Eagle Strategies Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 110826
· SEC file 801-32987
· New York, NY
· WWW.EAGLESTRATEGIES.COM
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $32.0B
- Discretionary
- $1.7B
- Clients
- 133,900
- Avg AUM / client
- $239K
- Accounts
- 133,900
- Employees
- 3,190
AUM over time
$1.6B
$32.0B
Nov 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Asset allocation (SMA assets by investment type)
as of Mar 31, 2026
Exchange-traded equities
$18.3B
57%
Registered investment companies (funds/ETFs)
$9.0B
28%
Other
$2.2B
7%
Cash & equivalents
$1.3B
4%
State & local bonds
$641M
2%
US government & agency bonds
$320M
1%
Investment-grade corporate bonds
$320M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Investments (13F portfolio — 258 positions, $837,082,415)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Spdr Series Trust | STATE STREET SPD | $71,687,939 | 936,608 | 8.56% | 0.22% |
| 2 | Schwab Strategic Tr | FUNDAMENTAL US L | $29,179,863 | 1,047,751 | 3.49% | 0.09% |
| 3 | Wisdomtree Tr | ITL HDG QTLY DIV | $28,257,619 | 586,867 | 3.38% | 0.09% |
| 4 | Spdr Series Trust | STATE STREET SPD | $27,305,442 | 278,883 | 3.26% | 0.09% |
| 5 | Invesco Exch Traded Fd Tr Ii | NASDAQ 100 ETF | $25,794,532 | 108,554 | 3.08% | 0.08% |
| 6 | Vanguard Index Fds | S&P 500 ETF SHS | $20,676,295 | 34,602 | 2.47% | 0.06% |
| 7 | Global X Fds | US INFR DEV ETF | $19,974,415 | 393,120 | 2.39% | 0.06% |
| 8 | Vanguard Index Fds | GROWTH ETF | $18,704,288 | 42,822 | 2.23% | 0.06% |
| 9 | Ishares Tr | CORE DIV GRWTH | $15,365,139 | 218,939 | 1.84% | 0.05% |
| 10 | Vanguard Tax Managed Fds | VAN FTSE DEV MKT | $14,969,263 | 233,603 | 1.79% | 0.05% |
| 11 | Pimco Etf Tr | 1-5 US TIP IDX | $14,896,161 | 275,311 | 1.78% | 0.05% |
| 12 | Ishares Tr | CORE US AGGBD ET | $14,166,725 | 142,709 | 1.69% | 0.04% |
| 13 | Nvidia Corporation | COM | $13,509,229 | 77,461 | 1.61% | 0.04% |
| 14 | Ishares Tr | MRGSTR MD CP GRW | $12,703,297 | 161,271 | 1.52% | 0.04% |
| 15 | Vanguard Index Fds | MCAP VL IDXVIP | $12,685,225 | 68,837 | 1.52% | 0.04% |
| 16 | Vanguard Index Fds | SM CP VAL ETF | $12,637,305 | 58,169 | 1.51% | 0.04% |
| 17 | Vanguard Index Fds | MID CAP ETF | $12,248,533 | 42,651 | 1.46% | 0.04% |
| 18 | State Str Spdr S&P 500 Etf T | TR UNIT | $11,915,770 | 18,322 | 1.42% | 0.04% |
| 19 | Spdr Gold Tr | GOLD SHS | $11,853,199 | 27,547 | 1.42% | 0.04% |
| 20 | Vanguard Index Fds | MCAP GR IDXVIP | $10,639,978 | 41,344 | 1.27% | 0.03% |
| 21 | Vanguard Whitehall Fds | INTL HIGH ETF | $10,627,589 | 112,772 | 1.27% | 0.03% |
| 22 | Ishares Tr | CORE S&P500 ETF | $10,507,854 | 16,086 | 1.26% | 0.03% |
| 23 | Spdr Series Trust | STATE STREET SPD | $9,961,978 | 58,040 | 1.19% | 0.03% |
| 24 | Apple Inc | COM | $9,476,301 | 37,339 | 1.13% | 0.03% |
| 25 | Ishares Tr | EAFE GRWTH ETF | $8,955,030 | 80,408 | 1.07% | 0.03% |
Top 25 of 258 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 105,597 | $17.1B | 53.4% |
| High net worth individuals | 27,125 | $14.1B | 44.2% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | Fewer than 5 clients | — | — |
| Charitable organizations | 286 | $60.9M | 0.19% |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | 892 | $731M | 2.28% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| New Roads School 403(b) Plan New Roads School | 2024 | |
| Automated Precision, Inc. 401(k) & Ps Plan Automated Precision, Inc. | 2024 | |
| Sapaugh Motors Retirement Plan Sapaugh Motors, Inc. | 2024 | |
