 01/01/2025 |
| Vista Life Innovations, Inc. 403(b) Plan | Vista Life Innovations, Inc. | 213 | $8.9M | 07/01/2024 |
| Intercultural Family Services, Inc. 401(k) Plan | Intercultural Family Services, Inc. | 68 | $1.1M | 07/01/2024 |
| The Associated Radiologists 401 K Plan | Associated Radiologists, P.A. | 142 | $42.5M | 07/01/2024 |
| Lakes Region Community Services Council 403(b) Plan | Lakes Region Community Services Council | 265 | $6.7M | 07/01/2024 |
| Denron Plumbing & Hvac 401(k) Plan | Denron Plumbing & Hvac, Llc | 257 | $14.8M | 01/01/2024 |
| Packaging Services Of Maryland, Inc. 401(k) Plan | Packaging Services Of Maryland, Inc. | 221 | $18.1M | 01/01/2024 |
| Orion Federal Credit Union 401(k) Plan | Orion Federal Credit Union | 173 | $13.0M | 01/01/2024 |
| Woods Supermarket, Inc. 401(k) Profit Sharing Plan | Woods Supermarket, Inc. | 397 | $5.3M | 01/01/2024 |
| Teamdynamix Solutions 401(k) Plan | Teamdynamix Solutions Llc | 139 | $12.9M | 01/01/2024 |
| Thirdera, Llc | Thirdera, Llc | 0 | $0 | 01/01/2024 |
| Wkw North America 401(k) Plan | Wkw North America Holding, Inc. | 583 | $21.5M | 01/01/2024 |
| Connexin Software, Inc. 401(k) Plan | Connexin Software, Inc. | 174 | $17.4M | 01/01/2024 |
| Zoo New England 401(k) Plan | Commonwealth Zoological Corporation | 298 | $13.6M | 01/01/2024 |
| Arnold & Itkin 401 K Retirement Plan | Arnold & Itkin, Llp | 170 | $19.6M | 01/01/2024 |
| The Healing Haven, Llc 401(k) Plan | The Healing Haven, Llc | 130 | $1.8M | 01/01/2024 |
| Quantum Real Estate Mgmt Llc 401(k) Profit Sharing Plan & Trust | Quantum Real Estate Mgmt Llc | 151 | $4.1M | 01/01/2024 |
| Urban Science Applications, Inc. 401(k) Profit Sharing Plan | Urban Science Applications, Inc. | 512 | $161M | 01/01/2024 |
| Engineered Medical Systems 401(k) Plan | Engineered Medical Systems, Llc | 269 | $16.2M | 01/01/2024 |
| Insightsoftware 401(k) Plan | Insightsoftware, Llc | 780 | $67.1M | 01/01/2024 |
| Robert B. Our Co., Inc. 401(k) Profit Sharing Plan | Robert B. Our Co., Inc. | 185 | $20.0M | 01/01/2024 |
| Andromeda Systems Incorporated 401(k) Profit Sharing Plan And Trust | Andromeda Systems Incorporated | 463 | $49.8M | 01/01/2024 |
| Savings And Retirement Plan For Employees Of Great Bay Distributors, Inc. | Great Bay Distributors, Inc. | 354 | $42.8M | 01/01/2024 |
| Language Services Associates, Inc. 401(k) Plan | Language Services Associates, Inc. | 246 | $12.4M | 01/01/2024 |
| Michael Hatcher & Associates 401(k) Plan | Michael Hatcher & Associates, Inc. | 307 | $3.3M | 01/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 7.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: NASD RULES 2110, 3010(A)-IT WAS ALLEGED THAT MML INVESTORS SERVICES, LLC FAILED TO REASONABLY SUPERVISE ITS REGISTERED REPRESENTATIVES IN CONNECTION WITH THEIR UNAPPROVED SALE OF CERTAIN PRIVATE SECURITIES AWAY FROM THE FIRM. MML INVESTORS SERVICES, LLC'S WRITTEN SUPERVISORY PROCEDURES STATED THAT REPRESENTATIVES WERE PROHIBITED FROM PARTICIPATING IN PRIVATE SECURITIES TRANSACTIONS WITHOUT PRIOR WRITTEN APPROVAL OF THE CCO OR HIS/HER DELEGATE. IT WAS ALLEGED THAT REGISTERED REPRESENTATIVES, DESPITE THE PROHIBITION, WERE ENGAGED IN SELLING AWAY. IT WAS ALLEGED THAT THE FIRM DID NOT REASONABLY MONITOR FOR OR REVIEW INDICATIONS TO DETERMINE WHETHER THESE UNAPPROVED PRIVATE SECURITIES TRANSACTIONS WERE OCCURRING. IT WAS ALLEGED THAT CERTAIN REGISTERED REPRESENTATIVES RECOMMENDED UNAPPROVED PROMISSORY NOTES TO INVESTORS AND TWO OF THE REGISTERED REPRESENTATIVES SOLD UNAPPROVED PROMISSORY NOTES TO SEVEN INVESTORS WHO SUSTAINED LOSSES UP TO $760,000.00 WHEN THE ISSUERS OF THE PROMISSORY NOTES DISCONTINUED INTEREST PAYMENTS. THE FIRM CONDUCTED PERIODIC SUPERVISORY REVIEWS AND AUDITS AND IT WAS ALLEGED THAT IT FAILED TO UNCOVER THE SALE OF UNAPPROVED PROMISSORY NOTES. THE FIRM INITIATED AN INTERNAL REVIEW AFTER WARNINGS FROM THE AGENCY SUPERVISORY OFFICER. DURING THE INVESTIGATION, THE FIRM NOTIFIED FINRA THAT THE EMPLOYMENT OF THE REGISTERED REPRESENTATIVES HAD BEEN TERMINATED IN CONNECTION WITH THEIR UNAPPROVED REFERRALS TO AN OUTSIDE ENTITY. THE FIRM INVESTIGATED THE CONCERNS THAT THE ASO RAISED, HOWEVER IT WAS ALLEGED THAT THE FIRM'S INVESTIGATION DID NOT UNCOVER ITS REGISTERED REPRESENTATIVES' IMPROPER SALES OF PROMISSORY NOTES FROM ITS OFFICES AND THAT CERTAIN REGISTERED REPRESENTATIVES CONTINUED TO REFER CLIENTS TO OUTSIDE ENTITIES OFFERING PROMISSORY NOTES AND AT LEAST ONE ADDITIONAL SALE OF UNAPPROVED PROMISSORY NOTES WENT UNDETECTED. AT A CERTAIN POINT, ALL INVESTORS STOPPED RECEIVING PAYMENTS FROM THE ISSUER. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, MML INVESTORS SERVICES, LLC (THE FIRM) CONSENTED TO A CENSURED, A FINE OF $125,000.00 AND AGREED TO PAY RESTITUTION TOTALING $787,847.70 TO INVESTORS. THE FIRM WILL PROVIDE PROOF THAT IT MADE RESTITUTION TO FINRA NO LATER THAN SIX MONTHS AFTER ACCEPTANCE OF THE AWC. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, MML INVESTORS SERVICES, LLC (THE FIRM) CONSENTED TO A CENSURED, A FINE OF $125,000.00 AND AGREED TO PAY RESTITUTION TOTALING $787,847.70 TO INVESTORS. THE FIRM WILL PROVIDE PROOF THAT IT MADE RESTITUTION TO FINRA NO LATER THAN SIX MONTHS AFTER ACCEPTANCE OF THE AWC.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: ON MARCH 17, 2022, THE COMMISSIONER OF PUERTO RICO ISSUED AN ORDER AGAINST MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY STATING THAT THE FIRM HAD VIOLATED ARTICLES 11.230 AND 27.160 OF THE PUERTO RICO INSURANCE CODE, 26 LPRA SECTIONS 1123 AND 2716 FOR WHICH AN ADMINISTRATIVE FINE OF $3,000 WAS IMPOSED. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY WAS ORDERED TO RESCIND THE POLICY IN DISPUTE AND RETURN TO THE APPLICANT (COMPLAINANT) THE AMOUNT OF $65,000, CORRESPONDING TO THE UNDULY COLLECTED PREMIUM. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY WAS ORDERED TO CEASE AND DESIST FROM THE PRACTICES DESCRIBED IN THE ORDER. Status: Final Sanction Detail: GIVEN THE ACCEPTANCE AND COMMITMENT OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY TO TAKE THE NECESSARY MEASURES TO AVOID SIMILAR MATTERS IN THE FUTURE, THE COMMISSIONER OF INSURANCE OF PUERTO RICO AGREED TO MODIFY THE ADMINISTRATIVE FINE TO $1,500. Summary: MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY DID NOT INTEND TO FAIL TO COMPLY WITH THE PROVISIONS OF ARTICLES 11.230 AND 27.160 OF THE PUERTO RICO INSURANCE CODE, SUPRA, AND THE FACTS INDICATED IN THE ORDER AROSE AS AN EXCEPTIONAL SITUATION THAT DOES NOT CONSTITUTE THE NORMAL OR INTERNAL POLICY OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S INSURANCE BUSINESS. