Wells Fargo Advisors Financial Network, Llc
- Regulatory AUM
- $252B
- Discretionary
- $192B
- Clients
- 466,575
- Avg AUM / client
- $541K
- Accounts
- 466,575
- Employees
- 4,047
AUM over time
Annual snapshots from Form ADV filings · as of Jul 17, 2026
Asset allocation (SMA assets by investment type)
as of Jul 17, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 221,968 | $51.4B | 20.4% |
| High net worth individuals | 233,869 | $183B | 72.6% |
| Banking or thrift institutions | 1 | $8.2M | 0.0% |
| Pension and profit sharing plans | 4,364 | $3.4B | 1.34% |
| Charitable organizations | 2,392 | $5.0B | 2.0% |
| State or municipal government entities | 20 | $88.6M | 0.04% |
| Insurance companies | 7 | $4.2M | 0.0% |
| Corporations and other businesses | 3,954 | $9.3B | 3.67% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (4,054)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul Cameron Sankovich | Chief Compliance Officer | Apr 2009 (17y) | Less than 5% | |
| David Franz Markmann | Designated Texas Officer | Sep 2016 (10y) | Less than 5% | |
| John R Tyers | President/Board Of Managers/Control Principal | Oct 2021 (5y) | Less than 5% | |
| Gindi, Sol | Board Of Managers | Jun 2022 (4y) | Less than 5% | |
| Lacey, Paul | Principal Operations Officer/Control Principal | Apr 2023 (3y) | Less than 5% | |
| Ta, Kimberly Crowder | Board Of Managers/Control Principal | Aug 2023 (3y) | Less than 5% | |
| Patel, Rakesh | Chief Financial Officer | Nov 2023 (3y) | Less than 5% | |
| Karanik, Erik Anthony | Chief Executive Officer / Board Of Managers | Apr 2024 (2y) | Less than 5% | |
| Craven, James J | Board Of Managers | May 2024 (2y) | Less than 5% | |
| Arthur Kelley Shooter | Registered representative | Jul 1997 (29y) | ||
| Robert Michael Bibb | Registered representative | Jun 1999 (27y) | ||
| Scott Richard Gross | Registered representative | Jun 1999 (27y) | ||
| Gregory Patrick Ferguson | Registered representative | Dec 2000 (26y) | ||
| Brian Joseph Heitler | Registered representative | Jan 2001 (26y) | ||
| Howard Wayne Shapiro | Registered representative | Jan 2001 (26y) | ||
| Lee Julian Blackwell | Registered representative | Jan 2001 (26y) | ||
| Donald R Hawkins | Registered representative | Feb 2002 (25y) | ||
| Richard Gregory Miller | Registered representative | Feb 2002 (25y) | ||
| Marat Kushner | Registered representative | Apr 2002 (24y) | ||
| Dean Gregory Slader | Registered representative | May 2002 (24y) | ||
| Russell Dean Slader | Registered representative | May 2002 (24y) | ||
| Terrence Paul Lambert | Registered representative | Jul 2002 (24y) | ||
| James Fung Ng | Registered representative | Aug 2002 (24y) | ||
| Brian Keith Hunt | Registered representative | Aug 2002 (24y) | ||
| Earnest Marcus Farrow | Registered representative | Aug 2002 (24y) | ||
| Mark D Smith | Registered representative | Aug 2002 (24y) | ||
| John Bolling Williamson | Registered representative | Oct 2002 (24y) | ||
| Richard Dennis Emma | Registered representative | Nov 2002 (24y) | ||
| Daniel John Bezik | Registered representative | Dec 2002 (24y) | ||
| Angelo Thomas Kafkes | Registered representative | CFA | May 2003 (23y) | |
| Barry Patrick Sullivan | Registered representative | Aug 2003 (23y) | ||
| Sandra Lea Smith | Registered representative | Aug 2003 (23y) | ||
| Francis Dewey Mundwiller | Registered representative | Sep 2003 (23y) | ||
| Allen James Long | Registered representative | Nov 2003 (23y) | ||
| Irwin Frank Jackson | Registered representative | CFP | Nov 2003 (23y) | |
| Charles Richard Sleezer | Registered representative | Dec 2003 (23y) | ||
| Robert James Siracusano | Registered representative | Dec 2003 (23y) | ||
| John Edgerton Thompson | Registered representative | CFP | Dec 2003 (23y) | |
| Lisa Katterhenry Howe | Registered representative | CFP | Mar 2004 (22y) | |
| Jeffrey Scott Mark | Registered representative | May 2004 (22y) | ||
| Byron Robert Braun | Registered representative | Aug 2004 (22y) | ||
| Stephan Todd Raska | Registered representative | Sep 2004 (22y) | ||
| Brian Kenneth Feinberg | Registered representative | Nov 2004 (22y) | ||
| Robert Alexander George | Registered representative | Nov 2004 (22y) | ||
| Winfield Malone Baird | Registered representative | CFP | Nov 2004 (22y) | |
| Thomas Anthony Tarabicos | Registered representative | Dec 2004 (22y) | ||
| William D Burk | Registered representative | Jan 2005 (22y) | ||
| James Michael Lukanich | Registered representative | Feb 2005 (21y) | ||
| Larry Raymond Olson | Registered representative | Feb 2005 (21y) | ||
| David John Callahan | Registered representative | Feb 2005 (21y) | ||
| Mitchell Joseph Dorfman | Registered representative | CFP | Feb 2005 (21y) | |
| David Anthony Gallina | Registered representative | Feb 2005 (21y) | ||
| Timothy John Erday | Registered representative | Apr 2005 (21y) | ||
| Brendan Christopher Mcbrien | Registered representative | Jul 2005 (21y) | ||
| Todd Gregory Beguelin | Registered representative | Jul 2005 (21y) | ||
| Louis V Siracusano | Registered representative | Oct 2005 (21y) | ||
| Michael David Altschuler | Registered representative | Oct 2005 (21y) | ||
| Jeffrey Charles Shirk | Registered representative | Nov 2005 (21y) | ||
| Charles Edward Boe | Registered representative | CFP | Dec 2005 (21y) | |
| John Robert Hanlin | Registered representative | Dec 2005 (21y) | ||
| Demitri Jim Paidas | Registered representative | Dec 2005 (21y) | ||
| Eric Charles Silk | Registered representative | CFP | Dec 2005 (21y) | |
| Matthew David Sobocinski | Registered representative | CFP | Dec 2005 (21y) | |
| Paul Edward Peck | Registered representative | CFP | Dec 2005 (21y) | |
| Robert Douglas Wilson | Registered representative | Dec 2005 (21y) | ||
| John Edward Shirk | Registered representative | Jan 2006 (21y) | ||
| Richard Frank Bardue | Registered representative | CFP | Jan 2006 (21y) | |
| John Judge Roche | Registered representative | CFP | Jan 2006 (21y) | |
| John Walter Gideon | Registered representative | Jan 2006 (21y) | ||
| Eric James Haubert | Registered representative | Jan 2006 (21y) | ||
| Alexander Cherubin | Registered representative | Jan 2006 (21y) | ||
| John Joseph Morley | Registered representative | Feb 2006 (20y) | ||
| Thomas Madden Morley | Registered representative | Feb 2006 (20y) | ||
| Kathleen Marie Lariviere | Registered representative | Feb 2006 (20y) | ||
| James Gustave Sivilli | Registered representative | Mar 2006 (20y) | ||
| Brian Debbis | Registered representative | CFP | Mar 2006 (20y) | |
| Henry Joseph Roy | Registered representative | CFP | Mar 2006 (20y) | |
| Laura Martin Miri | Registered representative | CFP | Jun 2006 (20y) | |
| Joseph Anthony Vieira | Registered representative | Jun 2006 (20y) | ||
| Thomas Robertson | Registered representative | Jul 2006 (20y) | ||
| Monte Edward Messman | Registered representative | Jul 2006 (20y) | ||
| Buck James Bandura | Registered representative | CFP | Aug 2006 (20y) | |
| Michael J Mccarthy | Registered representative | Oct 2006 (20y) | ||
| Peter Bruno | Registered representative | Oct 2006 (20y) | ||
| Michael Jerome Kotarski | Registered representative | Oct 2006 (20y) | ||
| Timothy Robert Moran | Registered representative | Oct 2006 (20y) | ||
| Mickey Martin Mcconkey | Registered representative | CFP | Nov 2006 (20y) | |
| Neal Lee Roehrs | Registered representative | Nov 2006 (20y) | ||
| Randolph Mcalpine | Registered representative | CFP | Nov 2006 (20y) | |
| Joan Rice Goshow | Registered representative | Dec 2006 (20y) | ||
| John Joseph Clark | Registered representative | Dec 2006 (20y) | ||
| Norman Leslie Laporte | Registered representative | Dec 2006 (20y) | ||
| Guy Christian Rizzo | Registered representative | Jan 2007 (20y) | ||
| Craig Joseph Lusco | Registered representative | Mar 2007 (19y) | ||
| John Cleaveland Palmer | Registered representative | CFP | Mar 2007 (19y) | |
| Kathryn Mckee Woodham | Registered representative | Mar 2007 (19y) | ||
| Kenneth Michael Woodham | Registered representative | CFP Chartered Financial Consultant | Mar 2007 (19y) | |
| Michael William Leonard | Registered representative | Mar 2007 (19y) | ||
| Ricky Dean Jensen | Registered representative | Mar 2007 (19y) | ||
| Mark Jeffrey Murphy | Registered representative | CFP | Mar 2007 (19y) | |
| Aaron Darick Roques | Registered representative | Jun 2007 (19y) | ||
| Douglas Robert Speth | Registered representative | Jul 2007 (19y) | ||
| Debra Hilleman | Registered representative | Jul 2007 (19y) | ||
| Debbie Jean Lumpkin | Registered representative | CFP | Aug 2007 (19y) | |
| Joseph Craig Aley | Registered representative | Sep 2007 (19y) | ||
| Bryan Teufel Black | Registered representative | Sep 2007 (19y) | ||
| Stephen Joseph Grote | Registered representative | Oct 2007 (19y) | ||
| Gregory Daniel Coghlan | Registered representative | Nov 2007 (19y) | ||
| Carrie Lynn Schilz | Registered representative | Jan 2008 (19y) | ||
| Colleen Mcelroy Mathis | Registered representative | Jan 2008 (19y) | ||
| Ryan D Thompson | Registered representative | Jan 2008 (19y) | ||
| Dennis K Greenwood | Registered representative | Jan 2008 (19y) | ||
| Glenn Joseph Fama | Registered representative | Feb 2008 (18y) | ||
| Barry Gordon Ellis | Registered representative | CFP | Mar 2008 (18y) | |
| Melinda Carol Whitlock | Registered representative | Mar 2008 (18y) | ||
| Jeffrey Allen Young | Registered representative | CFA | Mar 2008 (18y) | |
| Gregory C Egan | Registered representative | Mar 2008 (18y) | ||
| Raymond Alphonzo Eckersall | Registered representative | Apr 2008 (18y) | ||
| Mark Francis Luth | Registered representative | May 2008 (18y) | ||
| Brian Thomas Bertsch | Registered representative | Jul 2008 (18y) | ||
| Lawrence Joseph Kelly | Registered representative | Aug 2008 (18y) | ||
| Glenda Elizabeth Whitlock | Registered representative | Sep 2008 (18y) | ||
| Corey J Callahan | Registered representative | CFP | Nov 2008 (18y) | |
| Robert Grant Devore | Registered representative | Dec 2008 (18y) | ||
| Caleb Aaron Lowman | Registered representative | CFP | Dec 2008 (18y) | |
| Douglas Reagan Dooley | Registered representative | Jan 2009 (18y) | ||
| James Henry Berger | Registered representative | Jan 2009 (18y) | ||
| Frank Albano | Registered representative | Feb 2009 (17y) | ||
| Uri T Holmes | Registered representative | Feb 2009 (17y) | ||
| Kathleen Fletcher | Registered representative | CFP | Feb 2009 (17y) | |
| Iain A Walker | Registered representative | Mar 2009 (17y) | ||
| Michael Richard Kazinski | Registered representative | Mar 2009 (17y) | ||
| Aaron Barber | Registered representative | Apr 2009 (17y) | ||
| Anthony Joachim Reilly | Registered representative | Apr 2009 (17y) | ||
| Gregory D Miller | Registered representative | Apr 2009 (17y) | ||
| Jeffrey Edward Korbini | Registered representative | CFP Chartered Financial Consultant | Apr 2009 (17y) | |
| Chris Philip Bardos | Registered representative | Apr 2009 (17y) | ||
| J Christopher Hammond | Registered representative | Apr 2009 (17y) | ||
| David Alan Boliver | Registered representative | CFP | Apr 2009 (17y) | |
| Michael Joseph Mooney | Registered representative | Apr 2009 (17y) | ||
| James Carlton Cox | Registered representative | Apr 2009 (17y) | ||
| Michael Joseph Cowan | Registered representative | Apr 2009 (17y) | ||
| Ronald Lou Fritze | Registered representative | Apr 2009 (17y) | ||
| Jerry Duane Holdsworth | Registered representative | Apr 2009 (17y) | ||
| David Donn Alspach | Registered representative | May 2009 (17y) | ||
| Albert Kruger | Registered representative | May 2009 (17y) | ||
| Solomon Chemo | Registered representative | CFP | May 2009 (17y) | |
| Eugene Han Jin Pak | Registered representative | May 2009 (17y) | ||
| Michael Rory Ciano | Registered representative | Jun 2009 (17y) | ||
| James Richard Hughes | Registered representative | Jun 2009 (17y) | ||
| Martin Joseph Ganzekaufer | Registered representative | Jun 2009 (17y) | ||
| Michael George Tepperman | Registered representative | Jul 2009 (17y) | ||
| Daniel H Hitchcock | Registered representative | Jul 2009 (17y) | ||
| Scott Joseph Howerter | Registered representative | Jul 2009 (17y) | ||
| Brendan Louis Foley | Registered representative | Aug 2009 (17y) | ||
| Christopher Louis Foley | Registered representative | Aug 2009 (17y) | ||
| Sarah Ann Spires | Registered representative | Aug 2009 (17y) | ||
| Thomas Alan Barton | Registered representative | Aug 2009 (17y) | ||
| William Tarallo | Registered representative | CFP | Aug 2009 (17y) | |
| Roger Kent Stubbs | Registered representative | Sep 2009 (17y) | ||
| Joe Kenneth Moya | Registered representative | Sep 2009 (17y) | ||
| Michael Andrew Stern | Registered representative | Oct 2009 (17y) | ||
| Andrew Charles Crone | Registered representative | CFP | Nov 2009 (17y) | |
| Lyle Dudley Cogbill | Registered representative | Nov 2009 (17y) | ||
| Christopher Joseph Tapak | Registered representative | Nov 2009 (17y) | ||
| Anthony Patrick Dowling | Registered representative | Dec 2009 (17y) | ||
| Michael Joseph Kaczmarek | Registered representative | Dec 2009 (17y) | ||
| Frank Parker Durand | Registered representative | CFP | Dec 2009 (17y) | |
| William Edward Keenan | Registered representative | Dec 2009 (17y) | ||
| Robert Irl Cahill | Registered representative | Dec 2009 (17y) | ||
| Jonathan David Soden | Registered representative | Dec 2009 (17y) | ||
| David Bryan Gallentine | Registered representative | CFP | Dec 2009 (17y) | |
| Alan Emery Whitaker | Registered representative | Jan 2010 (17y) | ||
| Sherrie Lynn Lawrence | Registered representative | Jan 2010 (17y) | ||
| Eric Scott Friedman | Registered representative | Jan 2010 (17y) | ||
| Erica Marie Weiser | Registered representative | Jan 2010 (17y) | ||
| Nelson Martins | Registered representative | Jan 2010 (17y) | ||
| Stavros Spucces | Registered representative | Jan 2010 (17y) | ||
| Mark David Bowen | Registered representative | Jan 2010 (17y) | ||
| Aldo James Valente | Registered representative | Jan 2010 (17y) | ||
| Bret Gallin | Registered representative | Jan 2010 (17y) | ||
| Steven Matthew Kavall | Registered representative | Feb 2010 (16y) | ||
| Gregory James Marsh | Registered representative | Feb 2010 (16y) | ||
| Danny Shum | Registered representative | Mar 2010 (16y) | ||
| Connie Dutton | Registered representative | Mar 2010 (16y) | ||
| Douglas Paul Ferry | Registered representative | Mar 2010 (16y) | ||
| Ronald Wherritt | Registered representative | Mar 2010 (16y) | ||
| Karen Kallem | Registered representative | Mar 2010 (16y) | ||
| Robert Evely | Registered representative | Apr 2010 (16y) | ||
| John Edward Puscheck | Registered representative | Apr 2010 (16y) | ||
| Patrick Hadlow | Registered representative | Apr 2010 (16y) | ||
| Peter Degiralamo | Registered representative | Apr 2010 (16y) | ||
| Warren Victor Einolander | Registered representative | Apr 2010 (16y) | ||
| Felicia Hogue | Registered representative | May 2010 (16y) | ||
| Kent Wilson Whitaker | Registered representative | May 2010 (16y) | ||
| Matt Depalma | Registered representative | May 2010 (16y) | ||
| William Marsh | Registered representative | CFP Chartered Financial Consultant | May 2010 (16y) | |
| Carrie Hulen | Registered representative | May 2010 (16y) | ||
| Nicholas Feather | Registered representative | May 2010 (16y) | ||
| Carmen Joseph Alaimo | Registered representative | May 2010 (16y) | ||
| William Mark Nickles | Registered representative | May 2010 (16y) | ||
| Scott Molt | Registered representative | May 2010 (16y) | ||
| Mark Belschner | Registered representative | Jun 2010 (16y) | ||
| Jennifer Leblanc | Registered representative | Jul 2010 (16y) | ||
| Marvin Eugene Cook | Registered representative | Jul 2010 (16y) | ||
| Tyler Marsh | Registered representative | Jul 2010 (16y) | ||
| James Timothy Allen | Registered representative | Jul 2010 (16y) | ||
| Kevin Christopher Hereford | Registered representative | Aug 2010 (16y) | ||
| Cynthia Beheler Reames | Registered representative | Sep 2010 (16y) | ||
| James Shoffner | Registered representative | Sep 2010 (16y) | ||
| James Edwin Thompson | Registered representative | Sep 2010 (16y) | ||
| James Braun | Registered representative | Sep 2010 (16y) | ||
| Paul Zeigler Bennett | Registered representative | Sep 2010 (16y) | ||
| Timothy Irving Bullard | Registered representative | Oct 2010 (16y) | ||
| Chad Stephens | Registered representative | CFP | Oct 2010 (16y) | |
| Jeffrey Daniel Matthews | Registered representative | CFP | Nov 2010 (16y) | |
| Edmond Leeney | Registered representative | Nov 2010 (16y) | ||
| Douglas Arthur Davis | Registered representative | Nov 2010 (16y) | ||
| Robert Kauffman | Registered representative | Nov 2010 (16y) | ||
| John Caputo | Registered representative | Jan 2011 (16y) | ||
| Ralph Caputo | Registered representative | Jan 2011 (16y) | ||
| Gregory David Facinelli | Registered representative | Feb 2011 (15y) | ||
| Larry Loethen | Registered representative | Feb 2011 (15y) | ||
| Lori Ace Facinelli | Registered representative | Feb 2011 (15y) | ||
| Charles Ingram Dennis | Registered representative | Feb 2011 (15y) | ||
| David Halvor Thompson | Registered representative | Feb 2011 (15y) | ||
| Calvin Jones | Registered representative | CFP | Mar 2011 (15y) | |
| Jarrod Keen | Registered representative | CFP | Mar 2011 (15y) | |
| Charles Edward Thompson | Registered representative | Mar 2011 (15y) | ||
| Chris Crain | Registered representative | Apr 2011 (15y) | ||
| Peter Kobin | Registered representative | Apr 2011 (15y) | ||
| Thomas Delnoce | Registered representative | May 2011 (15y) | ||
| James Eagleton | Registered representative | Jun 2011 (15y) | ||
| Mindy Brown | Registered representative | CFP | Jun 2011 (15y) | |
| Robert Brown | Registered representative | CFP | Jun 2011 (15y) | |
| Shay Hammontree | Registered representative | CFP | Jun 2011 (15y) | |
| Thomas Eagleton | Registered representative | Jun 2011 (15y) | ||
| Donald R Hoyt | Registered representative | Jun 2011 (15y) | ||
| John Patrick Peluso | Registered representative | Jun 2011 (15y) | ||
| Michael Paul Mcdonagh | Registered representative | Jun 2011 (15y) | ||
| Joshua Delnoce | Registered representative | Jul 2011 (15y) | ||
| Anne Elisabeth Davies | Registered representative | Jul 2011 (15y) | ||
| Michelle Steinhaus | Registered representative | Jul 2011 (15y) | ||
| Carrie Ryan | Registered representative | CFP | Aug 2011 (15y) | |
| Jeff Pittsley | Registered representative | CFP | Aug 2011 (15y) | |
| Ben Pape | Registered representative | Aug 2011 (15y) | ||
| Mason Adams Burnham | Registered representative | Aug 2011 (15y) | ||
| Holly Burns | Registered representative | Sep 2011 (15y) | ||
| John Parker | Registered representative | Sep 2011 (15y) | ||
| Kevin Clark Peveto | Registered representative | CFP | Sep 2011 (15y) | |
| Patrick O'connor | Registered representative | Sep 2011 (15y) | ||
| Mark Joseph Mechley | Registered representative | Oct 2011 (15y) | ||
| Patrick Dean Lampe | Registered representative | Dec 2011 (15y) | ||
| Wendi Wilson | Registered representative | Dec 2011 (15y) | ||
| Cynthia Jones | Registered representative | Dec 2011 (15y) | ||
| Matthew John Montini | Registered representative | Jan 2012 (15y) | ||
| Dennis Oconnor | Registered representative | Feb 2012 (14y) | ||
| Matthew Zachary Rosen | Registered representative | Feb 2012 (14y) | ||
| Randall Zelko | Registered representative | Feb 2012 (14y) | ||
| Stephen Marohl | Registered representative | Mar 2012 (14y) | ||
| Cary Blake Kelly | Registered representative | Apr 2012 (14y) | ||
| Charles Elliott | Registered representative | Apr 2012 (14y) | ||
| Thomas Michael Mcdonald | Registered representative | CFP | Apr 2012 (14y) | |
| Kent Douglas Mitchell | Registered representative | CFP | May 2012 (14y) | |
| Lewis Rauter | Registered representative | May 2012 (14y) | ||
| Nicholas Boccella | Registered representative | May 2012 (14y) | ||
| Richard Defuccio | Registered representative | May 2012 (14y) | ||
| Michael Alan Knaub | Registered representative | May 2012 (14y) | ||
| Jeffrey Thomas Huff | Registered representative | Jun 2012 (14y) | ||
| Donald Paul Cornagie | Registered representative | Jun 2012 (14y) | ||
| Christine Marie Burghart | Registered representative | Jun 2012 (14y) | ||
| Fran Buckley | Registered representative | Jun 2012 (14y) | ||
| Jeffrey Davidson | Registered representative | CFP | Jun 2012 (14y) | |
| Alan Bradley Guenzel | Registered representative | Jun 2012 (14y) | ||
| Darrin Haubert | Registered representative | Jun 2012 (14y) | ||
| Steven Jeffrey Dichter | Registered representative | Jul 2012 (14y) | ||
| Gregory Patrick Nolan | Registered representative | Jul 2012 (14y) | ||
| James David Ramey | Registered representative | CFP | Jul 2012 (14y) | |
| Dustin E Thornburg | Registered representative | Jul 2012 (14y) | ||
| Gary Thomas Crisci | Registered representative | Jul 2012 (14y) | ||
| Todd Whitney Blount | Registered representative | Jul 2012 (14y) | ||
| Kenneth Gerard Snyder | Registered representative | Jul 2012 (14y) | ||
| Dustin William Schofield | Registered representative | Jul 2012 (14y) | ||
| Richard Timothy Schofield | Registered representative | Jul 2012 (14y) | ||
| Kim Marie Clark | Registered representative | Jul 2012 (14y) | ||
| Norman Jack Savin | Registered representative | CFP | Aug 2012 (14y) | |
| Sherman Eric Gose | Registered representative | CFP | Aug 2012 (14y) | |
| Steven Robert Gohn | Registered representative | CFP | Aug 2012 (14y) | |
| Bret Alan Yeargin | Registered representative | Aug 2012 (14y) | ||
| Debbie A Fife | Registered representative | Aug 2012 (14y) | ||
| Tyler David Lamprecht | Registered representative | Aug 2012 (14y) | ||
| John Dusza | Registered representative | CFP | Sep 2012 (14y) | |
| Dennis Carl Fox | Registered representative | Oct 2012 (14y) | ||
| Stephen Robert Meli | Registered representative | Oct 2012 (14y) | ||
| Kevin Robert Mckinnon | Registered representative | CFP CFA | Oct 2012 (14y) | |
| Matthew Marshall Wright | Registered representative | Oct 2012 (14y) | ||
| Craig Allen Poet | Registered representative | Oct 2012 (14y) | ||
| George E Ferguson | Registered representative | Oct 2012 (14y) | ||
| Patrick Joseph Mulligan | Registered representative | Oct 2012 (14y) | ||
| Scott Evans Whitcomb | Registered representative | Oct 2012 (14y) | ||
| David James Crum | Registered representative | Nov 2012 (14y) | ||
| Audrey Lynne Ingram | Registered representative | Nov 2012 (14y) | ||
| Bryan James Pieper | Registered representative | Nov 2012 (14y) | ||
| Gregory Michael Stringari | Registered representative | Nov 2012 (14y) | ||
| Bruce Scott Wilson | Registered representative | Nov 2012 (14y) | ||
| Michelle Renee Lavigne | Registered representative | CFP | Nov 2012 (14y) | |
| Jay E Fratello | Registered representative | CFP | Dec 2012 (14y) | |
| Todd Elliot Craig | Registered representative | Dec 2012 (14y) | ||
| Scott Allen Mcarthur | Registered representative | Dec 2012 (14y) | ||
| Vincent Joseph Grenier | Registered representative | CFP | Jan 2013 (14y) | |
| Jacob Andrew Kerwin | Registered representative | Jan 2013 (14y) | ||
| Chris Patrick Mccrary | Registered representative | Feb 2013 (13y) | ||
| Arlyn Renee Kirk | Registered representative | Feb 2013 (13y) | ||
| Scott Andrew Ferguson | Registered representative | Mar 2013 (13y) | ||
| Travis Dean Ferguson | Registered representative | Mar 2013 (13y) | ||
| Marvin Dean Ferguson | Registered representative | Mar 2013 (13y) | ||
| Adam Bryant Ferguson | Registered representative | Mar 2013 (13y) | ||
| James Hunter Dryden | Registered representative | Mar 2013 (13y) | ||
| Emily Voegeli Wilson | Registered representative | Mar 2013 (13y) | ||
| David Conrad Johns | Registered representative | Mar 2013 (13y) | ||
| Stephen Walter Wanvig | Registered representative | CFP | Mar 2013 (13y) | |
| James P Butler | Registered representative | CFP | Mar 2013 (13y) | |
| Neil Butler | Registered representative | Apr 2013 (13y) | ||
| Michael Richard Grimm | Registered representative | Apr 2013 (13y) | ||
| Sandra Dean Henry | Registered representative | Apr 2013 (13y) | ||
| Stephanie S Schanken | Registered representative | CFP | Apr 2013 (13y) | |
| Jody Lynn Smith | Registered representative | May 2013 (13y) | ||
| John O Bondea | Registered representative | May 2013 (13y) | ||
| Scott Neill Christian | Registered representative | CFP | May 2013 (13y) | |
| Cecil Cicero Loyd | Registered representative | May 2013 (13y) | ||
| Edward Thomas Hill | Registered representative | CFP | May 2013 (13y) | |
| Philip Robert Meltzer | Registered representative | CFP | May 2013 (13y) | |
| Jeffrey Albert Altomari | Registered representative | May 2013 (13y) | ||
| Maureen Louise Mcpeek | Registered representative | May 2013 (13y) | ||
| Ralph Dennis Lynch | Registered representative | May 2013 (13y) | ||
| Benjamin D Sillmon | Registered representative | CFP | Jun 2013 (13y) | |
| Scott Francis Mclaughlin | Registered representative | Jun 2013 (13y) | ||
| Greg Bauer | Registered representative | Jun 2013 (13y) | ||
| Robert Stephen Cheney | Registered representative | Jul 2013 (13y) | ||
| Brian Douglas Stewart | Registered representative | Jul 2013 (13y) | ||
| Rachell Dawn Lavasseur | Registered representative | Sep 2013 (13y) | ||
| John Francis Chessock | Registered representative | Sep 2013 (13y) | ||
| Daniel Edward Moore | Registered representative | Sep 2013 (13y) | ||
| Kevin Andrew Lynar | Registered representative | Oct 2013 (13y) | ||
| Ben Hatcher | Registered representative | Oct 2013 (13y) | ||
| Daniel Patrick West | Registered representative | CFA | Oct 2013 (13y) | |
| Leigh Anne Bridges | Registered representative | Oct 2013 (13y) | ||
| Ward Marslender I I I | Registered representative | Oct 2013 (13y) | ||
| Ward Marslender | Registered representative | Oct 2013 (13y) | ||
| Charles Frederick Hemmer | Registered representative | CFP Chartered Financial Consultant | Nov 2013 (13y) | |
| Stephen James Mcraven | Registered representative | Nov 2013 (13y) | ||
| Kevin Michael Furlong | Registered representative | Nov 2013 (13y) | ||
| Michael John Verhulst | Registered representative | Nov 2013 (13y) | ||
| John Joseph Dillon | Registered representative | Dec 2013 (13y) | ||
| Robert James Gregory | Registered representative | Dec 2013 (13y) | ||
| James Scott Widman | Registered representative | Dec 2013 (13y) | ||
| Amy Denise Lingner | Registered representative | Dec 2013 (13y) | ||
| Sean Nezar Ali | Registered representative | CFP | Dec 2013 (13y) | |
| Kyle John Tomaich | Registered representative | Jan 2014 (13y) | ||
| Lynden Medlin | Registered representative | Jan 2014 (13y) | ||
| Kristiana Dowling | Registered representative | Feb 2014 (12y) | ||
| Ernest Holguin | Registered representative | CFP | Feb 2014 (12y) | |
| Jourdan Erik Sarmiento Sy | Registered representative | CFP | Feb 2014 (12y) | |
| Gregory Alan Munster | Registered representative | CFP | Mar 2014 (12y) | |
| Jennifer Henderson | Registered representative | Mar 2014 (12y) | ||
| Michael Fitzgerald Leonard | Registered representative | Apr 2014 (12y) | ||
| Chad Frederick Rollins | Registered representative | Apr 2014 (12y) | ||
| Brandon James Blair | Registered representative | May 2014 (12y) | ||
| Donald William Rivers | Registered representative | CFP | May 2014 (12y) | |
| Lisa Ann Lidke | Registered representative | May 2014 (12y) | ||
| Richard Donald Lee | Registered representative | May 2014 (12y) | ||
| Ryan Holocher | Registered representative | May 2014 (12y) | ||
| James David Curran | Registered representative | Jun 2014 (12y) | ||
| Benjamin Michael Buchanan | Registered representative | CFP | Jul 2014 (12y) | |
| William Mark Gear | Registered representative | Jul 2014 (12y) | ||
| Anthony Michael Viviano | Registered representative | Jul 2014 (12y) | ||
| Daniel John Urschler | Registered representative | Jul 2014 (12y) | ||
| Leigh Frith | Registered representative | Jul 2014 (12y) | ||
| Kristen Campbell | Registered representative | Aug 2014 (12y) | ||
| David Allegretto | Registered representative | Aug 2014 (12y) | ||
| James Robert Vale | Registered representative | CFP | Aug 2014 (12y) | |
| Robert Rotstan | Registered representative | Aug 2014 (12y) | ||
| Scot Michael Jaffe | Registered representative | Oct 2014 (12y) | ||
| Jeffrey David Day | Registered representative | Oct 2014 (12y) | ||
| Joshua Holden Turley | Registered representative | CFP | Oct 2014 (12y) | |
| Dean Horacio Correa | Registered representative | Nov 2014 (12y) | ||
| Adam Gregory Dorfman | Registered representative | Nov 2014 (12y) | ||
| Darren Robert Moran | Registered representative | Nov 2014 (12y) | ||
| Dennis Andrew Valentino | Registered representative | Dec 2014 (12y) | ||
| James Michael Levell | Registered representative | Dec 2014 (12y) | ||
| Joseph Bernard Durney | Registered representative | CFP | Dec 2014 (12y) | |
| Ashley Smith | Registered representative | CFP | Feb 2015 (11y) | |
| Nathan Lynn Kunkle | Registered representative | Feb 2015 (11y) | ||
| Kasey Massie Yeagle | Registered representative | Mar 2015 (11y) | ||
| Robert Joseph Kalina | Registered representative | Mar 2015 (11y) | ||
| Edward Hughes | Registered representative | Mar 2015 (11y) | ||
| Mark Anderson Murray | Registered representative | Apr 2015 (11y) | ||
| James Ray Eagleton | Registered representative | Apr 2015 (11y) | ||
| Kimberly Annette Hughes | Registered representative | Apr 2015 (11y) | ||
| Moussa Hanna | Registered representative | Apr 2015 (11y) | ||
| Sean Joseph Dooley | Registered representative | CFP | Apr 2015 (11y) | |
| Dennis Peter Barba | Registered representative | May 2015 (11y) | ||
| Frank Philip Virno | Registered representative | CFP | May 2015 (11y) | |
| Melissa Lynn Halloran | Registered representative | May 2015 (11y) | ||
| James Robinson Carroll | Registered representative | May 2015 (11y) | ||
| Lionel Parker Perkins | Registered representative | May 2015 (11y) | ||
| Kristin Ann Carter | Registered representative | CFP | May 2015 (11y) | |
| John Howard Robinson | Registered representative | May 2015 (11y) | ||
| Craig Edward Tuthill | Registered representative | May 2015 (11y) | ||
| David Stephen Cohen | Registered representative | May 2015 (11y) | ||
| Jacob Matthew Boggs | Registered representative | CFP | May 2015 (11y) | |
| Jon Matthew Leedom | Registered representative | May 2015 (11y) | ||
| Ryan Patrick Hawkins | Registered representative | CFP | May 2015 (11y) | |
| William Joseph Pettyjohn | Registered representative | CFP | May 2015 (11y) | |
| Eric Wayne Williams | Registered representative | CFP | May 2015 (11y) | |
| George Paullard West | Registered representative | May 2015 (11y) | ||
| Retha Brown Hagood | Registered representative | May 2015 (11y) | ||
| S. Travis Creekbaum | Registered representative | May 2015 (11y) | ||
| Jeffrey William Link | Registered representative | Jun 2015 (11y) | ||
| Judith Fish Specht | Registered representative | Jun 2015 (11y) | ||
| Dean Blagoi Shuplinkov | Registered representative | Jun 2015 (11y) | ||
| Douglas John Brandeen | Registered representative | Jun 2015 (11y) | ||
| Elaine Rogers Elliott | Registered representative | Jun 2015 (11y) | ||
| Daniel Litchfield | Registered representative | Jun 2015 (11y) | ||
| Eric Edward Miller | Registered representative | CFA | Jun 2015 (11y) | |
| Andrew Tighe Smith | Registered representative | Jul 2015 (11y) | ||
| Brandon Jay Abbe | Registered representative | Jul 2015 (11y) | ||
| Joseph Howell Sivilli | Registered representative | Jul 2015 (11y) | ||
| Daniel Harlan Welker | Registered representative | CFP | Jul 2015 (11y) | |
| Erin Renee Barrow | Registered representative | Aug 2015 (11y) | ||
| Sabrina Buckner | Registered representative | Aug 2015 (11y) | ||
| John Charles Jaburek | Registered representative | Aug 2015 (11y) | ||
| Judith Niksich Furjanic | Registered representative | Aug 2015 (11y) | ||
| James Lloyd Hergenroeder | Registered representative | Aug 2015 (11y) | ||
| Thomas Alan Gray | Registered representative | Sep 2015 (11y) | ||
| Kevin Nobuo Terao | Registered representative | CFP CFA | Sep 2015 (11y) | |
| Colleen Mary Geiss | Registered representative | Sep 2015 (11y) | ||
| Joe Marraccino | Registered representative | Sep 2015 (11y) | ||
| Curtis Lawrence Rach | Registered representative | Oct 2015 (11y) | ||
| Mary Lee Widder | Registered representative | Oct 2015 (11y) | ||
| Jud Swaim Crary | Registered representative | Oct 2015 (11y) | ||
| Roberta Suzanne Hunter | Registered representative | Oct 2015 (11y) | ||
| Neal Wallace Kaye | Registered representative | Oct 2015 (11y) | ||
| Robert Eugene Petro | Registered representative | Oct 2015 (11y) | ||
| Daniel Norman Saba | Registered representative | Nov 2015 (11y) | ||
| Daniel Timothy Campbell | Registered representative | Nov 2015 (11y) | ||
| David Lawrence Gray | Registered representative | Nov 2015 (11y) | ||
| John Curtiss Hadley | Registered representative | Dec 2015 (11y) | ||
| John Timothy Pfitzer | Registered representative | Feb 2016 (10y) | ||
| Christopher Scott Mcdermott | Registered representative | Feb 2016 (10y) | ||
| Kristy Toshiko Tochihara | Registered representative | Feb 2016 (10y) | ||
| Shahab Ali Moradian | Registered representative | Feb 2016 (10y) | ||
| Stacey Ann Bouthillette | Registered representative | Feb 2016 (10y) | ||
| Noel Christopher Culberson | Registered representative | Feb 2016 (10y) | ||
| Earl Daniel Axelson | Registered representative | Mar 2016 (10y) | ||
| Raymond Michael Sullivan | Registered representative | Mar 2016 (10y) | ||
| Anthony Joseph Karpowich | Registered representative | Mar 2016 (10y) | ||
| John Francis Luisi | Registered representative | Mar 2016 (10y) | ||
| John Fredrick Ortolf | Registered representative | CFP Chartered Financial Consultant | Mar 2016 (10y) | |
| Jorgen Vik | Registered representative | CFP | Mar 2016 (10y) | |
| Michael Henry Kaminski | Registered representative | CFP | Mar 2016 (10y) | |
| Kelene Marie Skrypek | Registered representative | Mar 2016 (10y) | ||
| Jessica R Harper | Registered representative | Mar 2016 (10y) | ||
| Steven Jay Meyer | Registered representative | Mar 2016 (10y) | ||
| Janet Elizabeth Burnett | Registered representative | Mar 2016 (10y) | ||
| Jeffrey Lamar Burton | Registered representative | Mar 2016 (10y) | ||
| William Alexander Rouse | Registered representative | Mar 2016 (10y) | ||
| Michael John Bills | Registered representative | Apr 2016 (10y) | ||
| John Frank Dirks | Registered representative | Apr 2016 (10y) | ||
| Paul Louis Marrero | Registered representative | Apr 2016 (10y) | ||
| Michael Laporte | Registered representative | Apr 2016 (10y) | ||
| Karen Rivers | Registered representative | Apr 2016 (10y) | ||
| Shaun Kyle Murphy | Registered representative | Apr 2016 (10y) | ||
| James Oliver Ritchie | Registered representative | Apr 2016 (10y) | ||
| Wendy Elizabeth Carroll | Registered representative | May 2016 (10y) | ||
| Jonathan Ellenbogen | Registered representative | May 2016 (10y) | ||
| Kenneth Michael Helman | Registered representative | May 2016 (10y) | ||
| Kimberly Sue Mathewes | Registered representative | May 2016 (10y) | ||
| Robert Frances O'herlihy | Registered representative | May 2016 (10y) | ||
| Anne Elizabeth Norris | Registered representative | May 2016 (10y) | ||
| Joseph Vincent Volz | Registered representative | CFP | May 2016 (10y) | |
| Summer Lynn Miller | Registered representative | May 2016 (10y) | ||
| William E Hargrove | Registered representative | May 2016 (10y) | ||
| John Walter Witt | Registered representative | Jun 2016 (10y) | ||
| Anthony Ortiz | Registered representative | Jun 2016 (10y) | ||
| Bradley Lewis Newman | Registered representative | Jun 2016 (10y) | ||
| Derek V Pinelli | Registered representative | Jun 2016 (10y) | ||
| Fariba Hekmat | Registered representative | Jun 2016 (10y) | ||
| Heather Elizabeth Sullivan | Registered representative | Jun 2016 (10y) | ||
| Jonathan Calvert Smith | Registered representative | Jun 2016 (10y) | ||
| Kimberly Landry Neal | Registered representative | Jun 2016 (10y) | ||
| Laura Carolin Tully Cox | Registered representative | Jun 2016 (10y) | ||
| Robert Mowbray Coombs | Registered representative | Chartered Financial Consultant | Jun 2016 (10y) | |
| Stafford Jude Viator | Registered representative | Jun 2016 (10y) | ||
| William James Wall | Registered representative | CFP | Jun 2016 (10y) | |
| Zachary Evan Breverman | Registered representative | Jun 2016 (10y) | ||
| Patrick Sullivan | Registered representative | CFP | Jun 2016 (10y) | |
| Allan Michael Barasch | Registered representative | Jun 2016 (10y) | ||
| Jeremy Dale Swonger | Registered representative | Jun 2016 (10y) | ||
| Bradley Dallas Seagraves | Registered representative | Jun 2016 (10y) | ||
| James Christopher Martin | Registered representative | CFP | Jun 2016 (10y) | |
| Tracie Lee Taylor | Registered representative | Jun 2016 (10y) | ||
| Nadia Antii | Registered representative | Jul 2016 (10y) | ||
| Scott Steven Betton | Registered representative | Jul 2016 (10y) | ||
| Jonpaul Penner | Registered representative | Jul 2016 (10y) | ||
| Robert Christopher Jones | Registered representative | Jul 2016 (10y) | ||
| Michael Joseph Allegri | Registered representative | Jul 2016 (10y) | ||
| Amy Coonrod Dumont | Registered representative | Jul 2016 (10y) | ||
| Mark Smith | Registered representative | Jul 2016 (10y) | ||
| Kyle Alexander Kazinski | Registered representative | Aug 2016 (10y) | ||
| Daniel Andrew Hoffe | Registered representative | CFP | Aug 2016 (10y) | |
| Sanjit Singh Khara | Registered representative | Aug 2016 (10y) | ||
| Brian Adam Zeid | Registered representative | Aug 2016 (10y) | ||
| Andrew Oreilly Carrigan | Registered representative | Aug 2016 (10y) | ||
| Dwayne Alexander Michael | Registered representative | Aug 2016 (10y) | ||
| Matthew Arthur Petersen | Registered representative | Aug 2016 (10y) | ||
| Michael Feland Budd | Registered representative | CFP | Aug 2016 (10y) | |
| Randall Frank Gibson | Registered representative | Aug 2016 (10y) | ||
| Brian Randall Gibson | Registered representative | Aug 2016 (10y) | ||
| James Bernard Cannan | Registered representative | Aug 2016 (10y) | ||
| Christopher Aaron Palmer | Registered representative | Sep 2016 (10y) | ||
| Maria Khemtong Bowers | Registered representative | Sep 2016 (10y) | ||
| Robert Henry John | Registered representative | Sep 2016 (10y) | ||
| Butch Marc Safyurtlu | Registered representative | Sep 2016 (10y) | ||
| Thomas Trauger | Registered representative | Sep 2016 (10y) | ||
| Gregory Wayne Ohl | Registered representative | Sep 2016 (10y) | ||
| Jeffrey Thomas Bogert | Registered representative | Sep 2016 (10y) | ||
| Kurt William Fulmer | Registered representative | Oct 2016 (10y) | ||
| Christian Reynolds Parker | Registered representative | Oct 2016 (10y) | ||
| Justin Aaron Blews | Registered representative | CFP | Oct 2016 (10y) | |
| Matthew Eric Padilla | Registered representative | Oct 2016 (10y) | ||
| Robert Patrick Hutten | Registered representative | Oct 2016 (10y) | ||
| John Robert Thorsen | Registered representative | Oct 2016 (10y) | ||
| Michael Charles Kovaleski | Registered representative | CFP | Oct 2016 (10y) | |
| John Elmo Thorsen | Registered representative | Oct 2016 (10y) | ||
| John Elmo Thorsen | Registered representative | CFP | Oct 2016 (10y) | |
| Christopher Johnston Sawch | Registered representative | Oct 2016 (10y) | ||
| Edward Allen Booth | Registered representative | Oct 2016 (10y) | ||
| Tony Montini | Registered representative | Oct 2016 (10y) | ||
| Albert Alan Berger | Registered representative | Nov 2016 (10y) | ||
| Robert Samuel Edmunds | Registered representative | CFP | Nov 2016 (10y) | |
| Jeffrey B. Baumhoer | Registered representative | CFP | Nov 2016 (10y) | |
| Michael Anthony Russo | Registered representative | Nov 2016 (10y) | ||
| Eric Geary | Registered representative | Nov 2016 (10y) | ||
| Donna Marlatt | Registered representative | Nov 2016 (10y) | ||
| Vincent Jerome Pasko | Registered representative | Nov 2016 (10y) | ||
| Marie Joy Estanislao Lomibao | Registered representative | Dec 2016 (10y) | ||
| Michael Alexander Levitsky | Registered representative | Dec 2016 (10y) | ||
| Paul Henry Carlson | Registered representative | Dec 2016 (10y) | ||
| Sean Philip Kirby Smith | Registered representative | Dec 2016 (10y) | ||
| Thomas Edward Fautrel | Registered representative | Dec 2016 (10y) | ||
| Dennis Edward Surmanek | Registered representative | Dec 2016 (10y) | ||
| Gregory Paul Otto | Registered representative | Dec 2016 (10y) | ||
| Shantele Marie Lewis | Registered representative | Dec 2016 (10y) | ||
| Robert William Bertog | Registered representative | Jan 2017 (10y) | ||
| William Harry Seibold | Registered representative | Jan 2017 (10y) | ||
| William Harry Seibold | Registered representative | Jan 2017 (10y) | ||
| Gregory Ron Bowden | Registered representative | Jan 2017 (10y) | ||
| Alex W Morris | Registered representative | Jan 2017 (10y) | ||
| Anthony Joseph Modica | Registered representative | Jan 2017 (10y) | ||
| John Macrae Benjamin | Registered representative | CFP | Feb 2017 (10y) | |
| Mark Kenneth Standring | Registered representative | CFP | Feb 2017 (9y) | |
| Kevin Joseph Benoit | Registered representative | Mar 2017 (9y) | ||
| Paul Calder Thomasset | Registered representative | Mar 2017 (9y) | ||
| Edward Mcgowan | Registered representative | Apr 2017 (9y) | ||
| Kyle Elliott Mcgowan | Registered representative | Apr 2017 (9y) | ||
| Christine Marie Hannahs | Registered representative | Apr 2017 (9y) | ||
| William George Riley | Registered representative | Apr 2017 (9y) | ||
| Bryan Kanoa Misajon | Registered representative | May 2017 (9y) | ||
| James Bernard Brockett | Registered representative | May 2017 (9y) | ||
| Suzanne Galatoire | Registered representative | Jun 2017 (9y) | ||
| Joshua Patrick Welch Nosko | Registered representative | Jun 2017 (9y) | ||
| Stephen Ulmer | Registered representative | Jun 2017 (9y) | ||
| Paul Yu | Registered representative | Jun 2017 (9y) | ||
| Vincent John Iammarino | Registered representative | Jun 2017 (9y) | ||
| Jordan Valdez Varela | Registered representative | Jul 2017 (9y) | ||
| Raquel Reynolds | Registered representative | Jul 2017 (9y) | ||
| Alexandra Louise Johns | Registered representative | Jul 2017 (9y) | ||
| Kathryn Kirk Charles | Registered representative | Jul 2017 (9y) | ||
| John Tolliver | Registered representative | Jul 2017 (9y) | ||
| Eric Trammell Stevens | Registered representative | Aug 2017 (9y) | ||
| James Burnell Guilbeaux | Registered representative | Aug 2017 (9y) | ||
| Mark Bardahl Manchester | Registered representative | Aug 2017 (9y) | ||
| Scott Bryan Hunter | Registered representative | Aug 2017 (9y) | ||
| Matthew Adams | Registered representative | Aug 2017 (9y) | ||
| Harold David Jones | Registered representative | CFP | Aug 2017 (9y) | |
| Regan David Jones | Registered representative | Aug 2017 (9y) | ||
| William Martin Price | Registered representative | Aug 2017 (9y) | ||
| Brenda Kay Devore | Registered representative | Aug 2017 (9y) | ||
| Robyn Marie Geiss | Registered representative | Sep 2017 (9y) | ||
| Robert Lopinto | Registered representative | Sep 2017 (9y) | ||
| Robert Lopinto | Registered representative | Sep 2017 (9y) | ||
| Joseph Richard Azzara | Registered representative | CFP | Sep 2017 (9y) | |
| Theodore James Tadeusiak | Registered representative | Sep 2017 (9y) | ||
| Benjamin David Spiker | Registered representative | Sep 2017 (9y) | ||
| Michael Edward Winter | Registered representative | Sep 2017 (9y) | ||
| Scott Lawrence Brown | Registered representative | Sep 2017 (9y) | ||
| Kelly Mcnamara Brown | Registered representative | Sep 2017 (9y) | ||
| Taylor Jenaro Coombs | Registered representative | Sep 2017 (9y) | ||
| Wineka Julene Martin | Registered representative | Sep 2017 (9y) | ||
| John Joseph Edward Pagano | Registered representative | Sep 2017 (9y) | ||
| Daniel Hugh Mccombs | Registered representative | Oct 2017 (9y) | ||
| Gerti Beta | Registered representative | Oct 2017 (9y) | ||
| James Elno Makee | Registered representative | Oct 2017 (9y) | ||
| Katherine Elizabeth Humphreys | Registered representative | Oct 2017 (9y) | ||
| Jordan Alan Parr | Registered representative | Oct 2017 (9y) | ||
| Nancy Kaye Diak | Registered representative | Oct 2017 (9y) | ||
| J. D Testa | Registered representative | Nov 2017 (9y) | ||
| Jason Drotar | Registered representative | Nov 2017 (9y) | ||
| Dana Marie Polignone | Registered representative | Nov 2017 (9y) | ||
| Lynne Marie Cross | Registered representative | Nov 2017 (9y) | ||
| Karlie Coffey | Registered representative | Nov 2017 (9y) | ||
| Lin A Edwards | Registered representative | Dec 2017 (9y) | ||
| Patrick Joseph Dougherty | Registered representative | Dec 2017 (9y) | ||
| Frank Martin Hobson | Registered representative | Jan 2018 (9y) | ||
| Dathan Everett Lumpkins | Registered representative | Jan 2018 (9y) | ||
| James Lee Hunter | Registered representative | Jan 2018 (9y) | ||
| Donovan Dale Laib | Registered representative | Feb 2018 (8y) | ||
| Debra Megee Dillon | Registered representative | Mar 2018 (8y) | ||
| Curt O Hall | Registered representative | Mar 2018 (8y) | ||
| William Joseph Kieffer | Registered representative | Mar 2018 (8y) | ||
| Alan Brian Watts | Registered representative | CFP | Mar 2018 (8y) | |
| Gene Patrick Becker | Registered representative | Mar 2018 (8y) | ||
| Paul Charles Becht | Registered representative | Mar 2018 (8y) | ||
| Rino Mancini | Registered representative | Mar 2018 (8y) | ||
| Charles Perry Curtis | Registered representative | Apr 2018 (8y) | ||
| Elizabeth Megan Day Griffin | Registered representative | Apr 2018 (8y) | ||
| Matthew Thomas Richards | Registered representative | CFP | May 2018 (8y) | |
| Patricia Ann Muha | Registered representative | May 2018 (8y) | ||
| Andrew Paul Kocukov | Registered representative | May 2018 (8y) | ||
| William Wagner | Registered representative | CFP | May 2018 (8y) | |
| Scott William Sennett | Registered representative | May 2018 (8y) | ||
| Ryan Meyler | Registered representative | May 2018 (8y) | ||
| Alex Treves | Registered representative | May 2018 (8y) | ||
| Adam Edward Day | Registered representative | Jun 2018 (8y) | ||
| Eric Greenwell | Registered representative | Jun 2018 (8y) | ||
| James Eck | Registered representative | Jun 2018 (8y) | ||
| James Getter | Registered representative | Jun 2018 (8y) | ||
| Kelly Marie Wertz | Registered representative | Jun 2018 (8y) | ||
| Michael Kevin Mooney | Registered representative | Jun 2018 (8y) | ||
| Chad Driewer | Registered representative | Jul 2018 (8y) | ||
| Cody Lockhart | Registered representative | Jul 2018 (8y) | ||
| Jamie Feik | Registered representative | Jul 2018 (8y) | ||
| Jonathan Paul Cruz | Registered representative | Jul 2018 (8y) | ||
| Alexander Dewitt Walsh | Registered representative | Jul 2018 (8y) | ||
| Thomas Hall | Registered representative | Jul 2018 (8y) | ||
| Nicholas Wentworth Walsh | Registered representative | CFP | Jul 2018 (8y) | |
| Thomas Hall | Registered representative | Jul 2018 (8y) | ||
| Steele Skibisky | Registered representative | Jul 2018 (8y) | ||
| Robert Richard Fritze | Registered representative | Jul 2018 (8y) | ||
| Michael Charles O'brien | Registered representative | Aug 2018 (8y) | ||
| Alfred Macaluso | Registered representative | Aug 2018 (8y) | ||
| Nestor Andrew Turczan | Registered representative | Aug 2018 (8y) | ||
| Heather Francine Bryant | Registered representative | Aug 2018 (8y) | ||
| Patrick Meyer | Registered representative | CFP | Aug 2018 (8y) | |
| Richard Andrew Christensen | Registered representative | Aug 2018 (8y) | ||
| Noel Fields | Registered representative | Sep 2018 (8y) | ||
| Valerie Campbell | Registered representative | Sep 2018 (8y) | ||
| Robert David Makowski | Registered representative | Sep 2018 (8y) | ||
| Glen Kashetsky | Registered representative | Sep 2018 (8y) | ||
| Salvatore L Saetta | Registered representative | Sep 2018 (8y) | ||
| David James Brown | Registered representative | Oct 2018 (8y) | ||
| Thomas M Cometa | Registered representative | Oct 2018 (8y) | ||
| Cody Shea Wimer | Registered representative | Oct 2018 (8y) | ||
| Kenneth Michael Nesselroad | Registered representative | CFP | Oct 2018 (8y) | |
| Ralph Mckinley Cross | Registered representative | Oct 2018 (8y) | ||
| William Schultz | Registered representative | CFP | Oct 2018 (8y) | |
| Arleatha M Williams | Registered representative | Oct 2018 (8y) | ||
| David Viola | Registered representative | Oct 2018 (8y) | ||
| Derek Draper | Registered representative | Oct 2018 (8y) | ||
| John Draper | Registered representative | CFP | Oct 2018 (8y) | |
| Nicholas Kane Shealy | Registered representative | Oct 2018 (8y) | ||
| James Melvin | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| David A Stepanek | Registered representative | Nov 2018 (8y) | ||
| Megan Leigh Butterfield | Registered representative | Nov 2018 (8y) | ||