| Community Hospital 403(b) Plan Colorado West Healthcare System Dba Community Hospital | 2024 | |
| Hpj Industries Inc 401(k) Profit Sharing Plan And Trust Hpj Industries Inc. | 2024 | |
| Varney, Inc. 401(k) & Profit Sharing Plan Varney, Inc. | 2024 |
People (2,460)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gardner, Robert, Michael | Elected Manager | Jan 2013 (14y) | Less than 5% | |
| Loftus, Patricia, Elizabeth | Corporate Vice President & Chief Financial Officer | Jun 2014 (12y) | Less than 5% | |
| Duarte, Deborah, Lynn | Elected Manager | Jun 2015 (11y) | Less than 5% | |
| Ascione, Mitchell, Pary | Vice President And Chief Operating Officer | Apr 2016 (10y) | Less than 5% | |
| Webster, Gregory, Harold | President & Chief Executive Officer | Apr 2016 (10y) | Less than 5% | |
| Nabeed Zaman | Vice President And Chief Compliance Officer | Feb 2021 (5y) | Less than 5% | |
| Huang, Dylan, Wei | Chairman | Jun 2021 (5y) | Less than 5% | |
| Tillotson, Sandra | Elected Manager | Aug 2022 (4y) | Less than 5% | |
| Rosh, Robert, M | Senior Vice President And Chief Legal Officer | Jul 2023 (3y) | Less than 5% | |
| Wei, Helen | Elected Manager | Jul 2023 (3y) | Less than 5% | |
| Gerald Farnham Hall | Registered representative | Chartered Financial Consultant | Apr 1994 (32y) | |
| Larry Gordon Etzweiler | Registered representative | Chartered Financial Consultant | Jul 1995 (31y) | |
| Theodore Robert Young | Registered representative | Jul 1996 (30y) | ||
| Lawrence Alan Bennett | Registered representative | Jan 1997 (30y) | ||
| Rodger Keith Johnson | Registered representative | CFP Chartered Financial Consultant | Mar 1997 (29y) | |
| Robert James Fincham | Registered representative | Mar 1997 (29y) | ||
| Paul Ellison Redfearn | Registered representative | Apr 1997 (29y) | ||
| Robert Carl Rockett | Registered representative | Apr 1997 (29y) | ||
| Mitchell Dean Rosenberg | Registered representative | Jun 1997 (29y) | ||
| Akshaya Suresh Sheth | Registered representative | Chartered Financial Consultant | Sep 1997 (29y) | |
| Barbara Lee Cole | Registered representative | Oct 1997 (29y) | ||
| Frank Hasie Knox | Registered representative | Dec 1997 (29y) | ||
| Wendy Lynn Feldman | Registered representative | Jan 1998 (29y) | ||
| Lee Russell Dean | Registered representative | Mar 1998 (28y) | ||
| Walter Clifford May | Registered representative | CFP Chartered Financial Consultant | Mar 1998 (28y) | |
| Robert Karl Ostberg | Registered representative | Apr 1998 (28y) | ||
| Michael Jerome Flynn | Registered representative | Apr 1998 (28y) | ||
| Mark Irvin Burton | Registered representative | CFP Chartered Financial Consultant | Jul 1998 (28y) | |
| Richard Joseph Enna | Registered representative | Aug 1998 (28y) | ||
| Mark Vahala | Registered representative | Aug 1998 (28y) | ||
| David Alan Brecher | Registered representative | Sep 1998 (28y) | ||
| Jonathan Lewis Ayres | Registered representative | Sep 1998 (28y) | ||
| Harris Eliot Kagan | Registered representative | Nov 1998 (28y) | ||
| Myra Donovan | Registered representative | Jan 1999 (28y) | ||
| Gail Ann Kincannon | Registered representative | Jan 1999 (28y) | ||
| Carrie Lynn Hall | Registered representative | Jan 1999 (28y) | ||
| Michael Joseph Jungen | Registered representative | Jan 1999 (28y) | ||
| David Edward Boynton | Registered representative | Chartered Financial Consultant | Feb 1999 (27y) | |
| Bradford Lassen Meigs | Registered representative | Feb 1999 (27y) | ||