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ALLEGED THAT THE FACTS OF THE ORDER WERE THE RESULT OF ACTIONS AND/OR OMISSIONS OF PARTIES INVOLVED IN THE ORDER WHICH ENDED IN A MISUNDERSTANDING. GIVEN THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ACCEPTED AND COMMITTED TO TAKE THE NECESSARY MEASURES TO AVOID SIMILAR SITUATIONS IN THE FUTURE, THE COMMISSIONER OF INSURANCE OF PUERTO RICO AGREED TO MODIFY THE ADMINISTRATIVE FINE TO $1,500. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY PROCEEDED TO RESCIND THE POLICY THAT WAS SUBJECT OF THE CONTROVERSY AND TO REIMBURSE THE APPLICANT (COMPLAINANT) THE SUM OF $65,000, AS PROVIDED IN THE ORDER.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC EDUCATION REQUIREMENTS. THE CERTIFICATION IS REQUIRED TO BE SUBMITTED ANNUALLY TO THE OIC ON OR BEFORE MARCH 31ST. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY WAS GRANTED AN EXTENSION TO FILE ITS 2021 ANNUAL CERTIFICATION REPORT BY MAY 31, 2022.THE STATE OF WASHINGTON OIC ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY FAILED TO VERIFY THAT TWO INSURANCE PRODUCERS HAD RECEIVED THE REQUIRED LTC TRAINING BEFORE THEY WERE PERMITTED TO SELL, SOLICIT, OR OTHERWISE NEGOTIATE THE SALE OF THE COMPANY'S LTC INSURANCE PRODUCTS. BY FAILING TO VERIFY THE TRAINING, IT WAS ALLEGED THAT THE COMPANY VIOLATED RCW 48.83.130(4), JUSTIFYING THE IMPOSITION OF A FINE UNDER RCW 48.83.160. Status: Final Sanction Detail: BY FAILING TO VERIFY THAT TWO INSURANCE PRODUCERS HAD RECEIVED THE REQUIRED LTC TRAINING BEFORE PERMITTING TO SELL, SOLICIT, OR OTHERWISE NEGOTIATE THE SALE OF THE COMPANY'S LTC INSURANCE PRODUCTS, THE COMPANY VIOLATED RCW 48.83.130(4), JUSTIFYING THE IMPOSITION OF A FINE OF $10,000.00 AGAINST MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY UNDER RCW 48.83.160. THE COMPANY HAS PAID THE FINE. Summary: MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") INSURANCE PRODUCERS SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC EDUCATION REQUIREMENTS. THE CERTIFICATION IS REQUIRED TO BE SUBMITTED ANNUALLY TO THE OIC ON OR BEFORE MARCH 31ST. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY WAS GRANTED AN EXTENSION TO FILE ITS 2021 ANNUAL CERTIFICATION REPORT BY MAY 31, 2022. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY SUBMITTED THE CERTIFICATION ON MAY 26, 2022, WHICH REVEALED THAT IT SELF-DISCLOSED THAT TWO PRODUCERS SOLD THREE LTC POLICIES TO WASHINGTON CONSUMERS ON BEHALF OF THE COMPANY AND THE PRODUCERS WERE NOT IN COMPLIANCE WITH THE LTC EDUCATION REQUIREMENTS AT THE TIME OF THE SALES. RCW 48.83.130(4) REQUIRES ISSUERS TO OBTAIN VERIFICATION THAT A PRODUCER RECEIVES TRAINING BEFORE THE PRODUCER IS PERMITTED TO SELL, SOLICIT OR NEGOTIATE THE ISSUER'S LTC INSURANCE PRODUCTS. WAC 284-17-262(1) PROVIDES THAT EACH INSURER THAT HAS LTC POLICIES APPROVED FOR SALE IN WA MUST CERTIFY ANNUALLY THAT ALL OF ITS PRODUCERS HAVE (A) COMPLETED THE 8 HR. ONE TIME LTC EDUCATION AND TRAINING COURSE REQUIRED BY RCW 48.83.130(1)(A)(I) PRIOR TO SELLING, SOLICITING, OR NEGOTIATING THE COMPANY'S LTC COVERAGE IN WA; AND (B) IF DUE, COMPLETED THE REQUIRED 4 HOUR LTC CE REQUIREMENT IMPOSED BY RCW 48.83.130(2)(B). BY FAILING TO VERIFY THAT TWO PRODUCERS HAD RECEIVED THE REQUIRED LONG-TERM CARE TRAINING PRIOR TO SELLING, SOLICITING OR NEGOTIATING THE SALE OF THE COMPANY'S INSURANCE PRODUCTS, IT WAS ALLEGED THAT THE COMPANY HAD VIOLATED RCW 48.83.130(4) JUSTIFYING A FINE UNDER RCW 48.83.160. THE INSURANCE COMMISSIONER AND THE COMPANY AGREED TO RESOLVE THE MATTER WITHOUT FURTHER ADMINISTRATIVE OR JUDICIAL PROCEEDINGS. THE INSURANCE COMMISSIONER CONSENTED TO SETTLE THE MATTER IN CONSIDERATION OF THE COMPANY'S PAYMENT OF A FINE AND UPON SUCH TERMS AND CONDITIONS, INCLUDING (1) THE COMPANY ACKNOWLEDGES THE DUTY TO COMPLY FULLY WITH THE APPLICABLE LAWS OF THE STATE OF WASHINGTON; AND (2) THE COMPANY CONSENTED TO THE ENTRY OF THE ORDER, WAIVED ANY AND ALL HEARING OR OTHER PROCEDURAL RIGHTS AND FURTHER ADMINISTRATIVE OR JUDICIAL CHALLENGES TO THE ORDER. BY AGREEMENT, THE INSURANCE COMMISSIONER IMPOSED A FINE IN THE AMOUNT OF $10,000 TO BE PAID WITHIN 30 DAYS.
Regulatory · Item 11.E(2)
as of Dec 04, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO MAINTAIN CERTAIN ELECTRONIC BROKERAGE RECORDS, IN A NON-ERASABLE AND NON-REWRITABLE FORMAT KNOWN AS THE "WRITE ONCE, READ MANY" (WORM) FORMAT, THAT IS INTENDED TO PREVENT THE ALTERATION OR DESTRUCTION OF BROKER-DEALER RECORDS STORED ELECTRONICALLY. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO PROVIDE THE REQUIRED 90-DAY NOTICE TO ITS DESIGNATED EXAMINING AUTHORITY (FINRA), PRIOR TO RETAINING A VENDOR TO PROVIDE ELECTRONIC STORAGE. THE FINDINGS ALSO INCLUDED THAT THE FIRM EXPERIENCED NOTICE, AUDIT AND ATTESTATION DEFICIENCIES THAT AFFECTED THEIR ABILITY TO ADEQUATELY RETAIN AND PRESERVE ELECTRONIC RECORDS. MAINLY, THE FIRM FAILED TO IMPLEMENT AN AUDIT SYSTEM AS REQUIRED FOR THOSE RECORDS IT FAILED TO MAINTAIN IN WORM FORMAT. FINRA FOUND THAT THE FIRM FAILED TO PROVIDE LETTERS OF UNDERTAKING FROM AN INDEPENDENT THIRD-PARTY WITH THE ABILITY TO ACCESS AND DOWNLOAD INFORMATION FROM THE FIRM'S ELECTRONIC STORAGE MEDIA IF NEEDED. ALSO, THE FIRM FAILED TO OBTAIN THE REQUIRED THIRD-PARTY ATTESTATION LETTERS. FINRA ALSO FOUND THAT THE FIRM FAILED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES (WSPS) CONCERNING THE FIRM'S STORAGE OF ELECTRONIC BROKERAGE RECORDS IN WORM FORMAT. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $750,000, JOINTLY AND SEVERALLY, AND REQUIRED TO SUBMIT TO FINRA A WRITTEN PLAN OF HOW IT WILL UNDERTAKE TO CONDUCT A COMPREHENSIVE REVIEW OF THE ADEQUACY OF THE RELEVANT POLICIES AND PROCEDURES (WRITTEN AND OTHERWISE), INCLUDING A DESCRIPTION OF REMEDIAL MEASURES LEADING TO FULL COMPLIANCE, RELATING TO THE CONDUCT ADDRESSED IN THE AWC.