| Randall Allan Green | Registered representative | Nov 2018 (8y) | ||
| Brian Steven Grahek | Registered representative | CFP | Nov 2018 (8y) | |
| Kelly Donald Lockhart | Registered representative | Nov 2018 (8y) | ||
| Lorleta Langevin | Registered representative | Nov 2018 (8y) | ||
| Robert Townsend Edwards | Registered representative | Nov 2018 (8y) | ||
| Lisa L Malkin | Registered representative | Nov 2018 (8y) | ||
| Conor Nicholas Hentges | Registered representative | Nov 2018 (8y) | ||
| John Horner | Registered representative | Nov 2018 (8y) | ||
| Brett Louis Bouchard | Registered representative | Dec 2018 (8y) | ||
| David Werner | Registered representative | CFP | Dec 2018 (8y) | |
| Terry Mccollam | Registered representative | Dec 2018 (8y) | ||
| Barton Hunter | Registered representative | Dec 2018 (8y) | ||
| Ed Free | Registered representative | CFP | Dec 2018 (8y) | |
| Joanne Mitchell | Registered representative | Dec 2018 (8y) | ||
| Andrew Joseph Hunn | Registered representative | Dec 2018 (8y) | ||
| Eric Thomas Breunig | Registered representative | Jan 2019 (8y) | ||
| Arthur Henry Renier | Registered representative | CFP | Jan 2019 (8y) | |
| Wilfred C Morrison | Registered representative | Jan 2019 (8y) | ||
| Deborah Pirner | Registered representative | Jan 2019 (8y) | ||
| Morgan Ames Coggin | Registered representative | Jan 2019 (8y) | ||
| Angela Simmons | Registered representative | CFP | Jan 2019 (8y) | |
| Sylvie Quinn Thomas | Registered representative | Jan 2019 (8y) | ||
| Fred Jaramillo | Registered representative | CFP | Jan 2019 (8y) | |
| Jason Michael Sprung | Registered representative | Jan 2019 (8y) | ||
| Mark Sean Rodrick | Registered representative | Jan 2019 (8y) | ||
| Cassi Patterson | Registered representative | Jan 2019 (8y) | ||
| Daniel Casino | Registered representative | CFP | Jan 2019 (8y) | |
| Peter Robertiello | Registered representative | Jan 2019 (8y) | ||
| Beth Zucker | Registered representative | CFP | Jan 2019 (8y) | |
| Michael Colannino | Registered representative | CFP | Jan 2019 (8y) | |
| Alexandra Elizabeth Thompson | Registered representative | Jan 2019 (8y) | ||
| Jason Andrews | Registered representative | Jan 2019 (8y) | ||
| Ross Michael Bauer | Registered representative | Jan 2019 (8y) | ||
| Beth Cutler | Registered representative | Feb 2019 (8y) | ||
| Patricia Ann Schiffour | Registered representative | Feb 2019 (8y) | ||
| William Jesse Brady | Registered representative | Feb 2019 (8y) | ||
| Craig Robert Lund | Registered representative | Feb 2019 (7y) | ||
| Tripp Boyer | Registered representative | Feb 2019 (7y) | ||
| David Bryan Austin | Registered representative | Feb 2019 (7y) | ||
| Ashley Rey | Registered representative | CFP | Feb 2019 (7y) | |
| William Dozier | Registered representative | Mar 2019 (7y) | ||
| Antonio Miquel Price | Registered representative | Mar 2019 (7y) | ||
| Jaclyn Pennella | Registered representative | Mar 2019 (7y) | ||
| Manuel Rey | Registered representative | Mar 2019 (7y) | ||
| Michael Paul Finkelstein | Registered representative | CFA | Mar 2019 (7y) | |
| Matthew Pflueger | Registered representative | Mar 2019 (7y) | ||
| Thomas Maurice Connelly | Registered representative | Mar 2019 (7y) | ||
| Laurence Harold Mass | Registered representative | Apr 2019 (7y) | ||
| Craig Pittman | Registered representative | CFP | Apr 2019 (7y) | |
| Glen Richard Rauch | Registered representative | Apr 2019 (7y) | ||
| Michael Anthony Anselmi | Registered representative | CFP | Apr 2019 (7y) | |
| Ellen Marie Mccormack | Registered representative | May 2019 (7y) | ||
| Peter Burbank | Registered representative | May 2019 (7y) | ||
| Peter Burbank | Registered representative | May 2019 (7y) | ||
| Kathleen Lansing | Registered representative | May 2019 (7y) | ||
| Michael Joseph Burbank | Registered representative | CFP | May 2019 (7y) | |
| Elizabeth Anne Albrecht | Registered representative | May 2019 (7y) | ||
| Jessica Louise Mills Younger | Registered representative | May 2019 (7y) | ||
| Susan Pearl Kyle | Registered representative | May 2019 (7y) | ||
| Daniel Campbell | Registered representative | May 2019 (7y) | ||
| John Marino | Registered representative | May 2019 (7y) | ||
| Kevin Davie | Registered representative | May 2019 (7y) | ||
| Roderick Morrison | Registered representative | May 2019 (7y) | ||
| Carol Ramsdell | Registered representative | May 2019 (7y) | ||
| Eugene Richardson | Registered representative | May 2019 (7y) | ||
| Joseph Bradley Smith | Registered representative | May 2019 (7y) | ||
| Marc Johnson | Registered representative | May 2019 (7y) | ||
| Jennifer Michelle Reed | Registered representative | May 2019 (7y) | ||
| Michael Mcquilkin | Registered representative | CFP | May 2019 (7y) | |
| William Gomberg | Registered representative | May 2019 (7y) | ||
| Christopher Daniel Macleod | Registered representative | May 2019 (7y) | ||
| Heide Murray | Registered representative | Jun 2019 (7y) | ||
| Benjamin Moshe Leshem | Registered representative | Jun 2019 (7y) | ||
| Karen M Finerman | Registered representative | Jun 2019 (7y) | ||
| Steven Hefter | Registered representative | Jun 2019 (7y) | ||
| Charles Margolis | Registered representative | Jun 2019 (7y) | ||
| Kelly Lombardo | Registered representative | Jun 2019 (7y) | ||
| Micah Nathan | Registered representative | Jun 2019 (7y) | ||
| Michele Aspan | Registered representative | Jun 2019 (7y) | ||
| Bailey Bartee | Registered representative | CFP | Jun 2019 (7y) | |
| Bradley Cordes | Registered representative | Jun 2019 (7y) | ||
| Thomas Holden Henry | Registered representative | CFP | Jun 2019 (7y) | |
| Brian Bash | Registered representative | Jun 2019 (7y) | ||
| Aaron Thomas Cates | Registered representative | Jun 2019 (7y) | ||
| Ryan Scott Corbett | Registered representative | CFP | Jun 2019 (7y) | |
| Tim Bloemhof | Registered representative | CFP | Jun 2019 (7y) | |
| Caleb Charles Crousey | Registered representative | Jun 2019 (7y) | ||
| Russell Mclean | Registered representative | CFP | Jun 2019 (7y) | |
| James Neal Washington | Registered representative | Jun 2019 (7y) | ||
| Sue Tompkins | Registered representative | Jul 2019 (7y) | ||
| John Andraos | Registered representative | Jul 2019 (7y) | ||
| Kent David Thorsen | Registered representative | Jul 2019 (7y) | ||
| Ryan Moon | Registered representative | Jul 2019 (7y) | ||
| Alexander Steven Batt | Registered representative | Jul 2019 (7y) | ||
| John Bacich | Registered representative | Jul 2019 (7y) | ||
| Michelle Nuttman | Registered representative | Jul 2019 (7y) | ||
| Douglas S Ward | Registered representative | Jul 2019 (7y) | ||
| Eric Andrew Britt | Registered representative | Jul 2019 (7y) | ||
| James Oscar Lugo | Registered representative | Jul 2019 (7y) | ||
| Joseph Merit Duvall | Registered representative | Jul 2019 (7y) | ||
| Mallory Caravia | Registered representative | Aug 2019 (7y) | ||
| Eric Edward Horne | Registered representative | Aug 2019 (7y) | ||
| Margaret Archer | Registered representative | Aug 2019 (7y) | ||
| Peter Sayre | Registered representative | Aug 2019 (7y) | ||
| John Robert Mulholland | Registered representative | Aug 2019 (7y) | ||
| Michael Bruce Tursi | Registered representative | CFP | Aug 2019 (7y) | |
| David Joseph Maher | Registered representative | CFP | Sep 2019 (7y) | |
| Mark Alan Pehrson | Registered representative | CFP | Sep 2019 (7y) | |
| Paul David Briody | Registered representative | CFP | Sep 2019 (7y) | |
| Sheryl Jean Davis | Registered representative | Sep 2019 (7y) | ||
| Justin Backstrom | Registered representative | Sep 2019 (7y) | ||
| Gary Backstrom | Registered representative | Sep 2019 (7y) | ||
| Shaun D Small | Registered representative | Sep 2019 (7y) | ||
| Timothy Winterhalter | Registered representative | Sep 2019 (7y) | ||
| Jonathan Tisdale Schultz | Registered representative | Sep 2019 (7y) | ||
| Gregory Michel | Registered representative | Sep 2019 (7y) | ||
| Marc Nettles | Registered representative | Sep 2019 (7y) | ||
| John Farren | Registered representative | Sep 2019 (7y) | ||
| Gregg Suerez | Registered representative | Oct 2019 (7y) | ||
| Laura Hurst | Registered representative | Oct 2019 (7y) | ||
| Steven Lewis | Registered representative | CFP | Oct 2019 (7y) | |
| Victor Sullivan | Registered representative | Oct 2019 (7y) | ||
| Catherine Elizabeth Beck | Registered representative | Oct 2019 (7y) | ||
| Drew Moomaw | Registered representative | CFP | Oct 2019 (7y) | |
| Christana Renee Freerks | Registered representative | Oct 2019 (7y) | ||
| Donnie Dishaw | Registered representative | CFP | Oct 2019 (7y) | |
| Glenn Stoddard | Registered representative | Oct 2019 (7y) | ||
| Eric Sacks | Registered representative | Oct 2019 (7y) | ||
| Robert Anderson Turner | Registered representative | Oct 2019 (7y) | ||
| John Szymura | Registered representative | Oct 2019 (7y) | ||
| Mark Edward Schulten | Registered representative | CFP | Oct 2019 (7y) | |
| Wendy Eddy | Registered representative | Oct 2019 (7y) | ||
| Athena Keller | Registered representative | Oct 2019 (7y) | ||
| Merlin Che Micken | Registered representative | CFP | Oct 2019 (7y) | |
| Alexandria Jeane Page | Registered representative | Oct 2019 (7y) | ||
| Allen Frances Schreiber | Registered representative | Oct 2019 (7y) | ||
| Ashley Noel Cecala | Registered representative | Oct 2019 (7y) | ||
| Brittany Martine Taylor | Registered representative | Oct 2019 (7y) | ||
| Glenn Jaffe | Registered representative | Oct 2019 (7y) | ||
| John Heckenkamp | Registered representative | Oct 2019 (7y) | ||
| Lori Brenda Zorn | Registered representative | CFP Chartered Financial Consultant | Oct 2019 (7y) | |
| Mark Thornburg | Registered representative | Oct 2019 (7y) | ||
| Samuel Kagan | Registered representative | Oct 2019 (7y) | ||
| Todd Buchner | Registered representative | Oct 2019 (7y) | ||
| Warren Robert Schulten | Registered representative | Oct 2019 (7y) | ||
| Yvette Zepeda | Registered representative | Oct 2019 (7y) | ||
| Stacey Lynn Crawford | Registered representative | Oct 2019 (7y) | ||
| Nicholas Brueggeman | Registered representative | Oct 2019 (7y) | ||
| Candace Allen | Registered representative | Oct 2019 (7y) | ||
| Travis Critten | Registered representative | CFP | Oct 2019 (7y) | |
| Fred Legrand | Registered representative | CFP | Nov 2019 (7y) | |
| Jason Edward Messineo | Registered representative | Nov 2019 (7y) | ||
| Riley Howard | Registered representative | CFP | Nov 2019 (7y) | |
| Tami Carlock | Registered representative | Nov 2019 (7y) | ||
| Perry Buckman | Registered representative | Nov 2019 (7y) | ||
| Kathleen Eleanor Wilson | Registered representative | Nov 2019 (7y) | ||
| Nicole Corning | Registered representative | CFP | Nov 2019 (7y) | |
| Reid Jackson Bowen | Registered representative | Nov 2019 (7y) | ||
| Kamran Raika | Registered representative | Dec 2019 (7y) | ||
| Gregory Alan Morgan | Registered representative | Dec 2019 (7y) | ||
| Thomas Mcgehee Perry | Registered representative | Dec 2019 (7y) | ||
| Cory Dale Chambers | Registered representative | Dec 2019 (7y) | ||
| Frank Peter Scicchitano | Registered representative | Dec 2019 (7y) | ||
| Erin Dolan | Registered representative | Jan 2020 (7y) | ||
| Mark Musso | Registered representative | Jan 2020 (7y) | ||
| Alexander Eugenio Collazos | Registered representative | Jan 2020 (7y) | ||
| David Holdsworth | Registered representative | Jan 2020 (7y) | ||
| Gregory Bordelon | Registered representative | Jan 2020 (7y) | ||
| Jennifer Kristen Navin | Registered representative | Jan 2020 (7y) | ||
| Catherine Mary Anderson | Registered representative | Jan 2020 (7y) | ||
| Drew Detraz | Registered representative | Jan 2020 (7y) | ||
| Elizabeth Ann Anderson | Registered representative | Jan 2020 (7y) | ||
| Jesse M Rodriquez | Registered representative | Jan 2020 (7y) | ||
| Donald Smirniotis | Registered representative | Jan 2020 (7y) | ||
| Benjamin Swaney | Registered representative | CFP CFA | Jan 2020 (7y) | |
| Christopher Coman | Registered representative | CFP | Jan 2020 (7y) | |
| Jillian Hood | Registered representative | Jan 2020 (7y) | ||
| Larry Swaney | Registered representative | Jan 2020 (7y) | ||
| Marco Antonio Ugartechea | Registered representative | Jan 2020 (7y) | ||
| Troy Carlson | Registered representative | CFP | Jan 2020 (7y) | |
| Tom Binder | Registered representative | Jan 2020 (7y) | ||
| Reid Grossman | Registered representative | Jan 2020 (7y) | ||
| Christopher Parsons | Registered representative | Jan 2020 (7y) | ||
| Keith Grossman | Registered representative | Jan 2020 (7y) | ||
| Robert Ohanian | Registered representative | Jan 2020 (7y) | ||
| Karen Doering | Registered representative | Feb 2020 (6y) | ||
| Stephen Bartlett | Registered representative | Feb 2020 (6y) | ||
| Jeffrey Paul Garza | Registered representative | CFP | Feb 2020 (6y) | |
| Sheila Leah Spicehandler | Registered representative | Feb 2020 (6y) | ||
| Brock Wilson | Registered representative | Feb 2020 (6y) | ||
| Keith Christopher Waleskowski | Registered representative | Feb 2020 (6y) | ||
| Alan Dixon | Registered representative | Mar 2020 (6y) | ||
| Richard Dixon | Registered representative | Mar 2020 (6y) | ||
| Brian Dixon | Registered representative | CFP | Mar 2020 (6y) | |
| Kyle Decker | Registered representative | Mar 2020 (6y) | ||
| Nancy Hughes Kline | Registered representative | Mar 2020 (6y) | ||
| Rebecca Lynne Buie | Registered representative | Mar 2020 (6y) | ||
| William Dale Kline | Registered representative | Mar 2020 (6y) | ||
| Charles Pryor | Registered representative | Mar 2020 (6y) | ||
| David R Densmore | Registered representative | Mar 2020 (6y) | ||
| Rachael Anne Mcbride | Registered representative | Mar 2020 (6y) | ||
| Ted William Densmore | Registered representative | Mar 2020 (6y) | ||
| Michael Garrett Borok | Registered representative | Mar 2020 (6y) | ||
| Thomas Doyle | Registered representative | Mar 2020 (6y) | ||
| Jack Wimer | Registered representative | Mar 2020 (6y) | ||
| John Harvie | Registered representative | CFP | Mar 2020 (6y) | |
| Annie D Davis | Registered representative | Mar 2020 (6y) | ||
| Matthew Riley Davis | Registered representative | Mar 2020 (6y) | ||
| Michael W Schenking | Registered representative | CFP | Mar 2020 (6y) | |
| Stephanie Nicole Mcclenny | Registered representative | Mar 2020 (6y) | ||
| Thomas Farrell O'conor | Registered representative | CFP | Mar 2020 (6y) | |
| Zachary Charles Chryst | Registered representative | CFP | Mar 2020 (6y) | |
| Christopher Szot | Registered representative | Chartered Financial Consultant | Apr 2020 (6y) | |
| James Buie | Registered representative | CFP | Apr 2020 (6y) | |
| Chet Alan Johnson | Registered representative | Apr 2020 (6y) | ||
| Linwood Thompson | Registered representative | Apr 2020 (6y) | ||
| Eric B Soiland | Registered representative | CFP | Apr 2020 (6y) | |
| Susan Ann Stewart Bradshaw | Registered representative | Apr 2020 (6y) | ||
| Jon Eric Bost | Registered representative | May 2020 (6y) | ||
| Blake Ryan Rivera | Registered representative | May 2020 (6y) | ||
| Scott Joseph Ahrens | Registered representative | May 2020 (6y) | ||
| Bryan Gerber | Registered representative | May 2020 (6y) | ||
| Thomas Berry Hammann | Registered representative | May 2020 (6y) | ||
| Allison Williams Daniels | Registered representative | Jun 2020 (6y) | ||
| John Stephen Inman | Registered representative | Jun 2020 (6y) | ||
| Bruce Rudenberg | Registered representative | Jun 2020 (6y) | ||
| William Bryan Hardegree | Registered representative | CFP | Jun 2020 (6y) | |
| Brian Gregory Rudenberg | Registered representative | Jun 2020 (6y) | ||
| Connor Dougherty Callahan | Registered representative | Jun 2020 (6y) | ||
| Courtney Lea Rhoden | Registered representative | Jun 2020 (6y) | ||
| Gregory Spears | Registered representative | Jun 2020 (6y) | ||
| Lauri Ann Gray | Registered representative | Jun 2020 (6y) | ||
| Matthew Scott Sayers | Registered representative | CFP | Jun 2020 (6y) | |
| Ted Lynn Chartier | Registered representative | CFP | Jun 2020 (6y) | |
| Thomas Henry Freeman | Registered representative | Jun 2020 (6y) | ||
| Bryan Clark | Registered representative | Jun 2020 (6y) | ||
| Jay Gentry | Registered representative | Jun 2020 (6y) | ||
| Ryan Gutowski | Registered representative | CFP | Jun 2020 (6y) | |
| Sandra Jane Vecere | Registered representative | Jun 2020 (6y) | ||
| Troy Elser | Registered representative | Jun 2020 (6y) | ||
| Spencer Schenking | Registered representative | Jul 2020 (6y) | ||
| William Anthony Delizza | Registered representative | Jul 2020 (6y) | ||
| Andrew Charles Hahn | Registered representative | CFP | Jul 2020 (6y) | |
| James Daniel Newsome | Registered representative | Jul 2020 (6y) | ||
| Steven William Delizza | Registered representative | Jul 2020 (6y) | ||
| Jay Laird Griffin | Registered representative | Jul 2020 (6y) | ||
| Michael Paul Newsome | Registered representative | Jul 2020 (6y) | ||
| Maura Lem | Registered representative | Jul 2020 (6y) | ||
| Matthew Erbacher | Registered representative | Jul 2020 (6y) | ||
| Jeffrey Baker | Registered representative | Jul 2020 (6y) | ||
| Kirstin Mower | Registered representative | Jul 2020 (6y) | ||
| Michael Loren Moeller | Registered representative | Jul 2020 (6y) | ||
| Donald Ramsay Watkins | Registered representative | Jul 2020 (6y) | ||
| Paul Stephen Masoner | Registered representative | Aug 2020 (6y) | ||
| Thomas Clark | Registered representative | CFP | Sep 2020 (6y) | |
| Paul Bertsch | Registered representative | Sep 2020 (6y) | ||
| Todd Guilliam | Registered representative | CFP | Sep 2020 (6y) | |
| Frederick Christopher Goduti | Registered representative | CFP | Sep 2020 (6y) | |
| Todd Blankenship | Registered representative | Sep 2020 (6y) | ||
| Sean Patrick Keller | Registered representative | Sep 2020 (6y) | ||
| Amanda Gatewood | Registered representative | CFP | Sep 2020 (6y) | |
| Briana Whitley | Registered representative | CFP | Sep 2020 (6y) | |
| Christopher Considine | Registered representative | Sep 2020 (6y) | ||
| Craig Cunningham | Registered representative | CFP | Sep 2020 (6y) | |
| Dan Cunningham | Registered representative | Sep 2020 (6y) | ||
| Gary Lane Swearingen | Registered representative | CFP | Sep 2020 (6y) | |
| Joseph William Fearday | Registered representative | CFA | Sep 2020 (6y) | |
| Matthew Robert Grahn | Registered representative | Sep 2020 (6y) | ||
| Sanket Khanna | Registered representative | CFP | Sep 2020 (6y) | |
| Tyler Benjamin Chernack | Registered representative | Sep 2020 (6y) | ||
| Bradley Graham | Registered representative | Oct 2020 (6y) | ||
| Robert John Dombrowski | Registered representative | Oct 2020 (6y) | ||
| Judy Viola Lowman | Registered representative | Oct 2020 (6y) | ||
| Russell Broda | Registered representative | CFP | Oct 2020 (6y) | |
| Sarah Roman | Registered representative | Oct 2020 (6y) | ||
| Jordan Blair Fuller | Registered representative | Oct 2020 (6y) | ||
| Shin Ae Woo | Registered representative | Oct 2020 (6y) | ||
| Gerald Meyerle | Registered representative | CFP | Oct 2020 (6y) | |
| Cindy Lawrimore | Registered representative | Oct 2020 (6y) | ||
| Donald Dearie | Registered representative | CFP | Oct 2020 (6y) | |
| Malon Wickham | Registered representative | Oct 2020 (6y) | ||
| Scott Erickson | Registered representative | Oct 2020 (6y) | ||
| Roy Allain St Paul | Registered representative | Oct 2020 (6y) | ||
| Zachary Saint James | Registered representative | Oct 2020 (6y) | ||
| Brian Ray Zerr | Registered representative | CFP | Oct 2020 (6y) | |
| Chad Wayne Horton | Registered representative | Oct 2020 (6y) | ||
| Jay Carroll | Registered representative | Oct 2020 (6y) | ||
| Jonathan Rost | Registered representative | Oct 2020 (6y) | ||
| Kenneth David Wedel | Registered representative | Oct 2020 (6y) | ||
| Kenneth Mark Wedel | Registered representative | Oct 2020 (6y) | ||
| Robert Justus | Registered representative | Oct 2020 (6y) | ||
| Wesley Weider | Registered representative | Oct 2020 (6y) | ||
| Elizabeth Anne Steimel | Registered representative | Oct 2020 (6y) | ||
| Justin Patrick Saur | Registered representative | Oct 2020 (6y) | ||
| Mark Speer | Registered representative | Oct 2020 (6y) | ||
| Stuart Hieger | Registered representative | Oct 2020 (6y) | ||
| Dean Andersen | Registered representative | CFP | Oct 2020 (6y) | |
| Jason Peterson | Registered representative | Nov 2020 (6y) | ||
| Josh Burgon | Registered representative | Nov 2020 (6y) | ||
| Carol Lupo | Registered representative | Nov 2020 (6y) | ||
| Randall Bradshaw | Registered representative | CFP | Nov 2020 (6y) | |
| Chase Salvatore Dapello | Registered representative | Nov 2020 (6y) | ||
| Jacqueline Suzanne Mcneely | Registered representative | Nov 2020 (6y) | ||
| Caroline Jones | Registered representative | Nov 2020 (6y) | ||
| Marisa Michelle Litwinsky | Registered representative | Nov 2020 (6y) | ||
| William Lewis | Registered representative | Nov 2020 (6y) | ||
| Orlando Maldonado | Registered representative | Nov 2020 (6y) | ||
| Jodie Yuko Brennan | Registered representative | Dec 2020 (6y) | ||
| Wayne Mcmullen | Registered representative | Dec 2020 (6y) | ||
| Ashley T Lazarewicz | Registered representative | Dec 2020 (6y) | ||
| Jane Carmody | Registered representative | Dec 2020 (6y) | ||
| John Kellar | Registered representative | Dec 2020 (6y) | ||
| Michael Mcateer | Registered representative | Jan 2021 (6y) | ||
| Ryan Voxland | Registered representative | CFP | Jan 2021 (6y) | |
| Christopher David Stewart | Registered representative | Jan 2021 (6y) | ||
| Joshua Wayne Baltzer | Registered representative | CFP | Jan 2021 (6y) | |
| Ronald Gallegos | Registered representative | Jan 2021 (6y) | ||
| Frank Dudley Lawrence | Registered representative | Jan 2021 (6y) | ||
| Christopher David Zich | Registered representative | Jan 2021 (6y) | ||
| Steven Adelizi | Registered representative | Jan 2021 (6y) | ||
| Joseph Darrell Leake | Registered representative | Jan 2021 (6y) | ||
| Kenneth Allen Fruehauf | Registered representative | Jan 2021 (6y) | ||
| Nicholas Adelizi | Registered representative | Jan 2021 (6y) | ||
| Thomas Christian Buhl | Registered representative | Jan 2021 (6y) | ||
| Yvette Renee Wicker | Registered representative | Jan 2021 (6y) | ||
| Joseph Matthew Gianino | Registered representative | Jan 2021 (6y) | ||
| William Norman Doan | Registered representative | Jan 2021 (6y) | ||
| Brian Richard Zalakar | Registered representative | Jan 2021 (6y) | ||
| Corey William Vande Voort | Registered representative | Jan 2021 (6y) | ||
| Karen Elizabeth Hubbard | Registered representative | Jan 2021 (6y) | ||
| Kerri Christine Chase | Registered representative | Jan 2021 (6y) | ||
| Nicholas Pizii | Registered representative | Jan 2021 (6y) | ||
| Russell Mahan | Registered representative | Jan 2021 (6y) | ||
| Scott Gregory Dohm | Registered representative | Feb 2021 (5y) | ||
| Dang Co Dinh Vu | Registered representative | Feb 2021 (5y) | ||
| Larry Joseph Murphy | Registered representative | Feb 2021 (5y) | ||
| Robert Lawrence Slovinsky | Registered representative | Feb 2021 (5y) | ||
| Neal Deangelo | Registered representative | Feb 2021 (5y) | ||
| August Anthony Deangelo | Registered representative | Feb 2021 (5y) | ||
| Camilla Marie Fuller | Registered representative | Feb 2021 (5y) | ||
| Gene O'dell | Registered representative | Feb 2021 (5y) | ||
| Irina Petrovna Khaliava | Registered representative | Feb 2021 (5y) | ||
| Timothy Harmon Irwin | Registered representative | Feb 2021 (5y) | ||
| Beth Knight | Registered representative | Feb 2021 (5y) | ||
| Paul Randall Valtierra | Registered representative | Feb 2021 (5y) | ||
| Adam Moldof | Registered representative | Feb 2021 (5y) | ||
| David Schnall | Registered representative | Feb 2021 (5y) | ||
| Heidi Pittell | Registered representative | Feb 2021 (5y) | ||
| Michael Moldof | Registered representative | Feb 2021 (5y) | ||
| Peter Carolan | Registered representative | CFP | Feb 2021 (5y) | |
| Carol Smith | Registered representative | Feb 2021 (5y) | ||
| Sarah Tiedt | Registered representative | Feb 2021 (5y) | ||
| Dana Duellman | Registered representative | Mar 2021 (5y) | ||
| Lindsey Michelle Fontenot | Registered representative | Mar 2021 (5y) | ||
| Steven Romagna | Registered representative | CFP | Mar 2021 (5y) | |
| William Thomas | Registered representative | CFA | Mar 2021 (5y) | |
| Keith Alva Fontenot | Registered representative | Mar 2021 (5y) | ||
| Darrin Debok | Registered representative | Mar 2021 (5y) | ||
| Tonya Jones | Registered representative | Mar 2021 (5y) | ||
| David Barry Grindle | Registered representative | Mar 2021 (5y) | ||
| Evan Paulsen | Registered representative | Mar 2021 (5y) | ||
| Patrick Michael Pacillo | Registered representative | Mar 2021 (5y) | ||
| Steve T Otten | Registered representative | Mar 2021 (5y) | ||
| Brian G Cheney | Registered representative | Mar 2021 (5y) | ||
| Catherine Ann Irizarry | Registered representative | Mar 2021 (5y) | ||
| Sarah Catherine Herndon | Registered representative | CFP | Mar 2021 (5y) | |
| Michael D Schjeldahl | Registered representative | Apr 2021 (5y) | ||
| Brian Farrish | Registered representative | CFP | Apr 2021 (5y) | |
| James Scott Butler | Registered representative | CFP | Apr 2021 (5y) | |
| Robert Halter | Registered representative | CFP | Apr 2021 (5y) | |
| Allison Wiegand Mathias | Registered representative | Apr 2021 (5y) | ||
| Jonathan Eugene Hungerford | Registered representative | Apr 2021 (5y) | ||
| Lorayne Newton | Registered representative | Apr 2021 (5y) | ||
| Mark Moreland | Registered representative | Apr 2021 (5y) | ||
| Timothy Kilpatrick | Registered representative | Apr 2021 (5y) | ||
| Karen D Kratz | Registered representative | Apr 2021 (5y) | ||
| Paul Hofmann | Registered representative | Apr 2021 (5y) | ||
| Brude Stoever | Registered representative | Apr 2021 (5y) | ||
| Jana Marie Cusack | Registered representative | Apr 2021 (5y) | ||
| John Richard Ross | Registered representative | Apr 2021 (5y) | ||
| Kathleen Fagan | Registered representative | Apr 2021 (5y) | ||
| Leah Jeanette Beetz | Registered representative | Apr 2021 (5y) | ||
| Michael G. Palmore | Registered representative | Apr 2021 (5y) | ||
| Douglas Brant Stead | Registered representative | Apr 2021 (5y) | ||
| Anne Rene Owens | Registered representative | Apr 2021 (5y) | ||
| Edward J Flanagan | Registered representative | Apr 2021 (5y) | ||
| Robert Scott Glover | Registered representative | Apr 2021 (5y) | ||
| Russell Glover | Registered representative | Apr 2021 (5y) | ||
| Sharon A Croenlein | Registered representative | Apr 2021 (5y) | ||
| William Ronald Orndorf | Registered representative | CFP | Apr 2021 (5y) | |
| Douglas Wood | Registered representative | Apr 2021 (5y) | ||
| Sharla Covington | Registered representative | Apr 2021 (5y) | ||
| Shadia Joudi Dedecker | Registered representative | Apr 2021 (5y) | ||
| Grant Glor | Registered representative | Apr 2021 (5y) | ||
| Kerri Carter | Registered representative | May 2021 (5y) | ||
| Shelley Maxted | Registered representative | May 2021 (5y) | ||
| Sebastian Brinkerhoff | Registered representative | May 2021 (5y) | ||
| Mark Allen Brown | Registered representative | May 2021 (5y) | ||
| Lucas David Koffler | Registered representative | May 2021 (5y) | ||
| Mark Tulley | Registered representative | May 2021 (5y) | ||
| Anthony P Curcio | Registered representative | May 2021 (5y) | ||
| Jason S Kiefer | Registered representative | May 2021 (5y) | ||
| Brian Droege | Registered representative | May 2021 (5y) | ||
| Polina Nocera | Registered representative | May 2021 (5y) | ||
| Lori Piazza Timchack | Registered representative | Jun 2021 (5y) | ||
| Jason Garrett Kamler | Registered representative | CFP | Jun 2021 (5y) | |
| James Martin Marino | Registered representative | Jun 2021 (5y) | ||
| Archie Lee Martin | Registered representative | CFP | Jun 2021 (5y) | |
| Brian Edward Nerney | Registered representative | Jun 2021 (5y) | ||
| Patrick Thomas Enriquez | Registered representative | Jun 2021 (5y) | ||
| Maureen Kennedy | Registered representative | Jun 2021 (5y) | ||
| Zachary Ballard | Registered representative | Jun 2021 (5y) | ||
| Joseph Emery Froehle | Registered representative | Jul 2021 (5y) | ||
| Darcy Andrew Parrish | Registered representative | CFP | Jul 2021 (5y) | |
| Marcelle L Writer | Registered representative | Jul 2021 (5y) | ||
| Scott Parker | Registered representative | Jul 2021 (5y) | ||
| Elijah Valtierra | Registered representative | Jul 2021 (5y) | ||
| Todd Michael Gunther | Registered representative | Jul 2021 (5y) | ||
| Linda Kay Whittington | Registered representative | Jul 2021 (5y) | ||
| Jeffrey Kanegae | Registered representative | CFP | Jul 2021 (5y) | |
| Vincent Joseph Gulotti | Registered representative | Jul 2021 (5y) | ||
| Heather Brown David | Registered representative | Jul 2021 (5y) | ||
| Sandy Alfredo Beauchamp | Registered representative | Jul 2021 (5y) | ||
| Brian Matthew Borst | Registered representative | Jul 2021 (5y) | ||
| Charles Anthony Reinemann | Registered representative | Jul 2021 (5y) | ||
| Christian Edward Burke | Registered representative | CFP | Jul 2021 (5y) | |
| Louis J Bouchard | Registered representative | Jul 2021 (5y) | ||
| Philip John Canzoneri | Registered representative | Jul 2021 (5y) | ||
| Stephen Patrick Murphy | Registered representative | Jul 2021 (5y) | ||
| Matthew Kapetanakis | Registered representative | Jul 2021 (5y) | ||
| Edward John Murphy | Registered representative | Aug 2021 (5y) | ||
| Miguel Castillo | Registered representative | Aug 2021 (5y) | ||
| Michelle Susan Strom | Registered representative | Aug 2021 (5y) | ||
| Patrick Thomas Banville | Registered representative | Aug 2021 (5y) | ||
| Bryan Lamar Hazelwood | Registered representative | Aug 2021 (5y) | ||
| Jason Michael Lombardo | Registered representative | Aug 2021 (5y) | ||
| Angela Beth Lane | Registered representative | Aug 2021 (5y) | ||
| Joshua Todd Trahan | Registered representative | Aug 2021 (5y) | ||
| Callahan Tully | Registered representative | Aug 2021 (5y) | ||
| Nathan Thomas Babb | Registered representative | Aug 2021 (5y) | ||
| Cynthia Ann Hinck | Registered representative | Aug 2021 (5y) | ||
| David Rijkers | Registered representative | Aug 2021 (5y) | ||
| Edward William Katz | Registered representative | CFP | Aug 2021 (5y) | |
| William Emanuel Engellis | Registered representative | Aug 2021 (5y) | ||
| Terry Robert Campbell | Registered representative | Aug 2021 (5y) | ||
| Evan Paul Wilson | Registered representative | CFP | Aug 2021 (5y) | |
| Amanda D Quicke | Registered representative | Sep 2021 (5y) | ||
| Craig Dods | Registered representative | Sep 2021 (5y) | ||
| John Cain | Registered representative | CFP | Sep 2021 (5y) | |
| Lance Blake Mcmurry | Registered representative | Sep 2021 (5y) | ||
| Robert Eugene Starzl | Registered representative | CFP | Sep 2021 (5y) | |
| Caleb Michael Paulson | Registered representative | CFP | Sep 2021 (5y) | |
| Clayton Heath Simmons | Registered representative | CFP | Sep 2021 (5y) | |
| Ronald A Cain | Registered representative | Sep 2021 (5y) | ||
| Thomas Boushall Valentine | Registered representative | Sep 2021 (5y) | ||
| Aimee Kay Peltier | Registered representative | Sep 2021 (5y) | ||
| Courtney Cramer | Registered representative | Sep 2021 (5y) | ||
| Kevin James Cleary | Registered representative | Sep 2021 (5y) | ||
| Todd Lyle Guennigsmann | Registered representative | Sep 2021 (5y) | ||
| Gregory Nebel | Registered representative | CFP | Sep 2021 (5y) | |
| Michael Hartman | Registered representative | CFP | Sep 2021 (5y) | |
| Paul Robert Hammersmith | Registered representative | Sep 2021 (5y) | ||
| Connor Wilson | Registered representative | Sep 2021 (5y) | ||
| Christopher Michael Stokes | Registered representative | Sep 2021 (5y) | ||
| Phillip W Jordan | Registered representative | CFP | Sep 2021 (5y) | |
| Brian Dewey Stokes | Registered representative | CFP | Oct 2021 (5y) | |
| Priscilla Renee Archuleta | Registered representative | Oct 2021 (5y) | ||
| Grant Crane | Registered representative | Oct 2021 (5y) | ||
| Reza Manshouri | Registered representative | Oct 2021 (5y) | ||
| Jerod Alexander Macko | Registered representative | Oct 2021 (5y) | ||
| Kimberly Ann Gildea | Registered representative | CFP | Oct 2021 (5y) | |
| Stephen Calabrese | Registered representative | Oct 2021 (5y) | ||
| Brian Uhlinger | Registered representative | Oct 2021 (5y) | ||
| Elizabeth Ann Johns | Registered representative | Oct 2021 (5y) | ||
| Stephanie Elizabeth Rathbone | Registered representative | Oct 2021 (5y) | ||
| Deron Jay Hackney | Registered representative | Oct 2021 (5y) | ||
| Lubna Bathish Jones | Registered representative | Oct 2021 (5y) | ||
| Steven Gilbert Kraus | Registered representative | Oct 2021 (5y) | ||
| Volter Davoudi | Registered representative | Oct 2021 (5y) | ||
| William Michael Hughes | Registered representative | Oct 2021 (5y) | ||
| Charles Riddell Huntington | Registered representative | Oct 2021 (5y) | ||
| Philip Christopher Pappas | Registered representative | Oct 2021 (5y) | ||
| Thomas B Helm | Registered representative | Oct 2021 (5y) | ||
| Michael Oates | Registered representative | Oct 2021 (5y) | ||
| Alexander Wordsworth | Registered representative | Oct 2021 (5y) | ||
| Charles Labritz | Registered representative | CFP | Oct 2021 (5y) | |
| Kelly O'neill | Registered representative | Oct 2021 (5y) | ||
| Jeffrey Yoanides | Registered representative | CFP | Nov 2021 (5y) | |
| Schuyler White | Registered representative | Nov 2021 (5y) | ||
| William Mitchell | Registered representative | Nov 2021 (5y) | ||
| Dilip Kumar Gupta | Registered representative | Nov 2021 (5y) | ||
| Jason Perez | Registered representative | CFP | Nov 2021 (5y) | |
| Matthew Gary Fischer | Registered representative | Nov 2021 (5y) | ||
| Jeffrey Lawrence Munson | Registered representative | Nov 2021 (5y) | ||
| Damon Anthony Focaracci | Registered representative | Nov 2021 (5y) | ||
| Alexander Steven Mills | Registered representative | Nov 2021 (5y) | ||
| Darlin Rivera | Registered representative | Nov 2021 (5y) | ||
| Lee Olayvar Spratling | Registered representative | Nov 2021 (5y) | ||
| Joshua Dixon | Registered representative | Nov 2021 (5y) | ||
| David Alan Anderson | Registered representative | Nov 2021 (5y) | ||
| Derek Michael Ehman | Registered representative | Nov 2021 (5y) | ||
| Doug Piazza | Registered representative | Nov 2021 (5y) | ||
| Dane Blue | Registered representative | Nov 2021 (5y) | ||
| Heather Helms | Registered representative | Nov 2021 (5y) | ||
| Manon Manola Tounalom | Registered representative | Nov 2021 (5y) | ||
| William Vanronzelen | Registered representative | Dec 2021 (5y) | ||
| Kevin James Shultis | Registered representative | Dec 2021 (5y) | ||
| Sean Molloy | Registered representative | Dec 2021 (5y) | ||
| Jodi Lee Sorenson | Registered representative | Dec 2021 (5y) | ||
| William Thomas Lai | Registered representative | Jan 2022 (5y) | ||
| Eric I Ingerman | Registered representative | CFP | Jan 2022 (5y) | |
| David Clark Dupuy | Registered representative | Jan 2022 (5y) | ||
| Joseph Dane Addy | Registered representative | Jan 2022 (5y) | ||
| Mary Elisabeth Dupuy | Registered representative | Jan 2022 (5y) | ||
| Kery Hutner | Registered representative | CFP | Jan 2022 (5y) | |
| Jermaine Tart | Registered representative | Jan 2022 (5y) | ||
| Robert Earl | Registered representative | Jan 2022 (5y) | ||
| Lawrence Baker | Registered representative | Jan 2022 (5y) | ||
| Alexander Robert Holguin | Registered representative | Jan 2022 (5y) | ||
| Matthew Winters | Registered representative | Jan 2022 (5y) | ||
| Samuel Earl | Registered representative | Jan 2022 (5y) | ||
| Steven Earl | Registered representative | Jan 2022 (5y) | ||
| Crystal Kay Lagger | Registered representative | CFP | Feb 2022 (4y) | |
| Travis Dwight Ormsby | Registered representative | CFP | Feb 2022 (4y) | |
| Lawrence Baier | Registered representative | CFP | Feb 2022 (4y) | |
| David Reid Materne | Registered representative | Feb 2022 (4y) | ||
| Louis Crafa | Registered representative | Feb 2022 (4y) | ||
| Molly Cardoso | Registered representative | Feb 2022 (4y) | ||
| Nicole Curtis | Registered representative | Feb 2022 (4y) | ||
| Alan Hafferkamp | Registered representative | Feb 2022 (4y) | ||
| Blake Alan Hafferkamp | Registered representative | Feb 2022 (4y) | ||
| Christopher Kelly | Registered representative | Feb 2022 (4y) | ||
| Sean Drewniak | Registered representative | Feb 2022 (4y) | ||
| Dylan Swanson | Registered representative | Feb 2022 (4y) | ||
| Michael Whitfield | Registered representative | CFP | Feb 2022 (4y) | |
| Zachary Mason Gates | Registered representative | CFP | Feb 2022 (4y) | |
| William Eli Strait | Registered representative | Feb 2022 (4y) | ||
| John Windham Peterson | Registered representative | Feb 2022 (4y) | ||
| Scott Andrew Larson | Registered representative | Feb 2022 (4y) | ||
| Stacy A Kupsky | Registered representative | Feb 2022 (4y) | ||
| Allen Clement Crock | Registered representative | Mar 2022 (4y) | ||
| Frances Goodman | Registered representative | CFP | Mar 2022 (4y) | |
| Hayley Byrd | Registered representative | Mar 2022 (4y) | ||
| Jacob Miller | Registered representative | Mar 2022 (4y) | ||
| Jennifer Edwards | Registered representative | Mar 2022 (4y) | ||
| Kevin Michael Dery | Registered representative | Mar 2022 (4y) | ||
| Michael Brown | Registered representative | CFP | Mar 2022 (4y) | |
| Reid Murchison | Registered representative | CFP | Mar 2022 (4y) | |
| David Brownlow | Registered representative | CFP | Mar 2022 (4y) | |
| David Slates | Registered representative | Mar 2022 (4y) | ||
| Geoffrey Bryce Collins | Registered representative | CFP | Mar 2022 (4y) | |
| Razvan Nicolae Ilie | Registered representative | Mar 2022 (4y) | ||
| Timothy Roberts | Registered representative | CFP | Mar 2022 (4y) | |
| Elliott Jerry Coleman | Registered representative | Mar 2022 (4y) | ||
| David Bogosian | Registered representative | Mar 2022 (4y) | ||
| Donna Gale Wascher | Registered representative | Mar 2022 (4y) | ||
| Joseph Michael Romary | Registered representative | Mar 2022 (4y) | ||
| Susan Kathleen Feller | Registered representative | Mar 2022 (4y) | ||
| Brian Kent Hasbargen | Registered representative | Mar 2022 (4y) | ||
| Jason Nicholas Soucie | Registered representative | Mar 2022 (4y) | ||
| Jennifer Suleman | Registered representative | Mar 2022 (4y) | ||
| Dan Schuetz | Registered representative | Mar 2022 (4y) | ||
| Thomas Trerice Landis | Registered representative | Mar 2022 (4y) | ||
| Brett Meiring | Registered representative | CFP | Mar 2022 (4y) | |
| Abigail Jenkins | Registered representative | Mar 2022 (4y) | ||
| Adam Ibrahim | Registered representative | Mar 2022 (4y) | ||
| Stuart Swanson | Registered representative | Mar 2022 (4y) | ||
| Warren Hamilton | Registered representative | Mar 2022 (4y) | ||
| William Bruning | Registered representative | Mar 2022 (4y) | ||
| Jay D'meza | Registered representative | Mar 2022 (4y) | ||
| Deborah Jene Butler | Registered representative | Mar 2022 (4y) | ||
| Bruce Bortniker | Registered representative | Mar 2022 (4y) | ||
| Daniel Burns | Registered representative | Mar 2022 (4y) | ||
| Harry Richard Pinkham | Registered representative | CFP | Mar 2022 (4y) | |
| Richard Scott Pinkham | Registered representative | Mar 2022 (4y) | ||
| Robert Freeman | Registered representative | CFP | Mar 2022 (4y) | |
| James Wesley Hornbuckle | Registered representative | Apr 2022 (4y) | ||
| Marci Michelle Watters | Registered representative | Apr 2022 (4y) | ||
| Sara Stephan | Registered representative | Apr 2022 (4y) | ||
| Mikal Haddad | Registered representative | CFP Chartered Financial Consultant | Apr 2022 (4y) | |
| Zachary David Dalzell | Registered representative | Apr 2022 (4y) | ||
| Amy Trotter | Registered representative | Apr 2022 (4y) | ||
| Schuyler Randall White | Registered representative | Apr 2022 (4y) | ||
| Thomas Shapero | Registered representative | Apr 2022 (4y) | ||
| Deanna K Klokkenga | Registered representative | CFP | Apr 2022 (4y) | |
| James A Roberts | Registered representative | Apr 2022 (4y) | ||
| James Andrew Roberts | Registered representative | Apr 2022 (4y) | ||
| Peter Popovich | Registered representative | Apr 2022 (4y) | ||
| Dierdre Llewellyn | Registered representative | CFP | Apr 2022 (4y) | |
| Robert Brunst | Registered representative | CFP | Apr 2022 (4y) | |
| Joshua Watt | Registered representative | Apr 2022 (4y) | ||
| Daniel A Comforti | Registered representative | CFP | Apr 2022 (4y) | |
| Dana Brent Napier | Registered representative | CFP | Apr 2022 (4y) | |
| Lisa Lowrance | Registered representative | Apr 2022 (4y) | ||
| Stephen Scherrey | Registered representative | Apr 2022 (4y) | ||
| Walter Key Cash | Registered representative | CFP | Apr 2022 (4y) | |
| Donna Toombs | Registered representative | Apr 2022 (4y) | ||
| Rebecca Schick Moore | Registered representative | Apr 2022 (4y) | ||
| Robert Gary Renicker | Registered representative | CFP | Apr 2022 (4y) | |
| Russell Thomas Wilson | Registered representative | Apr 2022 (4y) | ||
| Bradley Shook | Registered representative | Apr 2022 (4y) | ||
| Anthony D'ambrosio | Registered representative | Apr 2022 (4y) | ||
| Michael Anthony Salimbene | Registered representative | Apr 2022 (4y) | ||
| Robert Schaefer | Registered representative | Apr 2022 (4y) | ||
| Jillian Dedic | Registered representative | May 2022 (4y) | ||
| Paul Kevin Parson | Registered representative | May 2022 (4y) | ||
| Troy Moore | Registered representative | CFP | May 2022 (4y) | |
| Mark Parson | Registered representative | May 2022 (4y) | ||
| Virginia Lee Lynn | Registered representative | May 2022 (4y) | ||
| Durley Meyer | Registered representative | May 2022 (4y) | ||
| Matthew Hartke | Registered representative | May 2022 (4y) | ||
| Thomas Sanderson Robertson | Registered representative | May 2022 (4y) | ||
| Andrew Black | Registered representative | May 2022 (4y) | ||
| Andrew Mark Wayne | Registered representative | May 2022 (4y) | ||
| Belinda Dawson | Registered representative | May 2022 (4y) | ||
| Gary Wayne | Registered representative | CFP | May 2022 (4y) | |
| Serina Foster | Registered representative | May 2022 (4y) | ||
| Adam Nicot | Registered representative | May 2022 (4y) | ||
| David Raymond Drogon | Registered representative | CFP | May 2022 (4y) | |
| John Patrick O'malley | Registered representative | May 2022 (4y) | ||
| Lisa Anne Petrie | Registered representative | CFP | May 2022 (4y) | |
| Mark J Klein | Registered representative | May 2022 (4y) | ||
| Matthew Trundle | Registered representative | CFP | May 2022 (4y) | |
| Nykia Wharton | Registered representative | May 2022 (4y) | ||
| Andrew E Dreisiger | Registered representative | May 2022 (4y) | ||
| Bryan Louis Becht | Registered representative | May 2022 (4y) | ||
| Jerome Franklin | Registered representative | CFP | May 2022 (4y) | |
| Richard Jay | Registered representative | May 2022 (4y) | ||
| James Laughton | Registered representative | May 2022 (4y) | ||
| Jerry Mcewen | Registered representative | May 2022 (4y) | ||
| Peter Alan Leuty | Registered representative | May 2022 (4y) | ||
| Judith Kasen Windsor | Registered representative | May 2022 (4y) | ||
| Daniel James Prostrollo | Registered representative | CFP | May 2022 (4y) | |
| Jerald Michael Prostrollo | Registered representative | May 2022 (4y) | ||
| Christopher Sakas | Registered representative | Jun 2022 (4y) | ||
| Thomas Wozniak | Registered representative | Jun 2022 (4y) | ||
| Alice Marquardt | Registered representative | CFP | Jun 2022 (4y) | |
| Brian Ian Moody | Registered representative | Jun 2022 (4y) | ||
| Jack Makee | Registered representative | Jun 2022 (4y) | ||
| Christian Fragoso | Registered representative | CFP | Jun 2022 (4y) | |
| Hector Angel Lopez | Registered representative | Jun 2022 (4y) | ||
| Kristin Crockett | Registered representative | CFP | Jun 2022 (4y) | |
| Thomas Burke | Registered representative | Jun 2022 (4y) | ||
| Barbara Thacker | Registered representative | Jun 2022 (4y) | ||
| Kimberly Ann Bryan | Registered representative | Jun 2022 (4y) | ||
| Mildred Babb Perkins | Registered representative | CFP | Jun 2022 (4y) | |
| Robert Joseph Huser | Registered representative | Jun 2022 (4y) | ||
| Thomas Handy | Registered representative | Jun 2022 (4y) | ||
| Ardell Roan | Registered representative | Jun 2022 (4y) | ||
| Beryl Ephraim Sorscher | Registered representative | CFP | Jun 2022 (4y) | |
| Gail Miller | Registered representative | Jun 2022 (4y) | ||
| Luciano Dela Cruz | Registered representative | Jun 2022 (4y) | ||
| Patrick Harding | Registered representative | Jun 2022 (4y) | ||
| Kenneth Carter | Registered representative | Jun 2022 (4y) | ||
| Michael Salmon | Registered representative | Jun 2022 (4y) | ||
| Pace Sorscher | Registered representative | Jun 2022 (4y) | ||
| Douglas Richard Jones | Registered representative | CFA | Jun 2022 (4y) | |
| Brian Corbett | Registered representative | CFP | Jun 2022 (4y) | |
| Christine A Doyle | Registered representative | Jun 2022 (4y) | ||
| Ryan Caperoon Smith | Registered representative | Jun 2022 (4y) | ||
| Jonathan Nuzzaci | Registered representative | Jun 2022 (4y) | ||
| Benjamin B Lane | Registered representative | Jun 2022 (4y) | ||
| Jacquelyn Nicole Walker | Registered representative | Jun 2022 (4y) | ||
| Angella Sharice Johnson | Registered representative | Jun 2022 (4y) | ||
| Gilbert E. Davis | Registered representative | Personal Financial Specialist | Jun 2022 (4y) | |
| Jonathan Martin | Registered representative | CFP | Jun 2022 (4y) | |
| Kyle Van Hecke | Registered representative | Jun 2022 (4y) | ||
| Randyl Ratcliff | Registered representative | CFP | Jun 2022 (4y) | |
| Robert Jeremiah Russamano | Registered representative | Jun 2022 (4y) | ||
| William Soltis | Registered representative | Jun 2022 (4y) | ||
| Douglas Mark Frizzell | Registered representative | Jul 2022 (4y) | ||
| Jesse Vance | Registered representative | Jul 2022 (4y) | ||
| Amy Rachelle Leo | Registered representative | Jul 2022 (4y) | ||
| Eric Dean Brenchley | Registered representative | Jul 2022 (4y) | ||
| Kelly Spencer | Registered representative | Jul 2022 (4y) | ||
| Nathan T Craig | Registered representative | Jul 2022 (4y) | ||
| Erika Rachelle Lee | Registered representative | Jul 2022 (4y) | ||
| William Cornett | Registered representative | Jul 2022 (4y) | ||
| Breaux Nader | Registered representative | CFP | Jul 2022 (4y) | |
| Rita B Lessard | Registered representative | Jul 2022 (4y) | ||
| Shaun Burns | Registered representative | Jul 2022 (4y) | ||
| Thomas Eugene Taylor | Registered representative | Jul 2022 (4y) | ||
| Brandon Hurley | Registered representative | Jul 2022 (4y) | ||
| Jackie Plunkett Honeycutt | Registered representative | Jul 2022 (4y) | ||
| James Poche | Registered representative | Jul 2022 (4y) | ||
| Jerrod Michael Hammerback | Registered representative | Jul 2022 (4y) | ||
| Kevin Knobloch | Registered representative | CFP Chartered Financial Consultant | Jul 2022 (4y) | |
| Maria Lee Landry | Registered representative | Jul 2022 (4y) | ||
| Rachel Yvette Slovinsky | Registered representative | Jul 2022 (4y) | ||
| Holley Sprouse | Registered representative | Jul 2022 (4y) | ||
| James Ryan Jolley | Registered representative | Jul 2022 (4y) | ||
| Colby Kimmons Savadove | Registered representative | Jul 2022 (4y) | ||
| Daniel Michael Adler | Registered representative | Jul 2022 (4y) | ||
| Katrina Deanne Ellis | Registered representative | Jul 2022 (4y) | ||
| Paul Michael Largo | Registered representative | Jul 2022 (4y) | ||
| Sarah Eileen Fosse | Registered representative | Jul 2022 (4y) | ||
| Scott Cunningham | Registered representative | Jul 2022 (4y) | ||
| Thomas Palazzo | Registered representative | CFP | Jul 2022 (4y) | |
| Brian Davies | Registered representative | Jul 2022 (4y) | ||
| David Teeter | Registered representative | CFP | Jul 2022 (4y) | |
| Dawn Marie Salerno | Registered representative | Jul 2022 (4y) | ||
| Daniel Thaddeus Yates | Registered representative | Jul 2022 (4y) | ||
| Don P Weiher | Registered representative | Aug 2022 (4y) | ||
| Mark Lloyd Correa | Registered representative | Aug 2022 (4y) | ||
| Julie Beauchamp | Registered representative | CFP | Aug 2022 (4y) | |
| Sydney O Gilbert | Registered representative | CFP | Aug 2022 (4y) | |
| Teresa Noles | Registered representative | Aug 2022 (4y) | ||
| Amanda Mcshan Clark | Registered representative | Aug 2022 (4y) | ||
| Christopher Snow Benjamin | Registered representative | Aug 2022 (4y) | ||
| David Christian Booker | Registered representative | CFP | Aug 2022 (4y) | |
| Nicholas J Magero | Registered representative | Aug 2022 (4y) | ||
| Susan Miller Crosby | Registered representative | Aug 2022 (4y) | ||
| Roger Louis O'quin | Registered representative | Aug 2022 (4y) | ||