| Penny Karen Righthand | Registered representative | Feb 1999 (27y) | ||
| James Logan Ostrander | Registered representative | Apr 1999 (27y) | ||
| Bruce John Brennen | Registered representative | Chartered Financial Consultant | Apr 1999 (27y) | |
| Mahesh Kumar Palriwala | Registered representative | May 1999 (27y) | ||
| Ronald Eric Bock | Registered representative | May 1999 (27y) | ||
| Larry Albert Catlos | Registered representative | Jul 1999 (27y) | ||
| Curtis Lowell Eskew | Registered representative | Jul 1999 (27y) | ||
| Raymond Edgar Throne | Registered representative | Jul 1999 (27y) | ||
| Steven D Meier | Registered representative | Aug 1999 (27y) | ||
| Joe Kin Foo Lau | Registered representative | Sep 1999 (27y) | ||
| John Edward Mccadden | Registered representative | Oct 1999 (27y) | ||
| Barbara Jean Dietze | Registered representative | Oct 1999 (27y) | ||
| Paul Martin Beggan | Registered representative | Dec 1999 (27y) | ||
| Bruce Henry Usher | Registered representative | Dec 1999 (27y) | ||
| Ralph Kevin Sklar | Registered representative | Jan 2000 (27y) | ||
| James Edwin Adkins | Registered representative | Jan 2000 (27y) | ||
| Gordon Edward Parker | Registered representative | Jan 2000 (27y) | ||
| Philip Michael Walden | Registered representative | Jan 2000 (27y) | ||
| Jan Larsen | Registered representative | Chartered Financial Consultant | Feb 2000 (26y) | |
| Thomas Arthur Drynan | Registered representative | Feb 2000 (26y) | ||
| Antonio Deleon | Registered representative | Feb 2000 (26y) | ||
| Edward Samuel Ritchie | Registered representative | Feb 2000 (26y) | ||
| Roger Howard Morris | Registered representative | Chartered Financial Consultant | Feb 2000 (26y) | |
| Christopher Wells Battersby | Registered representative | CFP | Feb 2000 (26y) | |
| Robert Glenn Westberg | Registered representative | CFP Chartered Financial Consultant | Feb 2000 (26y) | |
| Forrest Gibson Surles | Registered representative | Mar 2000 (26y) | ||
| Lloyd Reed Wilson | Registered representative | Mar 2000 (26y) | ||
| Jeffrey Richard Knight | Registered representative | Chartered Financial Consultant | Mar 2000 (26y) | |
| Scott Adam Weitz | Registered representative | Mar 2000 (26y) | ||
| Jan Peter Christensen | Registered representative | Mar 2000 (26y) | ||
| Thomas Duane Herrod | Registered representative | May 2000 (26y) | ||
| David Roland Walsh | Registered representative | Jun 2000 (26y) | ||
| Bruce Joseph Cumby | Registered representative | Jun 2000 (26y) | ||
| John Whitney Hudson | Registered representative | Jun 2000 (26y) | ||
| William Patrick Hagerty | Registered representative | Jun 2000 (26y) | ||
| Michael Francis Broderick | Registered representative | Jun 2000 (26y) | ||
| Julie Chei Hwei Lee | Registered representative | Jul 2000 (26y) | ||
| Alfredo Ernesto Ordonez | Registered representative | Jul 2000 (26y) | ||
| Timothy Collins Fitzgerald | Registered representative | Aug 2000 (26y) | ||
| Thomas Joseph Genera | Registered representative | Aug 2000 (26y) | ||
| Michael Francis Barry | Registered representative | Aug 2000 (26y) | ||
| Ronald Dana Jones | Registered representative | Sep 2000 (26y) | ||
| Galen Dwight Dody | Registered representative | Sep 2000 (26y) | ||
| Jules Epstein | Registered representative | Oct 2000 (26y) | ||
| John Streicher Wolff | Registered representative | Oct 2000 (26y) | ||
| Brian Paul Ruh | Registered representative | Feb 2001 (26y) | ||