Regulatory · Item 11.E(2)
as of Dec 04, 2024
Allegations: THE ALLEGATIONS INCLUDED VIOLATIONS OF FINRA RULE 2010, NASD RULES 2110, 2440, 3010 AND THAT MML INVESTORS SERVICES, LLC PURCHASED OR SOLD 14 TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) ELIGIBLE SECURITIES AS AN AGENT FOR A CUSTOMER IN OVER-THE-COUNTER TRANSACTIONS FOR A COMMISSION OR SERVICE CHARGE THAT WAS IN EXCESS OF A FAIR AMOUNT, TAKING INTO CONSIDERATION ALL RELEVANT CIRCUMSTANCES, INCLUDING MARKET CONDITIONS WITH RESPECT TO SUCH SECURITY AT THE TIME OF THE TRANSACTION, THE EXPENSE OR EXECUTING THE ORDER AND THE VALUE OF ANY SERVICE RENDERED BY REASON OF EXPERIENCE IN AND KNOWLEDGE OF SUCH SECURITY AND THE MARKET. THEREFORE, IT WAS ALLEGED THAT THE FIRM FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES BY CHARGING COMMISSIONS IN EXCESS OF THE PROCEDURE'S LIMITS, WHICH SPECIFY THAT NO COMMISSION SHALL EXCEED 2.25 PERCENT OF THE PRINCIPAL AMOUNT OF THE TRANSACTION BEYOND A MINIMUM $65.00 CHARGE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, MML INVESTORS SERVICES, LLC CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THE FIRM WAS CENSURED AND FINED $32,500.00
Regulatory · Item 11.E(2)
as of Dec 04, 2024
Allegations: NASD CONDUCT RULE 2110 (FOR CONDUCT PRIOR TO DECEMBER 15, 2008) AND 3010 AND FINRA RULE 2010 (FOR CONDUCT AFTER DECEMBER 14, 2008). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE IT IS CENSURED, FINED $300,000 AND AGREES TO COMPLY WITH THE FOLLOWING UNDERTAKINGS: THE FIRM WILL REVIEW ITS SUPERVISORY SYSTEMS AND WRITTEN SUPERVISORY PROCEDURES FOR COMPLIANCE WITH ITS REPORTING OBLIGATIONS CONCERNING THE TIMELY FILING OF FORM U-4 DISCLOSURE AMENDMENTS PURSUANT TO ARTICLE V. SECTION 2(C) OF FINRA'S BY-LAWS AND THE TIMELY FILING OF FORMS U5 AND FORMS U5 AMENDMENTS PURSUANT TO ARTICLE V, SECTION 3(A) AND 3(B). WITHIN 90 DAYS OF THE ISSUANCE OF THE AWC, AN OFFICER OF THE FIRM WILL CERTIFY TO FINRA IN WRITING THAT THE FIRM CURRENTLY HAS IN PLACE SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLAINCE WITH ITS REPORTING OBLIGATIONS UNDER FINRA'S BY-LAWS, ARTICLE V, SECTIONS 2(C), 2(A) AND 3(B) WITH RESPECT TO THE TIMELY FILING OF REQUIRED FORMS U4 AND U5, AND AMENDMENTS THERETO. IN ADDITION, WITHIN 15 DAYS FOLLOWING THE END OF EACH QUARTER IN CALENDAR YEAR 2012, THE FIRM WILL SUBMIT A REPORT DETAILING ANY FORM U5 FILINGS OR DISCLOSURE AMENDMENTS TO FORMS U4 AND U5 THAT WERE NOT TIMELY FILED WITH FINRA THAT QUARTER. AT THE SAME TIME, AN OFFICER WILL CERTIFY TO FINRA IN WRITING THAT THE SUBMITTED REPORT IS ACCURATE. Summary: THE ALLEGED RULE VIOLATIONS RELATED TO THE FIRM'S COMPLIANCE WITH FINRA RULES APPLICABLE TO FILING FORMS U5 AND AMENDMENTS TO FORMS U4 AND U5. FROM APPROXIMATELY MAY 13, 2008 THROUGH OCTOBER 10, 2010, THE FIRM FAILED TO FILE IN A TIMELY MANNER, AT LEAST 98 FILINGS, INCLUDING 5 FORM U5 FILINGS AND 93 AMENDMENTS TO FORMS U4 AND U5. FINRA ALSO FOUND THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND ESTABLISH, MAINTAIN AND ENFORCE SUPERVISORY PROCEDURES THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE REPORTING REQUIREMENTS SET FORTH IN ARTICLE V OF FINRA'S BY-LAWS.
Regulatory · Item 11.E(2)
as of Dec 04, 2024
Allegations: BETWEEN JULY 2, 2009 AND SEPTEMBER 20, 2016 IT WAS ALLEGED THAT MMLIS DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE ELIGIBLE CUSTOMERS WERE INSTEAD SOLD CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. IT WAS ALLEGED THAT MMLIS FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ELIGIBLE CUSTOMERS WHO PURCHASED MUTUAL FUNDS SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS IN VIOLATION OF NASD CONDUCT RULE 3010 (FOR MISCONDUCT BEFORE DECEMBER 1, 2014), FINRA RULE 3110 (FOR MISCONDUCT ON OR AFTER DECEMBER 1, 2014), AND FINRA RULE 2010. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF THE FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITH A FRONT-END SALES CHARGE (ELIGIBLE CUSTOMERS). THE FINDING STATES THAT THESE ELIGIBLE CUSTOMERS WERE INSTEAD SOLD CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR C SHARES WITH BACK-END SALES CHARGES AND HIGH ONGOING FEES AND EXPENSES. THE DIFFERENT SALES CHARGES, BREAKPOINTS, WAIVERS AND FEES ASSOCIATED WITH DIFFERENT SHARE CLASSES AFFECT MUTUAL FUND INVESTORS' RETURNS. Summary: MMLIS DID A REVIEW TO DETERMINE WHETHER IT PROVIDED AVAILABLE SALES CHARGE WAIVERS TO ELIGIBLE CUSTOMERS. BASED ON THE REVIEW, THE FIRM SELF-REPORTED TO FINRA THAT ELIGIBLE CUSTOMERS HAD NOT RECEIVED AVAILABLE SALES CHARGE WAIVERS. THE FIRM ESTIMATED THAT APPROXIMATELY 792 FIRM CUSTOMERS PURCHASED MUTUAL FUND SHARES FOR WHICH AN AVAILABLE SALES CHARGE WAIVER WAS NOT APPLIED. THE FIRM ESTIMATED THAT ELIGIBLE CUSTOMERS WERE OVERCHARGED BY APPROXIMATELY $1,577,112.12 FOR MUTUAL FUND PURCHASES MADE. AS PART OF THE SETTLEMENT, THE FIRM AGREES TO PAY RESTITUTION TO ELIGIBLE CUSTOMERS ON CERTAIN TERMS, WHICH IS ESTIMATED TO TOTAL $1,864,167.77 (I.E., THE AMOUNT ELIGIBLE CUSTOMERS WERE OVERCHARGED, INCLUSIVE OF INTEREST). THE FIRM ALSO WILL ENSURE THAT RETIREMENT AND CHARITABLE WAIVERS ARE APPROPRIATELY APPLIED TO ALL FUTURE TRANSACTIONS. IN RESOLVING THE MATTER, FINRA RECOGNIZED THE EXTRAORDINARY COOPERATION OF THE FIRM FOR HAVING INITIATED, PRIOR TO THE DETECTION OR INTERVENTION BY A REGULATOR, AN INVESTIGATION TO IDENTIFY WHETHER ELIGIBLE CUSTOMERS RECEIVED SALES CHARGE WAIVERS DURING THE RELEVANT PERIOD; PROMPTLY ESTABLISHED A PLAN OF REMEDIATION FOR ELIGIBLE CUSTOMERS WHO DID NOT RECEIVE APPROPRIATE SALES CHARGE WAIVERS; PROMPTLY SELF-REPORTED TO FINRA; PROMPTLY TAKEN ACTION AND REMEDIAL STEPS TO CORRECT THE CONDUCT AND EMPLOYED SUBSEQUENT CORRECTIVE MEASURES, PRIOR TO DETECTION OR INTERVENTION BY A REGULATOR, TO REVISE ITS PROCEDURE TO AVOID RECURRENCE OF THE MISCONDUCT.
Regulatory · Item 11.E(2)
as of Dec 04, 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 REGISTERED REPRESENTATIVES' 529 PLAN SHARE-CLASS RECOMMENDATIONS. THE FINDINGS STATED THAT THE FIRM'S SYSTEMS AND PROCEDURES FOR SUPERVISING REPRESENTATIVES' 529 PLAN SHARE-CLASS RECOMMENDATIONS WERE NOT REASONABLY DESIGNED. THE FIRM FAILED TO PROVIDE SUPERVISORS WITH ADEQUATE GUIDANCE AND INFORMATION NECESSARY TO EVALUATE THE SUITABILITY OF REPRESENTATIVES' 529 PLAN SHARE-CLASS RECOMMENDATIONS, AND ALSO FAILED TO PROVIDE GUIDANCE TO REPRESENTATIVES REGARDING THE SHARE-CLASS SUITABILITY FACTORS SPECIFIC TO 529 PLAN INVESTMENTS WHEN RECOMMENDING 529 PLANS. ALTHOUGH FIRM SUPERVISORS WERE REQUIRED TO REVIEW AND APPROVE ALL 529 PLAN TRANSACTIONS, THE FIRM'S PROCEDURES DID NOT SPECIFICALLY ADDRESS THE RELATIONSHIP BETWEEN ACCOUNT BENEFICIARY AGE, THE NUMBER OF YEARS UNTIL FUNDS WOULD BE NEEDED TO PAY QUALIFIED HIGHER EDUCATION EXPENSES, AND 529 PLAN SHARE-CLASS SUITABILITY. AS A RESULT, SUPERVISORS APPROVED NUMEROUS 529 PLAN C SHARE TRANSACTIONS WITHOUT HAVING ACCESS TO OR CONSIDERING BENEFICIARY AGE, A RELEVANT FACTOR IN EVALUATING THE SUITABILITY OF 529 PLAN SHARE-CLASS RECOMMENDATIONS. MOREOVER, THE FIRM DID NOT CONDUCT ANY TRAINING FOR REPRESENTATIVES REGARDING 529 PLAN SHARE CLASSES OR OTHERWISE PROVIDE GUIDANCE WITH RESPECT TO RELEVANT SUITABILITY FACTORS WHEN RECOMMENDING A PARTICULAR 529 PLAN SHARE CLASS. AS A RESULT, THE FIRM DID NOT REASONABLY SUPERVISE 529 PLAN SHARE-CLASS RECOMMENDATIONS AND FAILED TO IDENTIFY CLASS C SHARE RECOMMENDATIONS THAT WERE INCONSISTENT WITH THE SHARE-CLASS RECOMMENDATIONS SUGGESTED BY THE AGE OF THE ACCOUNT BENEFICIARY. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO REASONABLY SUPERVISE MUTUAL FUND AND 529 PLAN TRANSACTIONS FOR AVAILABLE BREAKPOINTS. THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO IDENTIFY AND APPLY ALL AVAILABLE BREAKPOINT DISCOUNTS. THE FIRM REQUIRED ITS REGISTERED REPRESENTATIVES TO COMPLETE A BREAKPOINT WORKSHEET FOR CLASS A SHARE PURCHASES IN MUTUAL FUNDS OF 529 PLANS TO IDENTIFY AVAILABLE BREAKPOINT DISCOUNTS. HOWEVER, THE FIRM DID NOT REQUIRE, AND REGISTERED REPRESENTATIVES OFTEN COULD NOT COMPLETE, BREAKPOINT WORKSHEETS FOR DIRECT OR AUTOMATIC CONTRIBUTION TRANSACTIONS MADE SUBSEQUENT TO AN INITIAL INVESTMENT, BECAUSE SUCH CONTRIBUTIONS WERE SOMETIMES MADE WITHOUT THE INVOLVEMENT OF THE REGISTERED REPRESENTATIVE. THE FIRM RELIED ON AN EXCEPTION REPORT TO IDENTIFY MISSED MUTUAL FUND AND 529 PLAN BREAKPOINTS. HOWEVER, THE EXCEPTION REPORT ONLY CAPTURED TRANSACTIONS OF $500 OR MORE. AS A RESULT, THE FIRM FAILED TO HAVE A SYSTEM REASONABLY DESIGNED TO AGGREGATE FOR BREAKPOINT PURPOSES CUSTOMERS' CONTRIBUTIONS TO MUTUAL FUNDS AND 529 PLANS IF THOSE CONTRIBUTIONS WERE IN AMOUNTS LESS THAN $500. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO PAY $617,726.28, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. IN RESOLVING THIS MATTER, THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA. ACCORDINGLY, NO MONETARY SANCTION HAS BEEN IMPOSED. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE REGISTERED REPRESENTATIVES' 529 PLAN SHARE-CLASS RECOMMENDATIONS. THE FIRM WAS CENSURED AND ORDERED TO PAY $617,726.28, PLUS INTEREST, IN RESTITUTION TO CUSTOMERS. IN RESOLVING THIS MATTER, THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA. ACCORDINGLY, NO MONETARY SANCTION HAS BEEN IMPOSED.