| Matthew Pomerantz | Registered representative | Aug 2022 (4y) | ||
| Nicholas Francis Steier | Registered representative | Aug 2022 (4y) | ||
| Daniel Coughlin | Registered representative | Aug 2022 (4y) | ||
| Lance Allen Paulson | Registered representative | Aug 2022 (4y) | ||
| Lance Stewart Barnes | Registered representative | CFP Chartered Financial Consultant | Aug 2022 (4y) | |
| Tyler Jonathan Smith | Registered representative | Aug 2022 (4y) | ||
| Timothy C Healy | Registered representative | Aug 2022 (4y) | ||
| Kevin Ganus | Registered representative | Aug 2022 (4y) | ||
| Paul Fordham | Registered representative | Aug 2022 (4y) | ||
| William Maguire | Registered representative | Aug 2022 (4y) | ||
| Amy Mccollum | Registered representative | Aug 2022 (4y) | ||
| Joanne Corbin | Registered representative | Aug 2022 (4y) | ||
| Brian Christopher Casebeer | Registered representative | Aug 2022 (4y) | ||
| Corey Jordan | Registered representative | Aug 2022 (4y) | ||
| Ernest Jude Trevino | Registered representative | CFP | Aug 2022 (4y) | |
| John Patrick Murtha | Registered representative | Aug 2022 (4y) | ||
| Michael Matthew Mewborne | Registered representative | Aug 2022 (4y) | ||
| Paul Enter | Registered representative | Aug 2022 (4y) | ||
| Philip Postlewaite | Registered representative | CFP | Aug 2022 (4y) | |
| Richard Brian Folmar | Registered representative | Aug 2022 (4y) | ||
| Susan Skrivanie | Registered representative | Aug 2022 (4y) | ||
| Adam Boerger | Registered representative | Aug 2022 (4y) | ||
| Catherine Ashley Morrison | Registered representative | CFP | Aug 2022 (4y) | |
| Kevin Horn | Registered representative | Aug 2022 (4y) | ||
| Stephen Barto | Registered representative | Aug 2022 (4y) | ||
| Trent Francom | Registered representative | Aug 2022 (4y) | ||
| Max Freelander Ii | Registered representative | Aug 2022 (4y) | ||
| Chase Warren Green | Registered representative | Sep 2022 (4y) | ||
| Diane Lynn Taylor | Registered representative | CFP | Sep 2022 (4y) | |
| Jade Keller Green | Registered representative | Sep 2022 (4y) | ||
| Justin Wade Breece | Registered representative | Sep 2022 (4y) | ||
| Melissa Marae Crews | Registered representative | Sep 2022 (4y) | ||
| Benjamin Michael Johns | Registered representative | Sep 2022 (4y) | ||
| Christine Lynn Lambert | Registered representative | Sep 2022 (4y) | ||
| Eric Daniel | Registered representative | Sep 2022 (4y) | ||
| Gerard Mark Scorziello | Registered representative | Sep 2022 (4y) | ||
| Kai Cogswell | Registered representative | Sep 2022 (4y) | ||
| Kellie Ann Frasher | Registered representative | Sep 2022 (4y) | ||
| Michael Blank | Registered representative | Sep 2022 (4y) | ||
| Patrick Wymore | Registered representative | Sep 2022 (4y) | ||
| Randall Biglione | Registered representative | Sep 2022 (4y) | ||
| Robert Thompson | Registered representative | Sep 2022 (4y) | ||
| Timothy James Wagner | Registered representative | Sep 2022 (4y) | ||
| David Green | Registered representative | Sep 2022 (4y) | ||
| Kelly Siedschlag | Registered representative | Sep 2022 (4y) | ||
| Liane Susan Kostakos | Registered representative | Sep 2022 (4y) | ||
| Ronald Lee Vanessen | Registered representative | Sep 2022 (4y) | ||
| Scott Trueman | Registered representative | Sep 2022 (4y) | ||
| Aaron Kessler | Registered representative | CFP | Sep 2022 (4y) | |
| Adam Champagne | Registered representative | Sep 2022 (4y) | ||
| Brian Champagne | Registered representative | CFP | Sep 2022 (4y) | |
| Gloria Rodriguez | Registered representative | Sep 2022 (4y) | ||
| Jeffrey D'amico | Registered representative | Sep 2022 (4y) | ||
| Katina Heggemann | Registered representative | Sep 2022 (4y) | ||
| Ken Meyers | Registered representative | Sep 2022 (4y) | ||
| Michael Hunter | Registered representative | Sep 2022 (4y) | ||
| Richard Groscost | Registered representative | Sep 2022 (4y) | ||
| Richard Mccrocklin | Registered representative | Sep 2022 (4y) | ||
| Christine Rodgers | Registered representative | CFP | Sep 2022 (4y) | |
| Christy Engemann | Registered representative | Sep 2022 (4y) | ||
| Jason A Hoofnagle | Registered representative | CFP | Sep 2022 (4y) | |
| Jeffrey Holtmeier | Registered representative | Sep 2022 (4y) | ||
| Joseph Carl Bellmar | Registered representative | Sep 2022 (4y) | ||
| Keith Riley Wallis | Registered representative | Sep 2022 (4y) | ||
| Ross Joseph Champagne | Registered representative | Sep 2022 (4y) | ||
| Chad Helpling | Registered representative | CFP | Sep 2022 (4y) | |
| Craig Gayhardt | Registered representative | Sep 2022 (4y) | ||
| David Wisniewski | Registered representative | Sep 2022 (4y) | ||
| Linda Lynch | Registered representative | Sep 2022 (4y) | ||
| Melinda Caroline Lapert | Registered representative | Sep 2022 (4y) | ||
| Christopher Thomas Offner | Registered representative | Sep 2022 (4y) | ||
| Jennifer Hall | Registered representative | Sep 2022 (4y) | ||
| Samantha Kramer | Registered representative | Sep 2022 (4y) | ||
| Steven Tran | Registered representative | Sep 2022 (4y) | ||
| Christopher Hayburn | Registered representative | Sep 2022 (4y) | ||
| Joseph Peter Caccippio | Registered representative | Sep 2022 (4y) | ||
| Scott Benesch | Registered representative | Sep 2022 (4y) | ||
| Bertha Jones | Registered representative | Sep 2022 (4y) | ||
| Christine Joan Twillmann | Registered representative | Sep 2022 (4y) | ||
| Sean Loftus | Registered representative | Sep 2022 (4y) | ||
| Eric Smith | Registered representative | Sep 2022 (4y) | ||
| Bruce R Roberson | Registered representative | Sep 2022 (4y) | ||
| Kyle Gibson Crilow | Registered representative | Sep 2022 (4y) | ||
| Michael Jason Roper | Registered representative | Sep 2022 (4y) | ||
| Monte Edwards | Registered representative | Sep 2022 (4y) | ||
| Patrick Morris | Registered representative | Sep 2022 (4y) | ||
| Amy Virginia Perrin | Registered representative | Sep 2022 (4y) | ||
| Andrew Banks | Registered representative | Sep 2022 (4y) | ||
| Candice Mora | Registered representative | Sep 2022 (4y) | ||
| Gloria Woodford | Registered representative | Sep 2022 (4y) | ||
| Joanna Mora | Registered representative | CFP | Sep 2022 (4y) | |
| Michael Josh Jordan | Registered representative | Sep 2022 (4y) | ||
| Thomas Erb | Registered representative | Sep 2022 (4y) | ||
| Douglas Aldridge Jr | Registered representative | Sep 2022 (4y) | ||
| Kelly P Cutsforth | Registered representative | Oct 2022 (4y) | ||
| Jeffery S Besselievre | Registered representative | Oct 2022 (4y) | ||
| Tyler Stewart | Registered representative | Oct 2022 (4y) | ||
| Marcus Nigel Allen | Registered representative | Oct 2022 (4y) | ||
| Michael Steven Holcomb | Registered representative | CFP | Oct 2022 (4y) | |
| Robert Janda | Registered representative | CFP | Oct 2022 (4y) | |
| Daniel Carter | Registered representative | Oct 2022 (4y) | ||
| Jeffery Lee Gardner | Registered representative | Oct 2022 (4y) | ||
| Sheila Hill | Registered representative | Oct 2022 (4y) | ||
| Stephen Bowman | Registered representative | Oct 2022 (4y) | ||
| Matthew Douglas Deboer | Registered representative | CFP | Oct 2022 (4y) | |
| Perry Greenfield | Registered representative | CFP | Oct 2022 (4y) | |
| Warren Craig Denardo | Registered representative | CFP | Oct 2022 (4y) | |
| Dale L Rosenthal | Registered representative | Oct 2022 (4y) | ||
| Jonathan Walther | Registered representative | Oct 2022 (4y) | ||
| Gary Mould | Registered representative | Oct 2022 (4y) | ||
| John Brophy | Registered representative | Oct 2022 (4y) | ||
| William Minter | Registered representative | Oct 2022 (4y) | ||
| Amita Chinnadurai | Registered representative | Oct 2022 (4y) | ||
| James Brown | Registered representative | Oct 2022 (4y) | ||
| Mark Musaraca | Registered representative | CFP | Oct 2022 (4y) | |
| Neal Sperry | Registered representative | Oct 2022 (4y) | ||
| Abby Vicencio | Registered representative | Oct 2022 (4y) | ||
| Alejandro Vicencio | Registered representative | CFP | Oct 2022 (4y) | |
| Cesar Gabriel Perez | Registered representative | Oct 2022 (4y) | ||
| Charity Wrigley | Registered representative | Oct 2022 (4y) | ||
| Cooper Meeks | Registered representative | Oct 2022 (4y) | ||
| Dennis J. Devane | Registered representative | Oct 2022 (4y) | ||
| John Kurt Gero | Registered representative | Oct 2022 (4y) | ||
| Joseph G. Digiacomo | Registered representative | Oct 2022 (4y) | ||
| Melissa Miller | Registered representative | Oct 2022 (4y) | ||
| Mary Herzberg | Registered representative | Oct 2022 (4y) | ||
| Michael John Wolke | Registered representative | Oct 2022 (4y) | ||
| Daniel Schweikhart | Registered representative | Oct 2022 (4y) | ||
| James Benjamin Back | Registered representative | CFP | Oct 2022 (4y) | |
| Marla Olsen | Registered representative | Oct 2022 (4y) | ||
| Patricia Ware | Registered representative | CFP | Oct 2022 (4y) | |
| Stephen Lee Whatley | Registered representative | Oct 2022 (4y) | ||
| Anthony Olsen | Registered representative | Oct 2022 (4y) | ||
| Christopher Kizis | Registered representative | Oct 2022 (4y) | ||
| Christopher Wade Bevans | Registered representative | Oct 2022 (4y) | ||
| Kyle Ware | Registered representative | Oct 2022 (4y) | ||
| Mishell Defelice | Registered representative | Oct 2022 (4y) | ||
| Norma Andrade Casanova | Registered representative | Oct 2022 (4y) | ||
| David Nelson | Registered representative | Oct 2022 (4y) | ||
| Jeffrey Neuwirth | Registered representative | Oct 2022 (4y) | ||
| Scott Waldman | Registered representative | Oct 2022 (4y) | ||
| Matthew L Miller | Registered representative | Oct 2022 (4y) | ||
| Todd Evan Finkel | Registered representative | Oct 2022 (4y) | ||
| Steven Esposito | Registered representative | Oct 2022 (4y) | ||
| Hasan Najmuddin | Registered representative | Nov 2022 (4y) | ||
| Nicholas Fullmer | Registered representative | Nov 2022 (4y) | ||
| Jake Miles Johnson | Registered representative | CFP | Nov 2022 (4y) | |
| Beau Kevin Sweeney | Registered representative | Nov 2022 (4y) | ||
| Denise Pinon | Registered representative | Nov 2022 (4y) | ||
| Jeff Fluharty | Registered representative | Nov 2022 (4y) | ||
| Timothy O'brien | Registered representative | Nov 2022 (4y) | ||
| Lisa Mayer | Registered representative | Nov 2022 (4y) | ||
| Mark Ansara | Registered representative | Nov 2022 (4y) | ||
| Nancy Johnson | Registered representative | CFP | Nov 2022 (4y) | |
| Nancy Lee Fairchild | Registered representative | Nov 2022 (4y) | ||
| Susan Ellena | Registered representative | Nov 2022 (4y) | ||
| Shelley Lynne Byrd | Registered representative | Nov 2022 (4y) | ||
| Ty Ray Keenum | Registered representative | CFP | Nov 2022 (4y) | |
| Brooks Judson Collins | Registered representative | Nov 2022 (4y) | ||
| Eric Galvin Johnson | Registered representative | Nov 2022 (4y) | ||
| Jared P Garns | Registered representative | Nov 2022 (4y) | ||
| Joseph Ray Samson | Registered representative | Nov 2022 (4y) | ||
| Justin Horne | Registered representative | Nov 2022 (4y) | ||
| Roni N Murshed | Registered representative | Nov 2022 (4y) | ||
| Alan J Smiley | Registered representative | Nov 2022 (4y) | ||
| Amy L. Zezulka Garcia | Registered representative | CFP | Nov 2022 (4y) | |
| Jeffrey C. Simon | Registered representative | CFP | Nov 2022 (4y) | |
| Mike Oakes | Registered representative | CFP | Nov 2022 (4y) | |
| Richard Eugene Miller | Registered representative | Nov 2022 (4y) | ||
| Richard Eugene Miller Jr | Registered representative | Nov 2022 (4y) | ||
| Katherine A Welch | Registered representative | Nov 2022 (4y) | ||
| Thomas Roll | Registered representative | Nov 2022 (4y) | ||
| Lisa Roll | Registered representative | Nov 2022 (4y) | ||
| Richard Phillips | Registered representative | Nov 2022 (4y) | ||
| Robert Sackler | Registered representative | Nov 2022 (4y) | ||
| Alexander Tanious | Registered representative | Nov 2022 (4y) | ||
| Benjamin Dwayne Smith | Registered representative | Nov 2022 (4y) | ||
| Steve Schneider | Registered representative | Nov 2022 (4y) | ||
| Julie Michele Peirick | Registered representative | Nov 2022 (4y) | ||
| Michael Garner Hilliard | Registered representative | Nov 2022 (4y) | ||
| Christian Cooper | Registered representative | Dec 2022 (4y) | ||
| Adisvel Leyva | Registered representative | Dec 2022 (4y) | ||
| Andrew Flaskerud | Registered representative | Dec 2022 (4y) | ||
| John Little | Registered representative | Dec 2022 (4y) | ||
| Ray Pfleuger | Registered representative | Dec 2022 (4y) | ||
| Scott Cohen | Registered representative | CFP | Dec 2022 (4y) | |
| April Mckinney | Registered representative | Dec 2022 (4y) | ||
| Isaac Poplin | Registered representative | Dec 2022 (4y) | ||
| John Cornacchia | Registered representative | Dec 2022 (4y) | ||
| Amy Dubray | Registered representative | Dec 2022 (4y) | ||
| Paul David Cockman | Registered representative | Dec 2022 (4y) | ||
| Mary Alice Richard | Registered representative | Dec 2022 (4y) | ||
| Elena Carolan | Registered representative | Dec 2022 (4y) | ||
| Terri Havenstrite | Registered representative | Dec 2022 (4y) | ||
| Craig Bacharach | Registered representative | Dec 2022 (4y) | ||
| Jaime Estrada | Registered representative | Dec 2022 (4y) | ||
| Joseph Michael Salahshour | Registered representative | Dec 2022 (4y) | ||
| Kevin Bacharach | Registered representative | Dec 2022 (4y) | ||
| Paul Giacoletti | Registered representative | CFP | Dec 2022 (4y) | |
| Sara Holland | Registered representative | Dec 2022 (4y) | ||
| John Clement Dufour | Registered representative | Dec 2022 (4y) | ||
| Amar Mayur Mehta | Registered representative | CFP | Jan 2023 (4y) | |
| Stephen Kidron | Registered representative | CFP | Jan 2023 (4y) | |
| Brandon Anthony Crane | Registered representative | Jan 2023 (4y) | ||
| Brian Jones | Registered representative | Jan 2023 (4y) | ||
| Jeremy Bishop | Registered representative | CFP | Jan 2023 (4y) | |
| Johnny Brent Babb | Registered representative | CFP | Jan 2023 (4y) | |
| Keith Kinsey | Registered representative | CFP | Jan 2023 (4y) | |
| Kristen Gordon | Registered representative | Jan 2023 (4y) | ||
| Louisa Blanchard | Registered representative | Jan 2023 (4y) | ||
| Pamela Holtzclaw | Registered representative | Chartered Financial Consultant | Jan 2023 (4y) | |
| Steven Berman | Registered representative | CFP | Jan 2023 (4y) | |
| Debbie Lorene Bradford | Registered representative | Jan 2023 (4y) | ||
| Elisabeth Salopeck | Registered representative | CFP | Jan 2023 (4y) | |
| Shelley Howard | Registered representative | Jan 2023 (4y) | ||
| Angela Ann Silva | Registered representative | Jan 2023 (4y) | ||
| Christian J Silva | Registered representative | Jan 2023 (4y) | ||
| Lorne H Maltenfort | Registered representative | Jan 2023 (4y) | ||
| Michael Albert Batu | Registered representative | CFP | Jan 2023 (4y) | |
| Robert Shane Abramson | Registered representative | CFP | Jan 2023 (4y) | |
| Rodney E Morris | Registered representative | Jan 2023 (4y) | ||
| Timothy Mccalla | Registered representative | Jan 2023 (4y) | ||
| Barbara Barton | Registered representative | Jan 2023 (4y) | ||
| Andrew Jay Ross | Registered representative | Jan 2023 (4y) | ||
| Blake Andrew Freeman | Registered representative | Jan 2023 (4y) | ||
| Debra Leanne Piercy | Registered representative | CFP | Jan 2023 (4y) | |
| Erin Payton Whitt | Registered representative | Jan 2023 (4y) | ||
| Charles Milton | Registered representative | Jan 2023 (4y) | ||
| Gregory Miller | Registered representative | Jan 2023 (4y) | ||
| Jeffrey Mcmillian | Registered representative | Jan 2023 (4y) | ||
| Scott David Shear | Registered representative | Jan 2023 (4y) | ||
| Kirk Pacatte | Registered representative | Jan 2023 (4y) | ||
| Matthew Mozer | Registered representative | CFP | Jan 2023 (4y) | |
| Michael A Shear | Registered representative | Jan 2023 (4y) | ||
| Robert Petix | Registered representative | Jan 2023 (4y) | ||
| Christopher Alan Basinger | Registered representative | Jan 2023 (4y) | ||
| Cory Dean Pinkston | Registered representative | Jan 2023 (4y) | ||
| Daniel Scott Saxe | Registered representative | Jan 2023 (4y) | ||
| Jared L Sloan | Registered representative | CFP | Jan 2023 (4y) | |
| Michael James Riedel | Registered representative | Jan 2023 (4y) | ||
| Terry Edwin Correll | Registered representative | Jan 2023 (4y) | ||
| Zachary Michael Riedel | Registered representative | Jan 2023 (4y) | ||
| Brian Matthew Crawford | Registered representative | Jan 2023 (4y) | ||
| Craig John Kohler | Registered representative | Jan 2023 (4y) | ||
| Fred Arthur Scheeren | Registered representative | Jan 2023 (4y) | ||
| Gene N. Schraeder Jr. | Registered representative | Jan 2023 (4y) | ||
| George Abdelnour Nihem | Registered representative | Jan 2023 (4y) | ||
| Matthew J. Kabala | Registered representative | Jan 2023 (4y) | ||
| Michael Lee Eastburn | Registered representative | Jan 2023 (4y) | ||
| Nicole Alexandria Dubin | Registered representative | Jan 2023 (4y) | ||
| Phillip Anthony Brancato | Registered representative | CFP | Jan 2023 (4y) | |
| Robert Lee Felton | Registered representative | Jan 2023 (4y) | ||
| Ronald Andrew Mckenzie | Registered representative | Jan 2023 (4y) | ||
| Susan Hawley Cooke | Registered representative | Jan 2023 (4y) | ||
| Tyler Saxe | Registered representative | Jan 2023 (4y) | ||
| Chad Alan Huson | Registered representative | Jan 2023 (4y) | ||
| Teresa Maniere | Registered representative | Jan 2023 (4y) | ||
| Harlie Sue Garcia | Registered representative | Jan 2023 (4y) | ||
| Jaime Alejandro Falla Blandino | Registered representative | Jan 2023 (4y) | ||
| Kim Stires | Registered representative | Jan 2023 (4y) | ||
| Mark Reitan | Registered representative | Jan 2023 (4y) | ||
| David Beldon | Registered representative | Jan 2023 (4y) | ||
| Jill Anderson | Registered representative | Jan 2023 (4y) | ||
| Nancy Anderson | Registered representative | Jan 2023 (4y) | ||
| Tammy Robbins | Registered representative | CFP Chartered Financial Consultant | Jan 2023 (4y) | |
| Todd Schneider | Registered representative | Jan 2023 (4y) | ||
| Garrett Walsh | Registered representative | Jan 2023 (4y) | ||
| Sandra Cairns | Registered representative | Jan 2023 (4y) | ||
| Aaron Carroll Talley | Registered representative | Feb 2023 (4y) | ||
| Jaclyn Black Smith | Registered representative | Feb 2023 (4y) | ||
| Melissa Sidor | Registered representative | Feb 2023 (4y) | ||
| Paul Sowell | Registered representative | Feb 2023 (4y) | ||
| Sarah Munson | Registered representative | CFP | Feb 2023 (4y) | |
| Scott A Smith | Registered representative | Feb 2023 (4y) | ||
| Nicholas Chlumsky | Registered representative | CFP | Feb 2023 (3y) | |
| Pamela Mahar | Registered representative | Feb 2023 (3y) | ||
| Tim Hoffman | Registered representative | Feb 2023 (3y) | ||
| Andrew Stamper | Registered representative | Feb 2023 (3y) | ||
| Beth Di Roma | Registered representative | Feb 2023 (3y) | ||
| Christopher Snively | Registered representative | CFP | Feb 2023 (3y) | |
| Javier Hernandez | Registered representative | Feb 2023 (3y) | ||
| Matthew Eklund | Registered representative | Feb 2023 (3y) | ||
| Myles Francis Eklund | Registered representative | Feb 2023 (3y) | ||
| Katherine Free | Registered representative | Feb 2023 (3y) | ||
| Matthew Lloyd | Registered representative | Feb 2023 (3y) | ||
| Michael Mcgarrity | Registered representative | Feb 2023 (3y) | ||
| Michael Siefert | Registered representative | CFA | Feb 2023 (3y) | |
| Mindy Spencer | Registered representative | CFP | Feb 2023 (3y) | |
| Wendy Kanters Smith | Registered representative | Feb 2023 (3y) | ||
| Dalton Butler | Registered representative | Feb 2023 (3y) | ||
| Michael Scott Mcclelland | Registered representative | Feb 2023 (3y) | ||
| Nichole Rose Brinker | Registered representative | Feb 2023 (3y) | ||
| Greg Kluesner | Registered representative | Feb 2023 (3y) | ||
| Bill Houghton | Registered representative | Feb 2023 (3y) | ||
| Daniel O'meilia | Registered representative | Feb 2023 (3y) | ||
| Leslie Gordley | Registered representative | Feb 2023 (3y) | ||
| Michael S Hohenberger | Registered representative | CFP | Feb 2023 (3y) | |
| Theodore Youngling | Registered representative | Feb 2023 (3y) | ||
| William Scott Wisgerhof | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| Carrin Wester | Registered representative | Feb 2023 (3y) | ||
| Arthur Sinkler | Registered representative | Feb 2023 (3y) | ||
| Rosa Raquel Parrish | Registered representative | Feb 2023 (3y) | ||
| Kevin Joseph Sweeney | Registered representative | Feb 2023 (3y) | ||
| Nathaniel Jones | Registered representative | CFP | Feb 2023 (3y) | |
| Nicholas Bero | Registered representative | Feb 2023 (3y) | ||
| Carmen Youngblood | Registered representative | CFP | Feb 2023 (3y) | |
| Jason Michael Berg | Registered representative | Feb 2023 (3y) | ||
| Jerry Dale Lawhead | Registered representative | Feb 2023 (3y) | ||
| John Alan Knowles | Registered representative | Feb 2023 (3y) | ||
| Lori Hoefener | Registered representative | Feb 2023 (3y) | ||
| Bryan Chad Berg | Registered representative | Feb 2023 (3y) | ||
| David Furst | Registered representative | CFP CFA | Feb 2023 (3y) | |
| Howard Miller | Registered representative | Feb 2023 (3y) | ||
| Jeremy Reed | Registered representative | Feb 2023 (3y) | ||
| Jordan Wall Swann | Registered representative | Feb 2023 (3y) | ||
| David Guier | Registered representative | Feb 2023 (3y) | ||
| Jeremy L Wakeland | Registered representative | Feb 2023 (3y) | ||
| Jonathan Goldstone | Registered representative | Feb 2023 (3y) | ||
| Kelly Rybacki | Registered representative | Feb 2023 (3y) | ||
| Aaron Wedel | Registered representative | Feb 2023 (3y) | ||
| Emily Guerin Irwin | Registered representative | Feb 2023 (3y) | ||
| Antoinette Pellegrini | Registered representative | Mar 2023 (3y) | ||
| Damon Derstine | Registered representative | Mar 2023 (3y) | ||
| Dennis Cooney | Registered representative | CFP | Mar 2023 (3y) | |
| Francis Furgiuele | Registered representative | Mar 2023 (3y) | ||
| John Debczak | Registered representative | Mar 2023 (3y) | ||
| Aaron Pearson | Registered representative | CFP | Mar 2023 (3y) | |
| David Merrill | Registered representative | Mar 2023 (3y) | ||
| Elsa Balli | Registered representative | Mar 2023 (3y) | ||
| Hank Clayton | Registered representative | Mar 2023 (3y) | ||
| Ian Buenrostro | Registered representative | Mar 2023 (3y) | ||
| Kenneth C Welsh | Registered representative | Mar 2023 (3y) | ||
| Lurdes Coats | Registered representative | Mar 2023 (3y) | ||
| Robert Joseph Sullivan | Registered representative | CFP | Mar 2023 (3y) | |
| Timothy Mardas | Registered representative | Mar 2023 (3y) | ||
| Tito Shane | Registered representative | Mar 2023 (3y) | ||
| Zachary Beck | Registered representative | CFP | Mar 2023 (3y) | |
| James Deak | Registered representative | CFP | Mar 2023 (3y) | |
| Janet Helbling | Registered representative | Mar 2023 (3y) | ||
| Mei Carmer | Registered representative | Mar 2023 (3y) | ||
| Michael Mercado | Registered representative | Mar 2023 (3y) | ||
| Jerry Klinger | Registered representative | Mar 2023 (3y) | ||
| Vincent Desimone | Registered representative | CFP | Mar 2023 (3y) | |
| Robert J Wilson | Registered representative | CFP | Mar 2023 (3y) | |
| Tobias Beck | Registered representative | CFP | Mar 2023 (3y) | |
| Brady Garr | Registered representative | Mar 2023 (3y) | ||
| Dan Weinberger | Registered representative | CFP | Mar 2023 (3y) | |
| Elliot Drew Forsyth | Registered representative | CFP | Mar 2023 (3y) | |
| Frank Caccavallo | Registered representative | Mar 2023 (3y) | ||
| James Edward Johnson | Registered representative | Mar 2023 (3y) | ||
| Jay Mcmahon | Registered representative | Mar 2023 (3y) | ||
| Leon Koob | Registered representative | Mar 2023 (3y) | ||
| Patricia Strathearn | Registered representative | Mar 2023 (3y) | ||
| Robert L Karp | Registered representative | CFP | Mar 2023 (3y) | |
| Stephanie Ackler | Registered representative | Mar 2023 (3y) | ||
| Thomas Garcia | Registered representative | Mar 2023 (3y) | ||
| Andrew Bennett | Registered representative | Mar 2023 (3y) | ||
| Brenda Archer | Registered representative | Mar 2023 (3y) | ||
| David Belport | Registered representative | Mar 2023 (3y) | ||
| Ivonne Monnett Pickett | Registered representative | Mar 2023 (3y) | ||
| Kelly Ann Lazare | Registered representative | Mar 2023 (3y) | ||
| Kevin Simpher | Registered representative | Mar 2023 (3y) | ||
| Laura Collins | Registered representative | Mar 2023 (3y) | ||
| Michael Kennedy | Registered representative | Mar 2023 (3y) | ||
| Robert Grasing | Registered representative | Mar 2023 (3y) | ||
| Samantha Claire Belport | Registered representative | Mar 2023 (3y) | ||
| Steven Paul Belport | Registered representative | Mar 2023 (3y) | ||
| Cameron James Nelson | Registered representative | Mar 2023 (3y) | ||
| Mark Steven Grawe | Registered representative | CFP | Mar 2023 (3y) | |
| Chad Dean Green | Registered representative | Mar 2023 (3y) | ||
| Anne Abernethy | Registered representative | Mar 2023 (3y) | ||
| Gregory Scott Perram | Registered representative | Mar 2023 (3y) | ||
| Liz Scherrer | Registered representative | Mar 2023 (3y) | ||
| Richard Polchinski | Registered representative | Mar 2023 (3y) | ||
| Daniel Dodderidge | Registered representative | Mar 2023 (3y) | ||
| Henry Phillip Abernethy Wepner | Registered representative | Mar 2023 (3y) | ||
| Joseph Xerri | Registered representative | Mar 2023 (3y) | ||
| Judson Fleming | Registered representative | Mar 2023 (3y) | ||
| Justen E Burns | Registered representative | Mar 2023 (3y) | ||
| Robert Scherzer | Registered representative | CFP | Mar 2023 (3y) | |
| James Ellis Burns | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Jason J Zoch | Registered representative | CFP | Mar 2023 (3y) | |
| William Thomas Davis | Registered representative | Mar 2023 (3y) | ||
| Laurie Lakey | Registered representative | Mar 2023 (3y) | ||
| Adam Sayler | Registered representative | Mar 2023 (3y) | ||
| Bryan Amundson | Registered representative | CFP CFA | Mar 2023 (3y) | |
| Heather Kahlbaugh | Registered representative | Mar 2023 (3y) | ||
| William Hall | Registered representative | Mar 2023 (3y) | ||
| Tim Wepner | Registered representative | Mar 2023 (3y) | ||
| Elizabeth Osborn Sims | Registered representative | Mar 2023 (3y) | ||
| Jaime L Zarlenga Siegler | Registered representative | CFP | Mar 2023 (3y) | |
| Douglas Yale Frank | Registered representative | CFP | Mar 2023 (3y) | |
| Sabrina Riette Allard | Registered representative | CFA | Mar 2023 (3y) | |
| James William Hilliard | Registered representative | Mar 2023 (3y) | ||
| Amy Lanenga | Registered representative | Apr 2023 (3y) | ||
| Charles C Nunley | Registered representative | Apr 2023 (3y) | ||
| Donald Nelson | Registered representative | Apr 2023 (3y) | ||
| Laura Toms | Registered representative | CFP | Apr 2023 (3y) | |
| Michael Seagren | Registered representative | CFP | Apr 2023 (3y) | |
| Scott Zagurski | Registered representative | Apr 2023 (3y) | ||
| Timothy Michel | Registered representative | Apr 2023 (3y) | ||
| Todd Nelson Zagurski | Registered representative | Apr 2023 (3y) | ||
| Tracey Hendrix | Registered representative | Apr 2023 (3y) | ||
| Christopher Hoyt | Registered representative | CFP | Apr 2023 (3y) | |
| Kristine J George | Registered representative | Apr 2023 (3y) | ||
| Stephen Hendrie Ledyard | Registered representative | CFP | Apr 2023 (3y) | |
| Frank Leslie | Registered representative | Apr 2023 (3y) | ||
| Jacob Ellis | Registered representative | Apr 2023 (3y) | ||
| Joan M H Nowicki | Registered representative | Apr 2023 (3y) | ||
| Kurt Peterson | Registered representative | CFP | Apr 2023 (3y) | |
| Michael Smaracko | Registered representative | Apr 2023 (3y) | ||
| Paul Traczyk | Registered representative | Apr 2023 (3y) | ||
| Troy Moser | Registered representative | Apr 2023 (3y) | ||
| Daniel Parnes | Registered representative | Apr 2023 (3y) | ||
| Lisa Lynn Yawger | Registered representative | Apr 2023 (3y) | ||
| Bridget Macko | Registered representative | Apr 2023 (3y) | ||
| John Hobson Maser | Registered representative | CFP | Apr 2023 (3y) | |
| Katherine Foley | Registered representative | Apr 2023 (3y) | ||
| Wayne Hamlin | Registered representative | Apr 2023 (3y) | ||
| Michael Lee Ernst | Registered representative | Apr 2023 (3y) | ||
| Scott Macmillan | Registered representative | Apr 2023 (3y) | ||
| Stephen Byrd Horrell | Registered representative | Apr 2023 (3y) | ||
| Theresa Winter | Registered representative | Apr 2023 (3y) | ||
| Corey Brannum | Registered representative | Apr 2023 (3y) | ||
| Jennifer Baumann | Registered representative | Apr 2023 (3y) | ||
| Michael Ezra Somekh | Registered representative | Apr 2023 (3y) | ||
| Camron Humphrey | Registered representative | Apr 2023 (3y) | ||
| Derek Ryan Stanley | Registered representative | CFP | Apr 2023 (3y) | |
| James Nicholas Mc Glue | Registered representative | Apr 2023 (3y) | ||
| Nicholas Salvatore Siragusa | Registered representative | Apr 2023 (3y) | ||
| Robert Leroy Menard Iii | Registered representative | Apr 2023 (3y) | ||
| Krystan Alice Resch | Registered representative | Apr 2023 (3y) | ||
| Toby Meador | Registered representative | Apr 2023 (3y) | ||
| Zachary Alexander Hirschler | Registered representative | Apr 2023 (3y) | ||
| Brian Magnan | Registered representative | CFP | Apr 2023 (3y) | |
| Philip Harwood | Registered representative | Apr 2023 (3y) | ||
| Scott M Gibson | Registered representative | Apr 2023 (3y) | ||
| Victoria Ruetz | Registered representative | Apr 2023 (3y) | ||
| Daniel S Lampe | Registered representative | May 2023 (3y) | ||
| Dustin Anthony Husarik | Registered representative | May 2023 (3y) | ||
| Nancy Skonberg | Registered representative | CFP | May 2023 (3y) | |
| Karen Szczepkowski | Registered representative | May 2023 (3y) | ||
| Laura Ross | Registered representative | CFP | May 2023 (3y) | |
| Madison Anne Pittman | Registered representative | May 2023 (3y) | ||
| Ashley Kelly | Registered representative | May 2023 (3y) | ||
| Brian J Kirk | Registered representative | May 2023 (3y) | ||
| Craig Bedenbaugh | Registered representative | CFP | May 2023 (3y) | |
| Donald Paul Nealon | Registered representative | May 2023 (3y) | ||
| Justin Mclaughlin | Registered representative | May 2023 (3y) | ||
| Keith Michael Jacoby | Registered representative | CFP | May 2023 (3y) | |
| Mark Frank Pittman | Registered representative | CFP | May 2023 (3y) | |
| Martin Baty Culbertson | Registered representative | CFP | May 2023 (3y) | |
| Michael Alexander Mccain | Registered representative | May 2023 (3y) | ||
| Michael Blair Priola | Registered representative | May 2023 (3y) | ||
| Tyson Christopher Lewis | Registered representative | CFP | May 2023 (3y) | |
| Violet Mtisi | Registered representative | May 2023 (3y) | ||
| Zachary Gilliam | Registered representative | CFP | May 2023 (3y) | |
| Christian Dario Lisena | Registered representative | May 2023 (3y) | ||
| Karen Sweet | Registered representative | May 2023 (3y) | ||
| Mark Evan Jones | Registered representative | CFP | May 2023 (3y) | |
| Michael A Priola | Registered representative | May 2023 (3y) | ||
| Streeter Holden | Registered representative | May 2023 (3y) | ||
| William Swiontek | Registered representative | May 2023 (3y) | ||
| Alex Michael Mccain | Registered representative | May 2023 (3y) | ||
| Michael Harrison | Registered representative | May 2023 (3y) | ||
| Jennifer Carol Taylor | Registered representative | May 2023 (3y) | ||
| L Bernard Walker | Registered representative | May 2023 (3y) | ||
| John Piszko | Registered representative | CFP | May 2023 (3y) | |
| John Robert Masotti | Registered representative | May 2023 (3y) | ||
| Nicholas Trombetta | Registered representative | May 2023 (3y) | ||
| Ronald Portnoi | Registered representative | May 2023 (3y) | ||
| David John Anderson | Registered representative | May 2023 (3y) | ||
| David Squire | Registered representative | CFP | May 2023 (3y) | |
| Edward Band | Registered representative | CFP | May 2023 (3y) | |
| James Lukas | Registered representative | May 2023 (3y) | ||
| John Gerard Arensdorf | Registered representative | CFP | May 2023 (3y) | |
| Kathryn Anne Sunico | Registered representative | May 2023 (3y) | ||
| Kristopher Raney | Registered representative | CFP | May 2023 (3y) | |
| Linda Gaucher | Registered representative | May 2023 (3y) | ||
| Nicole Mochnal | Registered representative | May 2023 (3y) | ||
| Peter Costello | Registered representative | May 2023 (3y) | ||
| Zachary Hoyle | Registered representative | May 2023 (3y) | ||
| Ana M Riewerts | Registered representative | May 2023 (3y) | ||
| Daniel G. Rispoli | Registered representative | May 2023 (3y) | ||
| Kevin Joseph Mcaloon | Registered representative | May 2023 (3y) | ||
| Todd Zaborski | Registered representative | CFP | May 2023 (3y) | |
| Lawrence Beville | Registered representative | May 2023 (3y) | ||
| Anthony Joseph Messina | Registered representative | CFP | May 2023 (3y) | |
| Cody Robert Horton | Registered representative | May 2023 (3y) | ||
| Laura Melinda Van Buren | Registered representative | CFP | May 2023 (3y) | |
| Philip Ferraro | Registered representative | CFP | May 2023 (3y) | |
| Thomas Mimnaugh | Registered representative | CFP | May 2023 (3y) | |
| William Jeffrey Mitchell | Registered representative | May 2023 (3y) | ||
| William Whichard | Registered representative | May 2023 (3y) | ||
| Barbara Siegel | Registered representative | May 2023 (3y) | ||
| Brett Stauffer | Registered representative | May 2023 (3y) | ||
| Eric Solis | Registered representative | May 2023 (3y) | ||
| Jason Andrew Page | Registered representative | May 2023 (3y) | ||
| John Rauch | Registered representative | May 2023 (3y) | ||
| John Woolard | Registered representative | May 2023 (3y) | ||
| Mark Andrew Thompson | Registered representative | CFP | May 2023 (3y) | |
| Meredith Moreland | Registered representative | May 2023 (3y) | ||
| Miriam Crank | Registered representative | May 2023 (3y) | ||
| Phil Halloran | Registered representative | CFP | May 2023 (3y) | |
| Sebastian Messina | Registered representative | CFP | May 2023 (3y) | |
| Araceli Solis | Registered representative | May 2023 (3y) | ||
| Christine Kovalek | Registered representative | May 2023 (3y) | ||
| Jason Edward Stallmann | Registered representative | May 2023 (3y) | ||
| Jeremy Scott Hearon | Registered representative | May 2023 (3y) | ||
| Michelle Halloran | Registered representative | May 2023 (3y) | ||
| Laura Kellejian | Registered representative | May 2023 (3y) | ||
| Randi O'neill | Registered representative | May 2023 (3y) | ||
| Allen Jeffery Rand | Registered representative | Jun 2023 (3y) | ||
| Cody Allsman | Registered representative | Jun 2023 (3y) | ||
| Glenn H. Collier | Registered representative | Jun 2023 (3y) | ||
| John Thomas Lamping | Registered representative | Jun 2023 (3y) | ||
| Jonathan Killingsworth | Registered representative | Jun 2023 (3y) | ||
| Julie D Helmers | Registered representative | Jun 2023 (3y) | ||
| Kelly S Waller | Registered representative | CFP | Jun 2023 (3y) | |
| Maurice Hebb | Registered representative | Jun 2023 (3y) | ||
| Philippe William Lathrop | Registered representative | Jun 2023 (3y) | ||
| Ryan Christopher Lacy | Registered representative | Jun 2023 (3y) | ||
| Tom Sheldon Haley | Registered representative | Jun 2023 (3y) | ||
| William Chinn | Registered representative | Jun 2023 (3y) | ||
| Ashley Collier King | Registered representative | Jun 2023 (3y) | ||
| Bradley Barnblatt | Registered representative | CFP | Jun 2023 (3y) | |
| Brian Foster | Registered representative | Jun 2023 (3y) | ||
| Bruce R Clark | Registered representative | Jun 2023 (3y) | ||
| Cynthia Ann Berry | Registered representative | Jun 2023 (3y) | ||
| Fred Jack Irwin | Registered representative | Jun 2023 (3y) | ||
| Jacob Nathaniel Irwin | Registered representative | Jun 2023 (3y) | ||
| James A Willett Ii | Registered representative | Jun 2023 (3y) | ||
| Kenneth M. Chinn | Registered representative | Jun 2023 (3y) | ||
| Michael Tolbert Waller | Registered representative | Jun 2023 (3y) | ||
| Michelle Lamond | Registered representative | Jun 2023 (3y) | ||
| Ralph Garcia | Registered representative | Jun 2023 (3y) | ||
| Giuseppe Leonardo Mauceli | Registered representative | CFP Chartered Financial Consultant | Jun 2023 (3y) | |
| Jennifer Lau | Registered representative | Jun 2023 (3y) | ||
| Joshua Nowasell | Registered representative | CFP | Jun 2023 (3y) | |
| Thomas Reilly Riordan | Registered representative | Jun 2023 (3y) | ||
| Brant Mark Wiehardt | Registered representative | Jun 2023 (3y) | ||
| Lykia Yang | Registered representative | Jun 2023 (3y) | ||
| Ashley Gonzalez | Registered representative | Jun 2023 (3y) | ||
| Gary Solka | Registered representative | CFP | Jun 2023 (3y) | |
| Jordan Jeffrey Matola | Registered representative | Jun 2023 (3y) | ||
| Morey Sanford Perlmutter | Registered representative | Jun 2023 (3y) | ||
| Phillip Alexander | Registered representative | Jun 2023 (3y) | ||
| Andrew Michael Cuprisin | Registered representative | CFP | Jun 2023 (3y) | |
| Christopher Crothers | Registered representative | Jun 2023 (3y) | ||
| David Zachary Farley | Registered representative | Jun 2023 (3y) | ||
| Eric Heidrich | Registered representative | Jun 2023 (3y) | ||
| Jennifer L Lyssy | Registered representative | Jun 2023 (3y) | ||
| John Handley | Registered representative | Jun 2023 (3y) | ||
| Lori Ann Tose | Registered representative | Jun 2023 (3y) | ||
| Shad Patterson | Registered representative | Jun 2023 (3y) | ||
| Aaron Ralston | Registered representative | Jun 2023 (3y) | ||
| Pamela James | Registered representative | Jun 2023 (3y) | ||
| Joseph Rudy Gonzales | Registered representative | Jun 2023 (3y) | ||
| Chad A Siddons | Registered representative | Jun 2023 (3y) | ||
| Christopher James Pedersen | Registered representative | CFP | Jun 2023 (3y) | |
| Jason James Innocenti | Registered representative | Jun 2023 (3y) | ||
| Joseph Anthony Siragusa | Registered representative | Jun 2023 (3y) | ||
| Lisa Marie Nelson | Registered representative | Jun 2023 (3y) | ||
| Matthew Craig Hall | Registered representative | CFA | Jun 2023 (3y) | |
| Matthew Russell Fryar | Registered representative | CFP | Jun 2023 (3y) | |
| Shelly Mallard | Registered representative | Jun 2023 (3y) | ||
| Travis Moser | Registered representative | CFP | Jun 2023 (3y) | |
| Andrew D Schreurs | Registered representative | Jun 2023 (3y) | ||
| George Christman | Registered representative | Jun 2023 (3y) | ||
| Hovey Aiken | Registered representative | Jun 2023 (3y) | ||
| Joan Carr | Registered representative | Jun 2023 (3y) | ||
| John Joseph Andrew Gagne | Registered representative | CFP | Jun 2023 (3y) | |
| Mary Jones | Registered representative | Jun 2023 (3y) | ||
| Michael Nothman | Registered representative | CFP | Jun 2023 (3y) | |
| Patrick Timothy Monahan | Registered representative | Jun 2023 (3y) | ||
| Robert Jess Footlik | Registered representative | Jun 2023 (3y) | ||
| Robert Wellford | Registered representative | Jun 2023 (3y) | ||
| Thomas Miniscalco | Registered representative | Jun 2023 (3y) | ||
| Timothy Gaffney | Registered representative | Jun 2023 (3y) | ||
| Mark Anthony Pignotti | Registered representative | Jun 2023 (3y) | ||
| David Helverson | Registered representative | Jun 2023 (3y) | ||
| Gina Marie Trofimuk | Registered representative | Jun 2023 (3y) | ||
| Kalen Siavash Tavassoli | Registered representative | Jun 2023 (3y) | ||
| Kimberly Adler | Registered representative | Jun 2023 (3y) | ||
| Michael Haas | Registered representative | Jun 2023 (3y) | ||
| Patrick Lovell | Registered representative | Jun 2023 (3y) | ||
| Christopher Michael Marzec | Registered representative | Jun 2023 (3y) | ||
| Karina Bilotti | Registered representative | Jun 2023 (3y) | ||
| Margaret Mclaughlin | Registered representative | Jun 2023 (3y) | ||
| Patricia Ann Dwyer | Registered representative | Jun 2023 (3y) | ||
| Wendy S York | Registered representative | CFP | Jun 2023 (3y) | |
| Roy Fabbrini | Registered representative | CFP | Jun 2023 (3y) | |
| Taylor Mosera | Registered representative | Jun 2023 (3y) | ||
| Armistead Burwell | Registered representative | CFP | Jun 2023 (3y) | |
| Bruce Harding Sears | Registered representative | Jun 2023 (3y) | ||
| Marc Aubrey Alexander | Registered representative | CFP | Jun 2023 (3y) | |
| Marco Divito | Registered representative | Jun 2023 (3y) | ||
| Phinizy Davis | Registered representative | Jun 2023 (3y) | ||
| Robert Louis Mosera | Registered representative | Jun 2023 (3y) | ||
| Rocco Bianchi | Registered representative | Jun 2023 (3y) | ||
| Theresa Rose Fabbrini | Registered representative | Jun 2023 (3y) | ||
| Seth Michael Asher | Registered representative | Jun 2023 (3y) | ||
| Eleanor Jacobs | Registered representative | CFP | Jun 2023 (3y) | |
| Sarah Harms | Registered representative | Jul 2023 (3y) | ||
| Joshua Little | Registered representative | Jul 2023 (3y) | ||
| Adam Quincy Fischer | Registered representative | Jul 2023 (3y) | ||
| Allen Loechner | Registered representative | Jul 2023 (3y) | ||
| Chase Fowler | Registered representative | CFP | Jul 2023 (3y) | |
| Crystal Diamond | Registered representative | Jul 2023 (3y) | ||
| David Fortmeyer | Registered representative | Jul 2023 (3y) | ||
| Douglas A. Dailey | Registered representative | Jul 2023 (3y) | ||
| Eric Hayes Breazel | Registered representative | CFP | Jul 2023 (3y) | |
| James Kluttz | Registered representative | Jul 2023 (3y) | ||
| Kara Mae Alvarado | Registered representative | Jul 2023 (3y) | ||
| Mackenzie Harris Urquhart | Registered representative | Jul 2023 (3y) | ||
| Robin Tribbett | Registered representative | Jul 2023 (3y) | ||
| Shawn Patrick Sullivan | Registered representative | CFP | Jul 2023 (3y) | |
| Timothy Ream | Registered representative | Jul 2023 (3y) | ||
| Tom Goodson | Registered representative | Jul 2023 (3y) | ||
| Whitney Reed Burton | Registered representative | Jul 2023 (3y) | ||
| Amber Askew | Registered representative | Jul 2023 (3y) | ||
| Amber Knapp | Registered representative | Jul 2023 (3y) | ||
| Brody Wayne Smith | Registered representative | Jul 2023 (3y) | ||
| Jennifer Hobbs | Registered representative | Jul 2023 (3y) | ||
| Michael Phelan | Registered representative | Jul 2023 (3y) | ||
| Robert Nichols | Registered representative | Jul 2023 (3y) | ||
| William Goodson | Registered representative | Jul 2023 (3y) | ||
| Jeffrey Allen | Registered representative | Jul 2023 (3y) | ||
| Lester Walker Dennis | Registered representative | Jul 2023 (3y) | ||
| Brian Doyle | Registered representative | Jul 2023 (3y) | ||
| John James Mchale | Registered representative | Jul 2023 (3y) | ||
| Kathryn Ortolf | Registered representative | Jul 2023 (3y) | ||
| Kristen Laundry | Registered representative | Jul 2023 (3y) | ||
| Michele Mardanes | Registered representative | Jul 2023 (3y) | ||
| Ryan Ashley Stewart | Registered representative | Jul 2023 (3y) | ||
| Ariel Olson | Registered representative | Jul 2023 (3y) | ||
| Christine Capps | Registered representative | CFP | Jul 2023 (3y) | |
| Jessica Marie Matheson | Registered representative | Jul 2023 (3y) | ||
| John Robert Demers | Registered representative | Jul 2023 (3y) | ||
| Joseph Pribula | Registered representative | CFP | Jul 2023 (3y) | |
| Kimberly Mccauley | Registered representative | Jul 2023 (3y) | ||
| Leslie Ann Darrington | Registered representative | Jul 2023 (3y) | ||
| Nancy St Aubin | Registered representative | Jul 2023 (3y) | ||
| Stephen Loughman | Registered representative | CFP | Jul 2023 (3y) | |
| Charles Schorgl | Registered representative | Jul 2023 (3y) | ||
| Glenn Samuel Frank | Registered representative | Jul 2023 (3y) | ||
| Kimberly Pieper | Registered representative | Jul 2023 (3y) | ||
| Douglas Scott Garrow | Registered representative | CFP | Jul 2023 (3y) | |
| Stephen Christopher Fiacco | Registered representative | Jul 2023 (3y) | ||
| Austin Lowry Newsome | Registered representative | Jul 2023 (3y) | ||
| Kurt Maurillo | Registered representative | CFP | Jul 2023 (3y) | |
| Michael Schaffer Ii | Registered representative | Jul 2023 (3y) | ||
| Michael Scott Schaffer | Registered representative | Jul 2023 (3y) | ||
| Paul Frank Lopresti | Registered representative | Jul 2023 (3y) | ||
| Anthony Edward Gottschalk | Registered representative | Jul 2023 (3y) | ||
| Brian Matthew Wolf | Registered representative | Jul 2023 (3y) | ||
| Kevin Bruce Wolf | Registered representative | Jul 2023 (3y) | ||
| Kevin Francis Quinn | Registered representative | Jul 2023 (3y) | ||
| Scott Metzger | Registered representative | Jul 2023 (3y) | ||
| Sherry Lopez | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Caroline Schaffer | Registered representative | Jul 2023 (3y) | ||
| Robert Mclaughlin | Registered representative | Jul 2023 (3y) | ||
| Scott Merhige | Registered representative | Jul 2023 (3y) | ||
| Anthony Garrett | Registered representative | Jul 2023 (3y) | ||
| Robert Frosch | Registered representative | Jul 2023 (3y) | ||
| Barry G Simmons | Registered representative | Jul 2023 (3y) | ||
| Robert A Frenkel | Registered representative | CFP | Aug 2023 (3y) | |
| Adri Senecal | Registered representative | CFP | Aug 2023 (3y) | |
| Alexander Blake Intriago | Registered representative | Aug 2023 (3y) | ||
| Christopher Dolan Andrews | Registered representative | Aug 2023 (3y) | ||
| Louis Walsh | Registered representative | CFA | Aug 2023 (3y) | |
| Thomas Forbes | Registered representative | Aug 2023 (3y) | ||
| Alan Dubrow | Registered representative | Aug 2023 (3y) | ||
| Barbara Schroeder | Registered representative | Aug 2023 (3y) | ||
| Daniel Cambra | Registered representative | Aug 2023 (3y) | ||
| Jacqueline Woodson | Registered representative | Aug 2023 (3y) | ||
| Layton White | Registered representative | Aug 2023 (3y) | ||
| Roxanna Basetvat | Registered representative | Aug 2023 (3y) | ||
| Terrell Bebout | Registered representative | Aug 2023 (3y) | ||
| Timothy Asche | Registered representative | Aug 2023 (3y) | ||
| William John Lopresti | Registered representative | Aug 2023 (3y) | ||
| Andrew Montero | Registered representative | Aug 2023 (3y) | ||
| Judd Edward Brody | Registered representative | CFP | Aug 2023 (3y) | |
| Kip Zebroski | Registered representative | Aug 2023 (3y) | ||
| Melissa Dellarocco | Registered representative | Aug 2023 (3y) | ||
| Thomas Allan Kavanaugh | Registered representative | Aug 2023 (3y) | ||
| Aaron M White | Registered representative | Aug 2023 (3y) | ||
| Angie Simmons | Registered representative | Aug 2023 (3y) | ||
| Ann Marie West | Registered representative | Aug 2023 (3y) | ||
| Donald William Lennox | Registered representative | Aug 2023 (3y) | ||
| Janice Hope Whiting | Registered representative | Aug 2023 (3y) | ||
| Kraig Rowekamp | Registered representative | Aug 2023 (3y) | ||
| Lisa Thorpe | Registered representative | Aug 2023 (3y) | ||
| Heather Haera | Registered representative | Aug 2023 (3y) | ||
| James Christopher Haera | Registered representative | Aug 2023 (3y) | ||
| David A Vanhorn | Registered representative | Aug 2023 (3y) | ||
| Adam Rutz | Registered representative | Aug 2023 (3y) | ||
| Andre Shane Vanhorn | Registered representative | Aug 2023 (3y) | ||
| Jason Fisher | Registered representative | Aug 2023 (3y) | ||
| Kevin Kopp | Registered representative | Aug 2023 (3y) | ||
| Wendy Lynne Folkers | Registered representative | Aug 2023 (3y) | ||
| Samuel Steimel | Registered representative | Aug 2023 (3y) | ||
| Jack Wegh | Registered representative | Aug 2023 (3y) | ||
| Marcy Rinas | Registered representative | Aug 2023 (3y) | ||
| Ryan David Facinelli | Registered representative | Aug 2023 (3y) | ||
| Theodore Nahas | Registered representative | Aug 2023 (3y) | ||
| Michael T Aljancic | Registered representative | Aug 2023 (3y) | ||
| James Neil Fryrear | Registered representative | Aug 2023 (3y) | ||
| Ginger Lee Baker | Registered representative | Aug 2023 (3y) | ||
| Mark Stephen Bailey | Registered representative | Aug 2023 (3y) | ||
| Wojciech Biernat | Registered representative | Aug 2023 (3y) | ||
| David Ernest Escobar | Registered representative | CFP | Aug 2023 (3y) | |
| Michele Rodriguez | Registered representative | Aug 2023 (3y) | ||
| Patricia Davila Preciado | Registered representative | Aug 2023 (3y) | ||
| Taylor Jeffrey Moore | Registered representative | CFP | Aug 2023 (3y) | |
| Jenna Chen Liang Lee | Registered representative | Sep 2023 (3y) | ||
| Richard V Bertain | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Fion Faiyung Chan | Registered representative | Sep 2023 (3y) | ||
| Stephen Sullaway | Registered representative | Sep 2023 (3y) | ||
| Terence Lo | Registered representative | Sep 2023 (3y) | ||
| Andrew Wayne Sheriff | Registered representative | Sep 2023 (3y) | ||
| Emily Perry | Registered representative | Sep 2023 (3y) | ||