| Mark Paul Cereghino | Registered representative | Feb 2001 (26y) | ||
| Michael Ray Brown | Registered representative | Feb 2001 (26y) | ||
| Michael Alan Rudolph | Registered representative | Feb 2001 (25y) | ||
| Douglas Alan Schultz | Registered representative | Feb 2001 (25y) | ||
| William Joseph Schafer | Registered representative | Feb 2001 (25y) | ||
| William Robert Neville | Registered representative | Mar 2001 (25y) | ||
| Patrick Victor Strollo | Registered representative | Mar 2001 (25y) | ||
| Gary Todd Baumgarten | Registered representative | Apr 2001 (25y) | ||
| Zarir Jimmy Sethna | Registered representative | May 2001 (25y) | ||
| David Leon Johnson | Registered representative | CFP Chartered Financial Consultant | Jun 2001 (25y) | |
| Daniel Lee Lindblad | Registered representative | Jun 2001 (25y) | ||
| Bruce Jay Frank | Registered representative | Jul 2001 (25y) | ||
| Douglas Charles Wills | Registered representative | Aug 2001 (25y) | ||
| Joseph William Donaldson | Registered representative | Sep 2001 (25y) | ||
| Christopher Tryon Cloutier | Registered representative | Sep 2001 (25y) | ||
| Jeanmarie Ann Deliso | Registered representative | CFP | Sep 2001 (25y) | |
| Thomas Robert Tewell | Registered representative | Sep 2001 (25y) | ||
| Patrick James Moeller | Registered representative | Oct 2001 (25y) | ||
| Sean Michael Mccann | Registered representative | Oct 2001 (25y) | ||
| Richard John Pinkos | Registered representative | Chartered Financial Consultant | Nov 2001 (25y) | |
| Alva Dennis Smith | Registered representative | Dec 2001 (25y) | ||
| John Michael Donaldson | Registered representative | Chartered Financial Consultant | Dec 2001 (25y) | |
| Martin Klapp Green | Registered representative | Dec 2001 (25y) | ||
| Todd Stephen Purich | Registered representative | Dec 2001 (25y) | ||
| William Robert Kane | Registered representative | Dec 2001 (25y) | ||
| Charles William Wright | Registered representative | Jan 2002 (25y) | ||
| Jerome Charles Prentice | Registered representative | Jan 2002 (25y) | ||
| Kirk Gordon Quaschnick | Registered representative | Chartered Financial Consultant | Feb 2002 (24y) | |
| Michael Wayne Shumard | Registered representative | Mar 2002 (24y) | ||
| Michelle Gams | Registered representative | May 2002 (24y) | ||
| Marcel Rolland Frey | Registered representative | Jul 2002 (24y) | ||
| Joseph Anthony Fulkerson | Registered representative | CFP | Jul 2002 (24y) | |
| Rosanne St. Francis Gentile | Registered representative | Aug 2002 (24y) | ||
| Jeffrey Andrew Czerwinski | Registered representative | Aug 2002 (24y) | ||
| Jeffrey Robert Mason | Registered representative | Chartered Financial Consultant | Aug 2002 (24y) | |
| John Hadley Horstmann | Registered representative | Oct 2002 (24y) | ||
| Sharon Carlene Patterson | Registered representative | Oct 2002 (24y) | ||
| William Alan Hastings | Registered representative | Oct 2002 (24y) | ||
| Sidney Earl Phillips | Registered representative | Chartered Financial Consultant | Oct 2002 (24y) | |
| Ronald Virgel Paulseen | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| S. Paulina Lee Nemec | Registered representative | Mar 2003 (23y) | ||
| Jason Lee Hooz | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| Sally Klinger Rogers | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| David Edward Levee | Registered representative | Apr 2003 (23y) | ||
| Patrick Gerard Brough | Registered representative | Chartered Financial Consultant | Apr 2003 (23y) | |