Regulatory · Item 11.E(2)
as of Dec 04, 2024
Allegations: IT WAS ALLEGED THAT MML INVESTORS SERVICES, LLC DID NOT TIMELY AMEND ITS ASSOCIATED PERSONS' FORMS U4 AND FORMS U5 DURING THE PERIOD FROM DECEMBER 2018 THROUGH FEBRUARY 2021 AND THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM DESIGNED TO ENSURE THE TIMELY REPORTING OF DISCLOSABLE EVENTS DURING THE PERIOD IN VIOLATION OF ARTICLE V, SECTIONS 2 AND 3 OF FINRA'S BY-LAWS AND FINRA RULES 1122, 3110 AND 2010. Status: Final Sanction Detail: THE FIRM CONSENTED TO THE IMPOSITION OF THE FOLLOWING SANCTIONS: A CENSURE AND A FINE IN THE AMOUNT OF $250,000. Summary: IT WAS ALLEGED THAT THE FIRM DID NOT TIMELY AMEND ITS ASSOCIATED PERSONS' UNIFORM APPLICATIONS FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER (FORMS U4) AND UNIFORM TERMINATION NOTICES FOR SECURITIES INDUSTRY REGISTRATION (FORMS U5) TO REPORT DISCLOSABLE EVENTS, INCLUDING BUT NOT LIMITED TO CUSTOMER COMPLAINTS AND ARBITRATIONS, THE DISPOSITION OF COMPLAINTS, CRIMINAL CHARGES, BANKRUPTCIES, INTERNAL REVIEWS AND INVESTIGATIONS, AND REGULATORY ACTIONS. THE FINDINGS STATED THAT THE DISCLOSURE DELAYS RANGED FROM THREE DAYS TO OVER 1,100 DAYS AFTER THE FIRM RECEIVED NOTICE OF THE REPORTABLE EVENTS AT ISSUE. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE REASONABLE SUPERVISORY PROCEDURES, INCLUDING WRITTEN SUPERVISORY PROCEDURES (WSPS), TO TIMELY AND ACCURATELY REPORT REGULATORY EVENTS ON FORMS U4 AND U5. THE FIRM'S PROCEDURES WERE NOT REASONABLE TO ENSURE EFFECTIVE COMMUNICATION AMONG THE FIRM'S DEPARTMENTS CONCERNING EVENTS THAT MAY WARRANT DISCLOSURE. IN ADDITION, THE FIRM'S SYSTEM FOR UPDATING PREVIOUSLY REPORTED CUSTOMER COMPLAINTS AND ARBITRATIONS LED TO OVER A DOZEN LATE FILINGS. THE FIRM RELIED IN PART ON A SHARED EMAIL ADDRESS WHERE EMPLOYEES COULD PROVIDE UPDATES REGARDING THE DISPOSITION OF OPEN COMPLAINTS AND ARBITRATIONS TO THE REGULATORY REPORTING TEAM. THIS SYSTEM RELIED ON EMPLOYEES IN OTHER DEPARTMENTS TO TIMELY COMMUNICATE UPDATES REGARDING OPEN MATTERS TO THE REGULATORY REPORTING TEAM, WHICH WOULD ALSO RUN SEARCHES IN AN ATTEMPT TO IDENTIFY RELEVANT UPDATES. HOWEVER, THIS PROCESS WAS NOT MEMORIALIZED IN THE FIRM'S PROCEDURES AND THERE WAS NO SET CADENCE FOR WHEN SUCH SEARCHES WOULD BE PERFORMED AND BY WHOM. AS A RESULT, MMLIS VIOLATED FINRA RULES 3110 AND 2010. THE FIRM RECOGNIZED THESE DEFICIENCIES AND SUBSEQUENTLY REVISED ITS SUPERVISORY SYSTEM. IN MARCH, 2021, THE FIRM IMPLEMENTED A NEW SYSTEM PROVIDED BY A THIRD-PARTY VENDOR, DESIGNED TO IMPROVE INTERDEPARTMENTAL COMMUNICATION OF REPORTABLE EVENTS. WITHOUT ADMITTING OR DENYING THE FINDINGS, MML INVESTORS SERVICES, LLC CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS.THE FIRM WAS CENSURED AND ORDERED TO PAY A FINE OF $250,000.
Regulatory · Item 11.D(2)
as of Dec 04, 2024
Allegations: THE SECURITIES DIVISION OF THE STATE OF NEVADA ALLEGED THAT THE APPLICANT VIOLATED N.A.C. 90.327(1)(D)(1). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE APPLICANT ENTERED INTO A CONSENT AGREEMENT WITH THE NEVADA SECRETARY OF STATE, SECURITIES DIVISION. Summary: THE SECURITIES DIVISION OF THE STATE OF NEVADA ALLEGED THAT DURING THE PERIOD OF MAY 9, 2006 THROUGH MAY 21, 2008, THE APPLICANT CONDUCTED BUSINESS OUT OF A FINANCIAL INSTUTION WITHOUT FIRST ENTERING INTO A NETWORKING AGREEMENT.