| Melissa Nicole Panning | Registered representative | Sep 2023 (3y) | ||
| Paul Joseph Kinkelaar | Registered representative | CFP | Sep 2023 (3y) | |
| Phillip Henry Schafer | Registered representative | CFP | Sep 2023 (3y) | |
| Shawn Sanger | Registered representative | Sep 2023 (3y) | ||
| Todd Demoss | Registered representative | Sep 2023 (3y) | ||
| Carol Voloshen | Registered representative | Sep 2023 (3y) | ||
| Danielle Ann Beukelman | Registered representative | Sep 2023 (3y) | ||
| Jan Marie Friedrich | Registered representative | Sep 2023 (3y) | ||
| Jennifer Ruzicka Goeke | Registered representative | Sep 2023 (3y) | ||
| Kenneth Peters | Registered representative | Sep 2023 (3y) | ||
| Samson Lee Demoss | Registered representative | CFP | Sep 2023 (3y) | |
| Matthew Kelly | Registered representative | Sep 2023 (3y) | ||
| Ninya Bowman | Registered representative | Sep 2023 (3y) | ||
| Wendy A Keeler | Registered representative | CFP | Sep 2023 (3y) | |
| Michael Ira Schwarzberg | Registered representative | Sep 2023 (3y) | ||
| Adam Jacob Greenbaum | Registered representative | Sep 2023 (3y) | ||
| Robert John Muhleisen | Registered representative | Sep 2023 (3y) | ||
| Sonya Johnson | Registered representative | Sep 2023 (3y) | ||
| William Wickham | Registered representative | Sep 2023 (3y) | ||
| Michael Alexander Hadden | Registered representative | CFA | Sep 2023 (3y) | |
| James Kessler | Registered representative | Sep 2023 (3y) | ||
| Jonathan Chandler Owen | Registered representative | Sep 2023 (3y) | ||
| Jason C Daron | Registered representative | CFP | Sep 2023 (3y) | |
| Lydia Blackiston | Registered representative | Sep 2023 (3y) | ||
| Lucas Matthew Evanovich | Registered representative | Sep 2023 (3y) | ||
| Maria D Grandominico | Registered representative | Sep 2023 (3y) | ||
| Ryan Edward Kessler | Registered representative | Sep 2023 (3y) | ||
| Vincent Batteria | Registered representative | Sep 2023 (3y) | ||
| Angela Tobeck | Registered representative | Sep 2023 (3y) | ||
| John Green | Registered representative | CFP | Sep 2023 (3y) | |
| Morad J Zayed | Registered representative | Sep 2023 (3y) | ||
| Johnathan S Strong | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Tyler Brunst | Registered representative | Sep 2023 (3y) | ||
| Matt X Hanley | Registered representative | Sep 2023 (3y) | ||
| Assunta Siniscalchi | Registered representative | Oct 2023 (3y) | ||
| Jason Marc Freeman | Registered representative | CFP | Oct 2023 (3y) | |
| Jeanpierre Holland | Registered representative | Oct 2023 (3y) | ||
| Jonathan Berstein | Registered representative | Oct 2023 (3y) | ||
| Daniel Ledbetter | Registered representative | Oct 2023 (3y) | ||
| Jeffrey Bessling | Registered representative | Oct 2023 (3y) | ||
| Joshua Michael Greenwald | Registered representative | CFP | Oct 2023 (3y) | |
| Matthew Frank Vattioni | Registered representative | Oct 2023 (3y) | ||
| James A Phelps | Registered representative | Oct 2023 (3y) | ||
| Dudley E Labauve Iii | Registered representative | Oct 2023 (3y) | ||
| Anthony James Branch | Registered representative | Oct 2023 (3y) | ||
| Katrina Everett | Registered representative | CFP | Oct 2023 (3y) | |
| Leslie Ramos Valerio | Registered representative | Oct 2023 (3y) | ||
| Mary White | Registered representative | Oct 2023 (3y) | ||
| Nelrae Pasha Ali | Registered representative | CFP | Oct 2023 (3y) | |
| Patricia Cain | Registered representative | Oct 2023 (3y) | ||
| Josue Stores | Registered representative | Oct 2023 (3y) | ||
| Nicholas Derbak | Registered representative | Oct 2023 (3y) | ||
| Victoria Sommerville | Registered representative | Oct 2023 (3y) | ||
| Jayson Slobodzian | Registered representative | Oct 2023 (3y) | ||
| Andrea C Sperduto | Registered representative | Oct 2023 (3y) | ||
| Andrew Beckius | Registered representative | Oct 2023 (3y) | ||
| Richard Schaffor Clawson | Registered representative | Oct 2023 (3y) | ||
| Anthony R. Mampieri | Registered representative | Oct 2023 (3y) | ||
| Daniel Robert Bishop | Registered representative | Oct 2023 (3y) | ||
| Douglas Astrop | Registered representative | Oct 2023 (3y) | ||
| Jennifer H Galvin | Registered representative | Oct 2023 (3y) | ||
| Larry Lincoln | Registered representative | Oct 2023 (3y) | ||
| Steven Thomas | Registered representative | Oct 2023 (3y) | ||
| Keven Michael Sheehy | Registered representative | Oct 2023 (3y) | ||
| Levi Martin Mckenzie | Registered representative | Oct 2023 (3y) | ||
| Brittany Suzanne Hafferkamp | Registered representative | Oct 2023 (3y) | ||
| Bruce Roberts | Registered representative | CFP | Oct 2023 (3y) | |
| Jill Massaro | Registered representative | Oct 2023 (3y) | ||
| James Wayne Robinson | Registered representative | Oct 2023 (3y) | ||
| Patrick Thomas Logue | Registered representative | Oct 2023 (3y) | ||
| Ryan Thomas Logue | Registered representative | Oct 2023 (3y) | ||
| Gregory Bulva | Registered representative | Oct 2023 (3y) | ||
| Natalie Kneller | Registered representative | Oct 2023 (3y) | ||
| Richard Krueger | Registered representative | Oct 2023 (3y) | ||
| Sean Logue | Registered representative | Oct 2023 (3y) | ||
| Alexander Daniel Marchuk | Registered representative | Nov 2023 (3y) | ||
| Michele Messmer | Registered representative | Nov 2023 (3y) | ||
| Brandon Xavier Sperling | Registered representative | CFP | Nov 2023 (3y) | |
| Carl Charles Lanza | Registered representative | Nov 2023 (3y) | ||
| Damon Guy Marra | Registered representative | Nov 2023 (3y) | ||
| Joanne Patricia Basile | Registered representative | Nov 2023 (3y) | ||
| Joseph Goett | Registered representative | Nov 2023 (3y) | ||
| Kip Quinn | Registered representative | Nov 2023 (3y) | ||
| Michael Digrazia | Registered representative | CFP | Nov 2023 (3y) | |
| Thomas Philip Tenney | Registered representative | CFP CFA | Nov 2023 (3y) | |
| Timothy P Maher | Registered representative | CFP | Nov 2023 (3y) | |
| Charles B Mcmanus | Registered representative | CFP | Nov 2023 (3y) | |
| Donald Rich | Registered representative | Nov 2023 (3y) | ||
| Glen Ira Katz | Registered representative | Nov 2023 (3y) | ||
| James Patrick Ysebaert | Registered representative | Nov 2023 (3y) | ||
| Paul David Chavez | Registered representative | Nov 2023 (3y) | ||
| Roberto Hernandez | Registered representative | Nov 2023 (3y) | ||
| Vance Schroeder | Registered representative | Nov 2023 (3y) | ||
| Kelly Ann Murphy | Registered representative | Nov 2023 (3y) | ||
| Brandon Nicholas Troiano | Registered representative | Nov 2023 (3y) | ||
| Kerry Ann Zavory | Registered representative | Nov 2023 (3y) | ||
| Kevin A Toohill | Registered representative | Nov 2023 (3y) | ||
| Kyle F. Hublitz | Registered representative | Nov 2023 (3y) | ||
| Norena Dahl Howard | Registered representative | Nov 2023 (3y) | ||
| Alex K Sebastian | Registered representative | Nov 2023 (3y) | ||
| Gavin Herbert Schumaker | Registered representative | Nov 2023 (3y) | ||
| Tommy Ray Schumaker | Registered representative | Nov 2023 (3y) | ||
| Alfred Brian Pasaoa | Registered representative | CFP Chartered Financial Consultant | Nov 2023 (3y) | |
| Brian Paul Bertsch | Registered representative | Nov 2023 (3y) | ||
| Eddy Joseph Gutierrez | Registered representative | Nov 2023 (3y) | ||
| Kate Logan Lindgren | Registered representative | Nov 2023 (3y) | ||
| Megan Nicole Tarpley | Registered representative | CFP | Nov 2023 (3y) | |
| Patrick Joseph Carlin | Registered representative | Nov 2023 (3y) | ||
| Paul G Martin | Registered representative | Nov 2023 (3y) | ||
| Lauren Kaminski | Registered representative | Nov 2023 (3y) | ||
| Maxwell Murray Smith | Registered representative | Nov 2023 (3y) | ||
| Viviana P Santiago | Registered representative | Nov 2023 (3y) | ||
| Andrew Justin Brusca | Registered representative | Nov 2023 (3y) | ||
| Bryan Drowos | Registered representative | CFP | Nov 2023 (3y) | |
| Cole Tan | Registered representative | Nov 2023 (3y) | ||
| Dzenana Palalija | Registered representative | Nov 2023 (3y) | ||
| Kenneth Roy Nemery | Registered representative | Nov 2023 (3y) | ||
| Paul W. Tan | Registered representative | Nov 2023 (3y) | ||
| Richard Dean Brusca | Registered representative | Nov 2023 (3y) | ||
| Robert Schramm | Registered representative | Nov 2023 (3y) | ||
| Daniel Robert Hepworth | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Kassower | Registered representative | Nov 2023 (3y) | ||
| Joseph George | Registered representative | CFP | Nov 2023 (3y) | |
| Kory Michael Kazinski | Registered representative | Nov 2023 (3y) | ||
| Claire Bowie Faye | Registered representative | Nov 2023 (3y) | ||
| Corey Burke | Registered representative | Nov 2023 (3y) | ||
| Christopher Andrea Merlo | Registered representative | Nov 2023 (3y) | ||
| Craig Francis Gregozeski | Registered representative | Nov 2023 (3y) | ||
| Lindsay Versage Podell | Registered representative | Nov 2023 (3y) | ||
| Suzann Marie Dorjath | Registered representative | Nov 2023 (3y) | ||
| Casey Bruce Middleton | Registered representative | Dec 2023 (3y) | ||
| Jessie Barrett | Registered representative | CFP | Dec 2023 (3y) | |
| Richard Daniel Barrett | Registered representative | Dec 2023 (3y) | ||
| Robert Jonathan Bullard | Registered representative | Dec 2023 (3y) | ||
| Jamie Lynette Masilko | Registered representative | Dec 2023 (3y) | ||
| Lindsay Luebbehusen | Registered representative | Dec 2023 (3y) | ||
| Maryan Khalil | Registered representative | Dec 2023 (3y) | ||
| Mary Acito | Registered representative | Dec 2023 (3y) | ||
| Kevin Kull | Registered representative | CFA | Dec 2023 (3y) | |
| Anthony Trevor Tarabicos | Registered representative | Jan 2024 (3y) | ||
| Aaron Anthony Leeper | Registered representative | Jan 2024 (3y) | ||
| Andrew Martin | Registered representative | Jan 2024 (3y) | ||
| Christopher Reynolds | Registered representative | CFP | Jan 2024 (3y) | |
| Deborah Mcmaster | Registered representative | Jan 2024 (3y) | ||
| George Oliver Blanchard | Registered representative | Jan 2024 (3y) | ||
| Jason Copeland | Registered representative | CFP | Jan 2024 (3y) | |
| Joseph Martin | Registered representative | Jan 2024 (3y) | ||
| Tana Lee Norris | Registered representative | Jan 2024 (3y) | ||
| Shane Eugene Merritt | Registered representative | Jan 2024 (3y) | ||
| Troy Wagnon | Registered representative | Jan 2024 (3y) | ||
| Tyler Riedel | Registered representative | Jan 2024 (3y) | ||
| Beth Kirkland | Registered representative | Jan 2024 (3y) | ||
| Igor Lukajic | Registered representative | Jan 2024 (3y) | ||
| Michail Getsov | Registered representative | Jan 2024 (3y) | ||
| Joshua Roushard Leblanc | Registered representative | Jan 2024 (3y) | ||
| Alexander Benson Nalle | Registered representative | Jan 2024 (3y) | ||
| Brian Gurbarg | Registered representative | Jan 2024 (3y) | ||
| George Douglas Fontaine | Registered representative | Jan 2024 (3y) | ||
| Matthew Collin Dufrene | Registered representative | Jan 2024 (3y) | ||
| David Cawley | Registered representative | Jan 2024 (3y) | ||
| Gary Anello | Registered representative | Jan 2024 (3y) | ||
| Michael Keller | Registered representative | Jan 2024 (3y) | ||
| Christopher Soule Davis | Registered representative | Jan 2024 (3y) | ||
| Michael Joseph Cifelli | Registered representative | Jan 2024 (3y) | ||
| Jeremy Ronald Goss | Registered representative | Jan 2024 (3y) | ||
| Raziel Speer | Registered representative | Jan 2024 (3y) | ||
| Jacob Robert Schau | Registered representative | Jan 2024 (3y) | ||
| Mark Murray | Registered representative | Jan 2024 (3y) | ||
| Adam Shiono | Registered representative | Feb 2024 (2y) | ||
| Chris Corona | Registered representative | Feb 2024 (2y) | ||
| Dmitry Matousov | Registered representative | CFP | Feb 2024 (2y) | |
| Gary Arena | Registered representative | Feb 2024 (2y) | ||
| Jeffrey Oetman | Registered representative | Feb 2024 (2y) | ||
| Jonathan Green | Registered representative | Feb 2024 (2y) | ||
| Kevin Mounkes | Registered representative | CFP | Feb 2024 (2y) | |
| Michelle Casper | Registered representative | Feb 2024 (2y) | ||
| Paul Arnold Byrd | Registered representative | Feb 2024 (2y) | ||
| Robert Joseph Nagle | Registered representative | Feb 2024 (2y) | ||
| Patrick Dylan Lampe | Registered representative | Feb 2024 (2y) | ||
| Payton Jenkins | Registered representative | Feb 2024 (2y) | ||
| Michael Edward Verda | Registered representative | Feb 2024 (2y) | ||
| David Guillebeau | Registered representative | Feb 2024 (2y) | ||
| Cameron Reed Branum | Registered representative | Feb 2024 (2y) | ||
| John Yagla | Registered representative | CFP | Feb 2024 (2y) | |
| Christopher J Travelle | Registered representative | Feb 2024 (2y) | ||
| Magaly Carson | Registered representative | Feb 2024 (2y) | ||
| Stacey Lynn Littlejohn | Registered representative | Feb 2024 (2y) | ||
| Tammy L Escobar Miller | Registered representative | Feb 2024 (2y) | ||
| William Haydon | Registered representative | Feb 2024 (2y) | ||
| Andrew Scott Pillarella | Registered representative | Feb 2024 (2y) | ||
| Benjamin A Carbonella | Registered representative | Feb 2024 (2y) | ||
| Tammy Milling | Registered representative | Feb 2024 (2y) | ||
| Kyle Christopher Mcdonell | Registered representative | Feb 2024 (2y) | ||
| Sean Leonard | Registered representative | Feb 2024 (2y) | ||
| William P Shoaf | Registered representative | CFP | Feb 2024 (2y) | |
| Brian Ray Gieseke | Registered representative | Feb 2024 (2y) | ||
| John Ellingwood | Registered representative | Feb 2024 (2y) | ||
| Desiree Casey | Registered representative | Feb 2024 (2y) | ||
| Michelle Ann Cutrali | Registered representative | Feb 2024 (2y) | ||
| Roni R Chase | Registered representative | Feb 2024 (2y) | ||
| Andrew Eugene Shepard | Registered representative | Mar 2024 (2y) | ||
| Cole Cox | Registered representative | Mar 2024 (2y) | ||
| Kristen Marisa Freeman | Registered representative | Mar 2024 (2y) | ||
| Margo Shepard | Registered representative | CFP | Mar 2024 (2y) | |
| Payne Stephen Fama | Registered representative | Mar 2024 (2y) | ||
| Sharon Starkey | Registered representative | CFP | Mar 2024 (2y) | |
| Matthew Dion | Registered representative | Mar 2024 (2y) | ||
| Aaron Moulton | Registered representative | Mar 2024 (2y) | ||
| Justiin Dodds | Registered representative | Mar 2024 (2y) | ||
| Marta Cappa | Registered representative | CFP | Mar 2024 (2y) | |
| Paul Ketchum | Registered representative | CFP | Mar 2024 (2y) | |
| Rodney Tameno | Registered representative | Mar 2024 (2y) | ||
| Cassandra Queen | Registered representative | CFP | Mar 2024 (2y) | |
| Jenna Kobular | Registered representative | Mar 2024 (2y) | ||
| Marshall Smith | Registered representative | Mar 2024 (2y) | ||
| Mary Thackerson | Registered representative | Mar 2024 (2y) | ||
| Patrick Pardon | Registered representative | Mar 2024 (2y) | ||
| Sean O'sullivan | Registered representative | Mar 2024 (2y) | ||
| David Marion | Registered representative | Mar 2024 (2y) | ||
| James Henry Cox | Registered representative | Mar 2024 (2y) | ||
| Jason Bennett Turnbull | Registered representative | Mar 2024 (2y) | ||
| Richard David Mercado | Registered representative | Mar 2024 (2y) | ||
| Susan Brough | Registered representative | Mar 2024 (2y) | ||
| Alexander Almahdi Eljdid | Registered representative | CFP | Mar 2024 (2y) | |
| James Mccarthy | Registered representative | Mar 2024 (2y) | ||
| Ebony Benjamin | Registered representative | Mar 2024 (2y) | ||
| Joseph Paul Hanney | Registered representative | Mar 2024 (2y) | ||
| Cindy High | Registered representative | Mar 2024 (2y) | ||
| Justin Taylor | Registered representative | CFP | Mar 2024 (2y) | |
| Bryan Poole | Registered representative | CFP | Mar 2024 (2y) | |
| Cara Kinowski | Registered representative | Mar 2024 (2y) | ||
| Michael R Ahrens | Registered representative | CFP | Mar 2024 (2y) | |
| Roberta Preis Anderson | Registered representative | CFP | Mar 2024 (2y) | |
| Samuel Thompson | Registered representative | Mar 2024 (2y) | ||
| Kenneth Mantel | Registered representative | Mar 2024 (2y) | ||
| Maryjo Sellers | Registered representative | Mar 2024 (2y) | ||
| Pamela Joann Nehemia | Registered representative | Mar 2024 (2y) | ||
| Todd Ryan Eosso | Registered representative | Mar 2024 (2y) | ||
| Stephanie Melissa Michelle Campbell | Registered representative | Mar 2024 (2y) | ||
| Amy Kristine Ochs | Registered representative | Mar 2024 (2y) | ||
| Carmen Monaco | Registered representative | Apr 2024 (2y) | ||
| Lee Sims Skipper | Registered representative | Apr 2024 (2y) | ||
| Louis Kouri | Registered representative | Apr 2024 (2y) | ||
| Margaret A Hanslik | Registered representative | Apr 2024 (2y) | ||
| Mary Lumsden | Registered representative | Apr 2024 (2y) | ||
| Mitchell Cole Morgan | Registered representative | Apr 2024 (2y) | ||
| Thomas Haggerty | Registered representative | Apr 2024 (2y) | ||
| Michael Sejka | Registered representative | Apr 2024 (2y) | ||
| Lisa Marie Sheehan | Registered representative | Apr 2024 (2y) | ||
| Michael Joseph Quinlan | Registered representative | Apr 2024 (2y) | ||
| Shelley Greenwood Lafoe | Registered representative | Apr 2024 (2y) | ||
| Adam R Bolick | Registered representative | Apr 2024 (2y) | ||
| Alexander Simet | Registered representative | Apr 2024 (2y) | ||
| Bryan Ripken | Registered representative | Apr 2024 (2y) | ||
| Christopher Knowles | Registered representative | Apr 2024 (2y) | ||
| Jason Craig Harris | Registered representative | Apr 2024 (2y) | ||
| Justin Hardee | Registered representative | Apr 2024 (2y) | ||
| Marcene Kendall Bolick | Registered representative | Apr 2024 (2y) | ||
| Milton Warner | Registered representative | Apr 2024 (2y) | ||
| Stephanie Small Midler | Registered representative | CFP | Apr 2024 (2y) | |
| Zachery Edwards | Registered representative | Apr 2024 (2y) | ||
| David Hood | Registered representative | Apr 2024 (2y) | ||
| Felix Rosado | Registered representative | Apr 2024 (2y) | ||
| Luke Heynen | Registered representative | Apr 2024 (2y) | ||
| Sean Rayner | Registered representative | Apr 2024 (2y) | ||
| Thomas Stroud Jr | Registered representative | Apr 2024 (2y) | ||
| Zachary Brown Goins | Registered representative | Apr 2024 (2y) | ||
| Bennett Gordon | Registered representative | CFP CFA | Apr 2024 (2y) | |
| Carole B Liang | Registered representative | CFP | Apr 2024 (2y) | |
| Donald Fuller | Registered representative | Apr 2024 (2y) | ||
| Dudley John Dupuis | Registered representative | Apr 2024 (2y) | ||
| James Anthony Barnett | Registered representative | Apr 2024 (2y) | ||
| Joseph Sutton | Registered representative | CFP | Apr 2024 (2y) | |
| Matt Estkowski | Registered representative | Apr 2024 (2y) | ||
| Paul Anthony Sikes | Registered representative | CFP CFA | Apr 2024 (2y) | |
| Paul Morris | Registered representative | Apr 2024 (2y) | ||
| Susan Ellen Tooker | Registered representative | Apr 2024 (2y) | ||
| Thomas Ross | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Ulit | Registered representative | Apr 2024 (2y) | ||
| Matt Morris | Registered representative | Apr 2024 (2y) | ||
| Matthew Aaron Junkins | Registered representative | Apr 2024 (2y) | ||
| Michael Allen Marley | Registered representative | Apr 2024 (2y) | ||
| Robert Alan Goshen | Registered representative | CFP | Apr 2024 (2y) | |
| Andrew Winters | Registered representative | Apr 2024 (2y) | ||
| Steven P Morse | Registered representative | Apr 2024 (2y) | ||
| Timothy Logan | Registered representative | Apr 2024 (2y) | ||
| Darin Muller | Registered representative | Apr 2024 (2y) | ||
| Dustin Zoerner | Registered representative | CFP | Apr 2024 (2y) | |
| Steven Michael Smith | Registered representative | Apr 2024 (2y) | ||
| Daniel J Bavuso | Registered representative | Apr 2024 (2y) | ||
| Alan A Demattia | Registered representative | Apr 2024 (2y) | ||
| Brandon Larry Cauley | Registered representative | Apr 2024 (2y) | ||
| Gary Eugene Lowery | Registered representative | Apr 2024 (2y) | ||
| Julie A Wilbus | Registered representative | Apr 2024 (2y) | ||
| Matthew Muller | Registered representative | CFP | Apr 2024 (2y) | |
| Robert Green | Registered representative | Apr 2024 (2y) | ||
| Steven Nuetzel | Registered representative | CFP | Apr 2024 (2y) | |
| Thomas Pape | Registered representative | Apr 2024 (2y) | ||
| Zina Barsoom | Registered representative | Apr 2024 (2y) | ||
| David Pearce Clarke | Registered representative | Apr 2024 (2y) | ||
| Francis Carroll | Registered representative | Apr 2024 (2y) | ||
| Gloria Gargiulo | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Green | Registered representative | Apr 2024 (2y) | ||
| Joseph Walter Modero | Registered representative | Apr 2024 (2y) | ||
| Justin Tyler Wade Pribilovics | Registered representative | CFP | Apr 2024 (2y) | |
| Kathy J Sowl Chelini | Registered representative | Apr 2024 (2y) | ||
| Mark Passalacqua | Registered representative | Apr 2024 (2y) | ||
| Mark Ross Sicilia | Registered representative | Apr 2024 (2y) | ||
| Michael Stewart | Registered representative | Apr 2024 (2y) | ||
| Daniel Donahue | Registered representative | CFP | Apr 2024 (2y) | |
| Francis Michael Spina | Registered representative | Apr 2024 (2y) | ||
| Jonathan Alex Green | Registered representative | Apr 2024 (2y) | ||
| Kayla Lipinski | Registered representative | Apr 2024 (2y) | ||
| Marvin Peterson | Registered representative | CFP | Apr 2024 (2y) | |
| Peter Carl Munson | Registered representative | CFP | Apr 2024 (2y) | |
| Christopher Calabrese | Registered representative | Apr 2024 (2y) | ||
| Dane Mcdonald | Registered representative | Apr 2024 (2y) | ||
| Lindsey K Kenner | Registered representative | Apr 2024 (2y) | ||
| Michael Mayer | Registered representative | Apr 2024 (2y) | ||
| William Lowe | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Allen Juelson | Registered representative | May 2024 (2y) | ||
| Michael Howard Boyd | Registered representative | May 2024 (2y) | ||
| Charles Bradshaw | Registered representative | CFP | May 2024 (2y) | |
| George Mann Gordon | Registered representative | May 2024 (2y) | ||
| Heather Lambert | Registered representative | May 2024 (2y) | ||
| Joel Stiff | Registered representative | May 2024 (2y) | ||
| John Taitague | Registered representative | May 2024 (2y) | ||
| Matthew A. Tatum | Registered representative | CFP | May 2024 (2y) | |
| Paula Bridgman | Registered representative | May 2024 (2y) | ||
| Alison Mcgowan | Registered representative | May 2024 (2y) | ||
| Crystal Farris | Registered representative | May 2024 (2y) | ||
| Damon Davis | Registered representative | CFP | May 2024 (2y) | |
| Jennifer Childrey Smith | Registered representative | May 2024 (2y) | ||
| Thomas Krahe | Registered representative | May 2024 (2y) | ||
| Timothy Hughes Mullins | Registered representative | CFP | May 2024 (2y) | |
| Adrian Vega | Registered representative | May 2024 (2y) | ||
| Michael Young Choy | Registered representative | May 2024 (2y) | ||
| Ryan Francis Coogan | Registered representative | May 2024 (2y) | ||
| Shakhodat Stark | Registered representative | May 2024 (2y) | ||
| Sondra James | Registered representative | May 2024 (2y) | ||
| Stephanie Brady | Registered representative | May 2024 (2y) | ||
| Carolyn Tuckerrubado | Registered representative | May 2024 (2y) | ||
| Aaron Dusek | Registered representative | May 2024 (2y) | ||
| Brandon Paul Oneal | Registered representative | May 2024 (2y) | ||
| George Trigueros | Registered representative | May 2024 (2y) | ||
| Kathy Waters | Registered representative | CFP | May 2024 (2y) | |
| Ron Mcgrane | Registered representative | May 2024 (2y) | ||
| William Bolas | Registered representative | May 2024 (2y) | ||
| Al Dominic Raia | Registered representative | May 2024 (2y) | ||
| Brent Mctaggart | Registered representative | May 2024 (2y) | ||
| Fred Brickel | Registered representative | CFP | May 2024 (2y) | |
| George H Hocker | Registered representative | CFP | May 2024 (2y) | |
| Jason Mctaggart | Registered representative | May 2024 (2y) | ||
| John Busco | Registered representative | May 2024 (2y) | ||
| Robert O'neal | Registered representative | May 2024 (2y) | ||
| James Leslie Lacey | Registered representative | May 2024 (2y) | ||
| Jennifer Lane Engelhardt | Registered representative | May 2024 (2y) | ||
| Christopher Cherasaro | Registered representative | CFP | May 2024 (2y) | |
| Jessica Marxer | Registered representative | May 2024 (2y) | ||
| Lori Barber | Registered representative | May 2024 (2y) | ||
| Louis Perfetti | Registered representative | CFP | May 2024 (2y) | |
| Matt Megary | Registered representative | May 2024 (2y) | ||
| Tristan Caudron | Registered representative | CFP | May 2024 (2y) | |
| Alan Miller | Registered representative | May 2024 (2y) | ||
| Chalee Ricciardi | Registered representative | May 2024 (2y) | ||
| Christopher Joseph Shelton | Registered representative | May 2024 (2y) | ||
| Cornelius J Mcpeak | Registered representative | CFP | May 2024 (2y) | |
| David Cameron Schaap | Registered representative | May 2024 (2y) | ||
| Eric Deangelis | Registered representative | May 2024 (2y) | ||
| Flora Champion Thomas | Registered representative | May 2024 (2y) | ||
| Ivana Katherine Mcneill | Registered representative | CFP | May 2024 (2y) | |
| Joshua Melvin | Registered representative | May 2024 (2y) | ||
| Kimberly Fumo | Registered representative | May 2024 (2y) | ||
| Kyle Christopher Roffina | Registered representative | CFP | May 2024 (2y) | |
| Laurie Blackburn | Registered representative | CFP | May 2024 (2y) | |
| Lori Polonsky | Registered representative | May 2024 (2y) | ||
| Mario Thyer | Registered representative | May 2024 (2y) | ||
| Michael Weeks | Registered representative | CFP | May 2024 (2y) | |
| Scott Clark | Registered representative | May 2024 (2y) | ||
| Angela Roach | Registered representative | May 2024 (2y) | ||
| Ariel Pienkos | Registered representative | May 2024 (2y) | ||
| Cornelius Paul Mcpeak Sr. | Registered representative | May 2024 (2y) | ||
| Nanette Brimberry | Registered representative | May 2024 (2y) | ||
| Andrew Sutherland | Registered representative | May 2024 (2y) | ||
| Ian Anthony Nelson | Registered representative | May 2024 (2y) | ||
| Robert Lane Farmer | Registered representative | May 2024 (2y) | ||
| William Hobson Wubbena | Registered representative | May 2024 (2y) | ||
| Craig Lee Martin | Registered representative | CFP | May 2024 (2y) | |
| Maeghan Jordan Mccardle | Registered representative | May 2024 (2y) | ||
| James Harris | Registered representative | CFP | May 2024 (2y) | |
| Jason L Cork | Registered representative | May 2024 (2y) | ||
| Stephen Nicklaus Scherrey | Registered representative | May 2024 (2y) | ||
| Ashley Ann Black | Registered representative | May 2024 (2y) | ||
| Danny A Waller | Registered representative | May 2024 (2y) | ||
| Jacob Allen Sullivan | Registered representative | CFP | May 2024 (2y) | |
| Lance Anthony Steinke | Registered representative | CFP | May 2024 (2y) | |
| Lauren Gould | Registered representative | May 2024 (2y) | ||
| Lauren Kane | Registered representative | May 2024 (2y) | ||
| Patrick Rowland | Registered representative | CFP | May 2024 (2y) | |
| Wesley David Hollan | Registered representative | May 2024 (2y) | ||
| Jesse Edmund Dale | Registered representative | CFP | Jun 2024 (2y) | |
| Eric Edward Gradwohl | Registered representative | Jun 2024 (2y) | ||
| Karina Trulla Mualem | Registered representative | Jun 2024 (2y) | ||
| Cheri Lee Moschell | Registered representative | Jun 2024 (2y) | ||
| Adam Fowler | Registered representative | CFP | Jun 2024 (2y) | |
| Amanda Grace Brown | Registered representative | Jun 2024 (2y) | ||
| Areeya Vesvoranan | Registered representative | Jun 2024 (2y) | ||
| Cameron Cefali | Registered representative | Jun 2024 (2y) | ||
| Gregg Shallan | Registered representative | CFP Chartered Financial Consultant | Jun 2024 (2y) | |
| Heather Michele Goodin | Registered representative | Jun 2024 (2y) | ||
| Jamie Allen Meronoff | Registered representative | CFP | Jun 2024 (2y) | |
| Joshua Karwowski | Registered representative | Jun 2024 (2y) | ||
| Kenneth Wise | Registered representative | Jun 2024 (2y) | ||
| Michael Peters | Registered representative | Jun 2024 (2y) | ||
| Robin Virden | Registered representative | Jun 2024 (2y) | ||
| Ronald Arrajj | Registered representative | Jun 2024 (2y) | ||
| Sylvia Geffen | Registered representative | Jun 2024 (2y) | ||
| Nicholas Peker | Registered representative | Jun 2024 (2y) | ||
| Matthew E Power | Registered representative | CFP | Jun 2024 (2y) | |
| Bryant Schulman | Registered representative | Jun 2024 (2y) | ||
| Gary Joseph Parese | Registered representative | Jun 2024 (2y) | ||
| Hernan Cardenas | Registered representative | Jun 2024 (2y) | ||
| Jace Whitaker | Registered representative | Jun 2024 (2y) | ||
| Jason Harris | Registered representative | Jun 2024 (2y) | ||
| Mark Ryan Phillips | Registered representative | Jun 2024 (2y) | ||
| Michael Mcpeek | Registered representative | Jun 2024 (2y) | ||
| Patrick J Nolan | Registered representative | Jun 2024 (2y) | ||
| Summer Ryan Gigliotti | Registered representative | Jun 2024 (2y) | ||
| Adam Wesley Pupillo | Registered representative | Jun 2024 (2y) | ||
| David Thornberry | Registered representative | Jun 2024 (2y) | ||
| Matthew Gray Elvington | Registered representative | Jun 2024 (2y) | ||
| Thomas Sean Nolan | Registered representative | Jun 2024 (2y) | ||
| Jesse Hed | Registered representative | Jun 2024 (2y) | ||
| Lisa Mullen | Registered representative | Jun 2024 (2y) | ||
| Nicole Clayton | Registered representative | Jun 2024 (2y) | ||
| Richard Policastro | Registered representative | Jun 2024 (2y) | ||
| Stewart Ritter | Registered representative | Jun 2024 (2y) | ||
| Ann Yantes | Registered representative | Jun 2024 (2y) | ||
| Courtney Halasz | Registered representative | Jun 2024 (2y) | ||
| Curtis Morrow | Registered representative | Jun 2024 (2y) | ||
| John Streett | Registered representative | Jun 2024 (2y) | ||
| Kenneth Lemunyon | Registered representative | Jun 2024 (2y) | ||
| Bryn Stewart Markey | Registered representative | Jun 2024 (2y) | ||
| Chevyone M Williams | Registered representative | Jun 2024 (2y) | ||
| Jansen Tyler Bailey | Registered representative | Jun 2024 (2y) | ||
| Julie Bailey | Registered representative | Jun 2024 (2y) | ||
| Wendy Stewart Markey | Registered representative | Jun 2024 (2y) | ||
| Lawson Frank | Registered representative | Jun 2024 (2y) | ||
| Mark Stoll | Registered representative | Jun 2024 (2y) | ||
| Aaron Kurasch | Registered representative | Jun 2024 (2y) | ||
| Brenton Thorpe | Registered representative | Jun 2024 (2y) | ||
| Courtenay Leigh Yeager | Registered representative | Jul 2024 (2y) | ||
| Peter M Talluto | Registered representative | Jul 2024 (2y) | ||
| Robyn Walthall | Registered representative | Jul 2024 (2y) | ||
| Eric Alexander Azevedo | Registered representative | Jul 2024 (2y) | ||
| Anthony Joseph Xerri | Registered representative | Jul 2024 (2y) | ||
| Jaci Smiley Anderson | Registered representative | Jul 2024 (2y) | ||
| Andrew Douglas Walker | Registered representative | Jul 2024 (2y) | ||
| Adam Anthony Hargrave | Registered representative | Jul 2024 (2y) | ||
| Monika Gupta | Registered representative | Jul 2024 (2y) | ||
| Ronald Orf | Registered representative | Jul 2024 (2y) | ||
| Kyle Goeke | Registered representative | Jul 2024 (2y) | ||
| Zachary Wagner | Registered representative | CFP | Jul 2024 (2y) | |
| Barbara Loew | Registered representative | Jul 2024 (2y) | ||
| David Roberts | Registered representative | Jul 2024 (2y) | ||
| Michael Rosenberg | Registered representative | Jul 2024 (2y) | ||
| Gerald Yungling | Registered representative | Jul 2024 (2y) | ||
| Jason Scott Pitts | Registered representative | Jul 2024 (2y) | ||
| Johnathan Dodd Tarancon | Registered representative | Jul 2024 (2y) | ||
| Andrew Anderson | Registered representative | Jul 2024 (2y) | ||
| Arta Vitolo | Registered representative | CFP | Jul 2024 (2y) | |
| Conrad Scott Landis | Registered representative | Jul 2024 (2y) | ||
| Dana Edwards | Registered representative | Jul 2024 (2y) | ||
| Don Dewees | Registered representative | Jul 2024 (2y) | ||
| John Rogers | Registered representative | CFP | Jul 2024 (2y) | |
| Kristin Ann Quinn | Registered representative | Jul 2024 (2y) | ||
| Michael Cradler | Registered representative | Jul 2024 (2y) | ||
| Tamara Milam | Registered representative | Jul 2024 (2y) | ||
| Tay Jacoby Fries | Registered representative | Jul 2024 (2y) | ||
| Brian Sukay | Registered representative | Jul 2024 (2y) | ||
| Cecelia Dugan | Registered representative | CFP | Jul 2024 (2y) | |
| Christopher Carl Schmauch | Registered representative | Jul 2024 (2y) | ||
| Colleen Weaver | Registered representative | CFP | Jul 2024 (2y) | |
| Denise House | Registered representative | Jul 2024 (2y) | ||
| Robert Dewees | Registered representative | Jul 2024 (2y) | ||
| Victor Fiano | Registered representative | Jul 2024 (2y) | ||
| Victor Fiano | Registered representative | CFP | Jul 2024 (2y) | |
| Clive Ernest Fairchild | Registered representative | Jul 2024 (2y) | ||
| David Lindblad | Registered representative | Jul 2024 (2y) | ||
| Opher Shallom | Registered representative | Jul 2024 (2y) | ||
| Kathleen Soberg | Registered representative | Jul 2024 (2y) | ||
| Justin Dwyer | Registered representative | Jul 2024 (2y) | ||
| Seth Goodall | Registered representative | Jul 2024 (2y) | ||
| Gregory Allen Wells | Registered representative | Jul 2024 (2y) | ||
| Tanner Graham Johnson | Registered representative | Jul 2024 (2y) | ||
| Philipp Wagener | Registered representative | Aug 2024 (2y) | ||
| T.J. Arch | Registered representative | Aug 2024 (2y) | ||
| Sam Luby | Registered representative | Aug 2024 (2y) | ||
| Steven Arch | Registered representative | Aug 2024 (2y) | ||
| John Carroll | Registered representative | CFP | Aug 2024 (2y) | |
| Lesley Ann Dever | Registered representative | CFP | Aug 2024 (2y) | |
| Lystra Khan | Registered representative | Aug 2024 (2y) | ||
| Daniel Bukkhegyi | Registered representative | Aug 2024 (2y) | ||
| Anuradha Iyer | Registered representative | Aug 2024 (2y) | ||
| Kathleen Semaan | Registered representative | Aug 2024 (2y) | ||
| Mario Thomas Perkins | Registered representative | Aug 2024 (2y) | ||
| Dustin J Bender | Registered representative | CFP | Aug 2024 (2y) | |
| Kathleen Buck | Registered representative | Aug 2024 (2y) | ||
| William H Bender | Registered representative | CFP | Aug 2024 (2y) | |
| Brian Corbett | Registered representative | CFP | Aug 2024 (2y) | |
| Javier R Vincenti | Registered representative | Aug 2024 (2y) | ||
| Kevin M Bender | Registered representative | Aug 2024 (2y) | ||
| Melissa Simrell | Registered representative | CFP | Aug 2024 (2y) | |
| William Bender Ii | Registered representative | Aug 2024 (2y) | ||
| Ann Scoda | Registered representative | Aug 2024 (2y) | ||
| Frederick W Hadlow | Registered representative | Aug 2024 (2y) | ||
| Judson David Morrison | Registered representative | CFP | Aug 2024 (2y) | |
| Michael Maltby | Registered representative | Aug 2024 (2y) | ||
| Michael John Horn | Registered representative | Aug 2024 (2y) | ||
| David Alan Briest | Registered representative | Sep 2024 (2y) | ||
| Jeffrey Richard Thomason | Registered representative | Sep 2024 (2y) | ||
| Scott Smith | Registered representative | Sep 2024 (2y) | ||
| Gregory Little | Registered representative | Sep 2024 (2y) | ||
| Dalia Warren | Registered representative | Sep 2024 (2y) | ||
| Keith St. John | Registered representative | Sep 2024 (2y) | ||
| Melanie Garrett Purvis | Registered representative | Sep 2024 (2y) | ||
| Peter Lindberg | Registered representative | Sep 2024 (2y) | ||
| Robert T Montgomery | Registered representative | Sep 2024 (2y) | ||
| Gabriel Siracusano | Registered representative | Sep 2024 (2y) | ||
| Sean Steinlage | Registered representative | Sep 2024 (2y) | ||
| Michael Dutton | Registered representative | Sep 2024 (2y) | ||
| Craig Raymond Eyler | Registered representative | CFP | Sep 2024 (2y) | |
| Damon Johanns | Registered representative | Sep 2024 (2y) | ||
| David Goldstein | Registered representative | Sep 2024 (2y) | ||
| Derek A Deloreto | Registered representative | CFP | Sep 2024 (2y) | |
| Frank Matthew Devincentis | Registered representative | CFP | Sep 2024 (2y) | |
| Jennifer Huns | Registered representative | CFP | Sep 2024 (2y) | |
| Marlene Drori Domini | Registered representative | CFP | Sep 2024 (2y) | |
| Melanie Rudolph | Registered representative | CFP | Sep 2024 (2y) | |
| Molly Girard | Registered representative | CFP | Sep 2024 (2y) | |
| Scott Francis Tucker | Registered representative | CFA | Sep 2024 (2y) | |
| Tracy Lynn Weidman | Registered representative | Sep 2024 (2y) | ||
| Yaelle Mira Kimmelman | Registered representative | Sep 2024 (2y) | ||
| Steven Sakata | Registered representative | Sep 2024 (2y) | ||
| Jennifer Marie Ferguson | Registered representative | Sep 2024 (2y) | ||
| Timothy Gilligan | Registered representative | Sep 2024 (2y) | ||
| Charles Jones | Registered representative | CFP | Sep 2024 (2y) | |
| Chad Quentin Quamme | Registered representative | Sep 2024 (2y) | ||
| Jeffrey Lamp | Registered representative | Sep 2024 (2y) | ||
| Jeffry Olson | Registered representative | Sep 2024 (2y) | ||
| Jyl Schaer | Registered representative | Sep 2024 (2y) | ||
| Lawrence Wittman | Registered representative | Sep 2024 (2y) | ||
| Matthew Draxten | Registered representative | Sep 2024 (2y) | ||
| Matthew Watson | Registered representative | Sep 2024 (2y) | ||
| Scott Nordhougen | Registered representative | Sep 2024 (2y) | ||
| Tyler Gordon Johnson | Registered representative | Sep 2024 (2y) | ||
| Rahim M Ali | Registered representative | Sep 2024 (2y) | ||
| Timothy Graveline | Registered representative | Sep 2024 (2y) | ||
| Anne Meredith Mcquail | Registered representative | Sep 2024 (2y) | ||
| Joey Huynh | Registered representative | Sep 2024 (2y) | ||
| Brooks Kehoe | Registered representative | Sep 2024 (2y) | ||
| Lauren Troli | Registered representative | Sep 2024 (2y) | ||
| Trenton Ryan Hilbrands | Registered representative | Sep 2024 (2y) | ||
| Adam West | Registered representative | Oct 2024 (2y) | ||
| Abram Xavier Mccarty | Registered representative | Oct 2024 (2y) | ||
| Andrew Hoeflinger | Registered representative | Oct 2024 (2y) | ||
| Bryan Roger Lewis | Registered representative | Oct 2024 (2y) | ||
| Melissa Flammio Clark | Registered representative | CFP | Oct 2024 (2y) | |
| Daniel Fillinger | Registered representative | CFP | Oct 2024 (2y) | |
| Ralph Dennis Courtland | Registered representative | CFP | Oct 2024 (2y) | |
| Kateryna Yergina | Registered representative | Oct 2024 (2y) | ||
| Kelson Connors | Registered representative | Oct 2024 (2y) | ||
| Jessica L Luchan | Registered representative | Oct 2024 (2y) | ||
| Adrien Hopkins Spandle | Registered representative | Oct 2024 (2y) | ||
| Kevin Robert Winters | Registered representative | Oct 2024 (2y) | ||
| Ryan Bules | Registered representative | Oct 2024 (2y) | ||
| Sharon Ellington | Registered representative | CFP | Oct 2024 (2y) | |
| Clay Goodman Bowden | Registered representative | Oct 2024 (2y) | ||
| William Bird | Registered representative | Oct 2024 (2y) | ||
| Ryan David Jurist | Registered representative | Oct 2024 (2y) | ||
| Stephen Jurist | Registered representative | Oct 2024 (2y) | ||
| Theresa Kearns | Registered representative | Oct 2024 (2y) | ||
| Brian Hook | Registered representative | Oct 2024 (2y) | ||
| Eireni Girgis | Registered representative | Oct 2024 (2y) | ||
| Ralph S Flowers | Registered representative | Oct 2024 (2y) | ||
| Teigan Nicole Avery | Registered representative | Oct 2024 (2y) | ||
| Andrew James Grahn | Registered representative | CFP | Oct 2024 (2y) | |
| Kerry Tushoski | Registered representative | Oct 2024 (2y) | ||
| Paul Costello | Registered representative | Oct 2024 (2y) | ||
| Todd Saunders | Registered representative | Oct 2024 (2y) | ||
| William B Saunders | Registered representative | Oct 2024 (2y) | ||
| Andrew Beckerman | Registered representative | CFP | Oct 2024 (2y) | |
| Susie Goldberg | Registered representative | Oct 2024 (2y) | ||
| Timothy Lehto | Registered representative | Oct 2024 (2y) | ||
| Charles Philip Clark | Registered representative | CFP | Oct 2024 (2y) | |
| Jonathan Lewis Rochlin | Registered representative | Oct 2024 (2y) | ||
| Kelley Brian Orr | Registered representative | Oct 2024 (2y) | ||
| Paul Steven Pierce | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Patia Naomi Walker | Registered representative | Oct 2024 (2y) | ||
| Barbara Paige | Registered representative | CFP | Oct 2024 (2y) | |
| Christopher Ryan Wolf | Registered representative | CFA | Oct 2024 (2y) | |
| Gary Gallant | Registered representative | Oct 2024 (2y) | ||
| Jessica Lynn Mizell | Registered representative | Oct 2024 (2y) | ||
| Jhany Donicza Alvarado | Registered representative | CFP | Oct 2024 (2y) | |
| Mark Pearson | Registered representative | Oct 2024 (2y) | ||
| Robert Victor Lattig | Registered representative | Oct 2024 (2y) | ||
| Anna Rodgers | Registered representative | Oct 2024 (2y) | ||
| Corbin Bruce Beckstrand | Registered representative | Oct 2024 (2y) | ||
| Brian Andrew Stilwell | Registered representative | Oct 2024 (2y) | ||
| Justin Mosher | Registered representative | Oct 2024 (2y) | ||
| Billie Garza | Registered representative | Nov 2024 (2y) | ||
| Jeffery A Price | Registered representative | CFP | Nov 2024 (2y) | |
| Mason Sommer | Registered representative | Nov 2024 (2y) | ||
| Mitchell Sivertson | Registered representative | Nov 2024 (2y) | ||
| Philip Stevens | Registered representative | Nov 2024 (2y) | ||
| Andrea Leigh Henry | Registered representative | Nov 2024 (2y) | ||
| Christopher Stephen Geesling | Registered representative | Nov 2024 (2y) | ||
| Jeffrey John Bobrowicz | Registered representative | Nov 2024 (2y) | ||
| David Emig | Registered representative | Nov 2024 (2y) | ||
| Jared Smith | Registered representative | Nov 2024 (2y) | ||
| Victoria Alexa Cornett | Registered representative | Nov 2024 (2y) | ||
| Gabriele Geesling | Registered representative | Nov 2024 (2y) | ||
| Jeffrey J Bobrowicz | Registered representative | Nov 2024 (2y) | ||
| Victoria Ann Ortegon | Registered representative | Nov 2024 (2y) | ||
| Aaron Michael Russell | Registered representative | Nov 2024 (2y) | ||
| Hayden Bates | Registered representative | Nov 2024 (2y) | ||
| Michael Douglas Lane | Registered representative | Nov 2024 (2y) | ||
| Michael William Jowdy | Registered representative | CFP | Nov 2024 (2y) | |
| Christopher Lindenbusch | Registered representative | Nov 2024 (2y) | ||
| Zachary Myers | Registered representative | Nov 2024 (2y) | ||
| Nathalie Remillard | Registered representative | Nov 2024 (2y) | ||
| Bridget Metz | Registered representative | Nov 2024 (2y) | ||
| Cornelius Kelleher | Registered representative | Nov 2024 (2y) | ||
| Jonathan Hancock | Registered representative | Nov 2024 (2y) | ||
| Margaret Eileen Pennisi | Registered representative | Nov 2024 (2y) | ||
| Robert Edwards | Registered representative | Nov 2024 (2y) | ||
| Thomas Ley | Registered representative | Nov 2024 (2y) | ||
| Cesar Aran | Registered representative | Nov 2024 (2y) | ||
| Kimberly Larson Collins | Registered representative | Nov 2024 (2y) | ||
| Richard Kenneth Childress | Registered representative | Nov 2024 (2y) | ||
| Adi Tucakovic | Registered representative | Dec 2024 (2y) | ||
| Chad Baker | Registered representative | Dec 2024 (2y) | ||
| Chad Thomas Brown | Registered representative | Dec 2024 (2y) | ||
| Douglas Schroeder | Registered representative | CFP | Dec 2024 (2y) | |
| Erik K Eide | Registered representative | Dec 2024 (2y) | ||
| Jason Robert Eide | Registered representative | Dec 2024 (2y) | ||
| Matthew D Coiner | Registered representative | Dec 2024 (2y) | ||
| Michael Aubel | Registered representative | Dec 2024 (2y) | ||
| Nathan Folmar | Registered representative | Dec 2024 (2y) | ||
| Thomas Zamani | Registered representative | Dec 2024 (2y) | ||
| Mario Christopher Fratto | Registered representative | Dec 2024 (2y) | ||
| Spencer Gauta | Registered representative | Dec 2024 (2y) | ||
| Christopher David Hoover | Registered representative | Dec 2024 (2y) | ||
| Linda Brucia | Registered representative | Dec 2024 (2y) | ||
| Joseph Garrett Baker | Registered representative | Dec 2024 (2y) | ||
| Luke Ellis | Registered representative | Dec 2024 (2y) | ||
| Kristina Hanniford | Registered representative | Dec 2024 (2y) | ||
| Brandon Wise | Registered representative | Dec 2024 (2y) | ||
| Gavin Moeller | Registered representative | Dec 2024 (2y) | ||
| Gabrielle Suzanne Harrison | Registered representative | Jan 2025 (2y) | ||
| Julie Oakley Garcia | Registered representative | Jan 2025 (2y) | ||
| Kevin Quinn | Registered representative | Jan 2025 (2y) | ||
| Alfonso Gialanella | Registered representative | CFP | Jan 2025 (2y) | |
| Charles Hemmer | Registered representative | Jan 2025 (2y) | ||
| Jason Richard Martin | Registered representative | Jan 2025 (2y) | ||
| Jeffrey Martin | Registered representative | Jan 2025 (2y) | ||
| Robert Francis Trojan | Registered representative | CFP | Jan 2025 (2y) | |
| Anthony Schnuelle | Registered representative | Jan 2025 (2y) | ||
| Brandon Kape | Registered representative | Jan 2025 (2y) | ||
| Catherine Plessel | Registered representative | Jan 2025 (2y) | ||
| Dominick Giovannone | Registered representative | Jan 2025 (2y) | ||
| Gina Weise | Registered representative | Jan 2025 (2y) | ||
| Harold Hinz | Registered representative | Jan 2025 (2y) | ||
| Jeffrey Kidder | Registered representative | Jan 2025 (2y) | ||
| Jill Karlin | Registered representative | Jan 2025 (2y) | ||
| Jody Starr | Registered representative | CFP | Jan 2025 (2y) | |
| Kyle Joseph Knobloch | Registered representative | Jan 2025 (2y) | ||
| Michael Rutledge | Registered representative | Jan 2025 (2y) | ||
| Duncan Laner | Registered representative | Jan 2025 (2y) | ||
| Pacita Devera | Registered representative | Jan 2025 (2y) | ||
| John Dominic Calabrese | Registered representative | Jan 2025 (2y) | ||
| Sonya Younker | Registered representative | Jan 2025 (2y) | ||
| Steven Eric Roberts | Registered representative | Jan 2025 (2y) | ||
| Joshua Robert Seligson | Registered representative | Jan 2025 (2y) | ||
| Linda J Olson | Registered representative | Jan 2025 (2y) | ||
| Anthony Sleezer | Registered representative | Jan 2025 (2y) | ||
| Keith Townsend | Registered representative | Jan 2025 (2y) | ||
| Matthew James Perron | Registered representative | Jan 2025 (2y) | ||
| John Fraser Mcaulay | Registered representative | CFP | Jan 2025 (2y) | |
| Mark Herring | Registered representative | CFP | Jan 2025 (2y) | |
| Michael Francis Healey | Registered representative | Jan 2025 (2y) | ||
| Michael Lawrence Koehler | Registered representative | Jan 2025 (2y) | ||
| Miranda Holman | Registered representative | Jan 2025 (2y) | ||
| Shawn Delatorre | Registered representative | Jan 2025 (2y) | ||
| Thomas Mcclure | Registered representative | Jan 2025 (2y) | ||
| Brandon Anderson | Registered representative | Jan 2025 (2y) | ||
| John Blassingame | Registered representative | Jan 2025 (2y) | ||
| Scot Rob Hicks | Registered representative | Jan 2025 (2y) | ||
| Terrence Patrick Geary | Registered representative | Jan 2025 (2y) | ||
| Stuart F Hennessey | Registered representative | Feb 2025 (1y) | ||
| David Ellsworth Posey | Registered representative | Feb 2025 (1y) | ||
| Matthew Tipton | Registered representative | Feb 2025 (1y) | ||
| Amy Howe | Registered representative | Feb 2025 (1y) | ||
| Barbara Silberman | Registered representative | Feb 2025 (1y) | ||
| Charles Bracken | Registered representative | Feb 2025 (1y) | ||
| Courtenay Tamia Spencer | Registered representative | Feb 2025 (1y) | ||
| William Boyer | Registered representative | Feb 2025 (1y) | ||
| Connor Gose | Registered representative | Feb 2025 (1y) | ||
| Elad Rahamim | Registered representative | Feb 2025 (1y) | ||
| Jenine Stafford | Registered representative | Feb 2025 (1y) | ||
| Jennifer Ann Stich | Registered representative | Feb 2025 (1y) | ||
| William Alfred Whichard | Registered representative | Feb 2025 (1y) | ||
| Cormac John Foran | Registered representative | Feb 2025 (1y) | ||
| Robert Kelley | Registered representative | Feb 2025 (1y) | ||
| Christopher Mazza | Registered representative | Feb 2025 (1y) | ||
| Kevin Blair Carnahan | Registered representative | Feb 2025 (1y) | ||
| Patricia George | Registered representative | Feb 2025 (1y) | ||
| Anthony Wallace Napple | Registered representative | Feb 2025 (1y) | ||
| Jennifer Leigh Napple | Registered representative | Feb 2025 (1y) | ||
| Megan Rebecca Chiramal | Registered representative | CFP | Feb 2025 (1y) | |
| Sarah Mekes | Registered representative | Feb 2025 (1y) | ||
| Vania Markarian | Registered representative | Feb 2025 (1y) | ||