| George James Costakis | Registered representative | Chartered Financial Consultant | May 2003 (23y) | |
| Jerome Anthony Timmermann | Registered representative | Jun 2003 (23y) | ||
| Christy Barilotti | Registered representative | CFP | Aug 2003 (23y) | |
| Alison Joy Flaum | Registered representative | Chartered Financial Consultant | Aug 2003 (23y) | |
| William Van Winkle | Registered representative | Sep 2003 (23y) | ||
| John Walter Riebling | Registered representative | Sep 2003 (23y) | ||
| Steven Thomas Mindak | Registered representative | Sep 2003 (23y) | ||
| Louis Mark Prosser | Registered representative | Sep 2003 (23y) | ||
| Linda Jean Remington | Registered representative | Oct 2003 (23y) | ||
| Mitchell Akiva Katz | Registered representative | Oct 2003 (23y) | ||
| Jeffrey D Varsa | Registered representative | Oct 2003 (23y) | ||
| Gordon Delos Ellis | Registered representative | Chartered Financial Consultant | Oct 2003 (23y) | |
| Bryan Donald Wulz | Registered representative | Chartered Financial Consultant | Oct 2003 (23y) | |
| Kevin Scott Odell | Registered representative | Chartered Financial Consultant | Oct 2003 (23y) | |
| Evelyn Monping Tai | Registered representative | Chartered Financial Consultant | Nov 2003 (23y) | |
| Robert Irwin Spak | Registered representative | Chartered Financial Consultant | Nov 2003 (23y) | |
| Richard David Steiner | Registered representative | Chartered Financial Consultant | Jan 2004 (23y) | |
| Kenneth Richard Bakula | Registered representative | Chartered Financial Consultant | Jan 2004 (23y) | |
| Peter Joseph Mcavinn | Registered representative | CFP | Feb 2004 (22y) | |
| Jason M Apolenis | Registered representative | Feb 2004 (22y) | ||
| Jerry Don Coats | Registered representative | Chartered Financial Consultant | Feb 2004 (22y) | |
| Valerie Phillips Kaiser | Registered representative | CFP | Feb 2004 (22y) | |
| David Francis Keefe | Registered representative | Mar 2004 (22y) | ||
| Nicholas David Hjorth | Registered representative | Mar 2004 (22y) | ||
| Tiffany Harlan Kirgan | Registered representative | Mar 2004 (22y) | ||
| Paul James Haye | Registered representative | Chartered Financial Consultant | Mar 2004 (22y) | |
| David Justin Felte | Registered representative | Apr 2004 (22y) | ||
| Mark Aaron Hill | Registered representative | Apr 2004 (22y) | ||
| James Russell Zent | Registered representative | Chartered Financial Consultant | Apr 2004 (22y) | |
| Sanford Eric Bressick | Registered representative | May 2004 (22y) | ||
| Joseph William Lucchino | Registered representative | Chartered Financial Consultant | May 2004 (22y) | |
| Meredith Cecile Moore | Registered representative | May 2004 (22y) | ||
| Clifford George Canavera | Registered representative | CFP | May 2004 (22y) | |
| Virgil Kenneth Johnson | Registered representative | Jun 2004 (22y) | ||
| John Benson Coats | Registered representative | Chartered Financial Consultant | Jun 2004 (22y) | |
| Jeffrey Mercer Hudson | Registered representative | Jul 2004 (22y) | ||
| Leo Rotman | Registered representative | Jul 2004 (22y) | ||
| Bradley John Wessel | Registered representative | Jul 2004 (22y) | ||
| Richard Lewis Patterson | Registered representative | Chartered Financial Consultant | Jul 2004 (22y) | |
| William Milton Weimer | Registered representative | CFP Chartered Financial Consultant | Jul 2004 (22y) | |
| Robert Lee Ugiansky | Registered representative | Aug 2004 (22y) | ||