Regulatory · Item 11.D(2)
as of Dec 04, 2024
Allegations: HUD ALLEGED THAT MASSMUTUAL FAILED TO SUBMIT (I) AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTARY REPORTS; (II) THE ANNUAL RECERTIFICATION FEE; (III) THE CALL REPORTS; AND (IV) THE ONLINE CERTIFICATION (COLLECTIVELY, THE "ANNUAL RECERTIFICATION REQUIREMENTS") WITHIN 90 DAYS OF THE CLOSE OF ITS FISCAL YEAR ENDING DECEMBER 2012. HUD REQUIRES THIS DOCUMENTATION AS A CONDITION OF CONTINUED PARTICIPATION IN HUD'S FEDERAL HOUSING ADMINISTRATION ("FHA") TITLE II SINGLE FAMILY MORTGAGE INSURANCE PROGRAM. Status: Final Sanction Detail: MASSMUTUAL SUBMITTED THE REQUIRED DOCUMENTATION AND PAID A $7,500 CIVIL MONETARY PENALTY. $7,500 WAS PAID ON SEPTEMBER 22, 2014. Summary: HUD'S MORTGAGE REVIEW BOARD ISSUED A NOTICE OF VIOLATION AND A NOTICE OF INTENT TO SEEK CIVIL MONEY PENALTIES INFORMING MASSMUTUAL OF HUD'S INTENT TO TAKE AN ADMINISTRATIVE ACTION OR IMPOSE CIVIL MONEY PENALTIES PURSUANT TO 12 U.S.C. § 1708 AND 1735F-14, AND 24 C.F.R. PARTS 25 AND 30, ON THE BASIS OF MASSMUTUAL'S FAILURE TO COMPLY WITH HUD-FHA'S ANNUAL CERTIFICATION REQUIREMENTS WITH RESPECT TO FISCAL YEAR ENDING DECEMBER 2012. THE BOARD THEN ISSUED A NOTICE OF ADMINISTRATIVE ACTION WITHDRAWING MASSMUTUAL'S FHA APPROVAL. MASSMUTUAL HAS SINCE SUBMITTED THE REQUIRED DOCUMENTATION AND PAID A $7,500 CIVIL MONETARY PENALTY. THE MORTGAGE REVIEW BOARD HAS RESCINDED THE NOTICE OF ADMINISTRATIVE ACTION AND REINSTATED MASSMUTUAL AS AN APPROVED TITLE II MORTGAGEE. ON NOVEMBER 17, 2014, AN ADMINISTRATIVE LAW JUDGE WITH HUD'S OFFICE OF HEARINGS AND APPEALS DISMISSED THE MATTER, WITH PREJUDICE.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: THE SECURITIES DIVISION OF THE STATE OF NEVADA ALLEGED THAT DURING THE PERIOD OF JULY 3, 2009 THROUGH APRIL 21, 2010, MML INVESTORS SERVICES, LLC OPERATED A BRANCH OFFICE IN THE STATE OF NEVADA OTHER THAN THE PRINCIPAL OFFICE, WITHOUT THE BENEFIT OF BEING LICENSED PURSUANT NRS 90.360(2)AND(3). Status: Final Sanction Detail: MML INVESTORS SERVICES, LLC PAID A FINE IN THE AMOUNT OF $1,000.00. Summary: MML INVESTORS SERVICES, LLC CONSENTED TO THE ENTRY OF THE ORDER AND PAID A FINE IN THE AMOUNT OF $1,000.00. IN CONSIDERATION, THE SECURITIES DIVISION AGREED NOT TO PURSUE ANY FURTHER ACTION AGAINST MML INVESTORS SERVICES, LLC OTHER THAN AS SET FORTH IN THE ORDER IN CONNECTION WITH THE SUBJECT MATTER OF THE ORDER.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: THE STATE OF RHODE ISLAND ALLEGED THAT MML INVESTORS SERVICES, LLC FAILED REASONABLY TO ENFORCE POLICIES, PROCEDURES AND SYSTEMS REASONABLY DESIGNED TO PREVENT, DETECT AND ADDRESS VIOLATIONS BY A FORMER REGISTER REPRESENTATIVE AND FAILED REASONABLY TO SUPERVISE ACTIVITIES AT ITS OSJ AND DETACHED BRANCH OFFICE CONSTITUTING A VIOLATION OF R.I. GEN. LAWS § 7-11-212(B)(11). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MML INVESTORS SERVICES, LLC AGREED TO THE ENTRY OF THE ORDER AND PAID A FINE IN THE AMOUNT OF $250,000. IN CONSIDERATION, THE DEPARTMENT OF BUSINESS REGULATION AGREED NOT TO PURSUE ANY FURTHER ACTION AGAINST MML INVESTORS SERVICES, LLC OTHER THAN AS SET FORTH IN THE ORDER. Summary: THE DIRECTOR OF THE RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION (THE "DIRECTOR") ENTERED INTO A CONSENT ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS (THE "ORDER") FOR THE RESOLUTION OF A MATTER INVOLVING MML INVESTORS SERVICES ON DECEMBER 6, 2012. THE MATTER WAS RESOLVED PRIOR TO INSTITUTING ADMINISTRATIVE PROCEEDINGS. MML INVESTORS SERVICES NEITHER ADMITTED, NOR DENIED THE FINDINGS. THE MATTER AROSE OUT OF THE CONDUCT OF TWO FORMER REPRESENTATIVES OF MML INVESTORS SERVICES WHO HAVE BEEN BARRED FROM ENGAGING IN ANY SECURITIES BUSINESS IN THE STATE OF RHODE ISLAND AS A RESULT OF THEIR CONDUCT. ON MARCH 28, 2011, MML INVESTORS SERVICES ADVISED THE SECURITIES DIVISION THAT ONE OF THESE REPRESENTATIVES HAD EMBEZZLED MONEY FROM ONE OF HIS CLIENTS OVER THE COURSE OF TEN YEARS BY INDUCING THE CLIENT TO INVEST IN FRAUDULENT AND NON-EXISTENT PROMISSORY NOTES SOLD THROUGH THE REPRESENTATIVE'S OUTSIDE BUSINESS ACTIVITY. THE DIRECTOR ALLEGED THAT MML INVESTORS SERVICES FAILED TO REASONABLY SUPERVISE THESE REPRESENTATIVES IN VIOLATION OF R.I. GEN. LAWS SECTION 7-11-212(B)(11). THE ORDER DIRECTS MML INVESTORS SERVICES TO: (I) IMMEDIATELY CEASE AND DESIST FROM ANY FURTHER VIOLATIONS OF THE RHODE ISLAND UNIFORM SECURITIES ACT OF 1990 AND THE RULES PROMULGATED THEREUNDER; (II) PAY A PENALTY IN THE AMOUNT OF $250,000 TO THE RHODE ISLAND DEPARTMENT OF BUSINESS REGULATION; (III) CONFIRM IN WRITING THAT IT HAS REIMBURSED THE CLIENT FOR LOSSES ACCORDING TO THE TERMS OF A SETTLEMENT NEGOTIATED AMONGST THE PARTIES; AND, (IV) RETAIN AN INDEPENDENT CONSULTANT TO CONDUCT A COMPREHENSIVE REVIEW OF ITS RHODE ISLAND DETACHED BRANCH OFFICES AND REGISTERED REPRESENTATIVES IN SUCH LOCATIONS AND ISSUE A WRITTEN REPORT TO BE FILED WITH THE DIRECTOR.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: THE COMMONWEALTH OF PENNSYLVANIA, ACTING THROUGH THE DEPARTMENT OF BANKING AND SECURITIES ("DEPARTMENT"), BUREAU OF SECURITIES LICENSING, COMPLIANCE AND EXAMINATIONS ("BUREAU") CONDUCTED AN INVESTIGATION OF THE SECURITIES ACTIVITIES OF MML INVESTORS SERVICES, LLC (THE "FIRM") PURSUANT TO THE PENNSYLVANIA SECURITIES ACT OF 1972, 70 P.S. §1-101, ET. SEQ, ("1972 ACT"). THE FIRM, NEITHER ADMITTING NOR DENYING THE ALLEGATIONS, AND INTENDING TO BE LEGALLY BOUND, AGREED TO THE TERMS OF A CONSENT AGREEMENT AND ORDER ("ORDER") EFFECTIVE JULY 6, 2015. THE MATTER AROSE OUT OF THE CONDUCT OF A DECEASED FORMER REPRESENTATIVE OF THE FIRM. THE REPRESENTATIVE OPERATED AN UNAPPROVED OUTSIDE BUSINESS ACTIVITY THROUGH WHICH HE ISSUED, OFFERED AND SOLD UNREGISTERED PROMISSORY NOTES TO CERTAIN PENNSYLVANIA RESIDENTS. THE ISSUANCE AND/OR OFFERS AND SALES OF THE NOTES BY THE REPRESENTATIVE WERE NOT APPROVED BY THE FIRM. THE BUREAU RECEIVED FIVE COMPLAINTS AND WAS AWARE OF TWELVE NOTES TOTALING APPROXIMATELY $385,000.00. Status: Final Sanction Detail: PAYMENT TO THE DEPARTMENT FOR MONETARY SANCTIONS IN THE AMOUNT OF $125,000 AND PAYMENT TO CERTAIN PENNSYLVANIA RESIDENTS IN THE AMOUNT OF $150,840.62 WAS MADE ON JUNE 30, 2015. Summary: THE FIRM, NEITHER ADMITTING NOR DENYING THE ALLEGATIONS, AND INTENDING TO BE LEGALLY BOUND, AGREED TO THE TERMS OF A CONSENT AGREEMENT AND ORDER ("ORDER") EFFECTIVE JULY 6, 2015. THE MATTER AROSE OUT OF THE CONDUCT OF A DECEASED FORMER REPRESENTATIVE OF THE FIRM. THE REPRESENTATIVE OPERATED AN UNAPPROVED OUTSIDE BUSINESS ACTIVITY THROUGH WHICH HE ISSUED, OFFERED AND SOLD UNREGISTERED PROMISSORY NOTES TO CERTAIN PENNSYLVANIA RESIDENTS. THE ISSUANCE AND/OR OFFERS AND SALES OF THE NOTES BY THE REPRESENTATIVE WERE NOT APPROVED BY THE FIRM. THE BUREAU RECEIVED FIVE COMPLAINTS AND WAS AWARE OF TWELVE NOTES TOTALING APPROXIMATELY $385,000.00. THE FIRM WAS SUBJECT TO A SANCTION UNDER SECTION 305(A)(VII) OF THE 1972 ACT, 70 P.S. §1-305(A)(VII) FOR A FAILURE TO REASONABLY SUPERVISE AN AGENT OF THE FIRM. THE ORDER DIRECTED THE FIRM TO I) PAY AN ADMINISTRATIVE ASSESSMENT IN THE AMOUNT OF $100,000.00; II) PAY LEGAL AND INVESTIGATIVE COSTS IN THE AMOUNT OF $25,000.00; III) COMPLY WITH THE 1972 ACT, AND ITS REGULATIONS AS ADOPTED BY THE DEPARTMENT, 70 P.S. §1-101, ET. SEQ; AND IV) REPRESENT TO THE DEPARTMENT THAT IT HAD MADE CERTAIN PAYMENTS TO CERTAIN PENNSYLVANIA RESIDENTS RELATED TO THE SECURITIES ACTIVITIES OF THE REPRESENTATIVE AND HIS OUTSIDE BUSINESS.