| Brian Placke | Registered representative | CFP | Feb 2025 (1y) | |
| Clay Purvis | Registered representative | Mar 2025 (1y) | ||
| Douglas Osher | Registered representative | Mar 2025 (1y) | ||
| Frederick Thomas Turner | Registered representative | Mar 2025 (1y) | ||
| Leigh Einhorn | Registered representative | Mar 2025 (1y) | ||
| Nina Zelaya | Registered representative | Mar 2025 (1y) | ||
| Peter Jackowitz | Registered representative | Mar 2025 (1y) | ||
| Raymond Vega | Registered representative | Mar 2025 (1y) | ||
| Rocco Gallo | Registered representative | Mar 2025 (1y) | ||
| Victor John Rosati | Registered representative | Mar 2025 (1y) | ||
| Christine Sauer | Registered representative | Mar 2025 (1y) | ||
| Scott Stephen | Registered representative | Mar 2025 (1y) | ||
| Howard Underwood | Registered representative | Mar 2025 (1y) | ||
| Candace Pauly Corette Pratt | Registered representative | Mar 2025 (1y) | ||
| Christopher Mcalpine | Registered representative | Mar 2025 (1y) | ||
| Patricia K Van Kirk | Registered representative | CFP | Mar 2025 (1y) | |
| Anthony Collora | Registered representative | CFP | Mar 2025 (1y) | |
| Gabriel David Simon | Registered representative | Mar 2025 (1y) | ||
| John Andrew Tirrell | Registered representative | Mar 2025 (1y) | ||
| Judith Peace | Registered representative | Mar 2025 (1y) | ||
| Kevin Nohilly | Registered representative | Mar 2025 (1y) | ||
| Sean Speer | Registered representative | Mar 2025 (1y) | ||
| Aaron Martin | Registered representative | CFP | Mar 2025 (1y) | |
| Brett Jarrod Leschack | Registered representative | Mar 2025 (1y) | ||
| John Mcalpine | Registered representative | Mar 2025 (1y) | ||
| Luke David Donay | Registered representative | Mar 2025 (1y) | ||
| Bradley Kustermann | Registered representative | Mar 2025 (1y) | ||
| Jesse Michael Radabaugh | Registered representative | CFA | Mar 2025 (1y) | |
| Carl Leiva | Registered representative | Mar 2025 (1y) | ||
| Jason Cole | Registered representative | Mar 2025 (1y) | ||
| Alastair Cranston Patterson | Registered representative | CFP | Mar 2025 (1y) | |
| Benjamin Birk | Registered representative | CFP | Mar 2025 (1y) | |
| Cassandra Corbin | Registered representative | Mar 2025 (1y) | ||
| Reilly Lee | Registered representative | Mar 2025 (1y) | ||
| Susan Jo Bay | Registered representative | CFP | Mar 2025 (1y) | |
| Edrees Ahmad Andkhoy | Registered representative | Mar 2025 (1y) | ||
| Elyas Ahmad Andkhoy | Registered representative | CFP | Mar 2025 (1y) | |
| Kip Harris | Registered representative | Mar 2025 (1y) | ||
| Sabour Andkhoy | Registered representative | Mar 2025 (1y) | ||
| Tali Faitlin | Registered representative | Mar 2025 (1y) | ||
| David Stephen Kinnear | Registered representative | Mar 2025 (1y) | ||
| Jackson Harris | Registered representative | Mar 2025 (1y) | ||
| Kinsey Adair Parker | Registered representative | Mar 2025 (1y) | ||
| Bryan S Fazio | Registered representative | CFP | Mar 2025 (1y) | |
| Corbin Wayne Oliver | Registered representative | Mar 2025 (1y) | ||
| Aileen Tippy | Registered representative | Apr 2025 (1y) | ||
| Calin Ryan Gray | Registered representative | CFP | Apr 2025 (1y) | |
| John Patrick Lee | Registered representative | Apr 2025 (1y) | ||
| Sean O'reilly | Registered representative | CFP | Apr 2025 (1y) | |
| Andrew Michael Plumblee | Registered representative | Apr 2025 (1y) | ||
| Lauren Kearney | Registered representative | Apr 2025 (1y) | ||
| Daniel Huffman | Registered representative | CFP | Apr 2025 (1y) | |
| James Mayer | Registered representative | Apr 2025 (1y) | ||
| Joshua Dean Ingalls | Registered representative | Apr 2025 (1y) | ||
| Phillip Anderson | Registered representative | Apr 2025 (1y) | ||
| Rachel Dominessy | Registered representative | Apr 2025 (1y) | ||
| Ryan Richards | Registered representative | Apr 2025 (1y) | ||
| Marta Vant | Registered representative | Apr 2025 (1y) | ||
| Michael Bornhorst | Registered representative | Apr 2025 (1y) | ||
| Shawn Derby | Registered representative | Apr 2025 (1y) | ||
| Alejandro Christopher Trejo | Registered representative | Apr 2025 (1y) | ||
| Ryan Forman | Registered representative | Apr 2025 (1y) | ||
| Brian Keith Johnson | Registered representative | Apr 2025 (1y) | ||
| Sheri L Simpson | Registered representative | Apr 2025 (1y) | ||
| William Davis Burk | Registered representative | Apr 2025 (1y) | ||
| Linda Lampman | Registered representative | CFP | Apr 2025 (1y) | |
| Alex Hart | Registered representative | CFP | Apr 2025 (1y) | |
| Charles Princiotto | Registered representative | CFP | Apr 2025 (1y) | |
| Noah A Doyle | Registered representative | Apr 2025 (1y) | ||
| Samuel Erlich | Registered representative | Apr 2025 (1y) | ||
| Tygan William Holtey | Registered representative | Apr 2025 (1y) | ||
| Bailey Nichole Vize | Registered representative | Apr 2025 (1y) | ||
| Harrison Edward Berryhill | Registered representative | Apr 2025 (1y) | ||
| Jordan Baker | Registered representative | Apr 2025 (1y) | ||
| Troy Holtey | Registered representative | Apr 2025 (1y) | ||
| Brandon Dorris | Registered representative | Apr 2025 (1y) | ||
| Kris Michael Moos | Registered representative | Apr 2025 (1y) | ||
| Malik Khaliq | Registered representative | Apr 2025 (1y) | ||
| Sarah Kay Johnston | Registered representative | Apr 2025 (1y) | ||
| Thomas John Manolakes | Registered representative | Apr 2025 (1y) | ||
| Alyssa Erin Romanac | Registered representative | Apr 2025 (1y) | ||
| Andrew Strobel | Registered representative | Apr 2025 (1y) | ||
| Charles Brian Markson | Registered representative | Apr 2025 (1y) | ||
| Edwin H Johnson | Registered representative | CFA | Apr 2025 (1y) | |
| Fred Bowman Bear | Registered representative | Apr 2025 (1y) | ||
| Jonathan Ustun | Registered representative | Apr 2025 (1y) | ||
| Laura Sikes | Registered representative | Apr 2025 (1y) | ||
| Roxana Elizabeth Rodriguez | Registered representative | CFP | Apr 2025 (1y) | |
| Ryan Christian Bortner | Registered representative | Apr 2025 (1y) | ||
| Ryan Sprowls | Registered representative | CFP | Apr 2025 (1y) | |
| Tracy M Hoben Shelkin | Registered representative | Apr 2025 (1y) | ||
| William Harris | Registered representative | Apr 2025 (1y) | ||
| Anne Buckley | Registered representative | Apr 2025 (1y) | ||
| Kathryn Gold | Registered representative | Apr 2025 (1y) | ||
| Philip Pierce Bartilucci | Registered representative | CFP | Apr 2025 (1y) | |
| Dianne Dempsey | Registered representative | Apr 2025 (1y) | ||
| Jennifer Grzeskiewicz | Registered representative | Apr 2025 (1y) | ||
| David Hartgers | Registered representative | Apr 2025 (1y) | ||
| Ellen Elizabeth Police | Registered representative | Apr 2025 (1y) | ||
| Healy Marroy | Registered representative | CFP | Apr 2025 (1y) | |
| Bradley Ross Michalchuk | Registered representative | CFP | Apr 2025 (1y) | |
| Ian Mould | Registered representative | Apr 2025 (1y) | ||
| Jesse Paul Reyes | Registered representative | Apr 2025 (1y) | ||
| Charles Edward Little | Registered representative | CFP | Apr 2025 (1y) | |
| Gresa Gostivari | Registered representative | Apr 2025 (1y) | ||
| Ashlee Robinson | Registered representative | May 2025 (1y) | ||
| Joyce Babcock | Registered representative | May 2025 (1y) | ||
| Michael Adam Blaustein | Registered representative | May 2025 (1y) | ||
| Bruce Kajiwara | Registered representative | CFP Personal Financial Specialist | May 2025 (1y) | |
| Chris John Tryforos | Registered representative | May 2025 (1y) | ||
| Dean Kazuto Akazawa | Registered representative | CFP | May 2025 (1y) | |
| Kristin Heltne Kendall | Registered representative | May 2025 (1y) | ||
| Melissa Bruner | Registered representative | May 2025 (1y) | ||
| Terrence Burns | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Timothy Lynch | Registered representative | May 2025 (1y) | ||
| William Christopher Yonce | Registered representative | May 2025 (1y) | ||
| Eric Machus | Registered representative | May 2025 (1y) | ||
| Kevin Prazenica | Registered representative | May 2025 (1y) | ||
| Noah Edward Robinson | Registered representative | May 2025 (1y) | ||
| Andrew Camden | Registered representative | May 2025 (1y) | ||
| Jenna Signorile | Registered representative | May 2025 (1y) | ||
| Stuart Anthony Bowen | Registered representative | May 2025 (1y) | ||
| Blake Anthony Ellis | Registered representative | May 2025 (1y) | ||
| Elizabeth Blair Saba | Registered representative | May 2025 (1y) | ||
| Jorge Jacome | Registered representative | CFP | May 2025 (1y) | |
| Mark Wojtas | Registered representative | May 2025 (1y) | ||
| Mary C Cox | Registered representative | May 2025 (1y) | ||
| Melynda Crozier | Registered representative | May 2025 (1y) | ||
| John D Troncale | Registered representative | CFP | May 2025 (1y) | |
| Philip Ying Peng | Registered representative | May 2025 (1y) | ||
| Vickie Tanabe | Registered representative | May 2025 (1y) | ||
| Vincent W.S. Law | Registered representative | May 2025 (1y) | ||
| Justin Marsh | Registered representative | CFP | May 2025 (1y) | |
| Arin Ruth Nicole Lawrence | Registered representative | May 2025 (1y) | ||
| Cody Calabrese | Registered representative | May 2025 (1y) | ||
| Frederick Arthur Sernatinger | Registered representative | May 2025 (1y) | ||
| Gerald Rouleau | Registered representative | May 2025 (1y) | ||
| Haley Denise Thomas | Registered representative | CFP | May 2025 (1y) | |
| Justin Buell | Registered representative | May 2025 (1y) | ||
| Richard Driessnack | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Tracy Maltby | Registered representative | May 2025 (1y) | ||
| Allison Marie Nelson | Registered representative | May 2025 (1y) | ||
| Andrew N Fitzpatrick | Registered representative | CFA | May 2025 (1y) | |
| Andrew Weber | Registered representative | May 2025 (1y) | ||
| Daniel Todd Fais | Registered representative | May 2025 (1y) | ||
| Dewayne Alfred Crunk | Registered representative | May 2025 (1y) | ||
| Edward Fitzpatrick | Registered representative | CFP | May 2025 (1y) | |
| Jessica Turner | Registered representative | May 2025 (1y) | ||
| Julie Skinner | Registered representative | May 2025 (1y) | ||
| Stephanie E Spriggs | Registered representative | May 2025 (1y) | ||
| Wendy Cheney | Registered representative | May 2025 (1y) | ||
| Zachary Rutan | Registered representative | May 2025 (1y) | ||
| Jacob Daniel Drees | Registered representative | May 2025 (1y) | ||
| Aaron Thomas Phelps | Registered representative | May 2025 (1y) | ||
| David Elliott Grice | Registered representative | May 2025 (1y) | ||
| David Patrick Aichele | Registered representative | CFP | May 2025 (1y) | |
| Dominic Corleto | Registered representative | May 2025 (1y) | ||
| James Garland Osborne | Registered representative | May 2025 (1y) | ||
| John Fitzpatrick | Registered representative | May 2025 (1y) | ||
| Kevin Joseph Freihoefer | Registered representative | May 2025 (1y) | ||
| Lucas Benjamin Widoff | Registered representative | CFP | May 2025 (1y) | |
| Thomas Henry Birk | Registered representative | May 2025 (1y) | ||
| Tyler Bevans | Registered representative | May 2025 (1y) | ||
| Gerald Lawrence Steagall | Registered representative | May 2025 (1y) | ||
| Colin Strapp | Registered representative | May 2025 (1y) | ||
| Judith Ann Nelson | Registered representative | May 2025 (1y) | ||
| Kendra Kosek | Registered representative | May 2025 (1y) | ||
| Pat Joseph Ingrassia | Registered representative | CFP | May 2025 (1y) | |
| Christal Vargas | Registered representative | CFP | May 2025 (1y) | |
| Kimberly Martin | Registered representative | May 2025 (1y) | ||
| Alex Leiser | Registered representative | May 2025 (1y) | ||
| Meghan Gallagher | Registered representative | May 2025 (1y) | ||
| Kevin Osborn | Registered representative | May 2025 (1y) | ||
| Melissa Renee Cunningham | Registered representative | May 2025 (1y) | ||
| Gregory Hoelzel | Registered representative | CFP | May 2025 (1y) | |
| Maribel Cobian | Registered representative | May 2025 (1y) | ||
| Shawn Hare | Registered representative | May 2025 (1y) | ||
| Christian A Fragoso | Registered representative | Jun 2025 (1y) | ||
| Jonathan Deprey | Registered representative | Jun 2025 (1y) | ||
| Donald Michael Vujnovich | Registered representative | Jun 2025 (1y) | ||
| Joshua Leppo | Registered representative | Jun 2025 (1y) | ||
| Larry Leppo | Registered representative | Jun 2025 (1y) | ||
| Michael Scott Settler | Registered representative | Jun 2025 (1y) | ||
| Cheryl Tucker Refregier | Registered representative | Jun 2025 (1y) | ||
| Gabriel Gordon | Registered representative | Jun 2025 (1y) | ||
| John Awe | Registered representative | Jun 2025 (1y) | ||
| Nicole L Cooper | Registered representative | Jun 2025 (1y) | ||
| Janica Joli Gillette Backstrom | Registered representative | Jun 2025 (1y) | ||
| Ryan Kubie | Registered representative | Jun 2025 (1y) | ||
| Elizabeth Fortin Albers | Registered representative | Jun 2025 (1y) | ||
| Jordan Jeremiah Bertain | Registered representative | Jun 2025 (1y) | ||
| Kimberly Ann Dupont | Registered representative | Jun 2025 (1y) | ||
| Margaret Webster | Registered representative | Jun 2025 (1y) | ||
| Nicholas Eisenmenger | Registered representative | Jun 2025 (1y) | ||
| Benjamin Spalter | Registered representative | Jun 2025 (1y) | ||
| Bryce Unruh | Registered representative | Jun 2025 (1y) | ||
| Lucas John Kokubo | Registered representative | Jun 2025 (1y) | ||
| Michael Unruh | Registered representative | Jun 2025 (1y) | ||
| Philip Unes | Registered representative | Jun 2025 (1y) | ||
| Theodore Mack | Registered representative | CFP | Jun 2025 (1y) | |
| Auston Lee Belka | Registered representative | Jun 2025 (1y) | ||
| Brandon Bersett | Registered representative | Jun 2025 (1y) | ||
| Brian Bates | Registered representative | Jun 2025 (1y) | ||
| Brian Buzun | Registered representative | CFP | Jun 2025 (1y) | |
| Harry Noah Spar | Registered representative | Jun 2025 (1y) | ||
| Haygood Seawell | Registered representative | Jun 2025 (1y) | ||
| John J Parker | Registered representative | Jun 2025 (1y) | ||
| John Michael Kokubo | Registered representative | CFA | Jun 2025 (1y) | |
| Lori Shafer | Registered representative | Jun 2025 (1y) | ||
| Richard Eugene Hover | Registered representative | Jun 2025 (1y) | ||
| Jay Mahajan | Registered representative | Jun 2025 (1y) | ||
| Matthew Claude Lamb | Registered representative | Jun 2025 (1y) | ||
| Andres Alvarez | Registered representative | Jun 2025 (1y) | ||
| Mary Cobb | Registered representative | Jun 2025 (1y) | ||
| William Francis Biddle | Registered representative | CFP | Jun 2025 (1y) | |
| Christopher Sabia | Registered representative | Jun 2025 (1y) | ||
| Michael Davern | Registered representative | Jul 2025 (1y) | ||
| Christopher Hutchinson | Registered representative | Jul 2025 (1y) | ||
| Daniel Brown | Registered representative | Jul 2025 (1y) | ||
| Anthony Joseph Papa | Registered representative | Jul 2025 (1y) | ||
| Paige Bishop | Registered representative | Jul 2025 (1y) | ||
| Alex Long | Registered representative | Jul 2025 (1y) | ||
| Clifford Hickerson | Registered representative | Jul 2025 (1y) | ||
| William Caudron | Registered representative | Jul 2025 (1y) | ||
| Christopher Fred Cornelius | Registered representative | CFP | Jul 2025 (1y) | |
| Michael Sean Sonoiki | Registered representative | CFP | Jul 2025 (1y) | |
| Michele Lynn Flanagan | Registered representative | Jul 2025 (1y) | ||
| Sarah Nowfel | Registered representative | Jul 2025 (1y) | ||
| Brandon Richard Mahler | Registered representative | Jul 2025 (1y) | ||
| Daniel Treanor | Registered representative | Jul 2025 (1y) | ||
| Charles Edward Postlewaite | Registered representative | Jul 2025 (1y) | ||
| Hailley Ann Torres | Registered representative | Jul 2025 (1y) | ||
| Eldon Lu | Registered representative | Jul 2025 (1y) | ||
| Heather Lynn Wood | Registered representative | Jul 2025 (1y) | ||
| Joseph Paul Plank | Registered representative | Jul 2025 (1y) | ||
| Rebecca Ann Berry | Registered representative | Jul 2025 (1y) | ||
| Jayson James Capling | Registered representative | Jul 2025 (1y) | ||
| Molly Smith | Registered representative | Jul 2025 (1y) | ||
| Richard Schacht | Registered representative | Jul 2025 (1y) | ||
| Robert Douglas Roar | Registered representative | Jul 2025 (1y) | ||
| Alexander Fischman | Registered representative | Jul 2025 (1y) | ||
| Nicholas Iarrapino | Registered representative | Jul 2025 (1y) | ||
| Shalom Azar | Registered representative | Jul 2025 (1y) | ||
| Solomon Tobal | Registered representative | Jul 2025 (1y) | ||
| Tomer Mizrahi | Registered representative | Jul 2025 (1y) | ||
| Vincent Dedominicis | Registered representative | Jul 2025 (1y) | ||
| Amber Marie Benkert | Registered representative | Jul 2025 (1y) | ||
| Christopher Duffey | Registered representative | Jul 2025 (1y) | ||
| John Buell Faber | Registered representative | Jul 2025 (1y) | ||
| Karen Fernandini | Registered representative | Jul 2025 (1y) | ||
| Peter Goodridge | Registered representative | Jul 2025 (1y) | ||
| Thomas Hargrove | Registered representative | Jul 2025 (1y) | ||
| Margaret Mc Laughlin | Registered representative | Jul 2025 (1y) | ||
| Breanna Janelle Ohearn | Registered representative | Jul 2025 (1y) | ||
| Brendan Michael Birdsey | Registered representative | Jul 2025 (1y) | ||
| Dennis Opie | Registered representative | Jul 2025 (1y) | ||
| Derek Brooks | Registered representative | CFP | Jul 2025 (1y) | |
| Evan A Meyer | Registered representative | Jul 2025 (1y) | ||
| Jack Florio | Registered representative | CFP | Jul 2025 (1y) | |
| Mckenzie Moore | Registered representative | Jul 2025 (1y) | ||
| Peter Legrave | Registered representative | Jul 2025 (1y) | ||
| Anthony Giordano | Registered representative | Aug 2025 (1y) | ||
| Ashok Agarwalla | Registered representative | Aug 2025 (1y) | ||
| Boyd Janto | Registered representative | CFP | Aug 2025 (1y) | |
| Brett Vuyk | Registered representative | CFP | Aug 2025 (1y) | |
| Caitlyn Creed | Registered representative | Aug 2025 (1y) | ||
| Christina Blanc | Registered representative | Aug 2025 (1y) | ||
| Colin Vuyk | Registered representative | Aug 2025 (1y) | ||
| David Choden | Registered representative | Aug 2025 (1y) | ||
| Derek Leonard Johnson | Registered representative | Aug 2025 (1y) | ||
| Goutam Datta | Registered representative | Aug 2025 (1y) | ||
| Jake Anthony Punzenberger | Registered representative | Aug 2025 (1y) | ||
| James Philip Buckalew | Registered representative | CFP | Aug 2025 (1y) | |
| John Murray Steiner | Registered representative | Aug 2025 (1y) | ||
| Jonathan Brian Diehl | Registered representative | Aug 2025 (1y) | ||
| Joseph Moore | Registered representative | Aug 2025 (1y) | ||
| Justin Eigner | Registered representative | CFP | Aug 2025 (1y) | |
| Kayla Krieser | Registered representative | Aug 2025 (1y) | ||
| Kimberly Streff | Registered representative | Aug 2025 (1y) | ||
| Lisa Ann Hammer | Registered representative | CFP | Aug 2025 (1y) | |
| Matthew Feldhaus | Registered representative | CFP | Aug 2025 (1y) | |
| Michelle Galvin | Registered representative | Aug 2025 (1y) | ||
| Nathan Westphal | Registered representative | CFP | Aug 2025 (1y) | |
| Paul Richard Beeman | Registered representative | Aug 2025 (1y) | ||
| Peyton B Janto | Registered representative | Aug 2025 (1y) | ||
| Stephen Frank | Registered representative | Aug 2025 (1y) | ||
| Thomas Bongard | Registered representative | Aug 2025 (1y) | ||
| Timothy Koepke | Registered representative | Aug 2025 (1y) | ||
| Timothy Prasch | Registered representative | CFP | Aug 2025 (1y) | |
| Tori J Gable | Registered representative | Aug 2025 (1y) | ||
| Michelle Weilacher | Registered representative | Aug 2025 (1y) | ||
| Clint Lee Harris | Registered representative | Aug 2025 (1y) | ||
| Brandon Schwartz | Registered representative | CFP | Aug 2025 (1y) | |
| Daniel Aller | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Crookston | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Garton | Registered representative | Aug 2025 (1y) | ||
| Anne Hunter Benson | Registered representative | Aug 2025 (1y) | ||
| Brian Carr | Registered representative | CFP | Aug 2025 (1y) | |
| Chia Lai | Registered representative | Aug 2025 (1y) | ||
| Mark Jutkowitz | Registered representative | CFP | Aug 2025 (1y) | |
| Matthew Medeiros | Registered representative | Aug 2025 (1y) | ||
| Philip Romano | Registered representative | CFP | Aug 2025 (1y) | |
| Riley Parker Smith | Registered representative | Aug 2025 (1y) | ||
| Jon Bruce Lindenberg | Registered representative | Aug 2025 (1y) | ||
| Francis Joel Hoeffler | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Dale Rogers | Registered representative | Aug 2025 (1y) | ||
| Jeremy Hickey | Registered representative | Aug 2025 (1y) | ||
| Joel Steven Sirota | Registered representative | CFP | Aug 2025 (1y) | |
| Petra Frisina | Registered representative | Aug 2025 (1y) | ||
| Ryan Allen Fruth | Registered representative | Aug 2025 (1y) | ||
| Sam Consos | Registered representative | Aug 2025 (1y) | ||
| Wendy Behner | Registered representative | CFP | Aug 2025 (1y) | |
| Blake Matthew Abadie | Registered representative | Aug 2025 (1y) | ||
| Abby Marie Lindauer | Registered representative | Aug 2025 (1y) | ||
| Christopher Daniel Keller | Registered representative | Aug 2025 (1y) | ||
| Kelley Thompson | Registered representative | Aug 2025 (1y) | ||
| Daniel Stuart Mason | Registered representative | Aug 2025 (1y) | ||
| Donald J Stegall | Registered representative | Aug 2025 (1y) | ||
| James Harold Leonard | Registered representative | Aug 2025 (1y) | ||
| Derek Huffman | Registered representative | Aug 2025 (1y) | ||
| Carrie Lyn Lamprecht | Registered representative | Aug 2025 (1y) | ||
| James P Kivlehan | Registered representative | Aug 2025 (1y) | ||
| Nicholas Roberts | Registered representative | Aug 2025 (1y) | ||
| Eric Spraker | Registered representative | Aug 2025 (1y) | ||
| Richard Spraker | Registered representative | Aug 2025 (1y) | ||
| Rowena Lacuesta | Registered representative | Aug 2025 (1y) | ||
| Matthew Graeme Waldman | Registered representative | Aug 2025 (1y) | ||
| Conner Brent Green | Registered representative | Aug 2025 (1y) | ||
| William Waeckerle | Registered representative | Aug 2025 (1y) | ||
| Emma Bouchard | Registered representative | Aug 2025 (1y) | ||
| Kindra A Franks | Registered representative | Aug 2025 (1y) | ||
| Charles John Vesely | Registered representative | Aug 2025 (1y) | ||
| Marissa Perla Rochelle Korbini | Registered representative | Sep 2025 (1y) | ||
| Daniel Alcantar | Registered representative | Sep 2025 (1y) | ||
| Sandra I Serrano | Registered representative | Sep 2025 (1y) | ||
| Stephen Patire | Registered representative | Sep 2025 (1y) | ||
| Anthony Warren | Registered representative | CFP | Sep 2025 (1y) | |
| Aaron Burt Austin | Registered representative | Sep 2025 (1y) | ||
| Benjamin Joseph Hoeing | Registered representative | Sep 2025 (1y) | ||
| Branden John Clayton | Registered representative | Sep 2025 (1y) | ||
| Carl Stewart Warren | Registered representative | CFP | Sep 2025 (1y) | |
| Edward Clarke Puglise | Registered representative | Sep 2025 (1y) | ||
| Greggory Keele | Registered representative | CFP | Sep 2025 (1y) | |
| Jeffrey Zenger | Registered representative | Sep 2025 (1y) | ||
| Kevin D Mckay | Registered representative | Sep 2025 (1y) | ||
| Laura Michelle Mc Mahon | Registered representative | Sep 2025 (1y) | ||
| Mason Whitted | Registered representative | CFP | Sep 2025 (1y) | |
| Philip Thomas Christner | Registered representative | CFP | Sep 2025 (1y) | |
| Thomas Christopher Russell | Registered representative | Sep 2025 (1y) | ||
| Wendy M Otterness | Registered representative | Sep 2025 (1y) | ||
| Andrew Bradley Baker | Registered representative | Sep 2025 (1y) | ||
| Peter G. Elers | Registered representative | CFP | Sep 2025 (1y) | |
| Richard Lerner | Registered representative | Sep 2025 (1y) | ||
| Jennifer M Keel | Registered representative | Sep 2025 (1y) | ||
| Benjamin Leess | Registered representative | Sep 2025 (1y) | ||
| Eric Bruce | Registered representative | Sep 2025 (1y) | ||
| Jason T. Goldberg | Registered representative | Sep 2025 (1y) | ||
| John Houston | Registered representative | Sep 2025 (1y) | ||
| Scarlett Neuberger | Registered representative | Sep 2025 (1y) | ||
| Tiffany Anne Magnan | Registered representative | Sep 2025 (1y) | ||
| Eric Allen Kullberg | Registered representative | Sep 2025 (1y) | ||
| Holly Lawrence | Registered representative | Sep 2025 (1y) | ||
| Thomas Joseph Burke | Registered representative | Sep 2025 (1y) | ||
| Tyler Chad Yaw | Registered representative | CFP | Sep 2025 (1y) | |
| Jeremy Edward Barto | Registered representative | Sep 2025 (1y) | ||
| Megan Briley Jones | Registered representative | Sep 2025 (1y) | ||
| Taeya Christina Lauer | Registered representative | Sep 2025 (1y) | ||
| Tara Maldonado Fiber | Registered representative | Sep 2025 (1y) | ||
| Autumn M Vernon | Registered representative | Sep 2025 (1y) | ||
| Isaac Timothy Radabaugh | Registered representative | Sep 2025 (1y) | ||
| Jacob Myron Radabaugh | Registered representative | Sep 2025 (1y) | ||
| Lori Ann Earley | Registered representative | Sep 2025 (1y) | ||
| Jonathan Dicent | Registered representative | Sep 2025 (1y) | ||
| Michael George Fattal | Registered representative | Sep 2025 (1y) | ||
| Michael Smith Kelleher | Registered representative | Sep 2025 (1y) | ||
| David Edward Waite | Registered representative | Sep 2025 (1y) | ||
| James M Shea | Registered representative | Sep 2025 (1y) | ||
| Jill Carter | Registered representative | Sep 2025 (1y) | ||
| Karra Leigh Canum | Registered representative | CFP | Sep 2025 (1y) | |
| Morena Fatima Palacios | Registered representative | Sep 2025 (1y) | ||
| Patrick Bernard Holland | Registered representative | Sep 2025 (1y) | ||
| Paul Arthur Hollins | Registered representative | Sep 2025 (1y) | ||
| Christopher John Roering | Registered representative | Sep 2025 (1y) | ||
| Colden Hollins | Registered representative | Sep 2025 (1y) | ||
| Kathleen Ann Peterson | Registered representative | Sep 2025 (1y) | ||
| Peter V Caruso | Registered representative | CFP | Sep 2025 (1y) | |
| Robert Mark Cotter | Registered representative | Sep 2025 (1y) | ||
| Victoria Canter | Registered representative | Sep 2025 (1y) | ||
| Amy Marie Rottura | Registered representative | Sep 2025 (1y) | ||
| Elijah Sevi Rojas | Registered representative | Sep 2025 (1y) | ||
| Michael Dent | Registered representative | Sep 2025 (1y) | ||
| Jason Mclaughlin | Registered representative | Sep 2025 (1y) | ||
| Markus A Bahr | Registered representative | Sep 2025 (1y) | ||
| Robert Joseph Patrick Sforza | Registered representative | Sep 2025 (1y) | ||
| Thomas Cook | Registered representative | Sep 2025 (1y) | ||
| Kelly Q Meyers | Registered representative | Sep 2025 (1y) | ||
| Christian Thomas Maeder | Registered representative | Oct 2025 (1y) | ||
| Michelle Jones | Registered representative | Oct 2025 (1y) | ||
| Nelisha Paige Firestone | Registered representative | Oct 2025 (1y) | ||
| Phillip Livio Faso | Registered representative | Oct 2025 (1y) | ||
| Beau Smith | Registered representative | Oct 2025 (1y) | ||
| Caitriona Jade Bennett | Registered representative | Oct 2025 (1y) | ||
| Daniel R Hesch | Registered representative | Oct 2025 (1y) | ||
| John Matthew Broughton | Registered representative | Oct 2025 (1y) | ||
| William Garth Edwards | Registered representative | CFP | Oct 2025 (1y) | |
| Christopher Loucks | Registered representative | Oct 2025 (1y) | ||
| Donna Lynn Wiggins | Registered representative | Oct 2025 (1y) | ||
| Hadielis Neira Hernandez | Registered representative | Oct 2025 (1y) | ||
| Robert Anthony Platania | Registered representative | Oct 2025 (1y) | ||
| Alan Scott Markfeld | Registered representative | Oct 2025 (1y) | ||
| Christine Kelly Muir | Registered representative | Oct 2025 (1y) | ||
| Christopher Wayne Geary | Registered representative | CFP | Oct 2025 (1y) | |
| Elizabeth Clendenin | Registered representative | Oct 2025 (1y) | ||
| Geramy Bonnette | Registered representative | Oct 2025 (1y) | ||
| John Jasper Lawrence | Registered representative | Oct 2025 (1y) | ||
| Jacob Werner | Registered representative | Oct 2025 (1y) | ||
| Raffe Deirmenjian | Registered representative | Oct 2025 (1y) | ||
| Sergio Burzotta | Registered representative | Oct 2025 (1y) | ||
| Sean P Wenham | Registered representative | Oct 2025 (1y) | ||
| Anthony James Buuck | Registered representative | Oct 2025 (1y) | ||
| Clinton Bert | Registered representative | Oct 2025 (1y) | ||
| Robert Tanner Roe | Registered representative | Oct 2025 (1y) | ||
| John Long | Registered representative | Oct 2025 (1y) | ||
| Bethany Marelle Spurlock | Registered representative | Oct 2025 (1y) | ||
| Connor Carpenter | Registered representative | Oct 2025 (1y) | ||
| Heather Kay Foley | Registered representative | Oct 2025 (1y) | ||
| Lisa Marie Cosper | Registered representative | Oct 2025 (1y) | ||
| Oliver Savage Christie | Registered representative | Oct 2025 (1y) | ||
| Alyssa Cwik | Registered representative | Oct 2025 (1y) | ||
| Anthony Edward Navarro | Registered representative | CFP | Oct 2025 (1y) | |
| Dominic Trolio | Registered representative | Oct 2025 (1y) | ||
| William A Boggs | Registered representative | CFP | Oct 2025 (1y) | |
| Brock Edward Ayers | Registered representative | CFP | Oct 2025 (1y) | |
| Connor Desales Mudd | Registered representative | Oct 2025 (1y) | ||
| Kenneth Crandall Mcadam | Registered representative | Oct 2025 (1y) | ||
| Tammy Lyn Mudd | Registered representative | CFP | Oct 2025 (1y) | |
| Angela Lorraine Hetlage | Registered representative | Oct 2025 (1y) | ||
| Brunilda Ramon | Registered representative | Oct 2025 (1y) | ||
| Keith Louis Gillotti | Registered representative | Oct 2025 (1y) | ||
| Melissa Anne Silta | Registered representative | Oct 2025 (1y) | ||
| Ray Hughston Patterson | Registered representative | CFP | Oct 2025 (1y) | |
| Stephen Matthew Breig | Registered representative | CFP | Oct 2025 (1y) | |
| Stephen Robert Schneider | Registered representative | Oct 2025 (1y) | ||
| Joshua Marshall Stencler | Registered representative | Oct 2025 (1y) | ||
| Robert Mark Gibson | Registered representative | Oct 2025 (1y) | ||
| Andrew Michael Prisco | Registered representative | CFP | Oct 2025 (1y) | |
| Joel Schoonover | Registered representative | Oct 2025 (1y) | ||
| Jonathan Joseph Licata | Registered representative | Oct 2025 (1y) | ||
| Jowita Ewa Jurkiewicz | Registered representative | Oct 2025 (1y) | ||
| Todd Eric Lapinson | Registered representative | CFP | Oct 2025 (1y) | |
| Hayden Daniel Wood | Registered representative | Oct 2025 (1y) | ||
| Matthew Neil Tarallo | Registered representative | Oct 2025 (1y) | ||
| Claudia Catherine Wert | Registered representative | Oct 2025 (1y) | ||
| Hannah Lynn Eckert | Registered representative | Oct 2025 (1y) | ||
| Robert Alan Wert | Registered representative | Oct 2025 (1y) | ||
| Andrew Glen Wedeen | Registered representative | Oct 2025 (1y) | ||
| Christopher Matthew Lagasse | Registered representative | Oct 2025 (1y) | ||
| Evan Gregory King | Registered representative | Oct 2025 (1y) | ||
| Stephanie June Ross | Registered representative | CFP | Oct 2025 (1y) | |
| Matthew Christopher Milewski | Registered representative | Oct 2025 (1y) | ||
| Samuel Ackler Chapin | Registered representative | Oct 2025 (1y) | ||
| Charles William Wise | Registered representative | Nov 2025 (1y) | ||
| Cierra Savin | Registered representative | Nov 2025 (1y) | ||
| Glenn Takashi Ushijima | Registered representative | Nov 2025 (1y) | ||
| Michael J Knowles | Registered representative | Nov 2025 (1y) | ||
| Mohamed Mahmoud Shoukr | Registered representative | Nov 2025 (1y) | ||
| George Celestino Cabalu | Registered representative | Nov 2025 (1y) | ||
| Mason William Rush | Registered representative | Nov 2025 (1y) | ||
| Daniel Willis | Registered representative | Nov 2025 (1y) | ||
| Zachary Leonardo | Registered representative | Nov 2025 (1y) | ||
| Julia Paslawski | Registered representative | Nov 2025 (1y) | ||
| Dawson John Gullickson | Registered representative | Nov 2025 (1y) | ||
| Trey Matthew Plummer | Registered representative | Nov 2025 (1y) | ||
| Jeffrey Eugene Gautier | Registered representative | Nov 2025 (1y) | ||
| Jonathan Pugach | Registered representative | Nov 2025 (1y) | ||
| Benjamin Webb Tuthill | Registered representative | Nov 2025 (1y) | ||
| Debra Ann Bushman | Registered representative | Nov 2025 (1y) | ||
| Meghan C Barclay | Registered representative | Nov 2025 (1y) | ||
| Robert Edward O'dea | Registered representative | CFP | Nov 2025 (1y) | |
| Travis Benjamin Thompson | Registered representative | Nov 2025 (1y) | ||
| Adam Hecht | Registered representative | CFP | Nov 2025 (1y) | |
| Anne Marie Senerchia | Registered representative | Nov 2025 (1y) | ||
| Clair Reich | Registered representative | Nov 2025 (1y) | ||
| Robert Sandford Rothe | Registered representative | Nov 2025 (1y) | ||
| Andrew Robert Lowery | Registered representative | Nov 2025 (1y) | ||
| Christopher A Pesce | Registered representative | Nov 2025 (1y) | ||
| James Robert Bishop | Registered representative | Nov 2025 (1y) | ||
| Mark George Serrian | Registered representative | Nov 2025 (1y) | ||
| Alexandra White | Registered representative | Nov 2025 (1y) | ||
| Charles Scott Glover | Registered representative | CFA | Nov 2025 (1y) | |
| Jerrod Henry Fraser | Registered representative | Nov 2025 (1y) | ||
| Ryan Alvey | Registered representative | Nov 2025 (1y) | ||
| David D Levenhagen | Registered representative | CFP CFA | Nov 2025 (1y) | |
| Katie Mariah Lange | Registered representative | Nov 2025 (1y) | ||
| Albana Droboniku | Registered representative | Nov 2025 (1y) | ||
| Margaret Bornhorst | Registered representative | Nov 2025 (1y) | ||
| William Blake Kopplin | Registered representative | Nov 2025 (1y) | ||
| Aaron C Wrigley | Registered representative | Nov 2025 (1y) | ||
| Daniel Howell Sivilli | Registered representative | Nov 2025 (1y) | ||
| Nicholas Carl Warren | Registered representative | Nov 2025 (1y) | ||
| Conor Johnson | Registered representative | Nov 2025 (1y) | ||
| Edward Charles Gordon | Registered representative | CFP | Dec 2025 (1y) | |
| Gary Leslie Bargebuhr | Registered representative | Dec 2025 (1y) | ||
| Joanne Sturgill | Registered representative | Dec 2025 (1y) | ||
| Paul Joseph Cody | Registered representative | Dec 2025 (1y) | ||
| Kathryn Rebecca Davis | Registered representative | Dec 2025 (1y) | ||
| Robert Brandon Krut | Registered representative | Dec 2025 (1y) | ||
| Stephanie Esposito | Registered representative | Dec 2025 (1y) | ||
| Steven Ross Shinn | Registered representative | Dec 2025 (1y) | ||
| Carter Roelof Schanck | Registered representative | Dec 2025 (1y) | ||
| Christina S Lopez | Registered representative | Dec 2025 (1y) | ||
| Hillery Roelof Schanck | Registered representative | Dec 2025 (1y) | ||
| Javier Cuadrado Lopez | Registered representative | Dec 2025 (1y) | ||
| Joseph Samuel Caldwell | Registered representative | Dec 2025 (1y) | ||
| Nicklaus Serafini | Registered representative | Dec 2025 (1y) | ||
| Samantha Viola Trudell | Registered representative | Dec 2025 (1y) | ||
| Steven Michael Gretchko | Registered representative | Dec 2025 (1y) | ||
| Heidi Rebecca Lange Missett | Registered representative | Dec 2025 (1y) | ||
| James William Royan | Registered representative | Dec 2025 (1y) | ||
| James Alexander Poche | Registered representative | Dec 2025 (1y) | ||
| John Westcot Wells | Registered representative | Dec 2025 (1y) | ||
| Matthew Lawrence Giacoletti | Registered representative | Dec 2025 (1y) | ||
| Melissa Amato | Registered representative | Dec 2025 (1y) | ||
| David Van Mercy Vo | Registered representative | Dec 2025 (1y) | ||
| Edwin Cruz Matias | Registered representative | Dec 2025 (1y) | ||
| Joshua David Dixon | Registered representative | Dec 2025 (1y) | ||
| Jaime Nyssen | Registered representative | Dec 2025 (1y) | ||
| James Robert Bortak | Registered representative | CFP | Dec 2025 (1y) | |
| Warren Robert Heckendorn | Registered representative | Dec 2025 (1y) | ||
| David Turner | Registered representative | Dec 2025 (1y) | ||
| Andrew Charles Eggert | Registered representative | Dec 2025 (1y) | ||
| Matthew Hopkins Willett | Registered representative | Dec 2025 (1y) | ||
| Elizabeth Ann Ericksen | Registered representative | Dec 2025 (1y) | ||
| Alexander Carlo Price | Registered representative | Dec 2025 (1y) | ||
| Catherine Rose Walsh | Registered representative | Dec 2025 (1y) | ||
| Cally Jean Haderaj | Registered representative | Dec 2025 (1y) | ||
| Michael Hagan Esposito | Registered representative | Dec 2025 (1y) | ||
| Jordan William Shaeffer | Registered representative | Jan 2026 (1y) | ||
| Charles Peter Donnelly | Registered representative | Jan 2026 (1y) | ||
| Christina Panouis | Registered representative | Jan 2026 (1y) | ||
| Gianluca Vincent Palermo | Registered representative | CFP | Jan 2026 (1y) | |
| John James Mulligan | Registered representative | Jan 2026 (1y) | ||
| Marc Russell Stenzler | Registered representative | Jan 2026 (1y) | ||
| Maureen Alice Mack | Registered representative | Jan 2026 (1y) | ||
| Nicholas Frangas | Registered representative | CFP | Jan 2026 (1y) | |
| Sheena Clare Marr | Registered representative | Jan 2026 (1y) | ||
| Thomas Matthew Houlihan | Registered representative | Jan 2026 (1y) | ||
| Tina M Nystedt | Registered representative | Jan 2026 (1y) | ||
| Vincent Salvatore Parziale | Registered representative | Jan 2026 (1y) | ||
| Brandon Matthew Larson | Registered representative | CFP | Jan 2026 (1y) | |
| Karen Larson | Registered representative | Jan 2026 (1y) | ||
| Morgan Evelyn Vondrachek | Registered representative | Jan 2026 (1y) | ||
| Nicholas Larson | Registered representative | Jan 2026 (1y) | ||
| Todd Dale Hanneman | Registered representative | Jan 2026 (1y) | ||
| John Tulburt Robinson | Registered representative | CFP | Jan 2026 (1y) | |
| William James Counsman | Registered representative | Jan 2026 (1y) | ||
| Brian Matthew Fox | Registered representative | Jan 2026 (1y) | ||
| David J Robinson Jr. | Registered representative | Jan 2026 (1y) | ||
| Jessica Cavanaugh | Registered representative | Jan 2026 (1y) | ||
| Nicholas Anthony Franco | Registered representative | Jan 2026 (1y) | ||
| Nicole Renee Proxmire | Registered representative | Jan 2026 (1y) | ||
| Samuel Kushner | Registered representative | Jan 2026 (1y) | ||
| Andrew Frank Fortmeyer | Registered representative | Jan 2026 (1y) | ||
| Christopher Thomas Wilson | Registered representative | Jan 2026 (1y) | ||
| Cynthia Lee Hill | Registered representative | Jan 2026 (1y) | ||
| Deacon Broda | Registered representative | Jan 2026 (1y) | ||
| Michael A Boagni | Registered representative | Jan 2026 (1y) | ||
| Adam King | Registered representative | Jan 2026 (1y) | ||
| Alan Philip Brachfeld | Registered representative | CFP | Jan 2026 (1y) | |
| Edward Autry Dittmar | Registered representative | Jan 2026 (1y) | ||
| Joseph Paul Mcallister | Registered representative | Jan 2026 (1y) | ||
| Jeffrey Harte Feinstein | Registered representative | Jan 2026 (1y) | ||
| Jordan Lee Cohen | Registered representative | CFP | Jan 2026 (1y) | |
| Michael Kessler | Registered representative | CFP | Jan 2026 (1y) | |
| Richard Peter Kass | Registered representative | CFP | Jan 2026 (1y) | |
| Teagan Eve Mcgee | Registered representative | Jan 2026 (1y) | ||
| Eric John Burr | Registered representative | Jan 2026 (1y) | ||
| Jacob William Zerr | Registered representative | Jan 2026 (1y) | ||
| Keith Robert Mc Gregor | Registered representative | Jan 2026 (1y) | ||
| Christopher R Davis | Registered representative | Jan 2026 (1y) | ||
| Deryl Heath Mcgallion | Registered representative | Jan 2026 (1y) | ||
| Michael Andrew Coraggio | Registered representative | Jan 2026 (1y) | ||
| Natasha Ukani | Registered representative | Jan 2026 (1y) | ||
| Robert M Michael Core | Registered representative | Jan 2026 (1y) | ||
| Roy William Mccullough | Registered representative | Jan 2026 (1y) | ||
| Adam James Pace | Registered representative | Jan 2026 (1y) | ||
| William Parker | Registered representative | Jan 2026 (1y) | ||
| Brent Mcintosh | Registered representative | Jan 2026 (1y) | ||
| Robert Bacon | Registered representative | Jan 2026 (1y) | ||
| Timothy Ryan Hannigan | Registered representative | Jan 2026 (1y) | ||
| Tracy Albert Chan | Registered representative | Jan 2026 (1y) | ||
| Austin Lee Carroll | Registered representative | Jan 2026 (1y) | ||
| Claire Nicole Doyle | Registered representative | Jan 2026 (1y) | ||
| Daniel Thomas Khoury | Registered representative | Jan 2026 (1y) | ||
| Matthew Steven Guillaume | Registered representative | Jan 2026 (1y) | ||
| Nicholas Sondgeroth | Registered representative | CFP | Jan 2026 (1y) | |
| Nancy Curtin | Registered representative | CFP | Jan 2026 (1y) | |
| David Michael Fabian | Registered representative | Jan 2026 (1y) | ||
| Matthew L Staples | Registered representative | CFP | Jan 2026 (1y) | |
| Paolo M Thompson | Registered representative | CFP | Jan 2026 (1y) | |
| Gary T Plessl | Registered representative | CFP | Jan 2026 (1y) | |
| Joslin Alberique | Registered representative | Jan 2026 (1y) | ||
| Kevin Douglas Houser | Registered representative | CFP | Jan 2026 (1y) | |
| Michael Beckman | Registered representative | Jan 2026 (1y) | ||
| Andrew Tyler Froehle | Registered representative | Jan 2026 (1y) | ||
| Harrison Lloyd Bauman | Registered representative | Jan 2026 (1y) | ||
| Ira Michael Bauman | Registered representative | Jan 2026 (1y) | ||
| Jeffrey Alan Carpenter | Registered representative | Jan 2026 (1y) | ||
| Haley Davis | Registered representative | Feb 2026 (0y) | ||
| Rebecca Tipton | Registered representative | CFP | Feb 2026 (0y) | |
| Gaston Nieto | Registered representative | Feb 2026 (0y) | ||
| Shalane Liane Bohle | Registered representative | Feb 2026 (0y) | ||
| Alan Stephen Cusick | Registered representative | Feb 2026 (0y) | ||
| John Hudson Rucker | Registered representative | Feb 2026 (0y) | ||
| Matthew Bliss Lane | Registered representative | Feb 2026 (0y) | ||
| Nicholas Garcia | Registered representative | Feb 2026 (0y) | ||
| Scott Andrew Burns | Registered representative | Feb 2026 (0y) | ||
| Teresa Galaviz | Registered representative | Feb 2026 (0y) | ||
| Brian Robert Harrison | Registered representative | Feb 2026 (0y) | ||
| Chase Perez Blanco | Registered representative | Feb 2026 (0y) | ||
| Joshua Kondo | Registered representative | Feb 2026 (0y) | ||
| Michael Madden | Registered representative | Feb 2026 (0y) | ||
| Elizabeth Kelly Moore | Registered representative | Feb 2026 (0y) | ||
| William Anthony Kabbes | Registered representative | Feb 2026 (0y) | ||
| Lewis Anderson Daye | Registered representative | Feb 2026 (0y) | ||
| David Brian Loftus | Registered representative | Feb 2026 (0y) | ||
| Claytor Brooks | Registered representative | CFP | Feb 2026 (0y) | |
| James Kenneth Schneider | Registered representative | CFP | Feb 2026 (0y) | |
| Jennifer Leslie Steil Palma | Registered representative | Feb 2026 (0y) | ||
| Ryan Thomas Odom | Registered representative | Feb 2026 (0y) | ||
| Sean Michael Clark | Registered representative | Feb 2026 (0y) | ||
| Philip James Unes | Registered representative | Feb 2026 (0y) | ||
| Randy Thomas Odom | Registered representative | Feb 2026 (0y) | ||
| Christopher Ahearn | Registered representative | Feb 2026 (0y) | ||
| Sean German | Registered representative | Feb 2026 (0y) | ||
| Dean Christopher Dagnoli | Registered representative | Feb 2026 (0y) | ||
| Jordan Eric Johnson | Registered representative | Feb 2026 (0y) | ||
| Taran Campos | Registered representative | Feb 2026 (0y) | ||
| David Renken | Registered representative | Feb 2026 (0y) | ||
| Jessica Kathleen Jeffers | Registered representative | Feb 2026 (0y) | ||
| John Fulton Jr | Registered representative | Feb 2026 (0y) | ||
| Timothy O'connor | Registered representative | Feb 2026 (0y) | ||
| Joseph Desantis | Registered representative | Mar 2026 (0y) | ||
| Andrew Michael Knutson | Registered representative | Mar 2026 (0y) | ||
| Clayton Knutsen | Registered representative | CFP | Mar 2026 (0y) | |
| Daniel Francis Miller | Registered representative | Mar 2026 (0y) | ||
| Dean Jay Breitbach | Registered representative | Mar 2026 (0y) | ||
| Derek James Cherne | Registered representative | Mar 2026 (0y) | ||
| Jacob William Johnson | Registered representative | Mar 2026 (0y) | ||
| Kathleen Ann Freiderich | Registered representative | Mar 2026 (0y) | ||
| Keith Price Burke | Registered representative | Mar 2026 (0y) | ||
| Laurie Jane Knutson | Registered representative | Mar 2026 (0y) | ||
| Lori Keech | Registered representative | Mar 2026 (0y) | ||
| Peter Michael Knutson | Registered representative | CFA | Mar 2026 (0y) | |
| Warren Craig Kirby | Registered representative | CFP | Mar 2026 (0y) | |
| Adam Obrien | Registered representative | Mar 2026 (0y) | ||
| John Malloy | Registered representative | Mar 2026 (0y) | ||
| Renee Houser | Registered representative | Mar 2026 (0y) | ||
| Carley Ann Elvis | Registered representative | Mar 2026 (0y) | ||
| Jessica Urbanski | Registered representative | CFP | Mar 2026 (0y) | |
| John David Elder | Registered representative | Mar 2026 (0y) | ||
| John Joseph Pasacreta | Registered representative | Mar 2026 (0y) | ||
| Mary Anne Hartigan | Registered representative | Mar 2026 (0y) | ||
| Nancy Filipe Meade | Registered representative | Mar 2026 (0y) | ||
| Brad Steven Palent | Registered representative | Mar 2026 (0y) | ||
| Christopher Donnelly | Registered representative | Mar 2026 (0y) | ||
| Colton Kline | Registered representative | Mar 2026 (0y) | ||
| Glenn Wright Draper | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Jacqueline Bartels | Registered representative | Mar 2026 (0y) | ||
| James Franklin Hill | Registered representative | Mar 2026 (0y) | ||
| Jane Marie Kunak | Registered representative | Mar 2026 (0y) | ||
| Michael James Cassella | Registered representative | Mar 2026 (0y) | ||
| Ronnie Steven Critelli | Registered representative | Mar 2026 (0y) | ||
| Sandra Katharina Kapfer | Registered representative | Mar 2026 (0y) | ||
| John George Rotando | Registered representative | Mar 2026 (0y) | ||
| John Felice | Registered representative | Mar 2026 (0y) | ||
| Guy C Filewich | Registered representative | Mar 2026 (0y) | ||
| Jason Michael Peters | Registered representative | Mar 2026 (0y) | ||
| John Jason Bish | Registered representative | Mar 2026 (0y) | ||
| Michael James Allen | Registered representative | Mar 2026 (0y) | ||
| Alex Martin Updyke | Registered representative | Mar 2026 (0y) | ||
| Frederick Davis Grand | Registered representative | Mar 2026 (0y) | ||
| Laura Cervantes Holland | Registered representative | Mar 2026 (0y) | ||
| Michael W Duty | Registered representative | Mar 2026 (0y) | ||
| Nicole Comerford | Registered representative | Mar 2026 (0y) | ||
| Thomas Joseph Nieto | Registered representative | Mar 2026 (0y) | ||
| Wesley Robert Nicholson | Registered representative | CFP | Mar 2026 (0y) | |
| William Paul Hawker | Registered representative | Mar 2026 (0y) | ||
| Bruce Edward Piccirillo | Registered representative | Mar 2026 (0y) | ||
| David Gerald Taylor | Registered representative | Mar 2026 (0y) | ||
| Jared Louis Crawford | Registered representative | Mar 2026 (0y) | ||
| Jeanne M. Mc Cormick | Registered representative | Mar 2026 (0y) | ||
| John David Caram | Registered representative | Mar 2026 (0y) | ||
| Marco Brian Lloyd | Registered representative | CFP | Mar 2026 (0y) | |
| Michael Gagala | Registered representative | Mar 2026 (0y) | ||
| Sam Trushenski | Registered representative | Mar 2026 (0y) | ||
| Scott Robert Englehardt | Registered representative | Mar 2026 (0y) | ||
| Vicki Lynn Hebert | Registered representative | Mar 2026 (0y) | ||
| William Thomas Horn | Registered representative | Mar 2026 (0y) | ||
| Christopher H Matzke | Registered representative | Mar 2026 (0y) | ||
| Mark David Kopkin | Registered representative | Mar 2026 (0y) | ||
| Mary Kristine Jenkins | Registered representative | Mar 2026 (0y) | ||
| Tina Fay Gregor | Registered representative | Mar 2026 (0y) | ||
| Alexander C Anderson | Registered representative | CFP | Mar 2026 (0y) | |
| Brian Mcniff | Registered representative | Mar 2026 (0y) | ||
| Carrie Anderson | Registered representative | Mar 2026 (0y) | ||
| Daniel James Magill | Registered representative | Mar 2026 (0y) | ||
| Robert Cittadini | Registered representative | Mar 2026 (0y) | ||
| Brady J Mc Govern | Registered representative | Mar 2026 (0y) | ||
| Daniel Gennusa | Registered representative | Mar 2026 (0y) | ||
| David Bingham Clapp | Registered representative | CFP | Mar 2026 (0y) | |
| Harry Frederick Welch | Registered representative | CFP | Mar 2026 (0y) | |