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: FROM MARCH 2017 THROUGH MARCH 2018, (THE RELEVANT PERIOD), IT WAS ALLEGED THAT MMLIS FAILED TO PREVENT CERTAIN REGISTERED AND ASSOCIATED PERSONS WHO HAD BEEN TERMINATED FROM THE FIRM FROM CONTINUING TO ACCESS CUSTOMER RECORDS AND INFORMATION, INCLUDING NONPUBLIC PERSONAL INFORMATION. Status: Final Sanction Detail: MMLIS ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH FINRA FOR THE RESOLUTION OF THE MATTER EFFECTIVE MARCH 20, 2020 AND PAID A FINE IN THE AMOUNT OF $75,000.00. Summary: MMLIS ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT WITH FINRA FOR THE RESOLUTION OF A MATTER EFFECTIVE MARCH 20, 2020. FINRA MADE FINDINGS THAT THE FIRM FAILED TO ENSURE THAT ACCESS TO A THIRD-PARTY SYSTEM WAS LIMITED TO ONLY THOSE FORMER REGISTERED REPRESENTATIVES OF A COMPANY THAT WAS ACQUIRED BY THE FIRM FOR WHOM ACCESS WAS AGREED TO BE GIVEN. AS A RESULT, ADDITIONAL FORMER REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS OF THE FIRM HAD ACCESS TO THE THIRD-PARTY SYSTEM AFTER THE ACQUISITION. BECAUSE MMLIS WAS UNAWARE THAT THESE ADDITIONAL REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS HAD ACCESS TO THE THIRD-PARTY SYSTEM AFTER THE ACQUISITION, THE FIRM DID NOT NOTIFY THE THIRD PARTY WHEN THOSE REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS CEASED TO BE ASSOCIATED WITH THE FIRM. AS A RESULT, THE THIRD-PARTY DID NOT TIMELY SHUT OFF THOSE FORMER REGISTERED REPRESENTATIVES' AND ASSOCIATED PERSONS' ACCESS TO THE THIRD-PARTY SYSTEM. THE THIRD PARTY SYSTEM STORED CUSTOMER RECORDS AND INFORMATION, INCLUDING NONPUBLIC PERSONAL INFORMATION. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A CENSURE, A FINE OF $75,000, AND THE ENTRY OF FINDINGS THAT IT FAILED TO PREVENT CERTAIN REGISTERED AND ASSOCIATED PERSONS WHO HAD BEEN TERMINATED FROM THE FIRM FROM CONTINUING TO ACCESS CUSTOMER RECORDS AND INFORMATION, INCLUDING NONPUBLIC PERSONAL INFORMATION, IN VIOLATION OF THE SEC'S REGULATION S-P AND FINRA RULE 2010.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: FAILURE TO SUPERVISE BROKER-DEALER AGENTS' POSTING ABOUT SECURITIES ON SOCIAL MEDIA, TRADING IN OUTSIDE ACCOUNTS OF OTHER INDIVIDUALS, AND EXCESSIVE TRADING IN PERSONAL ACCOUNTS. THESE FAILURES CONSTITUTED VIOLATIONS MASS. GEN. LAWS 204(A)(2)(J). Status: Final Sanction Detail: $4,000,000 PAID ON 09/20/2021
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: THE DIVISION ALLEGED THAT MML INVESTORS SERVICES, LLC ("MMLIS") EMPLOYED THREE HUNDRED FOUR (304) INDIVIDUALS WHO TRANSACTED SECURITIES BUSINESS IN MASSACHUSETTS, SIXTY THREE (63) INDIVIDUALS WHO SUPERVISED MMLIS AGENTS TRANSACTING SECURITIES BUSINESS IN MASSACHUSETTS, AND ONE HUNDRED AND ELEVEN (111) AGENCY SUPERVISORY OFFICERS WHO ASSISTED IN SUPERVISING AGENTS ALL WHILE NOT REGISTERED AS AGENTS. Status: Final Sanction Detail: PURSUANT TO THE CONSENT ORDER, MMLIS PAID A FINE OF $750,000 ON SEPTEMBER 20, 2021.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: THE COMMONWEALTH OF MASSACHUSETTS SECURITIES DIVISION ALLEGED THAT MML INVESTORS SERVICES, LLC ("MMLIS") FAILED TO REASONABLY SUPERVISE ITS AGENT'S VARIABLE ANNUITY SALES PRACTICES. SPECIFICALLY, THE SECURITIES DIVISION ALLEGED THAT MMLIS FAILED TO ENSURE THAT ITS AGENT PROPERLY INFORM CLIENTS OF THE GENERAL TERMS OF THE VARIABLE ANNUITIES THE AGENT RECOMMENDED, AND MMLIS FAILED TO ENSURE THAT ITS AGENT PROPERLY DISCLOSED THE COMMISSIONS THAT THE AGENT WOULD RECEIVE IN CONNECTION WITH CLIENTS' PURCHASES OF VARIABLE ANNUITIES AND THEIR ADDITIONAL PREMIUM PAYMENTS. MMLIS NEITHER ADMITTED NOR DENIED THE STATEMENTS OF FACT AND THE VIOLATIONS OF LAW IN THE CONSENT ORDER. Status: Final Sanction Detail: MMLIS WAS ORDERED TO PAY A $250,000 ADMINISTRATIVE FINE, DISGORGE $12,092.39 IN PROFITS AND OTHER REMUNERATION RECEIVED IN CONNECTION WITH ITS AGENT'S VARIABLE ANNUITY SALES, AND PROVIDE REMEDIATION OF $33,837.95 TO SIX CLIENTS FOR COSTS THAT WOULD BE INCURRED IN CONNECTION WITH THE SURRENDERING OR EXITING THEIR EXISTING ANNUITY CONTRACTS PURCHASED THROUGH ITS AGENT. Summary: MMLIS WAS ORDERED TO PAY A FINE IN THE AMOUNT OF $250,000; AND TO PROVIDE REMEDIATION PAYMENTS TO CERTAIN CLIENTS AND MUST CONDUCT A COMPREHENSIVE REVIEW OF ITS WRITTEN SUPERVISORY POLICIES AND PROCEDURES RELATED TO THE DISCLOSURE OF COMMISSIONS IN CONNECTION WITH THE SALE OF VARIABLE ANNUITIES. MMLIS MUST DISGORGE $12,092.39 IN PROFITS AND OTHER REMUNERATION RECEIVED IN CONNECTION WITH ITS FORMER AGENT'S VARIABLE ANNUITY SALES, AND PROVIDE REMEDIATION OF $33,837.95 TO SIX CLIENTS FOR THE COSTS THAT WOULD BE INCURRED IN CONNECTION WITH SURRENDERING OR EXITING THE EXISTING ANNUITY CONTRACTS PURCHASED THROUGH ITS FORMER AGENT. ON AUGUST 5, 2022, MMLIS SUBMITTED AN OFFER OF SETTLEMENT TO THE DIVISION AND CONSENTED TO THE ENTRY OF THE ORDER BY THE DIVISION WITHOUT ADMITTING OR DENYING THE STATEMENT OF FACTS AND THE VIOLATIONS OF LAW IN THE CONSENT ORDER.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: MML INVESTORS SERVICES NOTIFIED THE SECURITIES ADMINISTRATOR OF THE ON-SITE INSPECTIONS AND VIRTUAL INSPECTIONS OF ITS MAINE BRANCH OFFICES DURING 2022 AS REQUIRED BY JANUARY 31, 2023. THE SECURITIES ADMINISTRATOR ALLEGED THAT MML INVESTORS SERVICES FAILED TO CONDUCT ON-SITE BRANCH OFFICE INSPECTIONS OF ALL OF ITS MAINE BRANCH OFFICES IN VIOLATION OF ORDER AND RULE CH. 504 §(7)(4)(B). Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MML INVESTORS SERVICES AGREED TO PAY A FINE IN THE AMOUNT OF $2,500.00 AND THE FIRM AGREED IT WILL COMPLY WITH ALL LICENSING AND OTHER LEGAL REQUIREMENTS GOVERNING PERSONS ACTING AS SECURITIES BROKER DEALERS IN MAINE AT ALL TIMES. Summary: ON APRIL 26, 2021 THE SECURITIES ADMINISTRATOR ISSUED ORDER 2021-23 GRANTING BROKER-DEALERS RELIEF UNTIL DECEMBER 31, 2021 FROM ON-SITE BRANCH OFFICE INSPECTION REQUIREMENTS. ORDER 2021-12 REQUIRED BROKER-DEALER FIRMS WITH MAINE BRANCHES TO CONDUCT ON-SITE INSPECTIONS OF EACH BRANCH BEFORE DECEMBER 31, 2022. ORDER 2021-12 FURTHER REQUIRED BROKER-DEALER FIRMS TO NOTIFY THE SECURITIES ADMINISTRATOR BY JANUARY 31, 2023 THE SPECIFIC BRANCH OFFICES THAT WERE INSPECTED. MML INVESTOR SERVICES NOTIFIED THE SECURITIES ADMINISTRATOR OF THE 2022 ON-SITE INSPECTIONS OF CERTAIN MAINE BRANCH OFFICES AND VIRTUAL INSPECTIONS OF OTHER MAINE BRANCH OFFICES. THE SECURITIES ADMINISTRATOR ALLEGED THAT FAILING TO CONDUCT ON-SITE BRANCH OFFICE INSPECTIONS OF ALL MAINE BRANCH OFFICES, MML INVESTORS SERVICES VIOLATED ORDER 2021-12 AND RULE CH.504 §(7)(4)(B). MML INVESTORS SERVICES REPRESENTED TO THE ADMINISTRATOR THAT IT WAS NOT THEIR INTENTION TO VIOLATE ORDER 2021-12 OR RULE CH. 504 § (7)(4)(B). WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MML INVESTORS SERVICES AGREED TO PAY A FINE IN THE AMOUNT OF $2,500.00 AND THE FIRM AGREED IT WILL COMPLY WITH ALL LICENSING AND OTHER LEGAL REQUIREMENTS GOVERNING PERSONS ACTING AS SECURITIES BROKER DEALERS IN MAINE AT ALL TIMES. THE ADMINISTRATOR AGREED NOT TO TAKE FURTHER ACTION AGAINST MML INVESTORS SERVICES BASED ON THE FIRM'S FAILURE TO COMPLY WITH ORDER 2021-12.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: MML INVESTORS SERVICES, LLC ("MMLIS") SELF REPORTED TO THE STATE OF MICHIGAN, CORPORATIONS, SECURITIES & COMMERCIAL LICENSING BUREAU AND THE DIRECTOR OF THE BUREAU, THAT IT DID NOT PROPERLY SUBMIT MATERIALS IN ORDER TO REGISTER AN INDIVIDUAL AS AN INVESTMENT ADVISER REPRESENTATIVE ASSOCIATED WITH MMLIS FROM 2010 TO 2023. THE INDIVIDUAL WAS REGISTERED AS A BROKER DEALER AGENT DURING THE PERIOD AND BECAME REGISTERED AS AN INVESTMENT ADVISER REPRESENTATIVE ON OR AROUND AUGUST 23, 2023. Status: Final Sanction Detail: MMLIS AGREED TO PAY A CIVIL FINE IN THE AMOUNT OF $10,000.00 WITHIN 60 DAYS AFTER THE DATE OF THE ISSUED AND ENTERED DATE OF THE CONSENT ORDER. NO PORTION OF THE FINE WAS WAIVED. Summary: MMLIS WAS RESPONSIBLE FOR SUBMITTING THE INVESTMENT ADVISER REPRESENTATIVE APPLICATION MATERIALS FOR AN INDIVIDUAL AND DID NOT SUBMIT THE REQUEST FOR THE REGISTRATION OF THE INDIVIDUAL FROM THE PERIOD 2010 THROUGH 2023. THE FIRMS' REVIEW OF REGISTRATION RECORDS DID NOT IDENTIFY THAT THE INDIVIDUAL WAS NOT REGISTERED ALTHOUGH ITS INTERNAL RECORDS INDICATED THAT THE INDIVIDUAL WAS REGISTERED. THE INDIVIDUAL PROVIDED INVESTMENT ADVISORY SERVICES ON BEHALF OF MMLIS THAT REQUIRED THE INDIVIDUAL'S REGISTRATION UNDER MCL 451.2404 FROM 2010 THROUGH 2023. THE BUREAU ALLEGED THAT MMLIS'S INADVERTENT FAILURE TO SUBMIT REGISTRATION MATERIALS RESULTED IN MATERIALLY AIDING VIOLATIONS OF MCL 451.2404 BY THE INDIVIDUAL. MMLIS AND THE BUREAU AGREED IN LIEU OF ISSUING AN ENFORCEMENT ACTION AGAINST THE INDIVIDUAL INVESTMENT ADVISER REPRESENTATIVE, THE ADMINISTRATOR WOULD ENTER AN ORDER TO RESOLVE THE REGISTRATION ISSUE BASED ON THE FOLLOWING: MMLIS NEITHER ADMITTED OR DENIED THAT IT MATERIALLY AIDED IN VIOLATIONS OF MCL 451.2404 BY FAILING TO SUBMIT INVESTMENT ADVISER REPRESENTATIVE REGISTRATION APPLICATION MATERIALS FOR THE INDIVIDUAL FROM 2010 TO 2023. MML AGREED TO SEND A NOTIFICATION LETTER THAT IS NOT UNACCEPTABLE TO BUREAU STAFF, TO CLIENTS FROM WHOM FEES WERE COLLECTED WHILE THE INVESTMENT ADVISER REPRESENTATIVE WAS UNREGISTERED, NOTIFYING THE CLIENTS OF THE CONSENT ORDER AND THE CLIENTS MAY HAVE RIGHTS UNDER THE ACT. THE NOTIFICATION LETTER MUST BE MAILED WITHIN 30 DAYS OF THE ISSUED AND ENTERED DATE OF THE CONSENT ORDER. MMLIS MUST PROVIDE PROOF OF THE MAILING TO THE BUREAU AND THE DATE EACH CLIENT WAS NOTIFIED. THE PROOF OF THE MAILING MUST BE PROVIDED TO THE BUREAU WITHIN 60 DAYS OF THE ISSUED AND ENTERED DATE OF THE CONSENT ORDER. MMLIS AGREED TO CONDUCT A REVIEW OF ITS POLICIES AND PROCEDURES TO IDENTIFY WEAKNESSES WITHIN THE POLICIES AND PROCEDURES AND CORRECT THEM TO PREVENT FUTURE FAILURES TO REGISTER AGENTS OR INVESTMENT ADVISER REPRESENTATIVES. MMLIS AGREED TO PAY A FINE IN THE AMOUNT OF $10,000.00 WITHIN 60 DAYS AFTER THE ISSUED AND ENTERED DATE OF THE CONSENT ORDER.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: ALLEGATIONS THAT MML INVESTORS SERVICES, LLC ("MMLIS") HAD APPROXIMATELY 516 UNREGISTERED BROKER-DEALER AGENTS WHO WERE ASSIGNED VIRGNIA CLIENT ACCOUNTS AND THE AGENTS WERE NOT REGISTERED WITH THE SECURITIES DIVISION. THE DIVISION ALLEGED THAT THE ACTIONS WERE IN VIOLATION OF §13.1-504B OF THE ACT. Status: Final Sanction Detail: MMLIS AGREED TO THE TERMS OF THE SETTLEMENT AND AGREED TO PAY A FINE IN THE AMOUNT OF $50,000.00 AND THE COSTS ASSOCIATED WITH THE INVESTIGATION IN THE AMOUNT OF $15,000.00 TO THE TREASURER OF VIGINIA. Summary: ALLEGATIONS THAT MMLIS HAD 516 UNREGISTERED BROKER-DEALER AGENTS WHO WERE ASSIGNED TO VIRGINIA CLIENT ACCOUNTS AND THE AGENTS WERE NOT REGISTERED IN VIRGINIA. THE DIVISION ALLEGED THAT MMLIS VIOLATED §13.1-504B OF THE ACT. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MMLIS AGREED TO THE TERMS OF THE SETTLEMENT ORDER. MMLIS AGREED TO PAY THE TREASURER OF VIRGINIA AN AMOUNT OF $50,000.00 IN PENALITIES AND $15,000 FOR THE COSTS ASSOCIATED WITH THE DIVISION'S INVESTIGATION. MMLIS AGREED NOT TO VIOLATE THE ACT IN THE FUTURE.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: IT WAS ALLEGED THAT THE SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES OF MML INVESTORS SERVICES, LLC ("MMLIS") WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH MMLIS'S OBLIGATION TO SUPERVISE CONSOLIDATED REPORTS DURING THE PERIOD OF MARCH 2017 THROUGH APRIL 2020. IT WAS ALLEGED THAT MMLIS VIOLATED FINRA RULES 3110 AND 2010. Status: Final Sanction Detail: MMLIS WAS CENSURED AND FINED $700,000. NO PORTION OF THE FINE WAS WAIVED AND THE PAYMENT WAS MADE ON NOVEMBER 29, 2024. Summary: THE MATTER ORIGINATED FROM AN INVESTIGATION INTO MMLIS'S TERMINATION OF A REPRESENTATIVE WHO WAS CREATING AND DISSEMINATING FALSE CONSOLIDATED REPORTS. IT WAS ALLEGED THAT DURING THE PERIOD OF MARCH 2017-APRIL 2020, MMLIS'S SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES HAD NOT BEEN REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE OBLIGATION TO SUPERVISE CONSOLIDATED REPORTS AND MMLIS FAILED TO REASONABLY SUPERVISE THE PROCESS OF ITS REGISTERED REPRESENTATIVES CREATING CONSOLIDATED REPORTS INCLUDING MANUAL ENTRY OF ACCOUNT INFORMATION USING A THIRD-PARTY REPORTING SYSTEM. IT WAS ALLEGED THAT MMLIS FAILED TO DETECT RED FLAGS THAT INDICATED THAT ONE OF ITS REPRESENTATIVES WAS MANUALLY ENTERING FICTITIOUS BROKERAGE ACCOUNTS PURPORTEDLY HELD AT MMLIS INTO THE CONSOLIDATED REPORTING SYSTEM AND MMLIS VIOLATED FINRA RULES 3110 AND 2010. MMLIS AGREED TO THE TERMS OF THE AWC AND TO PAY THE MONETARY SANCTION. MMLIS COMPENSATED CUSTOMERS FOR DAMAGES RELATING TO THE REPRESENTATIVE'S ACTIONS. BEGINNING IN APRIL 2020, MMLIS MADE IMPROVEMENTS TO ITS SUPERVISORY SYSTEM TO ACHIEVE COMPLIANCE WITH APPLICABLE RULES.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: A MARKET CONDUCT EXAMINATION BY THE STATE OF CONNECTICUT, DEPARTMENT OF INSURANCE WAS CONDUCTED FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY. MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") IS THE ULTIMATE PARENT OF MML INVESTORS SERVICES, LLC ("MML INVESTORS SERVICES"). AT THE CONCLUSION OF THE EXAMINATION, THE INSURANCE DEPARTMENT ALLEGED THAT MASSMUTUAL VIOLATED SUBSECTIONS 38A-15 AND 38A-702M OF THE CONNECTICUT GENERAL STATUTES. Status: Final Sanction Detail: MASSMUTUAL AGREED TO PROVIDE THE DEPARTMENT WITH A SUMMARY OF ACTIONS TAKEN TO COMPLY WITH THE RECOMMENDATIONS IN THE MARKET CONDUCT REPORT WITHIN 90 DAYS AND MASSMUTUAL AGREED TO PAY A FINE IN THE AMOUNT OF $61,000. Summary: DURING THE PERIOD UNDER EXAMINATION (JANUARY 1, 2014-DECEMBER 31, 2016), THE CONNECTICUT INSURANCE DEPARTMENT ALLEGED THAT MASSMUTUAL IN CERTAIN INSTANCES, FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY REQUIREMENTS RESULTING IN INSTANCES OF: 35 PRODUCERS ACTING AS AGENTS WITHOUT BEING APPOINTED; 1 INSTANCE WHERE IT FAILED TO RETURN PREMIUM IN A TIMELY MANNER; 5 INSTANCES WHERE IT FAILED TO PROVIDE DOCUMENTATION FOR REGULATORY REVIEW; AND 1 INSTANCE WHERE IT FAILED TO RESPOND TIMELY TO A WRITTEN REQUEST FOR INFORMATION.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISCLOSURE AND SUITABILITY REQUIREMENTS OF NEW YORK REGULATIONS 60 AND 187. IT WAS ALLEGED THAT MASSMUTUAL SOLD OR ISSUED 692 REPLACEMENT CONTRACTS TO CONSUMERS WITHOUT REASONABLE BASES TO BELIEVE THE ANNUITIES AT ISSUE WERE SUITABLE IN SOME INSTANCES, AND WITHOUT PROVIDING CONSUMERS WITH THE REQUIRED ANNUITIZATION INFORMATION FOR REPLACED DEFERRED ANNUITIES. IT WAS ALSO ALLEGED THAT MASSMUTUAL DID NOT ESTABLISH A SUPERVISORY SYSTEM DESIGNED TO ACHIEVE COMPLIANCE WITH RULE 187 IN CONNECTION WITH THE DEFERRED-TO-IMMEDIATE REPLACEMENTS AT ISSUE. Status: Final Sanction Detail: MASSMUTUAL AND DFS AGREED UPON RESTITUTION AND REMEDIATION FOR THE AFFECTED CONTRACT HOLDERS OF THE REPLACEMENT CONTRACTS, AND WITHIN 30 DAYS, ALL AFFECTED CONTRACT HOLDERS OR BENEFICIARIES WILL BE PROVIDED WITH NOTICES AND CHECKS OR OTHER PAYMENT MEANS APPROVED BY THE DFS IN THE REQUIRED AMOUNTS. MASSMUTUAL WILL PROVIDE THE DFS QUARTERLY REPORTS DETAILING THE NUMBER OF CHECKS MAILED, TOTAL AMOUNT OR INDIVIDUAL CHECKS AND THE NUMBER OF CHECKS DEPOSITED, UNDELIVERED AND OR NOT DEPOSITED. Summary: MASSMUTUAL AGREED TO PAY A CIVIL MONETARY FINE IN THE AMOUNT OF $692,000. MASSMUTUAL AND DFS AGREED UPON RESITUTION AND REMEDIATION FOR THE AFFECTED CONTRACT HOLDERS OF THE REPLACEMENT CONTRACTS. WITHIN 30 DAYS, ALL AFFECTED CONTRACT HOLDERS OR BENEFICIARIES WILL BE PROVIDED WITH NOTICES AND CHECKS OR OTHER PAYMENT MEANS APPROVED BY THE DFS IN THE REQUIRED AMOUNTS. MASSMUTUAL WILL PROVIDE DFS QUARTERLY REPORTS DETAILING THE NUMBER OF CHECKS MAILED, TOTAL AMOUNT OR INDIVIDUAL CHECKS AND THE NUMBER OF CHECKS DEPOSITED, UNDELIVERED AND OR NOT DEPOSITED.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 04, 2024
Allegations: IN 2003, THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT OF $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEGED THAT THE AGENT DID NOT EXPLAIN THAT THE PREMIUM WOULD BE ADJUSTED ANNUALLY AND THAT THE AGENT MISREPRESENTED THE PRODUCT. Status: Final Sanction Detail: THE MARYLAND INSURANCE COMMISSION ENTERED AN ORDER AGAINST MASSMUTUAL, AND WITHIN 30 DAYS OF THE DATE OF THE ORDER, MASSMUTUAL WILL PAY AN ADMINISTRATIVE PENALTY OF $1,000. Summary: THE STATE OF MARYLAND DETERMINED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") VIOLATED THE CODE OF MARYLAND REGULATIONS ("COMAR") 31.09.15.11 AND THEREFORE SUBSECTION 4-113 OF THE INSURANCE ARTICLE BY FAILING TO SEND ANNUAL REPORTS TO AN INSURED IN 2020 AND 2021. THE ADMINISTRATION DID NOT FIND A VIOLATION BY MASSMUTUAL IN ITS OTHER ACTIONS COMPLAINED OF BY THE COMPLAINANT. THE MARYLAND INSURANCE COMMISSION ENTERED AN ORDER AGAINST MASSMUTUAL, AND WITHIN 30 DAYS OF THE DATE OF THE ORDER, MASSMUTUAL WILL PAY AN ADMINISTRATIVE PENALTY OF $1,000.
Regulatory
as of Dec 04, 2024
Allegations: THE SEC DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940 AGAINST MML INVESTORS SERVICES, LLC ("MMLIS" OR "RESPONDENT"). THE COMMISSION FINDS THAT: THESE PROCEEDINGS ARISE OUT OF BREACHES OF FIDUCIARY DUTIES BY MML INVESTORS SERVICES, LLC, A DUALLY REGISTERED INVESTMENT ADVISER AND BROKER-DEALER, AND MSI FINANCIAL SERVICES, INC. ("MSI"), A FORMERLY REGISTERED INVESTMENT ADVISER AND BROKER-DEALER THAT WAS INTEGRATED WITH MMLIS IN MARCH 2017, IN CONNECTION WITH THIRD-PARTY COMPENSATION THAT MMLIS AND MSI RECEIVED BASED ON THEIR ADVISORY CLIENTS' INVESTMENTS WITHOUT FULLY AND FAIRLY DISCLOSING THEIR CONFLICTS OF INTEREST. IN PARTICULAR, DURING CERTAIN PERIODS SINCE AT LEAST MARCH 2015, MMLIS AND MSI INVESTED CLIENTS IN CERTAIN SHARE CLASSES OF MUTUAL FUNDS THAT RESULTED IN THE FIRMS RECEIVING REVENUE SHARING PAYMENTS PURSUANT TO AGREEMENTS WITH THEIR UNAFFILIATED CLEARING BROKER, IN SPITE OF THESE FINANCIAL ARRANGEMENTS, MMLIS AND MSI PROVIDED NO DISCLOSURE OR INADEQUATE DISCLOSURE OF THE CONFLICTS OF INTEREST ARISING FROM THIS COMPENSATION. MMLIS AND MSI ALSO BREACHED THEIR DUTY TO SEEK BEST EXECUTION BY CAUSING CERTAIN ADVISORY CLIENTS TO INVEST IN SHARE CLASSES OF MUTUAL FUNDS THAT PAID REVENUE SHARING WHEN SHARE CLASSES OF THE SAME FUNDS WERE AVAILABLE TO THE CLIENTS THAT PRESENTED A MORE FAVORABLE VALUE FOR THESE CLIENTS UNDER THE PARTRICULAR CIRCUMSTANCES IN PLACE AT THE TIME OF THE TRANSACTIONS. FURTHERMORE, MMLIS AND MSI FAILED TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURE REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND DISCLOSURE OF CONFLICTS OF INTEREST ARISING OUT OF ITS REVENUE SHARING PRACTICES. AS A RESULT OF THE CONDUCT DESCRIBED HEREIN, MMLIS WILLFULLY VIOLATED SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER. Status: Final Sanction Detail: THE FIRM SHALL CEASE AND DESIST; IS CENSURED; SHALL PAY DISGORGEMENT OF $1,150,505 AND PREJUDGMENT INTEREST OF $258,953.29; SHALL PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $700,000; AND SHALL COMPLY WITH THE UNDERTAKINGS IN THE OFFER. Summary: MMLIS SUBMITTED AN OFFER OF SETTLEMENT (THE "OFFER") WHICH THE COMMISSION DETERMINED TO ACCEPT. AS A RESULT OF THE CONDUCT DESCRIBED HEREIN, MMLIS WILLFULLY VIOLATED SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER. ACCORDINGLY, IT IS HEREBY ORDERED THAT: RESPONDENT CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 PROMULGATED THEREUNDER; RESPONDENT IS CENSURED; RESPONDENT SHALL PAY DISGORGEMENT OF $1,150,505 AND PREJUDGMENT INTEREST OF $258,953.29; RESPONDENT SHALL PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $700,000; AND RESPONDENT SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SOLICITORS FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $22.9B (20% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 10, 2026.
View current Form ADV (SEC/IAPD) ↗