| James Howard | Registered representative | Mar 2026 (0y) | ||
| Luke Nuetzel | Registered representative | Mar 2026 (0y) | ||
| Robert Nodar | Registered representative | Mar 2026 (0y) | ||
| Stanley Joseph Wilcox | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Catherine Marie Nicholas | Registered representative | Mar 2026 (0y) | ||
| Christopher Paul Kennedy Venit | Registered representative | CFP | Mar 2026 (0y) | |
| Dayna Mason | Registered representative | Mar 2026 (0y) | ||
| Diana Squires | Registered representative | Mar 2026 (0y) | ||
| Geoffrey Zawatski | Registered representative | Mar 2026 (0y) | ||
| Julian Shola Igbaroola | Registered representative | Mar 2026 (0y) | ||
| Moshe Burstin | Registered representative | CFP | Mar 2026 (0y) | |
| Richard Jay Bernstein | Registered representative | Mar 2026 (0y) | ||
| Christopher Charles Kramer | Registered representative | Mar 2026 (0y) | ||
| Eric Wayne Raasch | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| Scott Rainaud | Registered representative | CFP | Mar 2026 (0y) | |
| Alyson Jane Maher | Registered representative | CFP | Mar 2026 (0y) | |
| Dean Vansant Camp | Registered representative | Mar 2026 (0y) | ||
| Justin James Bohall | Registered representative | Mar 2026 (0y) | ||
| Malcolm Rayne | Registered representative | Mar 2026 (0y) | ||
| Mitchell Vansant Camp | Registered representative | Mar 2026 (0y) | ||
| Christopher Ranjo Rafanan | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| David Youngman | Registered representative | Mar 2026 (0y) | ||
| Ericka Lamsek | Registered representative | Mar 2026 (0y) | ||
| Michael Paul Hardy | Registered representative | Mar 2026 (0y) | ||
| Andrea Murphy Doolan | Registered representative | CFP | Mar 2026 (0y) | |
| Joseph James Reinemann | Registered representative | Mar 2026 (0y) | ||
| Curtiss Otten | Registered representative | Mar 2026 (0y) | ||
| Denise Bare | Registered representative | Mar 2026 (0y) | ||
| Douglas Neubrand | Registered representative | Mar 2026 (0y) | ||
| Jerome Belkin | Registered representative | Mar 2026 (0y) | ||
| Justin Rivera | Registered representative | Mar 2026 (0y) | ||
| Kyra Faith Swearingen | Registered representative | Mar 2026 (0y) | ||
| Matilda Babapoor | Registered representative | Mar 2026 (0y) | ||
| Rose Wayne | Registered representative | Mar 2026 (0y) | ||
| Stephen Nzerem | Registered representative | Mar 2026 (0y) | ||
| Victor Ramon Zepeda Ruiz | Registered representative | Mar 2026 (0y) | ||
| Yolanda Cobb | Registered representative | Mar 2026 (0y) | ||
| Amy Wells | Registered representative | Apr 2026 (0y) | ||
| Angela Villanueva | Registered representative | Apr 2026 (0y) | ||
| Anne Middleton | Registered representative | Apr 2026 (0y) | ||
| Brian Schlichter | Registered representative | Apr 2026 (0y) | ||
| Craig Geisendorff | Registered representative | Apr 2026 (0y) | ||
| Jennifer Kao | Registered representative | Apr 2026 (0y) | ||
| Reid Foreman | Registered representative | Apr 2026 (0y) | ||
| Rocio Marticorena | Registered representative | Apr 2026 (0y) | ||
| Sarah Torres | Registered representative | Apr 2026 (0y) | ||
| Vanessa Li | Registered representative | Apr 2026 (0y) | ||
| Yeghishe Ayvazyan | Registered representative | Apr 2026 (0y) | ||
| Darlene Reischman | Registered representative | Apr 2026 (0y) | ||
| David Nicholson | Registered representative | Apr 2026 (0y) | ||
| Dennis Nepomuceno | Registered representative | Apr 2026 (0y) | ||
| Donna Hicko | Registered representative | Apr 2026 (0y) | ||
| Eric Calderon | Registered representative | Apr 2026 (0y) | ||
| Joe Cline | Registered representative | Apr 2026 (0y) | ||
| Kelly Tse | Registered representative | Apr 2026 (0y) | ||
| Mary Elizabeth Stone | Registered representative | Apr 2026 (0y) | ||
| Sujeire Perez | Registered representative | Apr 2026 (0y) | ||
| Vance Barrett | Registered representative | CFP | Apr 2026 (0y) | |
| Yvette Jurado Garcia | Registered representative | Apr 2026 (0y) | ||
| Zhangde Lin | Registered representative | Apr 2026 (0y) | ||
| Jason Robert Gaskins | Registered representative | Apr 2026 (0y) | ||
| Kathleen Fortner Moses | Registered representative | Apr 2026 (0y) | ||
| Michael Jason Garner | Registered representative | Apr 2026 (0y) | ||
| Steve Freedman | Registered representative | Apr 2026 (0y) | ||
| Brian Shobert | Registered representative | Apr 2026 (0y) | ||
| C Anthony Diclemente | Registered representative | Apr 2026 (0y) | ||
| Charmaine Brown | Registered representative | Apr 2026 (0y) | ||
| Cheryl Roberts | Registered representative | Apr 2026 (0y) | ||
| Corey Somarriba | Registered representative | Apr 2026 (0y) | ||
| Daniel Eastwood | Registered representative | Apr 2026 (0y) | ||
| Giles Simpson | Registered representative | Apr 2026 (0y) | ||
| Hassan Hadjilou | Registered representative | Apr 2026 (0y) | ||
| Jaicie Sangoi | Registered representative | Apr 2026 (0y) | ||
| James Mark Ostrowski | Registered representative | Apr 2026 (0y) | ||
| Jennifer Gregory | Registered representative | Apr 2026 (0y) | ||
| Jennifer Marie Balazs | Registered representative | Apr 2026 (0y) | ||
| Joseph S Baumhover | Registered representative | Apr 2026 (0y) | ||
| Julie Kov | Registered representative | Apr 2026 (0y) | ||
| Kirk Loberman | Registered representative | Apr 2026 (0y) | ||
| Kristen Crews Luikens | Registered representative | Apr 2026 (0y) | ||
| Kristin Ingrid Becker | Registered representative | Apr 2026 (0y) | ||
| Maribel Mendoza Frank | Registered representative | Apr 2026 (0y) | ||
| Mark Orton | Registered representative | Apr 2026 (0y) | ||
| Michael Loureiro | Registered representative | Apr 2026 (0y) | ||
| Sean Gannon | Registered representative | Apr 2026 (0y) | ||
| Steven Ton | Registered representative | Apr 2026 (0y) | ||
| Steven Victor | Registered representative | Apr 2026 (0y) | ||
| Tiffany Cederlind | Registered representative | Apr 2026 (0y) | ||
| Trudy Lynn Nishita | Registered representative | Apr 2026 (0y) | ||
| Ann Bolton | Registered representative | Apr 2026 (0y) | ||
| Cheryl Hillis Carlon | Registered representative | Apr 2026 (0y) | ||
| David Drew Dillingham | Registered representative | Apr 2026 (0y) | ||
| Felicite Williamson Pinkston | Registered representative | Apr 2026 (0y) | ||
| Gina Welch | Registered representative | Apr 2026 (0y) | ||
| Jared Ray Watkins | Registered representative | Apr 2026 (0y) | ||
| Joycelyn Love Tran | Registered representative | Apr 2026 (0y) | ||
| Kirsten Tove Nilsen | Registered representative | Apr 2026 (0y) | ||
| Lauren Marisa Takushi | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Nicholas Joseph Meyer | Registered representative | Apr 2026 (0y) | ||
| Rex Wang | Registered representative | Apr 2026 (0y) | ||
| Tera Nicole Bishop | Registered representative | Apr 2026 (0y) | ||
| Feng Taylor | Registered representative | Apr 2026 (0y) | ||
| Garett Jones | Registered representative | Apr 2026 (0y) | ||
| John Wade | Registered representative | Apr 2026 (0y) | ||
| Lori Kamuf | Registered representative | Apr 2026 (0y) | ||
| Teressa Grosklaus | Registered representative | Apr 2026 (0y) | ||
| Thomas Taylor | Registered representative | Apr 2026 (0y) | ||
| Charles Braziel | Registered representative | Apr 2026 (0y) | ||
| Christopher Jeremy Macfarlane | Registered representative | Apr 2026 (0y) | ||
| Jeremy Grazzini | Registered representative | Apr 2026 (0y) | ||
| Jeremy Ryan Denny | Registered representative | Apr 2026 (0y) | ||
| Lorenzo Santiago | Registered representative | Apr 2026 (0y) | ||
| Nicole Richael Looman | Registered representative | Apr 2026 (0y) | ||
| Ryan Nathaniel Russo | Registered representative | Apr 2026 (0y) | ||
| Ryan Thomas Blauch | Registered representative | Apr 2026 (0y) | ||
| Stacy Gannon | Registered representative | Apr 2026 (0y) | ||
| Toril Ashton Mc Guigan | Registered representative | Apr 2026 (0y) | ||
| Virginia Anne Koontz | Registered representative | CFP | Apr 2026 (0y) | |
| William Wayne Hatch | Registered representative | Apr 2026 (0y) | ||
| Jason Bradford Tyo | Registered representative | Apr 2026 (0y) | ||
| Katherine Barbato Riechmann | Registered representative | Apr 2026 (0y) | ||
| Kenneth James Wise | Registered representative | CFP | Apr 2026 (0y) | |
| Kenneth James Wise | Registered representative | Apr 2026 (0y) | ||
| Kristie Howe | Registered representative | CFP | Apr 2026 (0y) | |
| Michael Scott Mccullough | Registered representative | Apr 2026 (0y) | ||
| Mitchel J Wise | Registered representative | Apr 2026 (0y) | ||
| Spencer Decker Stone | Registered representative | Apr 2026 (0y) | ||
| Vincent Parrett | Registered representative | Apr 2026 (0y) | ||
| Brandon Lee Harris | Registered representative | Apr 2026 (0y) | ||
| Brittany Christians | Registered representative | Apr 2026 (0y) | ||
| Tracy Lynn Johns | Registered representative | CFP | Apr 2026 (0y) | |
| Travis Mikel Johnson | Registered representative | CFP | Apr 2026 (0y) | |
| Abraham Avi Mizrahi | Registered representative | Apr 2026 (0y) | ||
| Cameron Edmiston | Registered representative | Apr 2026 (0y) | ||
| Brian Dubyk | Registered representative | Apr 2026 (0y) | ||
| Daniel Alexander Flores | Registered representative | Apr 2026 (0y) | ||
| Fran Zynis | Registered representative | Apr 2026 (0y) | ||
| Priscilla Blanco | Registered representative | Apr 2026 (0y) | ||
| William Vallecillo | Registered representative | Apr 2026 (0y) | ||
| Connor Buck | Registered representative | CFP | Apr 2026 (0y) | |
| Diana Dawson | Registered representative | Apr 2026 (0y) | ||
| Donna Jean Boyette | Registered representative | Apr 2026 (0y) | ||
| Eric Lee Eskridge | Registered representative | Apr 2026 (0y) | ||
| John Ajwani | Registered representative | Apr 2026 (0y) | ||
| Jolene Duplain | Registered representative | Apr 2026 (0y) | ||
| Jonathan David Eskridge | Registered representative | Apr 2026 (0y) | ||
| Meghan Marie Mcguire | Registered representative | CFP Chartered Financial Consultant | Apr 2026 (0y) | |
| Michael Joseph Pepper | Registered representative | Apr 2026 (0y) | ||
| Nitin Jagmohandas Kapadia | Registered representative | Apr 2026 (0y) | ||
| Randy Macdonald | Registered representative | Apr 2026 (0y) | ||
| Roman Sosunov | Registered representative | Apr 2026 (0y) | ||
| Scott Douglas Shuler | Registered representative | Apr 2026 (0y) | ||
| Sharry Hawkins | Registered representative | Apr 2026 (0y) | ||
| Steven Donald Zahorik | Registered representative | Apr 2026 (0y) | ||
| Susan Fritsch | Registered representative | Apr 2026 (0y) | ||
| Susie Marie Kaufman | Registered representative | Apr 2026 (0y) | ||
| Thomas Hunter Williams | Registered representative | CFP | Apr 2026 (0y) | |
| Vicki Diane Hansen | Registered representative | Apr 2026 (0y) | ||
| Anthony Avella | Registered representative | Apr 2026 (0y) | ||
| Donna Bowler | Registered representative | Apr 2026 (0y) | ||
| Jennifer Hope Ivey | Registered representative | Apr 2026 (0y) | ||
| Joseph Leo Mansfield | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Karen Cleveland | Registered representative | Apr 2026 (0y) | ||
| Lora Nickel | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Nadeen Schembri | Registered representative | Apr 2026 (0y) | ||
| Victoria Dawn Mcanulty | Registered representative | Apr 2026 (0y) | ||
| Christine Lovell | Registered representative | Apr 2026 (0y) | ||
| Frank Guerrero | Registered representative | Apr 2026 (0y) | ||
| Kevin Picard | Registered representative | Apr 2026 (0y) | ||
| Kristen Risher | Registered representative | Apr 2026 (0y) | ||
| Lauren Poindexter | Registered representative | Apr 2026 (0y) | ||
| Octavio Ramirez | Registered representative | Apr 2026 (0y) | ||
| Raymond Charles Chera | Registered representative | Apr 2026 (0y) | ||
| Jason Turner | Registered representative | Apr 2026 (0y) | ||
| Michael Chase Laurence | Registered representative | Apr 2026 (0y) | ||
| Rebecca Emmanuella Scala | Registered representative | Apr 2026 (0y) | ||
| Albert Conrad Adam | Registered representative | Apr 2026 (0y) | ||
| Dana L Bennett | Registered representative | Apr 2026 (0y) | ||
| Joel James Remmenga | Registered representative | Apr 2026 (0y) | ||
| Luke E Johnson | Registered representative | Apr 2026 (0y) | ||
| Matthew Mark | Registered representative | Apr 2026 (0y) | ||
| Victoria Lugo | Registered representative | Apr 2026 (0y) | ||
| Amy Chaney | Registered representative | Apr 2026 (0y) | ||
| Brian Charles Blagdon | Registered representative | Apr 2026 (0y) | ||
| Christopher Zagurski | Registered representative | Apr 2026 (0y) | ||
| Lixanelle Roman Valentin | Registered representative | Apr 2026 (0y) | ||
| Jennifer Roe | Registered representative | Apr 2026 (0y) | ||
| Erica Greene | Registered representative | Apr 2026 (0y) | ||
| Gail Lindstrom | Registered representative | Apr 2026 (0y) | ||
| Jennifer Kasper | Registered representative | Apr 2026 (0y) | ||
| Jeremy Snedegar | Registered representative | Apr 2026 (0y) | ||
| Katherine Marie Strain | Registered representative | Apr 2026 (0y) | ||
| Micah Mcwhorter | Registered representative | Apr 2026 (0y) | ||
| Kyle Dunaway | Registered representative | Apr 2026 (0y) | ||
| Patricia Chapple | Registered representative | Apr 2026 (0y) | ||
| Eileen P Mozingo | Registered representative | May 2026 (0y) | ||
| Mark Francis Monaghan | Registered representative | May 2026 (0y) | ||
| Paige Reese Harrison | Registered representative | May 2026 (0y) | ||
| Robert Eugene Snyder | Registered representative | May 2026 (0y) | ||
| Spencer Kilgore | Registered representative | May 2026 (0y) | ||
| Adam Robert Blackwood | Registered representative | May 2026 (0y) | ||
| Brian P Merrick | Registered representative | CFP | May 2026 (0y) | |
| Christopher Felts | Registered representative | May 2026 (0y) | ||
| Deborah Lea Sheehan | Registered representative | May 2026 (0y) | ||
| Freidy Mariano | Registered representative | May 2026 (0y) | ||
| Kimberly Marie Verini | Registered representative | May 2026 (0y) | ||
| Lidia Zawada | Registered representative | May 2026 (0y) | ||
| Phillip Samuel Contacos | Registered representative | May 2026 (0y) | ||
| Sharon Elzena Griffith | Registered representative | May 2026 (0y) | ||
| Thomas Monroe Walton | Registered representative | May 2026 (0y) | ||
| William Mackay Nolan | Registered representative | May 2026 (0y) | ||
| David Finn | Registered representative | May 2026 (0y) | ||
| Franklin Yeep | Registered representative | May 2026 (0y) | ||
| Jennifer Pettengill | Registered representative | May 2026 (0y) | ||
| Jesse Perez | Registered representative | May 2026 (0y) | ||
| John Dyer | Registered representative | May 2026 (0y) | ||
| Jeffery Carson | Registered representative | May 2026 (0y) | ||
| Lee Michael Degeronimo | Registered representative | May 2026 (0y) | ||
| Megan Hoholski | Registered representative | May 2026 (0y) | ||
| Nataliya Tsytsarova | Registered representative | May 2026 (0y) | ||
| Christopher Daniel Powers | Registered representative | May 2026 (0y) | ||
| Hiede Leigh Broccoli | Registered representative | May 2026 (0y) | ||
| Mark Signor | Registered representative | May 2026 (0y) | ||
| Michelle Jones | Registered representative | May 2026 (0y) | ||
| Orlando Basile | Registered representative | May 2026 (0y) | ||
| Thomas David Arnol | Registered representative | May 2026 (0y) | ||
| Eric John Lanning | Registered representative | CFP | May 2026 (0y) | |
| Jason Kariuki | Registered representative | May 2026 (0y) | ||
| Thomas Norman Petersen | Registered representative | May 2026 (0y) | ||
| Walter Ernest Meanwell | Registered representative | May 2026 (0y) | ||
| Amy Corsi | Registered representative | May 2026 (0y) | ||
| Tylor Jason Flebbe | Registered representative | May 2026 (0y) | ||
| Aidan William Counsman | Registered representative | May 2026 (0y) | ||
| Alyssa Oviasogie | Registered representative | May 2026 (0y) | ||
| Corey Bren Streim | Registered representative | May 2026 (0y) | ||
| Daniel Jason Sporn | Registered representative | CFP | May 2026 (0y) | |
| Jeffrey Lawrence Wang | Registered representative | May 2026 (0y) | ||
| Joseph D Ilg | Registered representative | CFP | May 2026 (0y) | |
| John William Rizzo | Registered representative | CFP | May 2026 (0y) | |
| Kyle John Napolitano | Registered representative | CFP | May 2026 (0y) | |
| Sebastian Ciotti | Registered representative | May 2026 (0y) | ||
| Cynthia Ann Michael | Registered representative | May 2026 (0y) | ||
| Ezhar Perov | Registered representative | May 2026 (0y) | ||
| Mark Phillips | Registered representative | May 2026 (0y) | ||
| Cathy Turberville | Registered representative | May 2026 (0y) | ||
| Bret Anthony Schertz | Registered representative | CFP | May 2026 (0y) | |
| Christopher Patrick Kelly | Registered representative | CFP | May 2026 (0y) | |
| Michael Andrew Gielarowski | Registered representative | May 2026 (0y) | ||
| Shannon L. Beauchamp | Registered representative | May 2026 (0y) | ||
| Colton Snelling | Registered representative | May 2026 (0y) | ||
| Emily A Landerholm | Registered representative | May 2026 (0y) | ||
| Joann Joice Shytle | Registered representative | May 2026 (0y) | ||
| Joseph Elmer Seymour | Registered representative | May 2026 (0y) | ||
| Kyle Appling | Registered representative | May 2026 (0y) | ||
| Lisa Ann Hitchcock | Registered representative | May 2026 (0y) | ||
| Parker Jeffrey | Registered representative | May 2026 (0y) | ||
| Brian C Ginty | Registered representative | CFP | May 2026 (0y) | |
| Deborah Mary Mansour | Registered representative | May 2026 (0y) | ||
| Trent Luby | Registered representative | May 2026 (0y) | ||
| Amie Shereen Williams Garner | Registered representative | May 2026 (0y) | ||
| Betty Marie Basilone | Registered representative | May 2026 (0y) | ||
| Gregory Kessler Jr | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jayden Patterson | Registered representative | May 2026 (0y) | ||
| Paul Eckmann | Registered representative | May 2026 (0y) | ||
| Richard Scott Jordan | Registered representative | May 2026 (0y) | ||
| Robert Morrissey | Registered representative | May 2026 (0y) | ||
| Sean Seabolt | Registered representative | May 2026 (0y) | ||
| Joshua Nieman | Registered representative | May 2026 (0y) | ||
| Lawrence Daniel Garrity | Registered representative | May 2026 (0y) | ||
| Nicholas Seymour | Registered representative | May 2026 (0y) | ||
| Vincent Jack Livigni | Registered representative | May 2026 (0y) | ||
| Coty Tyler Schnake | Registered representative | May 2026 (0y) | ||
| Francie Lynn Brown | Registered representative | May 2026 (0y) | ||
| Gregory Shumaker | Registered representative | May 2026 (0y) | ||
| Jacqueline Jeanette Keele | Registered representative | CFP | May 2026 (0y) | |
| James D Jackson Jr | Registered representative | May 2026 (0y) | ||
| Karen Alimi | Registered representative | May 2026 (0y) | ||
| Kari Elise Howland | Registered representative | May 2026 (0y) | ||
| Kathryn Black | Registered representative | May 2026 (0y) | ||
| Martin Matthew Sohovich | Registered representative | May 2026 (0y) | ||
| Ruben Valdez | Registered representative | May 2026 (0y) | ||
| Tressan Quinn | Registered representative | May 2026 (0y) | ||
| Andrea Threatt Owens | Registered representative | May 2026 (0y) | ||
| Katelyn Rose Barton | Registered representative | May 2026 (0y) | ||
| Brendan Dowd | Registered representative | May 2026 (0y) | ||
| Amanda Thomas | Registered representative | May 2026 (0y) | ||
| Christian Keiter | Registered representative | May 2026 (0y) | ||
| Desmond Perry | Registered representative | May 2026 (0y) | ||
| Heather Stauffer | Registered representative | May 2026 (0y) | ||
| Kimberly Ann Warner | Registered representative | May 2026 (0y) | ||
| Kimberly Stasen | Registered representative | May 2026 (0y) | ||
| Melvin Taylor | Registered representative | May 2026 (0y) | ||
| Nicole Maltese | Registered representative | May 2026 (0y) | ||
| Tina Super | Registered representative | May 2026 (0y) | ||
| Brian Donlon | Registered representative | May 2026 (0y) | ||
| Jelmena Hudson | Registered representative | May 2026 (0y) | ||
| Jacob Pentz | Registered representative | May 2026 (0y) | ||
| Richard Leishman | Registered representative | May 2026 (0y) | ||
| Craig Harshey | Registered representative | May 2026 (0y) | ||
| Cynthia Theis | Registered representative | May 2026 (0y) | ||
| Lisa Little | Registered representative | May 2026 (0y) | ||
| Oscar Abaunza Velazquez | Registered representative | May 2026 (0y) | ||
| Reese Philip Boehme | Registered representative | May 2026 (0y) | ||
| Robert Lombri | Registered representative | May 2026 (0y) | ||
| Stephen Barton | Registered representative | May 2026 (0y) | ||
| Bradley Allen Dobson | Registered representative | CFA | May 2026 (0y) | |
| Jeffrey Thomas Lasater | Registered representative | May 2026 (0y) | ||
| Lynn Harnedy | Registered representative | May 2026 (0y) | ||
| Margaret Helene Youch | Registered representative | May 2026 (0y) | ||
| Robert Joseph Gatyas | Registered representative | May 2026 (0y) | ||
| Robert Joseph Charles Youch | Registered representative | May 2026 (0y) | ||
| Brooke Eggleston | Registered representative | Jun 2026 (0y) | ||
| Kenneth Jacob West | Registered representative | Jun 2026 (0y) | ||
| Leanda Pringle | Registered representative | Jun 2026 (0y) | ||
| Loretta Chiofolo | Registered representative | CFP | Jun 2026 (0y) | |
| Rachel Malvasi | Registered representative | Jun 2026 (0y) | ||
| Ian Penny | Registered representative | Jun 2026 (0y) | ||
| Michael Rimmey | Registered representative | Jun 2026 (0y) | ||
| Nathania Walsh | Registered representative | Jun 2026 (0y) | ||
| Oriana Echeverria | Registered representative | Jun 2026 (0y) | ||
| Philip Antonio Barnes Ii | Registered representative | Jun 2026 (0y) | ||
| Renee Finney | Registered representative | Jun 2026 (0y) | ||
| Terry F Keele | Registered representative | Jun 2026 (0y) | ||
| Patricia Pollock Imbo | Registered representative | Jun 2026 (0y) | ||
| Zoe Marie Mcfadden | Registered representative | Jun 2026 (0y) | ||
| Jason Patrick Frescoln | Registered representative | Jun 2026 (0y) | ||
| Vivian Junco Leon | Registered representative | Jun 2026 (0y) | ||
| William Ruiz | Registered representative | Jun 2026 (0y) | ||
| Bryce Tucker Joyner | Registered representative | Jun 2026 (0y) | ||
| Chad Alphanso Thomas | Registered representative | CFP | Jun 2026 (0y) | |
| Daniel Crowe | Registered representative | Jun 2026 (0y) | ||
| Jay Paul Szerencsy | Registered representative | Jun 2026 (0y) | ||
| John Martin Sepe | Registered representative | Jun 2026 (0y) | ||
| Judith Carol Hansen | Registered representative | Jun 2026 (0y) | ||
| Margaret Heher Hill | Registered representative | Jun 2026 (0y) | ||
| Roger Turner | Registered representative | Jun 2026 (0y) | ||
| Adam Cronomiz | Registered representative | Jun 2026 (0y) | ||
| Allison Paige Rebich | Registered representative | Jun 2026 (0y) | ||
| Brian Gregory Long | Registered representative | Jun 2026 (0y) | ||
| Cody Fischer | Registered representative | Jun 2026 (0y) | ||
| Eli Todd Rebich | Registered representative | Jun 2026 (0y) | ||
| Gregory Charles Keil | Registered representative | Jun 2026 (0y) | ||
| Tiffany Dawn Lopez | Registered representative | Jun 2026 (0y) | ||
| Zane Lawrence Wright | Registered representative | Jun 2026 (0y) | ||
| Elizabeth Cueto | Registered representative | Jun 2026 (0y) | ||
| Evan Michael Dillman | Registered representative | Jun 2026 (0y) | ||
| Jacob Robert Schreck | Registered representative | Jun 2026 (0y) | ||
| Matthew Wiest | Registered representative | Jun 2026 (0y) | ||
| Zachary W Tracey | Registered representative | CFP | Jun 2026 (0y) | |
| Russell Hicks | Registered representative | Jun 2026 (0y) | ||
| Thomas Johnson | Registered representative | Jun 2026 (0y) | ||
| Arthur Bland Sullivan | Registered representative | Jun 2026 (0y) | ||
| Arthur Bland Sullivan | Registered representative | CFP | Jun 2026 (0y) | |
| Charles Mark Foudree | Registered representative | Jun 2026 (0y) | ||
| Daniel Byrnes | Registered representative | Jun 2026 (0y) | ||
| Jennifer Palmer Wheatley | Registered representative | Jun 2026 (0y) | ||
| Kevin Michael Flynn | Registered representative | Jun 2026 (0y) | ||
| Kirby William Bock | Registered representative | Jun 2026 (0y) | ||
| Thomas Adrian Ragonese | Registered representative | Jun 2026 (0y) | ||
| Anna Lee | Registered representative | Jun 2026 (0y) | ||
| Charles John Hofmann | Registered representative | Jun 2026 (0y) | ||
| Julie Ann Grace | Registered representative | Jun 2026 (0y) | ||
| Mary Lynn Van Moppes | Registered representative | Jun 2026 (0y) | ||
| Michael Studer | Registered representative | Jun 2026 (0y) | ||
| Robert Michael Gonzalez | Registered representative | Jun 2026 (0y) | ||
| Theodore Joseph Russell | Registered representative | Jun 2026 (0y) | ||
| Victoria Maria Renner | Registered representative | Jun 2026 (0y) | ||
| Alan Charles Dana | Registered representative | CFP | Jun 2026 (0y) | |
| Debby A Mellenger | Registered representative | Jun 2026 (0y) | ||
| Jeffery Lynn Dishman | Registered representative | Jun 2026 (0y) | ||
| John William Thunholm | Registered representative | Jun 2026 (0y) | ||
| Richard Moras | Registered representative | CFP | Jun 2026 (0y) | |
| Troy Robert Huber | Registered representative | Jun 2026 (0y) | ||
| Andrew Darrin Sholar | Registered representative | Jun 2026 (0y) | ||
| Anthony Adam Cisneros | Registered representative | Jun 2026 (0y) | ||
| Brian John Terry | Registered representative | Jun 2026 (0y) | ||
| Carolyn Starkweather | Registered representative | Jun 2026 (0y) | ||
| Christina Rae Lebeck | Registered representative | Jun 2026 (0y) | ||
| Christopher Malmevik | Registered representative | Jun 2026 (0y) | ||
| Christopher Rush | Registered representative | Jun 2026 (0y) | ||
| Craig Settje | Registered representative | Jun 2026 (0y) | ||
| Darrick William Duenwald | Registered representative | Jun 2026 (0y) | ||
| Heidi Lee Farrell | Registered representative | Jun 2026 (0y) | ||
| Nicole Marie Rivera | Registered representative | Jun 2026 (0y) | ||
| Oluwakemi Akinkugbe | Registered representative | Jun 2026 (0y) | ||
| Phillip Nathaniel Loring | Registered representative | Jun 2026 (0y) | ||
| Saana Liikonen | Registered representative | Jun 2026 (0y) | ||
| Tyler Bateman | Registered representative | Jun 2026 (0y) | ||
| Daniel Martin Licata | Registered representative | Jun 2026 (0y) | ||
| Katherine Elizabeth Glidden | Registered representative | CFP | Jun 2026 (0y) | |
| Lori Wiese | Registered representative | Jun 2026 (0y) | ||
| Ann Elizabeth Harty | Registered representative | Jun 2026 (0y) | ||
| Brian Alan Nussbaum | Registered representative | Jun 2026 (0y) | ||
| Byron Mason John Phipps | Registered representative | Jun 2026 (0y) | ||
| Emir Mansfield | Registered representative | Jun 2026 (0y) | ||
| Jennifer J Radke | Registered representative | Jun 2026 (0y) | ||
| Jennifer Lyn Jacobson | Registered representative | Jun 2026 (0y) | ||
| Laura Lyons | Registered representative | Jun 2026 (0y) | ||
| Rusti Alexander Gunn | Registered representative | Jun 2026 (0y) | ||
| Alexandra Brianne Frymier | Registered representative | Jun 2026 (0y) | ||
| Christina Stanislavovna Chernyshev | Registered representative | Jun 2026 (0y) | ||
| Daniel Justin Lewis | Registered representative | Jun 2026 (0y) | ||
| Deanne Laging | Registered representative | Jun 2026 (0y) | ||
| John Joseph Quinn | Registered representative | Jun 2026 (0y) | ||
| Lori Ann Helland | Registered representative | CFP | Jun 2026 (0y) | |
| Patrick Jones | Registered representative | Jun 2026 (0y) | ||
| Robert Patrick Higgins | Registered representative | Jun 2026 (0y) | ||
| Roxanne Larsen | Registered representative | Jun 2026 (0y) | ||
| Rachel Lynne Okorn | Registered representative | Jun 2026 (0y) | ||
| Teresa Shumaker | Registered representative | Jun 2026 (0y) | ||
| Brian Courisky | Registered representative | Jun 2026 (0y) | ||
| Dawna Larson | Registered representative | Jun 2026 (0y) | ||
| Daniel Brian Maude | Registered representative | Jun 2026 (0y) | ||
| Eric Ekman | Registered representative | Jun 2026 (0y) | ||
| James Harry Rosensteel | Registered representative | Jun 2026 (0y) | ||
| Jennifer Lynne Tarantino | Registered representative | Jun 2026 (0y) | ||
| John Anthony Tarantino | Registered representative | Jun 2026 (0y) | ||
| Karina Schoenenberger Casini | Registered representative | Jun 2026 (0y) | ||
| Kassi Elle Lee | Registered representative | Jun 2026 (0y) | ||
| Margaret O'kelley | Registered representative | Jun 2026 (0y) | ||
| Anne Ferraraccio | Registered representative | Jun 2026 (0y) | ||
| Catherine Branch | Registered representative | Jun 2026 (0y) | ||
| Joanna Puder | Registered representative | Jun 2026 (0y) | ||
| Katherine Buckley | Registered representative | Jun 2026 (0y) | ||
| Larissa Neto Alvarez | Registered representative | Jun 2026 (0y) | ||
| Louis John Davenio | Registered representative | Jun 2026 (0y) | ||
| Susanna Dee Pollock | Registered representative | Jun 2026 (0y) | ||
| William Riley Giddens | Registered representative | Jun 2026 (0y) | ||
| Mark Alexander Mc Manus | Registered representative | Jun 2026 (0y) | ||
| Andrew Hall | Registered representative | Jun 2026 (0y) | ||
| Connor Brandeen | Registered representative | CFP | Jun 2026 (0y) | |
| Glenn Johnson | Registered representative | Jun 2026 (0y) | ||
| James Jimmy Vera | Registered representative | Jun 2026 (0y) | ||
| Darin Thomas Brommer | Registered representative | Jun 2026 (0y) | ||
| David Wayne Hopwood | Registered representative | Jun 2026 (0y) | ||
| David Farace | Registered representative | Jun 2026 (0y) | ||
| Heather Johnson | Registered representative | Jun 2026 (0y) | ||
| William Jobes | Registered representative | Jun 2026 (0y) | ||
| Brett Shaw | Registered representative | Jul 2026 (0y) | ||
| Darren Andrew Dawson | Registered representative | CFP | Jul 2026 (0y) | |
| Jessica Sabath | Registered representative | Jul 2026 (0y) | ||
| John Alexander Kent | Registered representative | Jul 2026 (0y) | ||
| John Henry Kent | Registered representative | Jul 2026 (0y) | ||
| Jose Henry Mercy | Registered representative | Jul 2026 (0y) | ||
| Mark James Elliott | Registered representative | CFP | Jul 2026 (0y) | |
| Matthew James Boley | Registered representative | Jul 2026 (0y) | ||
| Scott Robert Friedman | Registered representative | CFP | Jul 2026 (0y) | |
| Blake Valli | Registered representative | Jul 2026 (0y) | ||
| Bryce Dooley | Registered representative | Jul 2026 (0y) | ||
| Kimberly Ann Benko | Registered representative | Jul 2026 (0y) | ||
| Thulio Goncalves | Registered representative | Jul 2026 (0y) | ||
| Stacey Wiedenmeier | Registered representative | Jul 2026 (0y) | ||
| Elisabeth Maria Niemann | Registered representative | Jul 2026 (0y) | ||
| Jacob Daniel Wilson | Registered representative | Jul 2026 (0y) | ||
| Jody Lee Cinnamon | Registered representative | Jul 2026 (0y) | ||
| Leah Dotinga | Registered representative | Jul 2026 (0y) | ||
| Michael Louis Darby | Registered representative | Jul 2026 (0y) | ||
| Bryan Arnold Rhodes | Registered representative | Jul 2026 (0y) | ||
| Brytt Christensen | Registered representative | Jul 2026 (0y) | ||
| Christen Riley Mitchell | Registered representative | Jul 2026 (0y) | ||
| Dalton Homan | Registered representative | Jul 2026 (0y) | ||
| Derek Krebsbach | Registered representative | Jul 2026 (0y) | ||
| Harrilyn Collins | Registered representative | Jul 2026 (0y) | ||
| Katherine Henderson | Registered representative | Jul 2026 (0y) | ||
| Lawrence Solomayer | Registered representative | Jul 2026 (0y) | ||
| Robert Philip Riley | Registered representative | Jul 2026 (0y) | ||
| Robert Vernon Riley | Registered representative | Jul 2026 (0y) | ||
| Scott Debeck | Registered representative | Jul 2026 (0y) | ||
| Sean Fansler | Registered representative | Jul 2026 (0y) | ||
| Susan Christine Leuver | Registered representative | Jul 2026 (0y) | ||
| Tracy L Janis | Registered representative | Jul 2026 (0y) | ||
| Yvonne Edwards | Registered representative | Jul 2026 (0y) | ||
| Alyssa Nicole Blassingame | Registered representative | Jul 2026 (0y) | ||
| Delmer Watson | Registered representative | Jul 2026 (0y) | ||
| Katie Pillow | Registered representative | Jul 2026 (0y) | ||
| Megan Roraff | Registered representative | Jul 2026 (0y) | ||
| Sean Murphy | Registered representative | Jul 2026 (0y) | ||
| Chris Ambrose | Registered representative | Jul 2026 (0y) | ||
| David Lee Davis | Registered representative | Jul 2026 (0y) | ||
| Juan Miguel Del Cid Pineda | Registered representative | Jul 2026 (0y) | ||
| Kimberly Morse | Registered representative | Jul 2026 (0y) | ||
| Raihan Samnani | Registered representative | Jul 2026 (0y) | ||
| Troy Timothy Sharpe | Registered representative | Jul 2026 (0y) | ||
| Cynthia Louise Lee | Registered representative | Jul 2026 (0y) | ||
| Erin Jones | Registered representative | Jul 2026 (0y) | ||
| Robert Bosch | Registered representative | Jul 2026 (0y) | ||
| Amita Sheth | Registered representative | Jul 2026 (0y) | ||
| Guy T Schoepfer | Registered representative | Jul 2026 (0y) | ||
| Jake Luthardt | Registered representative | Jul 2026 (0y) | ||
| Joey Mcintyre | Registered representative | Jul 2026 (0y) | ||
| Patrick William Sherrill | Registered representative | Jul 2026 (0y) | ||
| Renee Kellogg | Registered representative | Jul 2026 (0y) | ||
| An Nguyen | Registered representative | Jul 2026 (0y) | ||
| Annette Lavon Patterson | Registered representative | Jul 2026 (0y) | ||
| Gina Husted | Registered representative | Jul 2026 (0y) | ||
| Halle Howard | Registered representative | Jul 2026 (0y) | ||
| Joanne Mcgrath | Registered representative | Jul 2026 (0y) | ||
| Martina Leshay Beckford | Registered representative | Jul 2026 (0y) | ||
| Robert Laegeler | Registered representative | Jul 2026 (0y) | ||
| Gavin Mark Thornburg | Registered representative | Jul 2026 (0y) | ||
| Jake Scott | Registered representative | Jul 2026 (0y) | ||
| John Robert Moncrieff | Registered representative | Jul 2026 (0y) | ||
| Lisa Devers | Registered representative | Jul 2026 (0y) | ||
| Paul Benjamin Phillips | Registered representative | Jul 2026 (0y) | ||
| Steven Lars Mattson | Registered representative | Jul 2026 (0y) | ||
| Jerod Omar Hubbard | Registered representative | Jul 2026 (0y) | ||
| Matthew Robert Galati | Registered representative | Jul 2026 (0y) | ||
| Matthew Todd Vacchiano | Registered representative | Jul 2026 (0y) | ||
| Michiko Bernstein | Registered representative | Jul 2026 (0y) | ||
| Olivia Hardester | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Wachovia Securities Financial Holdings, Llc | Sole Member | Dec 2003 | A | 75% or more |
| Everen Capital Corporation | Share Holder | Aug 2010 | B | 75% or more of Wachovia Securities Financial Holding, Llc (indirect) |
| Wells Fargo & Company | Share Holder | Sep 1998 | B | 75% or more of Wfc Holdings, Llc (indirect) |
| Wfc Holdings, Llc | Share Holder | Dec 2017 | B | 75% or more of Everen Capital Corporation (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (86)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Csi Aviation 401(k) Plan | Csi Aviation, Inc. | 278 | $8.6M | 09/01/2024 |
| Child Parent Centers, Inc. Retirement Plan | Child Parent Centers Inc. | 561 | $46.8M | 09/01/2024 |
| Texas Farm Products Co. 401(k) Profit Sharing Plan | Texas Farm Products Company | 184 | $3.1M | 07/01/2024 |
| The Echo Design Group, Inc. 401(k) Plan | The Echo Design Group, Inc. | 82 | $36.2M | 07/01/2024 |
| Exedy America 401 K Plan | Exedy America Corporation | 42 | $5.7M | 01/01/2024 |
| Jst Corporation 401(k) Plan | Jst Corporation | 366 | $41.6M | 01/01/2024 |
| Morley Builders Employee Savings Plan | Morley Builders, Inc. | 141 | $36.8M | 01/01/2024 |
| Strivectin Operating Company Inc. 401(k) Profit Sharing Plan And Trust | Strivectin Operating Company, Inc. | 0 | $0 | 01/01/2024 |
| Coastal Pediatrics Medical Group, Inc Profit Sharing 401(k)plan | Coastal Pediatrics Medical Group, Inc. | 16 | — | 01/01/2024 |
| Detroit Tool & Engineering 401(k) Retirement Plan | Rcd Llc | 79 | $15.7M | 01/01/2024 |
| Jp Express Service 401(k) Plan | Jp Express Service Inc. | 266 | $8.9M | 01/01/2024 |
| F.G. Pruitt 401(k) Profit Sharing Plan | F.G. Pruitt, Inc. | 104 | $15.5M | 01/01/2024 |
| Befesa Zinc Metal Llc Salaried Retirement Savings Plan | Befesa Zinc Metal Llc | 76 | $6.4M | 01/01/2024 |
| Befesa Zinc Us Inc. Hourly Retirement Savings Plan | Befesa Zinc Us Inc. | 224 | $10.7M | 01/01/2024 |
| Dietz & Watson, Inc. Local 152 401(k) Savings Plan | Dietz & Watson, Inc. | 452 | $12.1M | 01/01/2024 |
| Aurora Mental Health Retirement Savings Plan | Aurora Comprehensive Community Mental Health | 696 | $26.8M | 01/01/2024 |
| Bsb Design, Inc. 401(k) Savings Plan | Bsb Design, Inc. | 176 | $21.4M | 01/01/2024 |
| Aam, Llc 401(k) Profit Sharing Plan And Trust | Aam. Llc | 924 | $26.1M | 01/01/2024 |
| Atlantic Corporation Of Wilmington, Inc. 401(k) Profit Sharing Plan | Atlantic Corporation Of Wilmington, Inc. | 1,144 | $178M | 01/01/2024 |
| Sabert Corporation 401(k) Plan | Sabert Corporation | 1,607 | $113M | 01/01/2024 |
| Audiology Benefits 401(k) Plan | Audiology Benefits Service, Llc | 3,104 | $216M | 01/01/2024 |
| Befesa Zinc Us Inc. Salaried Retirement Savings Plan | Befesa Zinc Us Inc. | 109 | $16.0M | 01/01/2024 |
| Dietz & Watson, Inc. Deferred Salary Savings Plan | Dietz & Watson, Inc. | 610 | $43.2M | 01/01/2024 |
| Dw Logistics Local 152 401(k) Plan | Dietz & Watson, Inc. | 117 | $1.6M | 01/01/2024 |
| Hacienda, Inc. Retirement Plan | Hacienda, Inc. | 337 | $12.9M | 01/01/2024 |
Top 25 of 86 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/17/2026 | 22.7 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Event Detail: WACHOVIA BANK WAS CHARGED WITH ONE FELONY COUNT FOR FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF TITLE 31, UNITED STATES CODE, SECTIONS 5318(H)(1) AND 5322(A). WACHOVIA BANK ENTERED INTO A DEFERRED PROSECUTION AGREEMENT RELATING TO THE CHARGE IN LIEU OF ENTERING A PLEA. THE CHARGE RELATED TO FOREIGN CORRESPONDENT BANKING SERVICES. Status: Final Disposition: WACHOVIA BANK ENTERED INTO A DEFERRED PROSECUTION AGREEMENT ("AGREEMENT") WITH THE U.S. ATTORNEY'S OFFICE AND THE U.S. DEPARTMENT OF JUSTICE (COLLECTIVELY, THE "UNITED STATES") ON MARCH 16, 2010. PURSUANT TO THE AGREEMENT, WACHOVIA BANK SETTLED CIVIL AND CRIMINAL FORFEITURE CLAIMS FOR THE AMOUNT OF $110 MILLION. WACHOVIA BANK ALSO AGREED TO PAY A FINE OF $50 MILLION TO THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC"). THE FORFEITURE AND FINE WERE PAID ON OR BEFORE MARCH 21, 2010. WACHOVIA BANK ALSO AGREED TO IMPLEMENT CERTAIN REMEDIAL ACTIONS AND TO ABIDE BY ANY ORDERS AND REGULATIONS OF THE OCC AND THE DEPARTMENT OF THE TREASURY, FINANCIAL CRIMES ENFORCEMENT NETWORK. WELLS FARGO BANK AGREED TO BE BOUND BY THE TERMS AND CONDITIONS OF THE AGREEMENT FOLLOWING THE MERGER. THE UNITED STATES AGREED THAT PROSECUTION OF WACHOVIA BANK BE DEFERRED FOR A PERIOD OF TWELVE MONTHS AND THAT, IF WELLS FARGO BANK IS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE AGREEMENT, THE UNITED STATES, WITHIN THIRTY DAYS OF THE EXPIRATION OF THAT PERIOD, WOULD SEEK DISMISSAL WITH PREJUDICE OF THE CHARGE. ON APRIL 6, 2011, THE UNITED STATES DISMISSED THE FELONY CHARGE FOR FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF TITLE 31, UNITED STATES CODE, SECTIONS 5318(H)(1) AND 5322(A). THE UNITED STATES FOUND THAT WELLS FARGO BANK WAS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE DEFERRED PROSECUTION AGREEMENT. Summary: WACHOVIA BANK ENTERED INTO THE DEFERRED PROSECUTION AGREEMENT DESCRIBED IN 4, ABOVE, AS THE RESULT OF AN INVESTIGATION INTO WACHOVIA'S TRANSACTIONS WITH MEXICAN CURRENCY EXCHANGE HOUSES, COMMONLY KNOWN AS "CASAS DE CAMBIO," FROM MAY 2003 THROUGH JUNE 2008. WACHOVIA BANK WAS CHARGED WITH FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM. ON APRIL 6, 2011, THE UNITED STATES DISMISSED THE FELONY CHARGE FOR FAILING TO ESTABLISH AND MAINTAIN AN EFFECTIVE ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF TITLE 31, UNITED STATES CODE, SECTIONS 5318(H)(1) AND 5322(A). THE UNITED STATES FOUND THAT WELLS FARGO BANK WAS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE DEFERRED PROSECUTION AGREEMENT.
Allegations: THE COMPLAINT ALLEGES THAT WELLS FARGO BANK, N.A. ENGAGED IN MISCONDUCT IN CONNECTION WITH ITS PARTICIPATION IN THE FEDERAL HOUSING ADMINISTRATION (FHA) DIRECT ENDORSEMENT LENDER PROGRAM AND THAT, AS A RESULT OF FALSE CERTIFICATIONS, FHA HAS PAID HUNDREDS OF MILLIONS OF DOLLARS IN INSURANCE CLAIMS ON THOUSANDS OF MORTGAGES THAT DEFAULTED. Status: Final Summary: WELLS FARGO BANK, N.A. ("WFB") ENTERED INTO A SETTLEMENT WITH THE UNITED STATES OF AMERICA, AS PART OF A CIVIL COURT ACTION FILED IN THE US DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK, #12 CIV. 7527 (JMF)(JCF), WHEREIN WFB, OR A PREDECESSOR, AGREED THAT BETWEEN MAY 1, 2001 AND DECEMBER 31, 2008, FAILED TO REPORT TO HUD CERTAIN FHA LOANS THAT THE BANK'S QUALITY ASSURANCE PERSONNEL HAD DETERMINED DID NOT MEET HUD UNDERWRITING REQUIREMENTS, AND WHICH WERE NOT ELIGIBLE FOR FHA INSURANCE. WFB AGREED TO PAY THE SUM OF $1,200,000,000 TO THE US AS PART OF THE SETTLEMENT AGREEMENT.
Summary: THIS DRP WAS FILED IN ERROR UNDER CONTROL AFFILIATE 126292. THE DRP SHOULD BE DELETED.
Allegations: THE COUNTY SOUGHT TO RECOVER DAMAGES ARISING FROM CONDUCT OF A FORMER FIRST FIDELITY BANK EMPLOYEE WHO ENTERED INTO A KICKBACK SCHEME WITH THE TREASURER OF ESSEX COUNTY IN 1987 TO STEER BUSINESS TO FIRST FIDELITY, WHICH SERVED AS UNDERWRITER FOR THREE BOND ISSUES DONE BY THE COUNTY IN 1987 AND 1989. Status: Final Summary: THE MATTER WAS SETTLED BY PAYMENT TO THE COUNTY BY WACHOVIA OF $2.8 MILLION. IN 1996, FIRST FIDELITY ENTERED INTO A SETTLEMENT WITH THE SEC PROVIDING FOR DISGORGEMENT OF ILL-GOTTEN GAINS RELATING TO A KICKBACK SCHEME ENTERED INTO BY ONE OF ITS FORMER EMPLOYEES TO OBTAIN PUBLIC FINANCE BUSINESS. THIS CASE WAS FILED BY ESSEX COUNTY IN OCTOBER OF 1996. IN SEPTEMBER OF 2002, THE CASE WAS TRIED TO A JURY, WHICH RETURNED A VERDICT FOR THE COUNTY OF $600,000 ON AN UNJUST ENRICHMENT CLAIM. PRE-JUDGEMENT INTEREST WAS ASSESSED FROM 1989 FOR A TOTAL OF $1,130,663.04. PLAINTIFF APPEALED AND THE BANK CROSS-APPEALED. THE APPELLATE COURT RULED ON DECEMBER 22, 2004, ORDERING THAT THE BANK PAY DISGORGEMENT OF FEES FOR ALL THREE TRANSACTIONS ($1,568,551), BUT ASSESSING INTEREST ONLY BACK TO THE FILING DATE. ON APPEAL, THE NEW JERSEY SUPREME COURT HELD ON 1/27/06 THAT THE COUNTY WAS ENTITLED TO DISGORGEMENT ON ALL THREE DEALS BUT ONLY THE PORTION THAT WASN'T PAID TO OTHER UNDERWRITERS. INTEREST WAS ASSESSED BACK TO THE DATE OF THE DEALS. ON 2/3/06 THE COUNTY FILED A MOTION FOR RECONSIDERATION, WHICH WAS DENIED ON 3/16/06. PRIOR TO THE CASE BEING RE-TRIED AS INSTRUCTED BY THE SUPREME COURT, THE PARTIES SETTLED AS DESCRIBED ABOVE.
Allegations: THE COMPLAINT ALLEGES THAT THE REFERENCED AFFILIATES: ENGAGED IN UNFAIR AND DECEPTIVE CONSUMER PRACTICES WITH RESPECT TO LOAN SERVICING, FORECLOSURE PROCEEDINGS AND LOAN ORIGINATIONS; VIOLATED THE FALSE CLAIMS ACT, THE FINANCIAL INSTITUTIONS REFORM AND RECOVERY ACT OF 1989 AND THE SERVICEMEMBERS CIVIL RELIEF ACT; AND ENGAGED IN BANKRUPTCY MISCONDUCT. Status: Final Summary: THE COMPLAINT RAISED NUMEROUS ALLEGATIONS RELATING TO THE AFFILIATES ACTIONS IN CONNECTION WITH THE ORIGINATION, SERVICING AND FORECLOSURE OF RESIDENTIAL MORTGAGE LOANS. THE COMPLAINT FURTHER ALLEGES THE ACTIONS OF THE AFFILIATES RESULTED IN INJURIES TO THE STATES AND CITIZENS OF THE STATES WHO HAD RESIDENTIAL MORTGAGE LOANS. THE CIRCUMSTANCES RELATED TO THE AFFILIATES ACTIVITIES IN CONNECTION WITH NUMEROUS FEDERAL RESIDENTIAL LOAN PROGRAMS, THE SINGLE FAMILY MORTGAGE INDUSTRY AND THE UNITED STATES STIMULUS RESCUE EFFORTS TO STABILIZE THE HOUSING AND CREDIT MARKETS. THE CONSENT JUDGMENT WAS AGREED TO WITHOUT THE AFFILIATES ADMITTING THE ALLEGATIONS, EXCEPT TO THE EXTENT NECESSARY TO ESTABLISH JURISDICTION.
Allegations: THE COMPLAINT ALLEGES THAT THE REFERENCED AFFILIATES VIOLATED THE OKLAHOMA CONSUMER PROTECTION ACT BY FAILING TO TAKE REQUIRED ACTION AND BY TAKING CERTAIN PROHIBITED ACTIONS IN CONNECTION WITH RESIDENTIAL MORTGAGE LOANS. Status: Final Summary: THE COMPLAINT RAISED NUMEROUS ALLEGATIONS RELATING TO THE AFFILIATES ACTIONS IN CONNECTION WITH THE ORIGINATION, SERVICING AND FORECLOSURE OF RESIDENTIAL MORTGAGE LOANS. THE COMPLAINT FURTHER ALLEGES THAT THESE ACTIVITIES RESULTED IN THE VIOLATION OF THE OKLAHOMA CONSUMER PROTECTION ACT. THE CONSENT JUDGMENT WAS AGREED TO BY THE AFFILIATES WITHOUT THE AFFILIATES AGREEING TO THE ALLEGATIONS, EXCEPT TO THE EXTENT NECESSARY TO ESTABLISH JURISDICTION.
Allegations: THE COMPLAINT ALLEGES THAT WELLS FARGO PERSONNEL ENGAGED IN VARIOUS ALLEGEDLY IMPROPER ACTS AND PRACTICES DESIGNED TO MEET SALES GOALS AND QUOTAS, SUCH AS OPENING ACCOUNTS WITHOUT CUSTOMER AUTHORIZATION, MISREPRESENTING THAT CERTAIN PRODUCTS WERE AVAILABLE ONLY IN PACKAGES WITH OTHER PRODUCTS, MISUSING CUSTOMER DATA IN CONNECTION WITH THE FOREGOING, AND NOT DISCLOSING SUCH ALLEGED MISUSE TO CUSTOMERS. THE COMPLAINT ALLEGES THAT CUSTOMERS WERE HARMED BY, AMONG OTHER THINGS, INCURRING UNAUTHORIZED FEES. Status: Final
Allegations: THE UNITED STATES ATTORNEY'S OFFICE FOR THE SOUTHERN DISTRICT OF NEW YORK ALLEGED THAT FROM 2010 THROUGH 2017, WELLS FARGO BANK, N.A. DEFRAUDED 771 COMMERCIAL CUSTOMERS WHO USED THE BANK'S FX SERVICES BY MISREPRESENTING FX PRICING LEVELS AND ENGAGING IN OTHER IMPROPER FX PRICING PRACTICES IN VIOLATION OF THE MAIL FRAUD, WIRE FRAUD, AND BANK FRAUD STATUTES 18 U.S.C. §§ 1341, 1343, 1344. Status: Final
Allegations: THE SEC FILED A COMPLAINT WHICH ALLEGED THAT PRUDENTIAL FINANCIAL, INC. IMPROPERLY ACCOUNTED FOR CERTAIN REINSURANCE CONTRACTS ENTERED INTO WITH A SINGLE COUNTERPARTY IN THE YEARS 1997-2002 RELATING TO THE COMPANY'S PROPERTY AND CASUALTY OPERATIONS THAT WERE SOLD IN 2003. THE COMPLAINT ALLEGED THAT THIS RESULTED IN AN OVERSTATMENT OF THE COMPANY'S CONSOLIDATED RESULTS FOR CERTAIN YEARS IN REPORTS FILED WITH THE SEC,IN VIOLATION OF THE FINANCIAL REPORTING, BOOKS AND RECORDS AND INTERNAL CONTROL PROVISIONS OF THE EXCHANGE ACT. Status: Final Summary: SEE ITEM 7. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, PRUDENTIAL FINANCIAL, INC. CONSENTED TO THE ENTRY OF A FINAL JUDGEMENT ENJOINING IT FROM FUTURE VIOLATIONS OF SPECIFIC PROVISIONS OF THE SECURITIES EXCHANGE ACT AND RELATED RULES AND REGULATIONS OF THE SEC THEREUNDER. THIS WILL RESOLVE THE SEC'S INVESTIGATION INTO THESE MATTERS WITHOUT THE IMPOSITION OF ANY MONETARY FINE OR PENALTY.
Allegations: THE ONLY REMAINING ALLEGATION IN THIS LITIGATION IS THAT WELLS FARGO BANK VIOLATED THE PROVISIONS OF CALIFORNIA BUSINESS & PROFESSIONS CODE SECTION 17200 ET SEQ. RELATING TO ALLEGED FRAUDULENT MISREPRESENTATIONS AS TO THE ORDER BY WHICH THE BANK POSTED ITEMS TO CONSUMER DEPOSIT ACCOUNTS IN THE STATE OF CALIFORNIA. Status: Final Summary: WELLS FARGO BANK APPEALED TO THE UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT WITH THE INJUNCTION APPEALED AUGUST 2, 2013 AND THE BALANCE OF THE MAY 14,2013 ORDER WAS APPEALED AUGUST 9, 2013. WELLS FARGO'S APPEAL WAS UNSUCCESSFUL AND THE UNTED STATES SUPREME COURT DECLINED TO HEAR THE CASE IN APRIL 2016. AS A RESULT, WELLS FARGO PAID THE JUDGMENT IN JUNE 2016.
Allegations: THE COMPLAINT ALLEGES THAT, DURING AND BETWEEN 2004 AND 2009, THE REFERENCED CONTROL AFFILIATE ENGAGED IN A PATTERN OR PRACTICE OF DISCRIMINATION ON THE BASIS OF RACE AND NATIONAL ORIGIN IN RESIDENTIAL MORTGAGE LENDING BY ALLOWING EMPLOYEES TO MAKE DECISIONS ABOUT THE TYPE OF LOAN PRODUCT OFFERED AND THE LOAN PRICE IN A MANNER DISCONNECTED FROM OBJECTIVE CRITERIA LIKE CREDIT RISK, THAT POLICIES SET UP FINANCIAL INCENTIVES FOR EMPLOYEES AND MORTGAGE BROKER'S TO IMPOSE UNFAVORABLE TERMS, AND THAT THE POLICIES LACKED SAFEGUARDS TO PREVENT AND REMEDY RACIAL AND ETHNIC DISPARITIES. Status: Final Summary: THE COMPLAINT ALLEGES THAT THE REFERENCED CONTROL AFFILIATE DISCRIMINATED AGAINST AFRICAN AMERICAN AND HISPANIC BORROWERS IN ITS RESIDENTIAL MORTGAGE LENDING OPERATION; AFRICAN AMERICAN AND HISPANIC BORROWERS RECEIVED SUBPRIME, RATHER THAN PRIME, LOANS AND THAT SOME PAID HIGHER FEES AND COSTS BECAUSE OF THEIR RACE OR NATIONAL ORIGIN; AND WELLS FARGO'S POLICIES IN EFFECT BETWEEN 2004 AND 2009 ALLOWED EMPLOYEES TO MAKE DECISIONS ABOUT THE TYPE OF LOAN PRODUCT OFFERED AND THE LOAN PRICE IN A MANNER DISCONNECTED FROM OBJECTIVE CRITERIA LIKE CREDIT RISK, THAT THESE POLICIES SET UP FINANCIAL INCENTIVES FOR EMPLOYEES AND MORTGAGE BROKERS TO IMPOSE UNFAVORABLE TERMS, AND THAT THE POLICIES LACKED SAFEGUARDS TO PREVENT AND REMEDY RACIAL AND ETHNIC DISPARITIES. WELLS FARGO WILL MAINTAIN ITS POLICIES THAT DISCONNECT COMPENSATION FROM A LOAN'S TERMS AND CONDITIONS (IMPLEMENTED AFTER THE EVENTS IN THE ALLEGED COMPLAINT), PROVIDE TRAINING AND ASSURE COMPLIANCE, THROUGH MONITORING AND REGULAR REPORTING TO THE UNITED STATES. THE CONSENT JUDGMENT WAS AGREED TO WITHOUT THE CONTROL AFFILIATE'S ADMITTING TO THE ALLEGATIONS IN THE COMPLAINT.
Allegations: THE COMPLAINT ALLEGES FROM 2009 THROUGH 2013, GENUINE TITLE, LLC PROVIDED WELLS FARGO LOAN OFFICERS MARKETING SERVICES THAT ASSISTED THE LOAN OFFICERS IN GENERATING BUSINESS AND INCREASING THE NUMBER OF LOANS WELLS FARGO ORIGINATED OR FINANCED. THE COMPLAINT ALLEGES THAT UNDER AGREEMENTS OR UNDERSTANDING BETWEEN GENUINE TITLE AND THE LOAN OFFICERS, THE LOAN OFFICERS REFERRED SETTLEMENT SERVICE BUSINESS TO GENUINE TITLE. Status: Final Summary: WELLS FARGO BANK, N.A., NEITHER ADMITS OR DENIES ANY ALLEGATIONS EXCEPT TO ESTABLISH THE COURT'S JURISDICTION OVER WELLS FARGO AND THE SUBJECT MATTER. WELLS FARGO BANK, N.A. AGREES TO THE ENTRY OF THE ORDER IN THE PUBLIC INTEREST.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. (WFBNA) CONSENTS TO THE FINDING THAT BETWEEN JANUARY 1, 2008 AND JULY 1, 2015, WFBNA VIOLATED THE SERVICEMEMBER CIVIL RELEIF ACT (SCRA) BY FAILING TO OBTAIN COURT ORDERS PRIOR TO REPOSSESSING SERVICES MEMBER'S AUTOMOBILES. Status: Final Summary: N/A
Allegations: THE SEC ALLEGED FRAUDULENT BIDDING PRACTICES, FROM AT LEAST 1997 THROUGH AT LEAST 2005, BY WACHOVIA BANK, N.A. ("WACHOVIA BANK"), PREDECESSOR TO WELLS FARGO BANK, N.A., INVOLVING THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES IN CERTAIN INVESTMENT INSTRUMENTS BY STATE AND LOCAL GOVERNMENTAL ENTITIES, AFFECTING THE PRICES OF THE INVESTMENT INSTRUMENTS, DEPRIVING MUNICIPALITIES OF A CONCLUSIVE PRESUMPTION THAT THEIR INVESTMENT INSTRUMENTS WERE PURCHASED AT FAIR MARKET VALUE AND/OR JEOPARDIZING THE TAX-EXEMPT STATUS OF THE UNDERLYING MUNICIPAL SECURITIES. Status: Final Summary: THE SEC ALLEGED THAT WACHOVIA BANK WON BIDS FOR THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES BECAUSE IT OBTAINED ADVANCE INFORMATION CONCERNING COMPETING BIDDERS FROM BIDDING AGENTS WHO ACTED ON BEHALF OF THE MUNICIPALITIES AND/OR BECAUSE BIDDING AGENTS SET UP THE BIDDING PROCESS TO ENABLE WACHOVIA BANK TO WIN BY DELIBERATELY OBTAINING OFF-MARKET NON-WINNING BIDS FROM OTHER BIDDERS. THE SEC ALSO ALLEGED THAT WACHOVIA BANK FACILITATED WINNING BIDS BY OTHER BIDDERS BY DELIBERATELY SUBMITTING PURPOSELY NON-WINNING BIDS TO BIDDING AGENTS. THE SEC ALLEGED THAT WACHOVIA BANK MADE MATERIAL MISREPRESENTATIONS BY, AMONG OTHER THINGS, EXECUTING FALSE CERTIFICATIONS THAT ITS BIDS WERE THE PRODUCT OF A BONA FIDE SOLICITATION AND REFLECTED FAIR MARKET VALUE FOR THE PURCHASE OF THE REINVESTMENT INSTRUMENT. WELLS FARGO BANK, N.A. RESOLVED THIS MATTER BY AGREEING TO THE SANCTIONS AND RESTITUTION OUTLINED ABOVE.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Allegations: FINRA HAS ALLEGED POTENTIAL VIOLATIONS OF FINRA RULES 3310 AND 2010 AND NASD RULE 2110. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FOR SEVERAL YEARS THE FIRM FAILED TO COMPLY FULLY WITH A KEY ASPECT OF THE ANTI-MONEY LAUNDERING ("AML") COMPLIANCE PROGRAM REQUIREMENTS FOR BROKER-DEALERS. TO SATISFY THOSE REQUIREMENTS, EVERY BROKER-DEALER MUST ESTABLISH AND MAINTAIN A CUSTOMER IDENTIFICATION PROGRAM ("CIP") UNDER WHICH IT VERIFIES THE IDENTITY OF EACH CUSTOMER OPENING A NEW ACCOUNT, AND, DURING THE RELEVANT PERIOD, THE FIRM'S CIP WAS DEFICIENT, IN THAT IT DID NOT SUBJECT CERTAIN NEW CUSTOMERS TO IDENTITY VERIFICATION. THE FINDINGS STATED THAT DURING THE RELEVANT PERIOD, WHEN THE FIRM'S TRANSACTION-PROCESSING SYSTEM, THE BETA SYSTEM, ASSIGNED CUSTOMER IDENTIFIERS TO NEW SECURITIES ACCOUNTS, IT SOMETIMES RECYCLED IDENTIFIERS PREVIOUSLY ASSIGNED TO ACCOUNTS THAT HAD BEEN CLOSED. WHEN THIS HAPPENED, THE CIP SYSTEM RECOGNIZED THE IDENTIFIERS AND TREATED THE NEW ACCOUNTS AS IF THEY HAD ALREADY GONE THROUGH THE CIP SYSTEM. THUS, EVEN THOUGH THE APPURTENANT CUSTOMER INFORMATION - SUCH AS CUSTOMER NAME, ADDRESS, TAX-IDENTIFICATION NUMBER, AND DATE OF BIRTH - WAS DIFFERENT FROM THE PREVIOUS INSTANCE OF IDENTITY VERIFICATION, THE CIP SYSTEM DID NOT SUBJECT THE CUSTOMERS ASSOCIATED WITH THESE NEW ACCOUNTS TO IDENTITY VERIFICATION. FOR THAT REASON, THE FIRM'S CIP SYSTEM DID NOT VERIFY THE IDENTITIES OF NEW CUSTOMERS WITH RECYCLED IDENTIFIERS. THIS RESULTED IN THE FIRMS' FAILURE TO CONDUCT CUSTOMER-IDENTITY VERIFICATION FOR NEARLY 220,000 ACCOUNTS DURING THE RELEVANT PERIOD. THE FINDINGS ALSO STATED THAT OF THE ACCOUNTS THAT WERE NOT SUBJECTED TO IDENTITY VERIFICATION, APPROXIMATELY 120,000 WERE ALREADY CLOSED WHEN THE PROBLEM CAME TO LIGHT. THESE ACCOUNTS WERE NEVER SUBJECTED TO IDENTITY VERIFICATION. THE ACCOUNTS THAT WERE STILL OPEN WHEN THE FIRM DISCOVERED THE DESIGN FLAW WERE SUBSEQUENTLY SENT THROUGH THE CIP PROCESS, WITH THE FIRM EVENTUALLY PROHIBITING FURTHER ACTIVITY IN 345 ACCOUNTS FOR WHICH IDENTITY VERIFICATION COULD NOT BE COMPLETED. IN DETERMINING THE APPROPRIATE SANCTIONS, FINRA CONSIDERED THAT THE FIRM DISCOVERED THE CIP-RELATED VIOLATIONS THROUGH THE FIRM'S COMPLIANCE RISK ANALYSIS SYSTEM (CRAS) TEST, INVESTIGATED THEIR CAUSES AND SCOPE, PERFORMED REMEDIATION CIP ON THE APPROXIMATELY 100,000 AFFECTED ACCOUNTS THAT REMAINED OPEN, MADE PROGRAMMING CHANGES TO THE CIP SYSTEM AND TO THE FIRM'S BETA IN AN EFFORT TO PREVENT RECURRENCES, AND REPORTED THE VIOLATIONS TO FINRA IN ACCORDANCE WITH RULE 4530(B). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED, JOINTLY AND SEVERALLY, $1,500,000. Summary: IN DETERMINING THE APPROPRIATE SANCTIONS, FINRA CONSIDERED THAT THE FIRM DISCOVERED THE CIP-RELATED VIOLATIONS THROUGH THE FIRM'S COMPLIANCE RISK ANALYSIS SYSTEM (CRAS) TEST, INVESTIGATED THEIR CAUSES AND SCOPE, PERFORMED REMEDIATION CIP ON THE APPROXIMATELY 100,000 AFFECTED ACCOUNTS THAT REMAINED OPEN, MADE PROGRAMMING CHANGES TO THE CIP SYSTEM AND TO THE FIRM'S BETA IN AN EFFORT TO PREVENT RECURRENCES, AND REPORTED THE VIOLATIONS TO FINRA IN ACCORDANCE WITH RULE 4530(B).
Allegations: SCHEDULE A, SECTION 1, OF THE NASD AND FINRA BY-LAWS, FINRA RULE 2010 NASD RULE 2110: UNTIL THE END OF CALENDAR YEAR 2009, THE FIRM REPORTED REVENUE ON ITS FOCUS REPORTS NET OF ITS PAYOUT TO ITS FINANCIAL ADVISORS, RATHER THAN AS GROSS REVENUE, HAVING DETERMINED - BASED PARTLY ON THE EMERGING ISSUES TASK FORCE (EITF) 99-19 - THAT ITS NET-BASIS REVENUE REPORTING COMPLIED WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES (GAAP). THE FIRM HAD FOLLOWED THIS ACCOUNTING PROTOCOL SINCE AT LEAST 2001, AND HAD ALLUDED TO IT IN ITS AUDITED FINANCIAL STATEMENTS. AT THE BEGINNING OF 2009, A COMPANY ACQUIRED THE FIRM AS PART OF THE COMPANY'S ACQUISITION OF ANOTHER COMPANY, AND THEREAFTER PROCEEDED TO EVALUATE THE FIRM'S BUSINESS PRACTICES IN RELATION TO A SEPARATE EXISTING MEMBER FIRM THAT THE ACQUIRING COMPANY OWNED. AS A RESULT OF THAT PROCESS, THE FIRM CHANGED ITS PRACTICES TO REFLECT AND REPORT ITS REVENUE ON A GROSS BASIS. THE FIRM CONTACTED FINRA IN NOVEMBER 2009 TO ADVISE THAT THE FIRM'S UPCOMING AUDITED ANNUAL FINANCIAL STATEMENT AND FOCUS REPORT WOULD REFLECT A SIGNIFICANT CHANGE IN REVENUES FOR CALENDAR YEAR 2009. THESE YEAR-END 2009 REPORTS REFLECTED APPROXIMATELY $200 MILLION IN ADDITIONAL REVENUES AND EXPENSES FOR THE YEAR. FOR EACH CALENDAR YEAR FROM 2001 THROUGH 2008, FINRA SENT THE FIRM AN INVOICE FOR THE FIRM'S GROSS INCOME ASSESSMENT, WHICH FINRA MEMBER FIRMS ARE REQUIRED TO PAY PURSUANT TO SCHEDULE A, SECTION 1 OF FINRA'S BY-LAWS. DURING THAT PERIOD, NASD AND FINRA CALCULATED THE FIRM'S GROSS INCOME ASSESSMENTS (GIA) ACCORDING TO THE REVENUE THAT THE FIRM REPORTED FOR THE PREVIOUS YEAR IN ITS FOCUS FILINGS. THE FIRM PAID THESE INVOICES IN FULL. AFTER LEARNING OF THE FIRM'S HISTORY OF REPORTING ITS REVENUE ON A NET BASIS, FINRA DETERMINED THAT THE FIRM HAD UNDERPAID ITS GROSS INCOME ASSESSMENTS BY A TOTAL OF $595,301.84 BETWEEN 2001 AND 2008. THE FIRM HAS SINCE PAID THAT AMOUNT IN FULL. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $90,000. Summary: SCHEDULE A, SECTION 1, OF THE NASD AND FINRA BY-LAWS, FINRA RULE 2010 NASD RULE 2110: UNTIL THE END OF CALENDAR YEAR 2009, THE FIRM REPORTED REVENUE ON ITS FOCUS REPORTS NET OF ITS PAYOUT TO ITS FINANCIAL ADVISORS, RATHER THAN AS GROSS REVENUE, HAVING DETERMINED - BASED PARTLY ON THE EMERGING ISSUES TASK FORCE (EITF) 99-19 - THAT ITS NET-BASIS REVENUE REPORTING COMPLIED WITH GENERALLY ACCEPTED ACCOUNTING PRINCIPLES (GAAP). THE FIRM HAD FOLLOWED THIS ACCOUNTING PROTOCOL SINCE AT LEAST 2001, AND HAD ALLUDED TO IT IN ITS AUDITED FINANCIAL STATEMENTS. AT THE BEGINNING OF 2009, A COMPANY ACQUIRED THE FIRM AS PART OF THE COMPANY'S ACQUISITION OF ANOTHER COMPANY, AND THEREAFTER PROCEEDED TO EVALUATE THE FIRM'S BUSINESS PRACTICES IN RELATION TO A SEPARATE EXISTING MEMBER FIRM THAT THE ACQUIRING COMPANY OWNED. AS A RESULT OF THAT PROCESS, THE FIRM CHANGED ITS PRACTICES TO REFLECT AND REPORT ITS REVENUE ON A GROSS BASIS. THE FIRM CONTACTED FINRA IN NOVEMBER 2009 TO ADVISE THAT THE FIRM'S UPCOMING AUDITED ANNUAL FINANCIAL STATEMENT AND FOCUS REPORT WOULD REFLECT A SIGNIFICANT CHANGE IN REVENUES FOR CALENDAR YEAR 2009. THESE YEAR-END 2009 REPORTS REFLECTED APPROXIMATELY $200 MILLION IN ADDITIONAL REVENUES AND EXPENSES FOR THE YEAR. FOR EACH CALENDAR YEAR FROM 2001 THROUGH 2008, FINRA SENT THE FIRM AN INVOICE FOR THE FIRM'S GROSS INCOME ASSESSMENT, WHICH FINRA MEMBER FIRMS ARE REQUIRED TO PAY PURSUANT TO SCHEDULE A, SECTION 1 OF FINRA'S BY-LAWS. DURING THAT PERIOD, NASD AND FINRA CALCULATED THE FIRM'S GROSS INCOME ASSESSMENTS (GIA) ACCORDING TO THE REVENUE THAT THE FIRM REPORTED FOR THE PREVIOUS YEAR IN ITS FOCUS FILINGS. THE FIRM PAID THESE INVOICES IN FULL. AFTER LEARNING OF THE FIRM'S HISTORY OF REPORTING ITS REVENUE ON A NET BASIS, FINRA DETERMINED THAT THE FIRM HAD UNDERPAID ITS GROSS INCOME ASSESSMENTS BY A TOTAL OF $595,301.84 BETWEEN 2001 AND 2008. THE FIRM HAS SINCE PAID THAT AMOUNT IN FULL. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE THE FIRM IS CENSURED AND FINED $90,000.
Allegations: FAILURE TO SUPERVISE, INADEQUATE WRITTEN SUPERVISORY PROCEDURES Status: Final Sanction Detail: THE NASD DISTRICT 3 ISSUED A LETTER OF CAUTION, NO FINE OR SUSPENSION WERE LEVIED. ON APPEAL, THE NATIONAL ADJUDICATORY COUNCIL ISSUED A CENSURE AND A FINE OF $5,000. Summary: ON AUGUST 8, 1997 DISTRICT 3 ENTERED A DECISION IN WHICH IT ISSUED A LETTER OF CAUTION TO JWGENESIS FINANCIAL SERVICES, INC. THE DISTRICT DETERMINED THAT JWGENESIS FINANCIAL SERVICES, INC. REASONABLY SUPERVISED ITS BRANCH MANAGERS BUT FOUND THAT THE FIRM DID NOT HAVE THE REQUISITE WRITTEN SUPERVISORY PROCEDURES IN PLACE. ON APPEAL, THE NATIONAL ADJUDICATORY COUNCIL REVERSE DISTRICT 3 DECISION AND FOUND THAT JWGENESIS FINANCIAL SERVICES, INC. DID NOT RESONABLE SUPERVISE BUT DID HAVE PROPER WRITTEN SUPERVISORY PROCEDURES
Allegations: FAILURE TO SUPERVISE, FAILURE TO TIMELY FILE FORM U-5 Status: Final Sanction Detail: THE DISTRICT BUSINESS CONDUCT COMMITTEE FOUND THAT JWGENESIS FINANCIAL SERVICES, INC. VIOLATED ARTICLE III SECTION 1 OF THE NASD RULES OF FAIR PRACTICE IN THAT IT DID NOT TIMELY FILE A FORM U-5 DISCLOSURE FORM. THE FIRM WAS FINED $1,000. Summary: THE CLAIMS AGAINST THE FIRM FOR FAILURE TO SUPERVISE WERE DISMISSED IN THEIR ENTIRETY
Allegations: WITHOUT ADMITTING OR DENYING FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, TOGETHER WITH ANOTHER MEMBER FIRM, FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, AND FAILED TO ENFORCE WRITTEN SUPERVISORY PROCEDURES (WSPS), THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA'S SUITABILITY RULE AS IT PERTAINS TO SWITCHES FROM VARIABLE ANNUITIES TO INVESTMENT COMPANY PRODUCTS. AS A RESULT THE FIRM IS ALLEGED TO HAVE VIOLATED NASD RULE 3010 AND FINRA RULES 3110 AND 2010 Status: Final Sanction Detail: THE FIRM PAID A FINE TO FINRA IN THE AMOUNT OF $50,000, AND IS TO PAY RESTITUTION TO CUSTOMERS IN THE AMOUNT OF $89,688.31, PLUS INTEREST ON THAT AMOUNT, AND THE FIRM WAS ALSO CENSURED BY FINRA. Summary: THE FIRM ENTERED INTO AN AWC AGREEMENT WITH FINRA ON SEPTEMBER 2, 2020, FULLY RESOLVING THIS MATTER, WHICH INCLUDED AGREEMENT TO THE ENTRY OF A CENSURE AGAINST THE FIRM, A FINE PAYABLE TO FINRA IN THE AMOUNT OF $50,000, AND RESTITUTION TO THE CUSTOMERS IN THE AMOUNT OF $89,688.31, PLUS INTEREST ON THAT AMOUNT, AS SET FORTH IN THE AGREEMENT. FINE RECEIVED BY FINRA SEPTEMBER 16, 2020.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM REASONABLY DESIGNED TO SUPERVISE REPRESENTATIVES' 529 PLAN SHARE-CLASS RECOMMENDATIONS. THE FINDINGS STATED THAT THE FIRM'S WRITTEN SUPERVISORY PROCEDURES (WSPS) DID NOT REASONABLY ADDRESS THE SHARE-CLASS SUITABILITY FACTORS SPECIFIC TO 529 PLAN INVESTMENTS. THE FIRM'S WSPS FOR 529 PLANS DID NOT SPECIFICALLY ADDRESS THE RELATIONSHIP BETWEEN ACCOUNT BENEFICIARY AGE, THE NUMBER OF YEARS UNTIL FUNDS WOULD BE NEEDED TO PAY QUALIFIED EDUCATION EXPENSES, AND 529 PLAN SHARE-CLASS SUITABILITY. INSTEAD, THEY MERELY REFERENCED SUITABILITY FACTORS GENERALLY APPLICABLE TO ALL INVESTMENT PRODUCTS, SUCH AS FEES AND EXPENSES, INVESTMENT OBJECTIVE AND RISK TOLERANCE. IN ADDITION, THE FIRM'S ELECTRONIC ALERT SYSTEM DID NOT INCLUDE PARAMETERS TO IDENTIFY 529 PLAN SHARE-CLASS RECOMMENDATIONS THAT APPEARED TO BE INCONSISTENT WITH THE AGE OF THE ACCOUNT BENEFICIARY OR THE ACCOUNT'S STATED INVESTMENT HORIZON. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO PAY $3,367,929, PLUS INTEREST, JOINTLY AND SEVERALLY, IN RESTITUTION TO CUSTOMERS. THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA IN ITS INVESTIGATION. ACCORDINGLY, NO MONETARY SANCTION HAS BEEN IMPOSED.
Allegations: WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATION. CORPORATE SECURITIES GROUP ACCEPTED AND CONSENTED TO THE ENTRY OF THE FOLLOWING BY THE NASD. DURING 1997 AND 1998, CORPORATE SECURITIES GROUP FAILED TO ESTABLISH AN ADEQUATE SUPERVISORY SYSTEM OF FOLLOW-UP AND REVIEW TO ENSURE REVIEW OF ACTIVE ACCOUNTS AND FAILED TO DEVOTE SUFFICIENT RESOURCES TO ITS SUPERVISORY SYSTEM TO DETECT AND PREVENT UNSUITABLE ACTIVITY IN CUSTOMER ACCOUNTS. Status: Final Sanction Detail: $50,000 CENSURE AND FINE. CHECK ISSUED 10/2/2001 Summary: THE ACCEPTANCE, WAIVER AND CONSENT WAS MADE FINAL ON 9/17/2001. THE FIRM WAS CENSURED AND FINED $50,000.
Allegations: RESPONDENT MEMBER EXECUTED SETTLEMENT AND RELEASE AGREEMENTS WITH A PUBLIC CUSTOMER CONTAINING A CONFIDENTIALITYCLAUSE WHICH PRECLUDED THE CUSTOMER FROM COOPERATING WITH ANY SECURITIES REGULATOR ABSENT A SUBPEONA OR COURT ORDER AND OPERATED TO PREVENT THE NASDR FROM BRINGING A DISCIPLINARY ACTION AGAINST ONE OF THE FIRM'S FORMER REGISTERED REPRESENTATIVES BECAUSE THE CUSTOMER COULD NOT COOPERATE WITH THE NASDR. Status: Final Sanction Detail: CENSURE AND FINE $2,500.00. FIRM WAS REQUIRED TO ENSURE THAT ALL SETTLEMENT AGREEMENTS WITH CUSTOMERS NOT CONTAIN CONFIDENTIALITY CLAUSES. Summary: THE AWC WAS ACCEPTED ON 2/22/1999. THE FIRM WAS CENSURED AND FINED $2,500.00
Summary: DUPLICATE FILED IN ERROR. PLEASE REMOVE
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: DUPLICATE FILED IN ERROR. PLEASE REMOVE
Summary: DUPLICATE FILED IN ERROR. PLEASE REMOVE
Allegations: THE STOCK EXCHANGE OF HONG KONG, DISCIPLINARY COMMITTEE (THE"COMMITTEE"). DISCIPLINARY PROCEEDING CASE NO: 50/99. AUGUST 15, 1999. THE COMMITTEE AND THE HONG KONG SECURITIES AND FUTURES COMMISSION JOINTLY CHARGED PRUDENTIAL-BACHE SECURITIES (HONG KONG) LIMITED ("PPS(HK)"), AN AFFILIATE OF PRUDENTIAL SECURITIES AND ITS DEALING DIRECTOR, LIU LUK POR FOR BREACH OF THE RULES OF THE EXCHANGE. THE SUBSTANCE OF THE CHARGE WAS THAT DURING A PERIOD FROM DECEMBER 15, 1997 TO JULY 3, 1998, PBS(HK) HAD INADEQUATE INTERNAL CONTROLS AND FAILED TO IMPLEMENT AN APPROPRIATE SYSTEM FOR DETERRING AND DETECTING INTRA-DAY SHORT SELLING BY ITS STAFF, AND THAT AS A RESULT, A FORMER SALES REPRESENTATIVE OF PBS(HK), WHO WAS SUBSEQUENTLY DISMISSED, HAD ENGAGED IN EXTENSIVE SHORT SELLING IN HIS OWN ACCOUNT. THE RESULT WAS THAT THE SECURITIES AND FUTURES COMMISSION ISSUED A PUBLIC REPRIMAND TO BOTH PBS(HK) AND MR. LIU LUK POR AND THE STOCK EXCHANGE OF HONG KONG ISSUED A PUBLIC CENSURE PLUS A FINE OF HK$30,000 (APPROXIMATELY US$3,900) FOR PBS(HK) AND A PUBLIC CENSURE PLUS A FINE OF HK$20,000 (APPROXIMATELY US$2,600) FOR MR. LIU LUK POR. Status: Final Sanction Detail: SEE #7 ABOVE
Status: Final Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Allegations: THE NYMEX ALLEGED THAT AFFILIATE HAD PLACED CERTAIN CUSTOMER ORDERS ON THE FLOOR OF THE NYMEX WHICH WERE IMPROPERLY TIME-STAMPED, AND HAD ALLEGEDLY FAILED TO MAINTAIN ACCURATE RECORDS. AS A RESULT, THE COMPLAINT ALLEGED THAT AFFILIATE HAD VIOLATED NYMEX RULES 8.50(A) AND 6.18(A). Status: Final Sanction Detail: FINE PAID ON OR ABOUT NOVEMBER 30, 1991. Summary: AFFILIATE SETTLED THIS MATTER BY AGREEING TO A FINE OF $15,000 AND TO UPDATE ITS POLICIES AND PROCEDURES DESIGNED TO ACHIEVE COMPLIANCE WITH AFOREMENTIONED RULES AT AFFILIATE.
Status: Final Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: REMOVING AFFILIATE, PRUCO SECURITIES, LLC, TO COMBINE THEIR DRP DISCLOSURES ONTO ONE FORM. THIS DRP FORM WILL BE MAINTAINED FOR PRU GLOBAL SECURITIES, LLC.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Allegations: FAILURE TO SUMITT 77 RETAIL MUNICIPAL SECURITIES TRADE REPORTS TO THE MSRB DURING THE PERIOD JANUARY 1 THROUGH APRIL 30, 1999. Status: Final Sanction Detail: JWGENESIS FINANCIAL GROUP, INC. ENTERED INTO AN ACCEPTANCE, WAIVER AND CENSENT("AWC") AGREEMENT AND WAS FINED $2,000.
Allegations: ALLEGATIONS THAT THE FIRM (1) MADE RECOMMENDATIONS THROUGH ITS REGISTERED REPRESENTATIVES TO CUSTOMERS TO PURCHASE CLASS B AND CLASS C MUTUAL FUND SHARES WHERE AN EQUAL INVESTMENT IN CLASS A SHARES WOULD HAVE BEEN MORE ADVANTAGEOUS FOR CERTAIN CLIENTS IN VIOLATION OF NASD RULE 2310 AND (2) FAILED TO ESTABLISH, MAINTAIN AND ENFORCE SUPERVISORY SYSTEMS AND PROCEDURES REASONABLY DESIGNED TO PROVIDE CONSIDERATION, ON A CONSISTENT BASIS, OF THE BENEFITS OF VARIOUS MUTUAL FUND CLASSES AS THEY APPLIED TO INDIVIDUAL CUSTOMERS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AS OUTLINED ABOVE.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Allegations: THE AFFILIATE WAS DENIED REGISTRATION AS AN INVESTMENT ADVISOR BY THE COMMONWEALTH OF VIRGINIA STATE CORPORATION COMMISSION, DIVISION OF SECURITIES AND RETAIL FRANCHISING, ON JANUARY 15, 1997. THIS DENIAL WAS BASED UPON THE FACT THAT THE STATUTORY DEADLINE FOR SUBMITTING ALL INFORMATION THAT WAS NECESSARY TO COMPLETE APPLICANT'S APPLICATION FOR REGISTRATION HAD EXPIRED. THEREFORE, THIS DENIAL WAS NOT BASED UPON ANY MISCONDUCT OR UNLAWFUL ACTIVITY BY THE AFFILIATE. Status: Final Sanction Detail: THE APPLICATION WAS NEVER RESUBMITTED. THERE WERE NO OTHER SANCTIONS ORDERED OUTSIDE OF THE INITIAL DENIAL OF REGISTRATION. THE AFFILIATE CHECKED THE ABOVE BOX BECAUSE THE IARD PROGRAM REQUIRES THAT A SANCTION BE CHECKED. Summary: APPLICATION WAS NEVER RESUBMITTED.
Allegations: 7.THE OCC FOUND THAT WELLS FARGO BANK, N.A. ("WFBNA") FAILED TO MAKE ACCEPTABLE SUBSTANTIAL PROGRESS TOWARD CORRECTING PREVIOUSLY IDENTIFIED BSA/AML PROBLEMS RELATING TO DUE DILIGENCE PRACTICES AND CUSTOMER RISK ASSESSMENT IN THE WHOLESALE BANKING GROUP RESULTING IN A VIOLATION OF 12 USC 1818(S); AND CRITICAL INTERNAL CONTROL DEFICIENCIES IN THE WHOLESALE BANKING GROUP'S BSA/AML COMPLIANCE PROGRAM RESULTED IN AN INTERNAL CONTROL PILLAR VIOLATION (12 CFR 21.21(D)(1)). Status: Final Sanction Detail: WELLS FARGO BANK, N.A. BOARD OF DIRECTORS CONSENTED TO THE ISSUANCE OF THE CONSENT ORDER.
Allegations: THE SFA ALLEGED THAT BETWEEN MAY 13, 1991 AND OCTOBER 2, 1991 AFFILIATE AND JOHN BRACKLEY FAILED TO COMPLY WITH SFA PRINCIPLES OF STATEMENTS OF PRINCIPLE. THE AFFILIATE WAS ALLEGED TO HAVE ENGAGED IN A COURSE OF CONDUCT IN RELATION TO PROPERTY FUTURES TRANSACTIONS TRADED ON THE LONDON FOX; BRACKLEY WAS ALLEGED TO HAVE FAILED TO ACT WITH DUE CARE, SKILL AND DILIGENCE AND TO AVOID IN ENGAGING IN A COURSE OF CONDUCT WHICH DID NOT CONFORM WITH THE HIGH STANDARDS OF MARKET CONDUCT. Status: Final Sanction Detail: FINE PAID ON OR ABOUT JANUARY 15, 1992. Summary: WITHOUT ADMITTING OR DENYING THE ALLEGED VIOLATIONS, THE AFFILIATE AGREED TO PAY A FINE IN THE AMOUNT OF $60,000. JOHN BRACKLEY WAS REPRIMANDED. IN ADDITION, THE SFA STATED THAT THERE WAS NO INTENTION ON THE PART OF THE AFFILIATE TO VIOLATE SFA RULES, INFRINGE APPLICABLE MARKET STANDARDS OR CREATE ANY FALSE IMPRESSION OF THE MARKET IN PROPERTY FUTURES.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Allegations: THE STATE OF ILLINOIS INITIATED AN ADMINISTRATIVE PROCEDING AGAINST JWGENESIS FINANCIAL SERVICES, INC. ALLEGING FAILURE TO SUPERVISE REGISTERED REPRESENTATIVE, JUSTYN FELDMAN Status: Final Sanction Detail: THE MATTER WAS RESOLVED FOR $3,000 REPRESENTING THE COST OF THE INVESTIGATION. NO ORDER WAS ENTERED OR CONSENTED TO BY THE COMPANY.
Status: Final Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: PLEASE REMOVE THIS DRP, SINCE THIS DRP FOR EACH AFFILIATE HAS BEEN COMBINED TO ANOTHER DRP FORM.
Allegations: WELLS FARGO BANK, N.A. FAILED TO COMPLY WITH CERTAIN PROVISIONS OF PRIOR OCC CONSENT ORDERS RELATING TO CERTAIN RESIDENTIAL MORTGAGE SERVICING PRACTICES FROM PRIOR CONSENT ORDERS. # 2016-055 (AA-EC-2016-30) ORDERS WELLS FARGO BANK, N.A. PAY A $ 70,000,000. CIVIL MONEY PENALTY. Status: Final Sanction Detail: THE BANK NEITHER ADMITTED NOR DENIED ANY WRONGDOING WITH RESPECT TO THE FINDINGS IN THE CONSENT ORDER.
Allegations: WELLS FARGO BANK, N.A. FAILED TO COMPLY WITH CERTAIN PROVISIONS OF PRIOR OCC CONSENT ORDERS RELATING TO CERTAIN RESIDENTIAL MORTGAGE SERVICING PRACTICES FROM PRIOR CONSENT ORDERS. # 2016-055 (AA-EC-2016-30) ORDERS WELLS FARGO BANK, N.A. PAY A $ 70,000,000. CIVIL MONEY PENALTY. Status: Final Sanction Detail: THE BANK NEITHER ADMITTED NOR DENIED ANY WRONGDOING WITH RESPECT TO THE FINDINGS IN THE CONSENT ORDER.
Allegations: THE CALIFORNIA DEPARTMENT OF INSURANCE FILED A DISCIPLINARY ACTION FOR ALLEGED IMPROPER SALES PRACTICES BETWEEN 2008 AND 2016 CONCERNING THE BANK'S ONLINE INSURANCE REFERRAL PROGRAM FOR RENTERS AND SIMPLIFIED-ISSUE TERM LIFE INSURANCE. THE INSURANCE PRODUCTS WERE OFFERED BY REFERRAL THROUGH THIRD-PARTY CARRIERS AMERICAN MODERN INSURANCE GROUP, ASSURANT, GREAT WEST FINANCIAL, AND PRUDENTIAL INSURANCE COMPANY. THE CALIFORNIA DEPARTMENT OF INSURANCE ALLEGES THAT WELLS FARGO'S ACTIONS ARE GROUNDS FOR SUSPENDING OR REVOKING THE INSURANCE LICENSES FOR WELLS FARGO BANK, N.A. AND WELLS FARGO INSURANCE, INC. Status: Final Sanction Detail: $5,000,000 OF THE PENALTY SHALL BE PAID WITHIN 30 DAYS OF THE EFFECTIVE DATE, AND $345,816 WILL BE TO COVER ANY AND ALL ATTORNEY FEES, COSTS AND/OR EXPENSES RECOVERABLE. AND THE REMAINING $5,000,000 SHALL BE PAYABLE ONLY IF, AFTER A PERIOD OF NO LESS THAN TWO YEARS FOLLOWING THE LAST OF THE RESPECTIVE EXPIRATION DATES OF ITS LICENSES, WELLS FARGO FILES AN APPLICATION WITH THE DEPARTMENT FOR REISSUANCE OF EITHER OF ITS LICENSES, OR APPLIES FOR ANY LICENSE, AND THE INSURANCE COMMISSIONER GRANTS ANY SUCH LICENSES.
Summary: DUPLICATE FILED IN ERROR. PLEASE REMOVE
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: DUPLICATE FILED IN ERROR. PLEASE REMOVE.
Allegations: MERIDIAN INVESTMENT COMPANY (REGISTERED INVESTMENT ADVISOR) WAS ALLEGED TO HAVE FAILED TO TAKE STEPS TO FULLY DISCLOSE AS CERTAIN THE POTENTIAL FOR CONFLICT OF INTEREST BETWEEN THE FIRM AND ITS CLIENTS IN CONNECTION WITH AN INVESTMENT OF CLIENT FUNDS MADE BY THE FIRM. Status: Final Sanction Detail: THE SEC ORDERED THAT THE FIRM RETAIN THE SERVICES OF A SPECIAL REVIEW PERSON TO REVIEW AND MAKE RECOMMEDATIONS CONCERNING THE ADEQUACY OF THE FIRM'S POLICIES AND PROCEDURES RELATING TO TRANSACTIONS/PRACTICES WHICH INVOLVE A POTENTIAL/ACTUAL CONFLICT OF INTEREST WITH CLIENTS. SEC ORDERED THE FIRM AND TWO OF ITS EMPLOYEES TO CEASE AND DESIST FROM VIOLATIONS OF SECTIONS 206(1) AND 206(2) OF THE INVESTMENT ADVISORS ACT.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: COMBINING THE DRP DISCLOSURES OF AFFILIATE, PRUCO SECURITIES, LLC, ONTO THIS ONE DRP FORM.
Allegations: PURSUANT TO THE SEC SHARE CLASS SELECTION DISCLOSURE INITIATIVE AND WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS, WELLS FARGO CLEARING SERVICES LLC ("WCFS") AND WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC ("RESPONDENTS"), JOINTLY AND SEVERALLY, CONSENTED TO THE ENTRY OF A SEC ORDER ALLEGING THAT RESPONDENTS WILLFULLY VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND SECTION 207 OF THE ADVISERS ACT, IN THAT RESPONDENTS DID NOT ADEQUATELY DISCLOSE TO THEIR CLIENTS IN EITHER THEIR FORMS ADV OR OTHERWISE THEIR CONFLICTS OF INTEREST RELATING TO (A) THEIR RECEIPT OF 12B-1 FEES AND (B) THEIR SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. Status: Final Sanction Detail: WITHIN TEN DAYS OF THE ENTRY OF THE ORDER, PAYMENT OF DISGORGEMENT AND PREJUDGEMENT INTEREST, IN THE AMOUNT OF $17,363,847.29 IS REQUIRED TO BE PAID INTO AN ESCROW FUND FOR DISTRIBUTION TO AFFECTED INVESTORS PURSUANT TO THE TERMS OF THE ORDER. Summary: THE FIRM SELF-REPORTED TO THE COMMISSION THE VIOLATIONS IN THE ORDER PURSUANT TO THE DIVISION OF ENFORCEMENT'S (THE "DIVISION") SHARE CLASS SELECTION DISCLOSURE INITIATIVE
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: DUPLICATE FILED IN ERROR. PLEASE REMOVE
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Allegations: FAILURE TO REASONABLE SUPERVISE CANDIA MAUSER, A BROKER, TO PREVENT HER FROM VIOLATING SECTIONS 15(A) OF THE EXCHANGE ACT. Status: Final Sanction Detail: JWGENESIS FINANCIAL SERVICES, INC. ENTERED INTO A CONSENT AGREEMENT IN WHICH IT WAS CENSURED. AGREED TO PAY $30,000 AND AGREED TO EMPLOY AN INDEPENDENT CONSULTANT TO REVIEW PROCEDURES AND PREPARE A WRITTEN REPORT. ALL CONDITIONS OF THE AGREEMENT HAVE BEEN MET
Status: Final Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: COMBINING THE DRP DISCLOSURES OF AFFILIATE, WACHOVIA CAPITAL MARKETS, LLC, ONTO THIS ONE DRP FORM.
Summary: COMBINING THE DRP DISCLOSURES OF AFFILIATE, A. G. EDWARDS & SONS, INC., ONTO THIS ONE DRP FORM. DRP DISCLOSURE FOR QUESTION 11G WILL BE ON A SEPARATE DRP.
Summary: PLEASE REMOVE THIS DRP DISCLOSURE SINCE WE ARE COMBINING THE DISCLOSURES ONTO ONE DRP FORM.
Summary: COMBINING THE DRP DISCLOSURES OF AFFILIATE ONTO THIS ONE DRP FORM.
Summary: COMBINING THE DRP DISCLOSURES OF AFFILIATE ONTO THIS ONE DRP FORM.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM AND ITS AFFILIATE CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THEY FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE REASONABLE SUPERVISORY SYSTEMS FOR THE USE OF CONSOLIDATED REPORTS GENERATED BY THEIR REGISTERED REPRESENTATIVES THROUGH A PARTICULAR APPLICATION (THE APPLICATION) THAT THE FIRMS MADE AVAILABLE TO THEIR REGISTERED REPRESENTATIVES. THE FINDINGS STATED THAT THE FIRM AND ITS AFFILIATE PERMITTED THEIR REGISTERED REPRESENTATIVES TO USE UP TO 10 OR MORE DIFFERENT APPLICATIONS TO CREATE CONSOLIDATED REPORTS, INCLUDING THE APPLICATION. THE APPLICATION WAS THE MOST WIDELY USED CONSOLIDATED REPORTING APPLICATION AT THE FIRMS. THE FINDINGS ALSO STATED THAT WHEN PREPARING APPLICATION REPORTS, THE FIRMS' REPRESENTATIVES WERE PERMITTED TO MANUALLY ENTER INFORMATION REGARDING CUSTOMERS' EXTERNAL ACCOUNTS, ASSETS AND LIABILITIES INTO A CENTRALIZED ASSETS AND LIABILITIES TABLE, WHICH THE FIRMS MAINTAINED. THE APPLICATION WOULD PULL THAT INFORMATION FROM THE TABLE TO POPULATE THE APPLICATION REPORTS, INCLUDING THOSE THAT WERE THEN SENT TO THE FIRMS' CUSTOMERS. THE FIRMS REVIEWED A RANDOM SAMPLING OF ONLY 2 PERCENT OF THE APPLICATION REPORTS. THE FIRM AND ITS AFFILIATE DID NOT, AND HAD NO SYSTEM IN PLACE TO, REVIEW THE CONTENTS OF THE APPLICATION REPORTS, INCLUDING INFORMATION ABOUT CUSTOMERS' HOLDINGS AWAY FROM THE FIRMS. THE FINDINGS ALSO INCLUDED THAT THE FIRMS' SUPERVISORY SYSTEMS AND PROCEDURES WERE INADEQUATE BECAUSE THERE WAS NO MECHANISM ALLOWING THEIR REPRESENTATIVES TO DESIGNATE WHICH APPLICATION REPORTS WERE ACTUALLY PROVIDED TO CUSTOMERS. THE FIRMS COULD NOT DISTINGUISH BETWEEN DRAFT APPLICATION REPORTS AND REPORTS THAT WERE COMPLETED AND SENT TO CUSTOMERS, WHICH SHOULD HAVE BEEN SUBJECTED TO THE FIRMS' SUPERVISORY SYSTEMS DESIGNED TO REVIEW CUSTOMER COMMUNICATIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $1,000,000, JOINTLY AND SEVERALLY.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, WITH TWO OTHER FIRMS, FAILED TO MAINTAIN APPROXIMATELY ONE MILLION ELECTRONIC BROKERAGE RECORDS IN NON-ERASABLE AND NON-REWRITABLE FORMAT, KNOWN AS WORM "WRITE ONCE, READ MANY" FORMAT. THE FINDINGS STATED THAT WORM FORMAT IS INTENDED TO PREVENT THE ALTERATION OR DESTRUCTION OF BROKER-DEALER RECORDS STORED ELECTRONICALLY. THE FINDINGS ALSO STATED THAT FOR APPROXIMATELY 1.5 MILLION ACCOUNTS, THE FIRM, WITH THE OTHER TWO FIRMS, FAILED TO PRESERVE CUSTOMER ACCOUNT FORM TEMPLATES CONTAINING THE TERMS AND CONDITIONS RELATED TO THE OPENING AND MAINTENANCE OF THE ACCOUNTS. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO NOTIFY FINRA, ITS DESIGNATED EXAMINING AUTHORITY, AT LEAST 90 DAYS PRIOR TO USING NEW STORAGE MEDIA TO STORE ELECTRONIC BROKER-DEALER RECORDS. FINRA FOUND THAT THE FIRM FAILED TO IMPLEMENT AN AUDIT SYSTEM FOR THOSE RECORDS THEY FAILED TO MAINTAIN IN WORM FORMAT. FINRA ALSO FOUND THAT THE FIRM FAILED TO PROVIDE ITS THIRD-PARTY VENDORS FULL ACCESS TO, AND THE ABILITY TO DOWNLOAD INFORMATION FROM, ITS ELECTRONIC STORAGE SYSTEMS. IN ADDITION, FINRA DETERMINED THAT THE FIRM FAILED TO IMPLEMENT AN ADEQUATE SUPERVISORY SYSTEM, AND FAILED TO ENFORCE WRITTEN PROCEDURES, CONCERNING THE FIRM'S READY ACCESS TO ELECTRONIC BROKER-DEALER RECORDS AND ITS STORAGE OF SUCH RECORDS IN WORM FORMAT. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $1,500,000, JOINTLY AND SEVERALLY, AND IS REQUIRED TO REVIEW ITS POLICIES AND PROCEDURES RELATED TO THE ADEQUACY OF ITS RELEVANT POLICIES AND PROCEDURES (WRITTEN AND OTHERWISE), INCLUDING A DESCRIPTION OF THE REMEDIAL MEASURES LEADING TO FULL COMPLIANCE, RELATING TO THE CONDUCT ADDRESSED IN THE AWC.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT CERTAIN FIRM REGISTERED REPRESENTATIVES RECOMMENDED VOLATILITY-LINKED EXCHANGE-TRADED PRODUCTS (VOLATILITY ETPS) TO BROKERAGE CUSTOMERS WITHOUT FULLY UNDERSTANDING THEIR RISKS AND FEATURES. THE FINDINGS STATED THAT THE FIRM FAILED TO VET OR PLACE RESTRICTIONS ON RECOMMENDATIONS AND PURCHASES OF VOLATILITY ETPS, AND AS A RESULT, THESE PRODUCTS WERE MADE AVAILABLE TO RETAIL BROKERAGE CUSTOMERS REGARDLESS OF RISK PROFILE AND INVESTMENT OBJECTIVE. CERTAIN FIRM REPRESENTATIVES MISTAKENLY BELIEVED THAT VOLATILITY ETPS COULD BE USED AS A LONG-TERM HEDGE ON THEIR CUSTOMERS' EQUITY POSITIONS IN THE EVENT OF A MARKET DOWNTURN. IN FACT, VOLATILITY ETPS ARE GENERALLY SHORT-TERM TRADING PRODUCTS THAT DEGRADE SIGNIFICANTLY OVER TIME AND SHOULD NOT BE USED AS PART OF A LONG-TERM BUY-AND-HOLD INVESTMENT STRATEGY. ACCORDINGLY, IN THOSE INSTANCES, THE REPRESENTATIVES DID NOT HAVE A REASONABLE BASIS TO RECOMMEND VOLATILITY ETPS AS SUITABLE TO CUSTOMERS WITH CONSERVATIVE OR MODERATE RISK PROFILES AND INVESTMENT OBJECTIVES AND THE REPRESENTATIVES FURTHER FAILED TO APPROPRIATELY RECOMMEND THE EXIT OF THESE POSITIONS WITHIN A TIMELY MANNER. IN SOME INSTANCES, CUSTOMERS INCURRED SIGNIFICANT LOSSES. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN POLICIES AND PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NASD RULE 2310 IN CONNECTION WITH ITS SALE OF VOLATILITY ETPS. ALTHOUGH THE FIRM SHOULD HAVE BEEN AWARE OF THE COMPLEXITY AND UNIQUE RISKS AND FEATURES ASSOCIATED WITH VOLATILITY ETPS, THE FIRM FAILED TO IMPLEMENT A REASONABLE SYSTEM TO SUPERVISE ITS REPRESENTATIVES' SOLICITED SALES OF VOLATILITY ETPS. THE FINDINGS ALSO INCLUDED THAT THE FIRM'S SUPERVISORY SYSTEMS ALSO DID NOT INCLUDE REASONABLE TRAINING FOR REGISTERED REPRESENTATIVES AND SUPERVISORS REGARDING THE FEATURES AND RISKS ASSOCIATED WITH VOLATILITY ETPS. BECAUSE THE FIRM FAILED TO ESTABLISH AND PROVIDE REASONABLE GUIDANCE, TRAINING OR TOOLS TO EDUCATE ITS REGISTERED REPRESENTATIVES AND SUPERVISORS ABOUT VOLATILITY ETPS, CERTAIN RETAIL BROKERAGE CUSTOMERS WERE UNINFORMED ABOUT THE FEATURES AND RISKS ASSOCIATED WITH VOLATILITY ETPS PRIOR TO PURCHASING THEM. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND ORDERED TO JOINTLY AND SEVERALLY PAY $3,411,478.78 IN RESTITUTION TO CUSTOMERS Summary: IN DETERMINING TO RESOLVE THIS MATTER WITHOUT THE IMPOSITION OF A FINE, FINRA TOOK THE FOLLOWING INTO CONSIDERATION: (I) PRIOR TO DETECTION BY FINRA, THE FIRM CORRECTED ITS SUPERVISORY DEFICIENCIES RELATING TO VOLATILITY ETPS; (II) THE FIRM WAS PREVIOUSLY FINED $2.1 MILLION - AFTER THE MISCONDUCT AND ITS REMEDIATION HEREIN - FOR SIMILAR VIOLATIONS RELATING TO NON-TRADITIONAL ETPS; AND, (III) THE FIRM PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA BY, AMONG OTHER THINGS, ENGAGING AT ITS OWN EXPENSE A CONSULTING FIRM TO REVIEW, COMPILE, AND CALCULATE LARGE AMOUNTS OF DATA PERTAINING TO SALES OF VOLATILITY ETPS FOR USE IN DETERMINING THE APPROPRIATE RESTITUTION TO BE PROVIDED.
Allegations: FINRA RULE 2010, NASD RULES 2110, 3010, 3070 - WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC FAILED TO FILE SUMMARY AND STATISTICAL INFORMATION FOR CUSTOMER COMPLAINTS BY THE 15TH DAY OF THE MONTH FOLLOWING THE CALENDAR QUARTER IN WHICH THEY WERE RECEIVED BY THE FIRM. THE FIRM'S SUPERVISORY SYSTEM WAS NOT REASONABLY DESIGNED TO ENSURE THAT SUMMARY AND STATISTICAL INFORMATION OF CUSTOMER COMPLAINTS WAS FILED IN ACCORDANCE WITH NASD RULE 3070. THE FIRM'S SUPERVISORY SYSTEM FAILED TO PROVIDE FOR REASONABLE FOLLOW-UP AND REVIEW TO ENSURE THAT REQUIRED CUSTOMER COMPLAINT FILINGS WERE MADE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED AND FINED $15,000.
Allegations: FINRA RULE 2010, NASD RULES 2110, 2310, 3010 - WELLS FARGO ADVISORS, FINANCIAL NETWORK, LLC FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH NASD AND FINRA RULES IN CONNECTION WITH THE SALE OF NON-TRADITIONAL EXCHANGE-TRADED FUNDS (ETFS) IN ACCOUNTS WHERE THE FIRM PROVIDED BROKERAGE SERVICES TO CERTAIN RETAIL CUSTOMERS AND THE FIRM FAILED TO PROVIDE ADEQUATE FORMAL TRAINING AND GUIDANCE TO ITS REGISTERED REPRESENTATIVES AND SUPERVISORS REGARDING NON-TRADITIONAL ETFS. THE FIRM ALLOWED ITS REGISTERED REPRESENTATIVES TO RECOMMEND A NON-TRADITIONAL ETF TO CUSTOMERS WITHOUT PERFORMING REASONABLE DILIGENCE TO UNDERSTAND THE RISKS AND FEATURES ASSOCIATED WITH IT. CERTAIN FIRM REGISTERED REPRESENTATIVES MADE UNSUITABLE RECOMMENDATION OF NON-TRADITIONAL ETFS TO CERTAIN CUSTOMERS WITH CONSERVATIVE INCOME OR CONSERVATIVE GROWTH & INCOME INVESTMENT OBJECTIVES AND/OR RISK TOLERANCES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, THE FIRM IS CENSURED, AND WITH ITS AFFILIATE WELLS FARGO ADVISORS, LLC IS FINED $2.1 MILLION AND ORDERED TO PAY $641,489 IN RESTITUTION, JOINTLY AND SEVERALLY. A REGISTERED FIRM PRINCIPAL SHALL SUBMIT SATISFACTORY PROOF OF PAYMENT OF RESTITUTION OR OF REASONABLE AND DOCUMENTED EFFORTS UNDERTAKEN TO EFFECT RESTITUTION TO FINRA NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THE AWC. ANY UNDISTRIBUTED RESTITUTION SHALL BE FORWARDED TO THE APPROPRIATE ESCHEAT, UNCLAIMED PROPERTY OR ABANDONED PROPERTY FUND FOR THE STATE IN WHICH THE CUSTOMER LAST RESIDED. THE FIRM SHALL PROVIDE SATISFACTORY PROOF OF SUCH ACTION TO FINRA WITHIN 14 DAYS OF FORWARDING THE UNDISTRIBUTED RESTITUTION TO THE APPROPRIATE STATE AUTHORITY.
Allegations: FAILURE TO REPORT ITS NASDAQ VOLUME IN 9 SECURITIES ON MAY 28, 1986 AND 11 SECURITIES ON OCTOBER 31, 1986 Status: Final Sanction Detail: THE FIRM WAS FINED $250 PURSUANT TO THE ACCEPTANCE, WAIVER AND CONSENT PROCEDURES
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO STORE RECORDS RELATED TO ITS CUSTOMER IDENTIFICATION PROGRAM (CIP)-AN INTEGRAL PART OF AN ANTI-MONEY LAUNDERING PROGRAM-IN THE REQUIRED NON-ERASABLE AND NON-WRITABLE FORMAT, KNOWN AS "WRITE ONCE, READ MANY" (WORM) FORMAT. THE FINDINGS STATED THAT FIRM PERSONNEL DISCOVERED THAT THE FIRM WAS STORING RECORDS RELATED TO ITS CIP ON A SYSTEM THAT WAS NOT WORM COMPLIANT, AND ADVISED AN INTERNAL WORKING GROUP THAT ADDRESSED BOOKS AND REQUIREMENTS OF THE ISSUE. THE WORKING GROUP CONCLUDED THAT THE ISSUE SHOULD BE ESCALATED TO DETERMINE IF IT NEEDED TO BE REPORTED TO FINRA. THE ISSUE, HOWEVER, WAS NOT ESCALATED TO THE FIRMS' WORKING GROUP THAT CONSIDERED FINRA REPORTING OBLIGATIONS, AND THE FIRM DID NOT REPORT IT TO FINRA OR REMEDIATE IT AT THAT TIME. THE FIRM CONTINUED TO STORE CIP RECORDS ON THE NON-WORM COMPLIANT PLATFORM FOR MORE THAN THREE YEARS. APPROXIMATELY 13 MILLION CIP-RELATED RECORDS, PERTAINING TO APPROXIMATELY 8.2 MILLION CUSTOMERS, WERE STORED ON THE NON-WORM COMPLIANT PLATFORM, WITH APPROXIMATELY 4 MILLION DOCUMENTS HAVING BEEN STORED ON THE FIRM'S NON-WORM COMPLIANT PLATFORM AFTER THE ISSUE WAS DISCOVERED. THEREFORE, THE FIRM VIOLATED EXCHANGE ACT RULE 17A-4(F)(2)(II)(A). IN ADDITION, THE FIRM FAILED TO NOTIFY FINRA, ITS DESIGNATED EXAMINING AUTHORITY, AT LEAST 90 DAYS PRIOR TO USING THE NON-WORM COMPLIANT PLATFORM ON WHICH IT STORED THE CIP-RELATED RECORDS. THEREFORE, THE FIRM VIOLATED EXCHANGE ACT RULES 17A-4(F)(3)(V) AND 17A-4(F)(2)(I). Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $2,250,000, JOINTLY AND SEVERALLY WITH WELLS FARGO CLEARING SERVICES, LLC. WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC CONTRIBUTED $250,000 TO THE PAYMENT OF THE FINE. Summary: THE FIRM ENTERED INTO AN AWC AGREEMENT WITH FINRA ON DECEMBER 6, 2021, FULLY RESOLVING THIS MATTER, WHICH INCLUDED AGREEMENT TO THE ENTRY OF A CENSURE AGAINST THE FIRM AND A FINE PAYABLE TO FINRA. FINE WAS RECEIVED BY FINRA ON DECEMBER 23, 2021.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THEENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM THAT WASREASONABLY DESIGNED TO SUPERVISE SHORT-TERM TRADING OF UNIT INVESTMENT TRUSTS (UITS). THEFINDINGS STATED THAT THE FIRM DID NOT ESTABLISH A SUPERVISORY SYSTEM THAT WAS REASONABLYDESIGNED TO IDENTIFY EARLY UIT ROLLOVERS. THE FIRM HAD AN AUTOMATED REPORT THAT FLAGGED SALESOF A MUTUAL FUND OR UIT FOLLOWED WITHIN 25 DAYS BY A PURCHASE OF ANY OF THOSE SAME PRODUCTS,AND IN THE ORDINARY COURSE THE FIRM SENT SWITCH LETTERS TO CUSTOMERS WHEN THIS REPORT WASGENERATED. HOWEVER, THAT REPORT DID NOT ACCOUNT FOR THE LENGTH OF TIME A UIT WAS HELD BEFOREIT WAS SOLD. AS A RESULT, THE FIRM DID NOT HAVE ANY AUTOMATED SYSTEM TO IDENTIFY WHEN UITSWERE ROLLED OVER SIGNIFICANTLY IN ADVANCE OF THEIR MATURITY DATE - EVEN THOUGH THE FIRM'SWRITTEN SUPERVISORY PROCEDURES (WSPS) RECOGNIZED THAT UITS SHOULD GENERALLY BE HELD TOMATURITY. AS SUCH, THE FIRM FAILED TO DETECT THAT ON THOUSANDS OF OCCASIONS, ITSREPRESENTATIVES RECOMMENDED POTENTIALLY UNSUITABLE EARLY SERIES-TO-SERIES ROLLOVERS. ONTHOUSANDS OF OTHER OCCASIONS, THE FIRM FAILED TO DETECT THAT ITS REPRESENTATIVES REPEATEDLY RECOMMENDED OTHER POTENTIALLY UNSUITABLE EARLY UIT ROLLOVERS THAT CAUSED CUSTOMERS TO PAY UNNECESSARY SALES CHARGES. COLLECTIVELY, THESE EARLY UIT ROLLOVERS MAY HAVE CAUSED CUSTOMERS TO PAY $375,137.67 IN SALES CHARGES THAT THEY WOULD NOT HAVE INCURRED HAD THEY HELD THE UITS UNTIL THEIR MATURITY DATES. THE FIRM HAS VOLUNTARILY EMPLOYED CORRECTIVE MEASURES TO REVISE ITS PROCEDURES, INCLUDING BY REVISING ITS WSPS AND BY IMPLEMENTING IMPROVED CONTROLS RELEVANT TO ITS UIT BUSINESS, SUCH AS ESTABLISHING AUTOMATED ALERTS TO ASSIST IN IDENTIFYING WHEN REPRESENTATIVES RECOMMEND EARLY UIT ROLLOVERS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $100,000, AND ORDERED TO PAY $375,137.67, PLUS INTEREST, INRESTITUTION TO CUSTOMERS. THE FIRM PAID THE FINE ON JANUARY 6TH, 2022.
Allegations: WITHOUT ADMITTING THE ALLEGATIONS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO A SETTLEMENT IN WHICH IT WAS ALLEGED AND FOUND TO HAVE VIOLATED NFA COMPLIANCE RULE 2-49(A) BY FAILING TO COMMUNICATE WITH A COUNTERPARTY IN A FAIR AND BALANCED MANNER AS REQUIRED UNDER COMMODITY FUTURES TRADING COMMISSION REGULATION 23-433. WFBNA AGREED TO PAY A CIVIL MONEY PENALTY OF $2,500,000.00 TO THE NATIONAL FUTURES ASSOCIATION WITHIN 30 DAYS. Status: Final Sanction Detail: $2,500,000. FINE DUE WITHIN 30 DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE FINDINGS STATED THAT THESE CUSTOMERS WERE INSTEAD SOLD CLASS A SHARES WITH A FRONT-END SALES CHARGE OR CLASS B OR C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT ELIGIBLE CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS. THE FIRM FAILED TO ADOPT ADEQUATE CONTROLS TO DETECT INSTANCES IN WHICH THEY DID NOT PROVIDE SALES CHARGE WAIVERS TO CUSTOMERS IN CONNECTION WITH THEIR MUTUAL FUND PURCHASES. Status: Final Sanction Detail: THE FIRM IS CENSURED, ORDERED TO PROVIDE RESTITUTION TO CUSTOMERS, WHICH INCLUDES THE SALES CHARGE PAID, PLUS INTEREST, AND WITH RESPECT TO ANY ELIGIBLE CUSTOMER THAT PURCHASED CLASS B OR C SHARES AND STILL HOLDS SUCH SHARES IN AN ACCOUNT AT THE FIRM, IT SHALL OFFER SUCH CUSTOMER THE OPTION OF CONVERTING SUCH CLASS B OR C SHARES TO CLASS A SHARES. IF AN ELIGIBLE FUND DOES NOT PERMIT CONVERSION OF CLASS B OR C SHARES TO CLASS A SHARES, THE ELIGIBLE CUSTOMER SHALL BE PROVIDED THE OPTION OF REPLACING CLASS B OR C SHARES WITH AN EQUIVALENT VALUE OF CLASS A SHARES OFFERED BY ANOTHER ELIGIBLE FUND. THE FIRM SHALL CAUSE SUCH CONVERSION TO OCCUR AT NO EXPENSE TO THE CUSTOMER.
Allegations: FEDERAL RESERVE CONSENT ORDER RE: BANK'S MORTGAGE FORECLOSURE PRACTICES Status: Final Sanction Detail: WELLS FARGO & COMPANY (WELLS FARGO) ENTERED INTO A CONSENT ORDER WITH THE FEDERAL RESERVE PURSUANT TO WHICH WELLS FARGO AGREED, AMONG OTHER THINGS, (I) TO ENSURE THE BANK'S COMPLIANCE WITH THE OCC CONSENT ORDER; (II) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE RISK MANAGEMENT WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; (III) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE-WIDE COMPLIANCE PROGRAM WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; AND (IV) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO RESIDENTIAL MORTGAGE LOAN SERVICING. Summary: WELLS FARGO & COMPANY (WELLS FARGO) ENTERED INTO A CONSENT ORDER WITH THE FEDERAL RESERVE PURSUANT TO WHICH WELLS FARGO AGREED, AMONG OTHER THINGS, (I) TO ENSURE THE BANK'S COMPLIANCE WITH THE OCC CONSENT ORDER; (II) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE RISK MANAGEMENT WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; (III) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE ITS ENTERPRISE-WIDE COMPLIANCE PROGRAM WITH RESPECT TO OVERSIGHT OF RESIDENTIAL MORTGAGE LOAN SERVICING; AND (IV) TO DEVELOP FOR THE FEDERAL RESERVE'S APPROVAL A WRITTEN PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO RESIDENTIAL MORTGAGE LOAN SERVICING.
Allegations: THE BOARD OF GOVERNORS ALLEGED THAT WELLS FARGO FINANCIAL, INC., A SUBSIDIARY OF WELLS FARGO & COMPANY, ENGAGED IN ACTIVITIES CONSTITUTING UNSAFE OR UNSOUND BANKING PRACTICES, AND VIOLATIONS OF THE FEDERAL TRADE COMMISSION ACT AND STATE LAW IN CONNECTION WITH CERTAIN HOME MORTGAGE LENDING ACTIVITIES. Status: Final Sanction Detail: THIS MATTER WAS RESOLVED BY SETTLEMENT AND A MUTUALLY AGREED ORDER DATED JULY 20, 2011 PROVIDING FOR: (I) PAYMENT OF CIVIL MONETARY PENALTY OF $85 MILLION; (II) THE SUBMISSION WITHIN 90 DAYS OF REMEDIAL PLANS FOR PAYING RESTITUTION TO ELIGIBLE BORROWERS; AND (III) THE SUBMISSION WITHIN 90 DAYS OF ACCEPTABLE PLANS FOR THE PREVENTION OF SIMILIAR FUTURE CONDUCT, OVERSEEING COMPLIANCE WITH FEDERAL AND STATE LAW APPLICABLE TO HOME MORTGAGE LENDING ACTIVITIES, AND MODIFYING INCENTIVE COMPENSATION AND PERFORMANCE MANAGEMENT PROGRAMS RELATED TO HOME MORTGAGE LENDING ACTIVITIES. Summary: THIS MATTER WAS RESOLVED BY SETTLEMENT AND A MUTUALLY AGREED ORDER DATED JULY 20, 2011 PROVIDING FOR: (I) PAYMENT OF CIVIL MONETARY PENALTY OF $85 MILLION; (II) THE SUBMISSION WITHIN 90 DAYS OF REMEDIAL PLANS FOR PAYING RESTITUTION TO ELIGIBLE BORROWERS; AND (III) THE SUBMISSION WITHIN 90 DAYS OF ACCEPTABLE PLANS FOR THE PREVENTION OF SIMILIAR FUTURE CONDUCT, OVERSEEING COMPLIANCE WITH FEDERAL AND STATE LAW APPLICABLE TO HOME MORTGAGE LENDING ACTIVITIES, AND MODIFYING INCENTIVE COMPENSATION AND PERFORMANCE MANAGEMENT PROGRAMS RELATED TO HOME MORTGAGE LENDING ACTIVITIES.
Allegations: FEDERAL RESERVE CONSENT ORDER RE: BANK'S MORTGAGE FORECLOSURE PRACTICES. Status: Final Sanction Detail: THE $87,000,000.00 CIVIL MONEY PENALTY WILL BE REDUCED ENTIRETY IF THAT ASSISTANCE IS $87,000000.00 OR GREATER.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE ORDER TO CEASE AND DESIST AND TO TAKE AFFIRMATIVE ACTION TO TAKE STEPS TO ENSURE THE BANK COMPLIES WITH CONSENT ORDERS ISSUED BY THE OCC AND CFPB, WITHIN SIXTY DAYS, SUBMIT A WRITTEN PLAN TO FURTHER ENHANCE THE EFFECTIVENESS IN CARRYING OUT OVERSIGHT AND GOVERNANCE OF WFC, IMPROVE ITS OVERSIGHT OF SENIOR MANAGEMENT INCLUDING AN EFFECTIVE RISK TOLERANCE PROGRAM AND RISK IDENTIFICATION AND ESCALATION FRAMEWORK. FOLLOWING THE ADOPTION FO THE PLANS AND IMPROVEMENTS, WFC SHALL CONDUCT BY SEPTEMBER 30, 2018 AND INDEPENDENT REVIEW OF THE BOARD'S IMPROVEMENTS, ENHANCEMENTS TO THE FIRM'S COMPLIANCE AND OPERATIONAL RISK MANAGEMENT PROGRAM. WFC MUST CONDUCT A SECOND INDEPENDENT REVIEW INTO WFC'S "BUSINESS-AS-USUAL PRACTICES AND OPERATIONS TO ASSESS THE EFFICACY AND SUSTAINABILITY OF THE IMPROVEMENTS. BOTH REVIEWS MUST BE CONDUCTED BY THIRD PARTY EXPERTS WITH RESULTS SUBMITTED TO THE FEDERAL RESERVE WITHIN 30 DAYS OF COMPLETION OF THE REPORTS. WFC IS RESTRICTED, WITHOUT PRIOR WRITTEN APPOVAL, TO TAKE ANY ACTION THAT WOULD CAUSE THE AVERAGE OF WFC'S TOTAL CONSOLIDATED ASSETS FOR THE CURRENT AND PRECEDING QUARTER TO EXCEED A SPECIFIED LEVEL AS DESCRIBED MORE FULLY IN THE ORDER. Status: Final Sanction Detail: RESTRICTED, WITHOUT PRIOR WRITTEN APPROVAL, FROM EXCEEDING CERTAIN ASSET LEVELS AS DESCRIBED MORE FULLY IN THE ORDER.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: FIRM WILL MAKE PAYMENT UPON RECEIPT AND PROCCESSING INSTRUCTIONS.
Allegations: WELLS FARGO & COMPANY ENTERED INTO A SETTLEMENT WITH ALL 50 STATE ATTORNEYS GENERAL AND THE DISTRICT OF COLUMBIA REGARDING PREVIOUSLY DISCLOSED RETAIL SALES PRACTICES, AUTO COLLATERAL PROTECTION INSURANCE AND GUARANTEED ASSET/AUTO PROTECTION, AND MORTGAGE INTEREST RATE LOCK MATTERS. UNDER THE TERMS OF THE AGREEMENT, WELLS FARGO AGREED TO PAY A TOTAL OF $575 MILLION TO RESOLVE POTENTIAL CIVIL CLAIMS BY STATE ATTORNEYS GENERAL. Status: Final Sanction Detail: THE MONETARY AMOUNT OWED WAS PAID.
Allegations: ON MARCH 30TH, 2023, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "BOARD OF GOVERNORS") ISSUED AN ORDER OF ASSESSMENT OF CIVIL MONEY PENALTY ISSUED UPON CONSENT PURSUANT TO THE FEDERAL DEPOSIT INSURANCE ACT, AS AMENDED (THE "ORDER") IMPOSING A CIVIL MONEY PENALTY ON WELLS FARGO & COMPANY ("WFC"), THE APPLICANT'S PARENT ENTITY, FOR UNSAFE AND UNSOUND PRACTICES RELATING TO FAILURES IN WFC'S RISK-MANAGEMENT AND OVERSIGHT FRAMEWORK FOR IDENTIFYING AND ADDRESSING LEGAL AND COMPLIANCE RISKS. SPECIFICALLY, WFC'S SUBSIDIARY BANK, WELLS FARGO BANK, N.A., (THE "BANK"), PROVIDED A TRADE FINANCE SOFTWARE PLATFORM TO A NON-US BANK, WHICH, DURING THE PERIOD OF DECEMBER 2011 TO DECEMBER 2015, THE NON-US BANK USED TO PROCESS NON-US DOLLAR TRADE FINANCE INSTRUMENTS OUTSIDE THE US FINANCIAL SYSTEM INVOLVING PARTIES IN JURISDICTIONS SUBJECT AT THE TIME TO SANCTIONS REGULATIONS. THE ORDER PROVIDES THAT WFC'S RISK-MANAGEMENT AND OVERSIGHT FRAMEWORK FAILURE TO IDENTIFY AND ADDRESS THE LEGAL AND COMPLIANCE RISKS WITH RESPECT TO THE BANK'S PROVISION OF THE SOFTWARE TO A NONUS BANK CONSTITUTES UNSAFE AND UNSOUND PRACTICES. Status: Final Sanction Detail: THE ORDER REQUIRES WELLS FARGO & COMPANY TO PAY A CIVIL MONEY PENALTY IN AMOUNT OF $67,762,500, WHICH IT PAID ON MARCH 30TH, 2023. Summary: THE BOARD OF GOVERNORS ASSESSED A CIVIL MONEY PENALTY ON WELLS FARGO & COMPANY FOR UNSAFE AND UNSOUND PRACTICES IN RESPECT OF FAILURES IN ITS RISKMANAGEMENT AND OVERSIGHT FRAMEWORK THAT ENABLED WELLS FARGO & COMPANY'S SUBSIDIARY BANK TO PROVIDE A TRADING PLATFORM TO A NON-US BANK THAT ALLOWED THAT BANK TO PROCESS CERTAIN NON-US DOLLAR TRANSACTIONS INVOLVING PARTIES IN JURISDICTIONS SUBJECT TO OFAC REGULATIONS.
Allegations: THE COMPLAINT ALLEGES FROM 2009 THROUGH 2013, GENUINE TITLE, LLC PROVIDED WELLS FARGO LOAN OFFICERS MARKETING SERVICES THAT ASSISTED THE LOAN OFFICERS IN GENERATING BUSINESS AND INCREASING THE NUMBER OF LOANS WELLS FARGO ORIGINATED OR FINANCED. THE COMPLAINT ALLEGES THAT UNDER AGREEMENTS OR UNDERSTANDING BETWEEN GENUINE TITLE AND THE LOAN OFFICERS, THE LOAN OFFICERS REFERRED SETTLEMENT SERVICE BUSINESS TO GENUINE TITLE. Status: Final Sanction Detail: WELLS FARGO IS ORDERED TO DISTRIBUTE AND ACKNOWLEDGE WITHIN 30 DAYS AND FOR FIVE (5) YEARS COPIES OF THE ORDER TO IT'S BOARD MEMBERS, EXECUTIVE OFFICERS, ALL MANAGEMENT PERSONNEL WITHIN ITS RETAIL SALES MORTGAGE ORIGINATION BUSINESS DOWN TO THE LEVEL OF HOME MORTGAGE CONSULTANT. Summary: WELLS FARGO BANK, N.A., NEITHER ADMITS OR DENIES ANY ALLEGATIONS EXCEPT TO ESTABLISH THE BUREAU'S JURISDICTION OVER WELLS FARGO AND THE SUBJECT MATTER.
Allegations: WITHOUT ADMITTING LIABILITY, THE BANK CONSENTED TO A CIVIL SETTLEMENT AGREEMENT IN WHICH THE US DOJ ALLEGED THE BANK ENGAGED IN VIOLATIONS COVERED UNDER THE FINANCIAL INSTITUTIONS REFORM, RECOVERY AND ENFORCEMENT ACT OF 1989, 12 U.S.C. § 1833A, RELATED TO REPRESENTATIONS, DISCLOSURES OR NON-DISCLOSURES TO RMBS INVESTORS OR THIRD PARTIES THAT WERE PASSED THROUGH TO RMBS INVESTORS. WELLS FARGO BANK, N.A. AGREED TO PAY A CIVIL MONEY PENALTY OF $2,090,000,000 TO THE CIVIL DIVISION OF THE U.S. DEPARTMENT OF JUSTICE WITHIN FIFTEEN (15) DAYS. Status: Final Sanction Detail: $2,090,000,0000. FINE DUE WITHIN 15 DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING LIABILITY, WELLS FARGO & COMPANY (WF&CO) ENTERED INTO A CONSENT ORDER IN WHICH WF&CO WAS ALLEGED TO HAVE VIOLATED §11-301(2) OF THE MARYLAND SECURITIES ACT, RELATED TO THE CREATION, POOLING, STRUCTURING, SPONSORSHIP, PACKAGING, MARKETING, UNDERWRITING, SALE OR ISSUANCE OF RESIDENTIAL MORTGAGE-BACKED SECURITIES ("RMBS") BETWEEN JANUARY 1, 2005 AND JANUARY 1, 2009. WF&CO AGREED TO PAY RESTITUTION OF $20,000,000 TO THE STATE OF MARYLAND WITHIN THIRTY (30) BUSINESS DAYS. Status: Final Sanction Detail: $20,000,000 RESTITUTION TO BE PAID WITHIN 30 BUSINESS DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO THE ENTRY OF AN ORDER THAT ITS COMMUNITY BANK GROUP HAD UNSAFE OR UNSOUND PRACTICES IN RISK MANAGEMENT AND OVERSIGHT OF SALES PRACTICES, AND UNSAFE OR UNSOUND SALES PRACTICES BY SELLING UNWANTED DEPOSIT OR CREDIT CARD ACCOUNTS, THE UNAUTHORIZED OPENING OF SUCH ACCOUNTS, THE TRANSFER OF FUNDS TO UNAUTHORIZED ACCOUNTS, AND UNAUTHORIZED CREDIT INQUIRIES TO OPEN THE ACCOUNTS. Status: Final Sanction Detail: FINE PAID OF $35,000,000.00
Allegations: THE OFFICE OF FINANCIAL REGULATION ALLEGED THAT THE FIRM'S SUPERVISORY SYSTEM WAS INADEQUATE WITH RESPECT TO THE SUPERVISION OF RECOMMENDATIONS BY ITS ASSOCIATED PERSONS THAT CLIENTS SWITCH FROM ONE MUTUAL FUND TO ANOTHER IN FLORIDA. AS NOTED IN THE STIPULATION AND CONSENT, SINCE THE OFFICE'S EXAMINATION, THE FIRM REVISED IT SUPERVISORY SYSTEM AND IMPLEMENTED A NEW COMPUTERIZED SUPERVISORY AND SURVEILLANCE SYSTEM. Status: Final Sanction Detail: THE FIRM PAID A $50,000 FINE ON FEBRUARY 3, 2006. THE FIRM AGREED TO UNDERTAKE A REVIEW AND RESTITUTION PROCESS IN CONNECTION WITH FLORIDA MUTUAL FUND TRANSACTIONS EFFECTED BETWEEN JANUARY 1, 2002 AND DECEMBER 31, 2004 FOR FLORIDA RESIDENTS WHO MAY HAVE BEEN ELIGIBLE FOR, BUT DID NOT RECEIVE AN NAV PRICING SPECIAL. THE FIRM IS REQUIRED TO COMPLETE THE REVIEW AND RESTITUTION PROCESS WITHIN 270 DAYS OF THE DATE OF THE FINAL ORDER.
Allegations: THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ALLEGED THAT DURING THE APPROXIMATE PERIOD OF JANUARY 2007 THROUGH DECEMBER 2010 WELLS FARGO ADVISORS, LLC, AN UNLICENSED ENTITY, ACCEPTED INSURANCE COMMISSIONS FROM WELLS FARGO ADVISORS INSURANCE AGENCY LLC, IN VIOLATION OF NEW YORK INSURANCE LAW. THE DEPARTMENT FURTHER ALLEGED THAT BOTH WELLS FARGO ADVISORS LLC AND WELLS FARGO ADVISORS FINANCIAL NETWORK LLC PROVIDED MATERIALLY INCOMPLETE INFORMATION IN THEIR RESPECTIVE INSURANCE LICENSE APPLICATIONS SUBMITTED TO THE STATE ON OR ABOUT JANUARY 27, 2012. Status: Final Sanction Detail: WELLS FARGO FINANCIAL ADVISORS JOINTLY WITH AN AFFILIATES PAID A $50,000 FINE AND AGREED TO TAKE ALL NECESSARY STEPS TO PREVENT THE REOCCURRENCE OF SIMILAR VIOLATIONS.
Allegations: THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ("OCC") ALLEGED THAT WACHOVIA BANK, N.A. ("WACHOVIA BANK") FAILED TO IMPLEMENT ADEQUATE POLICIES, PROCEDURES AND CONTROLS RELATING TO CASH TRANSFERS FOR CURRENCY EXCHANGE HOUSES AND FOREIGN CORRESPONDENT CUSTOMERS, TO CONDUCT ADEQUATE MONITORING OF RELATED TRANSACTIONS AND CUSTOMERS, TO FILE TIMELY SUSPICIOUS ACTIVITY REPORTS AND TO ADEQUATELY REPORT CASH STRUCTURING ACTIVITY FROM REVIEW OF INTERNALLY GENERATED REPORTS Status: Final Sanction Detail: WACHOVIA AGREED TO PAY A FINE OF $50 MILLION TO THE OCC, WHICH WAS PAID ON OR BEFORE MARCH 21, 2010. NO PORTION OF THE FINE WAS WAIVED. Summary: WACHOVIA BANK AGREED, AMONG OTHER THINGS, TO TAKE THE NECESSARY STEPS TO ADDRESS DEFICIENCIES AND ENHANCE ITS BSA AND AML POLICIES AND PROCEDURES OVER FOREIGN CORRESPONDENT BANKING ACTIVITIES, TO DEVELOP AN ACTION PLAN DESIGNED TO ADDRESS IDENTIFIED DEFICIENCIES AND VIOLATIONS OF LAW AND TO SUBMIT THE ACTION PLAN TO THE DEPUTY COMPTROLLER WITHIN 90 DAYS OF THE ORDER, NOT TO IMPLEMENT ANY MATERIAL CHANGES TO THE ACTION PLAN WITHOUT PRIOR SUBMISSION TO AND APPROVAL OF THE DEPUTY COMPTROLLER, TO SUBMIT A FORMAL REPORT TO ITS BOARD OF DIRECTORS AND THE DEPUTY COMPTROLLER DETAILING THE STATUS OF REMEDIATION ACTIVITIES WITHIN 120 DAYS OF THE ORDER, AND TO SUBMIT QUARTERLY STATUS REPORTS UNTIL THE PROVISIONS OF THE ORDER ARE TERMINATED BY THE COMPTROLLER. WACHOVIA BANK MERGED WITH AND INTO WELLS FARGO BANK, N.A. ON MARCH 20, 2010.
Allegations: THE FINANCIAL CRIMES ENFORCEMENT NETWORK ("FINCEN") OF THE DEPARTMENT OF THE TREASURY ALLEGED THAT WACHOVIA BANK, N.A. ("WACHOVIA BANK") FAILED TO IMPLEMENT ADEQUATE POLICIES, PROCEDURES AND CONTROLS RELATING TO CASH TRANSFERS FOR CURRENCY EXCHANGE HOUSES AND FOREIGN CORRESPONDENT CUSTOMERS, TO CONDUCT ADEQUATE MONITORING OF RELATED TRANSACTIONS AND CUSTOMERS, TO ADEQUATELY STAFF THE BANK SECRECY ACT ("BSA") COMPLIANCE FUNCTION, TO EFFECTIVELY IMPLEMENT AN INDEPENDENT AUDIT FUNCTION TO TEST FOR BSA COMPLIANCE, TO FILE TIMELY SUSPICIOUS ACTIVITY REPORTS AND TO REPORT CURRENCY TRANSACTIONS Status: Final Sanction Detail: FINCEN ASSESSED A PENALTY OF $110 MILLION AGAINST WACHOVIA BANK, WHICH WAS DEEMED SATISFIED FULLY BY WACHOVIA BANK'S FORFEITURE OF $110 MILLION, PAID ON OR BEFORE MARCH 21, 2010, TO THE U.S. GOVERNMENT IN CONNECTION WITH THE DEFERRED PROSECUTION AGREEMENT DESCRIBED IN 13, BELOW. Summary: FINCEN ISSUED ITS ASSESSMENT OF CIVIL MONEY PENALTY CONCURRENTLY WITH WACHOVIA BANK ENTERING INTO A DEFERRED PROSECUTION AGREEMENT ("AGREEMENT") WITH THE U.S. ATTORNEY'S OFFICE AND THE U.S. DEPARTMENT OF JUSTICE (COLLECTIVELY, THE "UNITED STATES") ON MARCH 16, 2010. PURSUANT TO THE AGREEMENT, WACHOVIA BANK SETTLED CIVIL AND CRIMINAL FORFEITURE CLAIMS FOR THE AMOUNT OF $110 MILLION, PAID ON OR BEFORE MARCH 21, 2010, AND AGREED TO IMPLEMENT CERTAIN REMEDIAL MEASURES DESIGNED TO FULLY COMPLY WITH THE BANK SECRECY ACT AND TO ABIDE BY ANY FINCEN ORDERS AND REGULATIONS. WACHOVIA BANK MERGED WITH AND INTO WELLS FARGO BANK, N.A. ON MARCH 20, 2010. WELLS FARGO BANK, N.A. AGREED TO BE BOUND BY THE TERMS AND CONDITIONS OF THE AGREEMENT FOLLOWING THE MERGER. THE UNITED STATES AGREED THAT PROSECUTION OF WACHOVIA BANK BE DEFERRED FOR A PERIOD OF TWELVE MONTHS AND THAT, IF WELLS FARGO BANK, N.A. IS IN COMPLIANCE IN ALL MATERIAL ASPECTS WITH ALL OF ITS OBLIGATIONS UNDER THE AGREEMENT, THE UNITED STATES, WITHIN THIRTY DAYS OF THE EXPIRATION OF THAT PERIOD, WOULD SEEK DISMISSAL WITH PREJUDICE OF THE CHARGE.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. (WFBNA) CONSENTS TO THE FINDING THAT BETWEEN 2007 AND 2014, WFBNA FAILED TO ACCURATELY DISCLOSE SOME SERVICE MEMBER'S MILITARY STATUS IN AFFIDAVITS FILED IN EVICTION PROCEEDINGS AND BETWEEN 2006 AND 2011, FAILED TO OBTAIN COURT ORDERS PRIOR TO REPOSSESING SERVICES MEMBER'S AUTOMOBILES. Status: Final Sanction Detail: $20,000,000.00 FINE PAID Summary: N/A
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT OR CONCLUSIONS OF LAW, THE BANK CONSENTED TO THE ISSUANCE OF AN ORDER IN WHICH THE CFPB FOUND THAT THE BANK ENGAGED IN UNFAIR ACTS OR PRACTICES IN VIOLATION OF SECTIONS 1031(C) AND 1036(A)(1)(B) OF THE CONSUMER FINANCIAL PROTECTION ACT OF 2010 (CFPA) FOR CERTAIN SPECIFIED ACTS AND PRACTICES RELATED TO: (1) THE BANK'S FAILURE TO FOLLOW THE MORTGAGE-INTEREST-RATE-LOCK PROCESS IT EXPLAINED TO SOME PROSPECTIVE BORROWERS; AND (2) THE BANK'S FORCE-PLACED AUTOMOBILE COLLATERAL PROTECTION INSURANCE (CPI) PROGRAM. IN ADDITION TO ORDERING THE BANK TO STOP ENGAGING IN THE SPECIFIED ACTS AND PRACTICES, THE ORDER FURTHER REQUIRES THE BANK TO: (1) MAINTAIN A COMPLIANCE COMMITTEE RESPONSIBLE FOR MONITORING AND OVERSEEING THE BANK'S COMPLIANCE WITH THE PROVISIONS OF THE ORDER; (2) SUBMIT AN ACCEPTABLE ENTERPRISE-WIDE COMPLIANCE RISK MANAGEMENT PLAN DESIGNED TO ENSURE THE BANK'S ACTS AND PRACTICES COMPLY WITH FEDERAL CONSUMER FINANCIAL LAW AND THE TERMS OF THE ORDER, A STAFFING ASSESSMENT FOR THE COMPLIANCE RISK MANAGEMENT PROGRAM, AND A PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO COMPLIANCE; (3) ESTABLISH A COMPREHENSIVE REMEDIATION PROGRAM FOR REMEDIATION ACTIVITIES CONDUCTED BY THE BANK AND ESTABLISH REMEDIATION PLANS ADDRESSING THE CPI AND MORTGAGE-INTEREST-RATE-LOCK FINDINGS IN THE ORDER; (4) PAY A CIVIL MONEY PENALTY OF $1 BILLION, FOR WHICH ONLY $500 MILLION MUST BE PAID TO THE CFPB AS THE CFPB IS TREATING THE PAYMENT OF THE $500 MILLION OCC PENALTY AS PARTIAL SATISFACTION OF THE PENALTY; AND (5) COMPLY WITH VARIOUS REPORTING AND APPROVAL REQUIREMENTS. Status: Final Sanction Detail: $500,000,000. FINE
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE BANK CONSENTED TO THE ISSUANCE OF AN ORDER IN WHICH THE OCC FOUND THAT THE BANK FAILED TO IMPLEMENT AND MAINTAIN AN ENTERPRISE-WIDE COMPLIANCE RISK MANAGEMENT PROGRAM COMMENSURATE WITH THE BANK'S SIZE, COMPLEXITY, AND RISK PROFILE. THE OCC FOUND THAT THE DEFICIENCIES IN THE BANK'S ENTERPRISE-WIDE COMPLIANCE RISK MANAGEMENT PROGRAM, WHICH WERE IDENTIFIED DURING THE OCC'S ONGOING SUPERVISION OF THE BANK, CONSTITUTED RECKLESS UNSAFE OR UNSOUND PRACTICES RESULTING IN VIOLATIONS OF THE UNFAIR ACTS OR PRACTICES PROVISION OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT. THE OCC ALSO FOUND THAT DEFICIENCIES IN THE BANK'S AUTOMOBILE COLLATERAL PROTECTION INSURANCE (CPI) PROGRAM AND MORTGAGE INTEREST RATE LOCK EXTENSION FEE PRACTICES CONSTITUTED UNFAIR ACTS OR PRACTICES AND WERE UNSAFE OR UNSOUND. THE ORDER REQUIRES THE BANK TO: (1) MAINTAIN A COMPLIANCE COMMITTEE RESPONSIBLE FOR MONITORING AND OVERSEEING THE BANK'S COMPLIANCE WITH THE PROVISIONS OF THE ORDER; (2) DEVELOP AND EXECUTE A COMPLIANCE RISK MANAGEMENT PLAN, A CONSENT ORDER ACTION PLAN, A STAFFING ASSESSMENT FOR THE COMPLIANCE RISK MANAGEMENT PROGRAM, AND A PLAN TO ENHANCE THE INTERNAL AUDIT PROGRAM WITH RESPECT TO COMPLIANCE; (3) ESTABLISH A COMPREHENSIVE REMEDIATION PROGRAM FOR REMEDIATION ACTIVITIES CONDUCTED BY THE BANK AND ESTABLISH REMEDIATION PLANS ADDRESSING CPI AND MORTGAGE INTEREST RATE LOCK EXTENSION FEES; (4) PAY A CIVIL MONEY PENALTY OF $500,000,000; AND (5) COMPLY WITH VARIOUS REPORTING AND APPROVAL REQUIREMENTS. Status: Final Sanction Detail: $500,000,000.00 FINE
Allegations: WITHOUT ADMITTING LIABILITY, THE BANK CONSENTED TO CONSENT AGREEMENTS IN WHICH THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) ALLEGED THE BANK ENGAGED IN (1) UNSAFE OR UNSOUND PRACTICES RELATED TO LOSS MITIGATION ACTIVITIES AND INADEQUATE INDEPENDENT RISK MANAGEMENT AND INTERNAL AUDIT OF THE LOSS MITIGATION AND (2) VIOLATIONS COVERED UNDER THE 2018 CONSENT ORDER, AA-EC-2018-15. WELLS FARGO BANK, N.A. AGREED TO PAY A CIVIL MONEY PENALTY OF $250,000,000. TO THE OCC UPON ACCEPTANCE OF THE CONSENT AGREEMENT AND WITHIN 150 DAYS PROVIDE THE OCC EXAMINER-IN-CHARGE A WRITTEN ACCEPTABLE ACTION PLAN FOR REMEDIAL ACTIONS UNDER THE AGREEMENT. Status: Final Sanction Detail: $250,000,000. PAID IMMEDIATELY UPON CONSENT AGREEMENT. WFBNA SHALL CREATE A WRITTEN ACTION PLAN FOR REMEDIAL ACTIONS REQUIRED UNDER THE CONSENT AGREEMENT. Summary: N/A
Allegations: WITHOUT ADMITTING LIABILITY, WELLS FARGO & COMPANY (WF&CO) CONSENTED TO A SETTLEMENT AGREEMENT IN WHICH THE OFFICE OF ATTORNEY GENERAL, STATE OF NEW YORK (OAG), ALLEGED WF&CO ENGAGED IN VIOLATIONS OF NY GENERAL BUSINESS LAW, § 352 ET SEQ., EXECUTIVE LAW § 63(12), AND THE COMMON LAW OF THE STATE OF NY, RELATED TO REPRESENTATIONS TO INVESTORS. WELLS FARGO & COMPANY AGREED TO PAY A CIVIL MONEY PENALTY OF $65,000,000. TO THE OAG WITHIN TEN (10) BUSINESS DAYS. Status: Final Sanction Detail: 65,000,000. FINE PAID WITHIN 10 BUSINESS DAYS OF SETTLEMENT AGREEMENT. Summary: N/A
Allegations: WITHOUT ADMITTING LIABILITY, WELLS FARGO & COMPANY (WFC) CONSENTED TO A SETTLEMENT AGREEMENT WITH THE ILLINOIS ATTORNEY GENERAL'S OFFICE IN WHICH WFC AGREED TO PAY $17.25MM IN RESTITUTION TO DESIGNATED ILLINIOIS STATE PENSIONS TO RESOLVE AN INVESTIGATION OF . WELLS FARGO MORTGAGE - RELATED SECURITIZATIONS ISSUED BEFORE JANUARY 1, 2009. Status: Final Sanction Detail: $17,250,000. RESTITUTION PAID WITHIN 10 BUSINESS DAYS OF SETTLEMENT AGREEMENT.
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO THE ENTRY OF AN ORDER THAT UNDER CERTAIN SCENARIOS AND IN CERTAIN TIMEFRAMES ITS EDUCATION FINANCIAL SERVICES BUSINESS (EFS)ALLOCATED PARTIAL PAYMENTS, AGGREGATED PARTIAL PAYMENTS, AND CHARGED LATE FEES IN WAYS THAT WERE ALLEGED TO BE UNLAWFUL. Status: Final Sanction Detail: $3,600,000.00 FINE PAID
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO BANK, N.A. ("WFBNA") CONSENTED TO THE ENTRY OF AN ORDER THAT ITS COMMUNITY BANK GROUP ENGAGED IN UNFAIR AND ABUSIVE PRACTICES BY OPENING DEPOSIT ACCOUNTS, TRANSFERRING FUNDS BETWEEN ACCOUNTS, APPLYING FOR CREDIT CARDS, ISSUING DEBIT CARDS AND ENROLLING CUSTOMERS IN ON-LINE BANKING SERVICES WITHOUT THE CUSTOMERS' CONSENT. Status: Final Sanction Detail: $100,000,000.00 FINE PAID
Allegations: THE OOC ALLEGED THAT, FROM AT LEAST 1997 THROUGH AT LEAST 2006, WACHOVIA BANK, N.A. AND FIRST UNION NATIONAL BANK ("WACHOVIA BANK"), PREDECESSORS TO WELLS FARGO BANK, N.A., ENGAGED IN ILLEGAL CONDUCT AND/OR UNSAFE OR UNSOUND BANKING PRACTICES IN CONNECTION WITH THE MARKETING AND SALE OF CERTAIN DERIVATIVE FINANCIAL PRODUCTS TO CERTAIN MUNICIPALITIES AND OTHER NON-PROFIT ORGANIZATIONS ("COUNTERPARTIES") IN CERTAIN COMPETITIVELY BID TRANSACTIONS. Status: Final Sanction Detail: THE CONSENT ORDER FOR A CIVIL MONEY PENALTY ENTERED ON DECEMBER 8, 2011 PROVIDED FOR THE CONTEMPORANEOUS PAYMENT OF A CIVIL MONEY PENALTY IN THE AMOUNT OF $20,000,000.00, WHICH AMOUNT HAS BEEN PAID. PURSUANT TO A FURTHER AGREEMENT BY AND BETWEEN THE OCC AND WELLS FARGO BANK, N.A. ALSO ENTERED INTO ON DECEMBER 8, 2011 ("AGREEMENT"), WELLS FARGO BANK, N.A. AGREED TO DEPOSIT WITHIN 10 DAYS THE AMOUNT OF $14,518,013 INTO AN ACCOUNT FOR DISTRIBUTION TO CERTAIN ENTITIES IDENTIFIED IN EXHIBIT A OF THE AGREEMENT. Summary: THE OCC ALLEGED THAT WACHOVIA BANK WON BIDS FOR THE TEMPORARY INVESTMENT OF PROCEEDS FROM THE SALE OF TAX-EXEMPT MUNICIPAL SECURITIES BY, AMONG OTHER THINGS, PARTICIPATING IN SCHEMES WITH OUTSIDE INDIVIDUALS TO AGREE ON BIDS AND TO ARTIFICIALLY SET PRICES IN CONNECTION WITH THE SALE OF CERTAIN DERIVATIVE FINANCIAL PRODUCTS TO CERTAIN MUNICIPALITIES AND NON-PROFIT ORGANIZATIONS, SUBMITTING FALSE OR SHAM COURTESY BIDS, COMMUNICATING WITH DIRECT COMPETITORS AND./OR COORDINATING WITH THIRD PARTY BROKERS TO FIX BID PRICES, AND/OR COORDINATING WITH DIRECT COMPETITORS AND/OR THIRD PARTY BROKERS TO DETERMINE WHICH BIDDER WOULD WIN A PARTICULAR TRANSACTION. WELLS FARGO BANK, N.A. RESOLVED THIS MATTER BY AGREEING TO THE SANCTIONS AND RESTITUTION OUTLINED ABOVE AND FURTHER UNDERTAKINGS WITH RESPECT TO: ITS COMPLIANCE, TRAINING AND AUDIT PROGRAMS; ASSESSING AND EVALUATING ITS COMPETITIVE BIDDING ACTIVITIES; AND PREPARING AND SUBMITTING ANNUAL REPORTS CONCERNING THE EFFECTIVENESS OF ITS SUPERVISORY CONTROL POLICIES AND PROCEDURES.
Allegations: WELLS FARGO BANK, N.A. ENGAGED IN UNSAFE OR UNSOUND BANKING PRACTICES IN CONNECTION WITH RESIDENTIAL MORTGAGE FORECLOSURES. Status: Final Sanction Detail: THE $83,000000.00 CIVIL MONEY PENALTY WILL BE REDUCED BY THE AMOUNT OF BORROWER ASSISTANCE PROVIDED BY THE BANK OVER THE NEXT 3 YEARS AND WAIVED IN ITS ENTIRETY IF THAT ASSISTANCE IS $83,000000.00 OR GREATER.
Allegations: THE OCC ALLEGED WELLS FARGO BANK, N.A. ENGAGED IN UNFAIR BILLING AND DECEPTIVE MARKETING PRACTICES WITH REGARD TO IDENTITY PROTECTION AND DEBT CANCELLATION PRODUCTS THAT RESULTED IN VIOLATIONS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE OCC FINDINGS, WELLS FARGO BANK, N.A. ENTERED INTO A STIPULATION AND CONSENT TO THE ISSUANCE OF A CONSENT ORDER AND A CONSENT ORDER PURSUANT TO WHICH WELLS FARGO BANK, N.A. WAS REQUIRED TO CEASE AND DESIST FROM VIOLATION OF SECTION 5 OF THE FTC ACT, PAY A CIVIL MONEY PENALTY OF $4,000,000 (PAID), MAKE REIMBURSEMENTS TO CONSUMERS AFTER A PLAN WAS DEVELOPED, AND ADDRESS MANAGEMENT OF THIRD-PARTIES PROVIDING SERVICES TO CONSUMERS.
Allegations: THE CFPB ALLEGED THAT CERTAIN OF THE BANK'S AUTO LOAN SERVICING, MORTGAGE LOAN SERVICING, AND CONSUMER DEPOSIT ACCOUNT PRACTICES WERE UNFAIR, AND THAT ONE CONSUMER DEPOSIT ACCOUNT PRACTICE WAS DECEPTIVE, AS FURTHER DESCRIBED IN THE CONSENT ORDER. Status: Final Sanction Detail: PENALTY PAID 12/27/2022. REMEDIATION TO CUSTOMERS AND CERTAIN PROCESS CHANGES ARE IN PROCESS, AS FURTHER DESCRIBED IN THE ORDER. Summary: THE ORDER IS FINAL AND THE PENALTY HAS BEEN PAID.
Allegations: WELLS FARGO & COMPANY ("WFC") VIOLATED SECTION 10(B) OF THE EXCHANGE ACT OF 1934 (THE "EXCHANGE ACT") AND RULE 10B-5 THEREUNDER WITH RESPECT TO ITS HISTORICAL COMMUNITY BANK SALES PRACTICES AND RELATED DISCLOSURES. Status: Final Sanction Detail: PURSUANT TO A CEASE AND DESIST ORDER (THE "SEC ORDER"), THE SECURITIES AND EXCHANGE COMMISSION ("SEC") REQUIRED WFC TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $500,000,000. Summary: WFC CONSENTED TO THE ENTRY OF THE SEC ORDER AND AGREED TO PAY A CIVIL PENALTY OF $500 MILLION AND TO BE ENJOINED FROM FUTURE VIOLATIONS OF SECTION 10(B) OF THE EXCHANGE ACT AND RULE 10B-5 THEREUNDER. WFC ALSO AGREED TO ENGAGE OUTSIDE EXPERIENCED SECURITIES COUNSEL TO CONDUCT AN ASSESSMENT OF THE REGULATION D POLICIES AND PROCEDURES OF WFC AND CERTAIN OF ITS SUBSIDIARIES AND TO PRESENT TO THE SEC ON THE IMPLEMENTATION OF RECOMMENDATIONS MADE BY OUTSIDE COUNSEL.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION (SEC) CHARGED WELLS FARGO CLEARING SERVICES, LLC AND WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC WITH WILLFULLY VIOLATING SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT) AND RULE 206(4)-7 THEREUNDER, FAILING REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT AND FAILING REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE SECURITIES EXCHANGE ACT OF 1934 (EXCHANGE ACT). Status: Final Sanction Detail: THE CIVIL PENALTY WILL BE PAID OUT WITHIN TIMELINE SPECIFIED BY ORDER Summary: THE COMMISSION FOUND THAT, FROM APRIL 2012 THROUGH SEPTEMBER 2019, THE FIRMS RECOMMENDED THAT MANY RETAIL INVESTMENT ADVISORY CLIENTS AND BROKERAGE CUSTOMERS BUY AND HOLD SINGLE-INVERSE EXCHANGE-TRADED FUNDS (ETFS) WITHOUT HAVING ADEQUATE COMPLIANCE POLICIES AND PROCEDURES AND WITHOUT PROVIDING FINANCIAL ADVISORS PROPER TRAINING AND SUPERVISION OF SINGLE-INVERSE ETFS. THE COMMISSION FOUND THAT, AS A RESULT, CERTAIN INVESTMENT ADVISER REPRESENTATIVES AND REGISTERED REPRESENTATIVES MADE UNSUITABLE RECOMMENDATIONS TO CERTAIN CLIENTS. THE COMMISSION FOUND THAT THE FIRMS WILLFULLY VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, FAILED REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 203(E)(6) OF THE ADVISERS ACT AND FAILED REASONABLY TO FULFILL THEIR SUPERVISORY RESPONSIBILITIES WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. THE FIRMS CONSENTED, WITHOUT ADMITTING OR DENYING THE FINDINGS CONTAINED IN THE ORDER, TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, (B) BE CENSURED, AND (C) JOINTLY AND SEVERALLY PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $35,000,000.
Allegations: THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH WELLS FARGO SECURITIES, LLC ("WFS") AND WELLS FARGO BANK NA ("WFB" AND COLLECTIVELY WITH WFS, THE "RESPONDENTS") TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) WFB'S FAILURE TO MAINTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("ACT") AND REGULATIONS 23.201(A) AND 23.202(A)(1) AND (B)(1); (B) WFS'S FAILURE TO KEEP REQUIRED RECORDS IN VIOLATION OF SECTION 4G OF THE ACT AND REGULATION 1.35; (C) RESPONDENTS' FAILURE TO KEEP RECORDS IN THE REQUIRED MANNER IN VIOLATION OF REGULATION 1.31; (D) WFB'S FAILURE TO SUPERVISE DILIGENTLY IN VIOLATION OF SECTIONS 4S(H)(1)(B) OF THE ACT AND REGULATION 23.602(A); AND (E) WFS'S FAILURE TO DILIGENTLY SUPERVISE IN VIOLATION OF REGULATION 166.3. Status: Final Sanction Detail: THE RESPONDENTS ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE ACT AND REGULATIONS AND CONSENTED TO: (A) THE ENTRY OF THE CFTC'S FINDINGS; (B) HAVE WFB CEASE AND DESIST FROM VIOLATING SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE ACT, AND REGULATIONS 1.31, 23.201(A), 23.202(A)(1) AND (B)(1) AND 23.602(A) AND TO HAVE WFS CEASE AND DESIST FROM VIOLATING SECTION 4G OF THE ACT AND REGULATIONS 1.31, 1.35 AND 166.3, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000, AND (D) COMPLY WITH CERTAIN CONDITIONS AND UNDERTAKINGS. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER. Summary: ON AUGUST 8, 2023, THE CFTC ENTERED INTO AN ORDER WITH THE RESPONDENTS TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) WFB'S FAILURE TO MAINTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE ACT AND REGULATIONS 23.201(A) AND 23.202(A)(1) AND (B)(1); (B) WFS'S FAILURE TO KEEP REQUIRED RECORDS IN VIOLATION OF SECTION 4G OF THE ACT AND REGULATION 1.35; (C) RESPONDENTS' FAILURE TO KEEP RECORDS IN THE REQUIRED MANNER IN VIOLATION OF REGULATION 1.31; (D) WFB'S FAILURE TO SUPERVISE DILIGENTLY IN VIOLATION OF SECTIONS 4S(H)(1)(B) OF THE ACT AND REGULATION 23.602(A); AND (E) WFS'S FAILURE TO DILIGENTLY SUPERVISE IN VIOLATION OF REGULATION 166.3. THE RESPONDENTS ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE ACT AND REGULATIONS AND CONSENTED TO: (A) THE ENTRY OF THE CFTC'S FINDINGS; (B) HAVE WFB CEASE AND DESIST FROM VIOLATING SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE ACT, AND REGULATIONS 1.31, 23.201(A), 23.202(A)(1) AND (B)(1) AND 23.602(A) AND TO HAVE WFS CEASE AND DESIST FROM VIOLATING SECTION 4G OF THE ACT AND REGULATIONS 1.31, 1.35 AND 166.3, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $75,000,000, AND (D) COMPLY WITH CERTAIN CONDITIONS AND UNDERTAKINGS. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED, IN CONNECTION WITH THE BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, THAT WELLS FARGO SECURITIES, LLC, WELLS FARGO CLEARING SERVICES, LLC, AND WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (COLLECTIVELY, "WELLS FARGO") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE BROKER-DEALERS OPERATED BY WELLS FARGO, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER; AND (2) REASONABLY SUPERVISE THEIR EMPLOYEES WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF THEIR EMPLOYEES' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. Status: Final Sanction Detail: WELLS FARGO ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $125,000,000, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO RETENTION OF ELECTRONIC COMMUNICATIONS. Summary: ON AUGUST 8, 2023, THE SEC ENTERED INTO A SETTLEMENT ORDER WITH WELLS FARGO TO SETTLE AN ADMINISTRATIVE ACTION, IN CONNECTION WITH THE BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, WHICH ALLEGED THAT WELLS FARGO FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE BROKER-DEALERS OPERATED BY WELLS FARGO, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER; AND (2) REASONABLY SUPERVISE THEIR EMPLOYEES WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF THEIR EMPLOYEES' AIDING AND ABETTING VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4(B)(4) THEREUNDER, WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT. WELLS FARGO ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $125,000,000, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO RETENTION OF ELECTRONIC COMMUNICATIONS. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED THAT WELLS FARGO CLEARING SERVICES, LLC, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, AND THEIR PREDECESSOR FIRMS (COLLECTIVELY, "WELLS FARGO" OR THE "FIRM") OVERCHARGED APPROXIMATELY 10,945 ADVISORY ACCOUNTS OF ADVISORY CLIENTS OPENED THROUGH 2014 MORE THAN $26.8 MILLION IN ADVISORY FEES FROM AT LEAST 2002 THROUGH DECEMBER 2022 AND FAILED TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE OVERBILLING IN WILLFUL VIOLATION OF SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER. SPECIFICALLY, FROM AT LEAST 2002 THROUGH 2014, CERTAIN INVESTMENT ADVISER REPRESENTATIVES FROM WELLS FARGO AND ITS PREDECESSOR FIRMS AGREED TO REDUCE THE FIRMS' STANDARD, PRE-SET ADVISORY FEE RATE FOR CERTAIN CLIENTS AT THE TIME THESE CLIENTS AGREED TO OPEN ACCOUNTS. THE REPRESENTATIVES MADE HANDWRITTEN OR TYPED CHANGES ON THE CLIENTS' STANDARD INVESTMENT ADVISORY AGREEMENTS THAT REFLECTED THE REDUCED FEE RATE. HOWEVER, IN CERTAIN INSTANCES, THE ACCOUNT PROCESSING EMPLOYEES AT WELLS FARGO AND ITS PREDECESSOR FIRMS FAILED TO ENTER THE AGREED-UPON REDUCED ADVISORY FEE RATE INTO THE FIRMS' BILLING SYSTEMS WHEN SETTING UP THE CLIENTS' ACCOUNTS. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $35,000,000. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER. Summary: ON AUGUST 25, 2023, THE SEC ENTERED INTO A SETTLEMENT ORDER WITH WELLS FARGO TO SETTLE AN ADMINISTRATIVE ACTION WHICH ALLEGED THAT WELLS FARGO OVERCHARGED APPROXIMATELY 10,945 ADVISORY ACCOUNTS OF ADVISORY CLIENTS OPENED THROUGH 2014 MORE THAN $26.8 MILLION IN ADVISORY FEES FROM AT LEAST 2002 THROUGH DECEMBER 2022 AND FAILED TO ADOPT AND IMPLEMENT WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT THE OVERBILLING IN WILLFUL VIOLATION OF SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER. SPECIFICALLY, FROM AT LEAST 2002 THROUGH 2014, CERTAIN INVESTMENT ADVISER REPRESENTATIVES FROM WELLS FARGO AND ITS PREDECESSOR FIRMS AGREED TO REDUCE THE FIRMS' STANDARD, PRE-SET ADVISORY FEE RATE FOR CERTAIN CLIENTS AT THE TIME THESE CLIENTS AGREED TO OPEN ACCOUNTS. THE REPRESENTATIVES MADE HANDWRITTEN OR TYPED CHANGES ON THE CLIENTS' STANDARD INVESTMENT ADVISORY AGREEMENTS THAT REFLECTED THE REDUCED FEE RATE. HOWEVER, IN CERTAIN INSTANCES, THE ACCOUNT PROCESSING EMPLOYEES AT WELLS FARGO AND ITS PREDECESSOR FIRMS FAILED TO ENTER THE AGREED-UPON REDUCED ADVISORY FEE RATE INTO THE FIRMS' BILLING SYSTEMS WHEN SETTING UP THE CLIENTS' ACCOUNTS. IN 2022 AND 2023, THE FIRM CORRECTED THE ADVISORY FEES TO BE CHARGED TO THE ACCOUNTS AND ISSUED PAYMENTS FOR THE OVERCHARGED ADVISORY FEES, PLUS INTEREST, TO THE AFFECTED ACCOUNTHOLDERS. WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLS FARGO AGREED TO: (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER, (B) BE CENSURED, AND (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $35,000,000. THE CIVIL MONETARY PENALTY WAS PAID IN ACCORDANCE WITH THE TERMS OF THE ORDER.
Allegations: THE SECURITIES AND EXCHANGE COMMISSION (SEC) ALLEGED WELLS FARGO BANK, N.A. MUNICIPAL PRODUCTS GROUP (WFBNA MPG) CONDUCTED INADEQUATE DUE DILIGENCE IN CERTAIN OFFERINGS AND AS A RESULT, FAILED TO FORM A REASONABLE BASIS FOR BELIEVING THE TRUTHFULNESS OF CERTAIN MATERIAL REPRESENTATIONS IN OFFICIAL STATEMENTS ISSUED IN CONNECTION WITH THOSE OFFERINGS. THIS RESULTED IN WFBNA MPG OFFERING AND SELLING MUNICIPAL SECURITIES ON THE BASIS OF MATERIALLY MISLEADING DISCLOSURE DOCUMENTS. THE SEC ALLEGES WFBNA MPG VIOLATED SECTION 17(A)(2) OF THE SECURITIES ACT OF 1933. Status: Final Sanction Detail: THIS ACTION RESULTED FROM A VOLUNTARY SELF-REPORT SUBMITTED TO THE SEC BY WELLS FARGO BANK, N.A. MUNICIPAL PRODUCTS GROUP PURSUANT TO THE SEC'S MUNICIPALITIES CONTINUING DISCLOSURE COOPERATION INITIATIVE ("MCDC"; SEE HTTPS://WWW.SEC.GOV/DIVISIONS/ENFORCE/MUNICIPALITIES-CONTINUING-DISCLOSURE-COOPERATION-INITIATIVE.SHTML). STANDARD MCDC SETTLEMENT TERMS AS DESCRIBED IN THE SEC'S MCDC WEB PAGE WERE IMPOSED. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS OR VIOLATIONS OF SECURITIES LAWS OR RULES, WELLS FARGO BANK, N.A. MUNICIPAL PRODUCTS GROUP AGREES TO THE OFFER OF SETTLEMENT AND THIS ORDER.
Allegations: THE CFTC FOUND THAT BETWEEN MARCH 1, 2013 AND NOVEMBER 13, 2015, EVERY LARGE TRADER REPORT ("LTR") SUBMITTED BY WELLS FARGO BANK, N.A. FAILED TO MEET THE PART 20 REQUIREMENTS. LTRS SUBMITTED BY THE BANK OMITTED REQUIRED DATA ELEMENTS AND REPORTED CERTAIN DATA IN A MANNER THAT DID NOT CONFORM TO THE SPECIFICATIONS REQUIRED BY THE CFTC. ACCORDINGLY, THE BANK VIOLATED SECTION 4S(F)(1)(A) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SEC. 6S(F)(1)(A) (2012), AND REGULATIONS 20.4 AND 20.7, 17 C.F.R. SECS. 20.4 AND 20.7 (2015). WITHOUT ADMITTING OR DENYING THE FINDINGS, THE BANK CONSENTED TO ENTRY OF THE CFTC'S ORDER. Status: Final Sanction Detail: $400,000.00 FINE PAID Summary: N/A
Allegations: THE CFTC FOUND THAT WELLS FARGO BANK, N.A. (WFBNA) MISPRICED A FOREIGN EXCHANGE TRANSACTION EXECUTED ON BEHALF OF A COUNTERPARTY IN AUGUST 2014, BECAUSE WFBNA DID NOT HAVE A SYSTEM IN PLACE TO ACCURATELY TRACK TRADES USED TO FILL A COUNTERPARTY'S ORDERS AND DID NOT IMPLEMENT PROCEDURES DESIGNED TO ENSURE THAT ACCURATE INFORMATION WAS PROVIDED TO THE COUNTERPARTY. ACCORDINGLY, THE CFTC FOUND THAT THE BANK VIOLATED SECTION 4S(H)(1)(B) AND (3)(C) OF THE COMMODITY EXCHANGE ACT, 7 U.S.C. SEC. 6S(H)(1)(B) AND (3)(C) (2012), AND REGULATIONS 23.4.02(A)(1)(I) AND (2) AND 23.433, 17 C.F.R. SECS. 23.402(A)(1)(I) AND (2) AND 23.433 (2019). WITHOUT ADMITTING OR DENYING THE FINDINGS, WFBNA CONSENTED TO ENTRY OF THE CFTC'S ORDER. Status: Final Sanction Detail: RESTITUTION OF $4.47 MILLION ALREADY MADE TO COUNTERPARTY
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Wells Fargo $103B (41% 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 17, 2026.
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