| Thomas M Post | Registered representative | Aug 2004 (22y) | ||
| Gary Allen Erickson | Registered representative | Aug 2004 (22y) | ||
| Peter Yung Song | Registered representative | Sep 2004 (22y) | ||
| Anthony James Taylor | Registered representative | Sep 2004 (22y) | ||
| William Basil Mangano | Registered representative | Chartered Financial Consultant | Oct 2004 (22y) | |
| Steven Forrest Belcher | Registered representative | Oct 2004 (22y) | ||
| Joseph Dean Kruse | Registered representative | Oct 2004 (22y) | ||
| Dennis Gregory Eckmeyer | Registered representative | Nov 2004 (22y) | ||
| Brian Douglas Esway | Registered representative | Nov 2004 (22y) | ||
| Chuling Hsiao | Registered representative | Nov 2004 (22y) | ||
| Angelia Zentner Shay | Registered representative | Chartered Financial Consultant | Jan 2005 (22y) | |
| Chad Royse Huff | Registered representative | Jan 2005 (22y) | ||
| David Eugene Lynch | Registered representative | Chartered Financial Consultant | Jan 2005 (22y) | |
| Kermit Roosevelt Griner | Registered representative | Chartered Financial Consultant | Jan 2005 (22y) | |
| Lynn Andree Newman | Registered representative | CFP | Feb 2005 (21y) | |
| Armondo James Brennan | Registered representative | Chartered Financial Consultant | Feb 2005 (21y) | |
| Jason S Min | Registered representative | Feb 2005 (21y) | ||
| Kevin Gerard Garry | Registered representative | Chartered Financial Consultant | Mar 2005 (21y) | |
| John A Christopher | Registered representative | Apr 2005 (21y) | ||
| Monty Alan Alspaugh | Registered representative | Apr 2005 (21y) | ||
| Scott Andrew Ziegelmeier | Registered representative | Apr 2005 (21y) | ||
| Paul Joseph Kageleiry | Registered representative | Apr 2005 (21y) | ||
| Cameron M Reeves | Registered representative | May 2005 (21y) | ||
| David B Agee | Registered representative | May 2005 (21y) | ||
| Chad Steven Baker | Registered representative | Jun 2005 (21y) | ||
| Robin Michelle Wahby | Registered representative | Aug 2005 (21y) | ||
| Ronald Gene Cooper | Registered representative | CFP | Oct 2005 (21y) | |
| Pascal Dung Gia Nguyen | Registered representative | Nov 2005 (21y) | ||
| Pierre J Nicolet | Registered representative | Nov 2005 (21y) | ||
| Timothy John Leahy | Registered representative | Nov 2005 (21y) | ||
| Michael Scott Cardwell | Registered representative | Dec 2005 (21y) | ||
| Bradley Robert Burton | Registered representative | Jan 2006 (21y) | ||
| Scott Duwayne Scheer | Registered representative | Chartered Financial Consultant | Jan 2006 (21y) | |
| Mark D Wiggins | Registered representative | Jan 2006 (21y) | ||
| Raymond Leroy Lemke | Registered representative | Jan 2006 (21y) | ||
| Wesley Ray Young | Registered representative | Feb 2006 (20y) | ||
| John Kenneth Henker | Registered representative | Feb 2006 (20y) | ||
| Timothy Coles Carter | Registered representative | Feb 2006 (20y) | ||
| Joanna Jie Cui | Registered representative | CFP | Mar 2006 (20y) | |
| Robert Alan Clanton | Registered representative | Mar 2006 (20y) | ||
| David Allen Ponder | Registered representative | Mar 2006 (20y) | ||
| Kevin A Fauteux | Registered representative | Apr 2006 (20y) | ||
| Randall Joseph Giorgi | Registered representative | CFP | May 2006 (20y) | |
| Francis Joseph Vlock | Registered representative | Chartered Financial Consultant | May 2006 (20y) | |
| Bradley Duane Johnson | Registered representative | CFP | May 2006 (20y) | |
| Donald Edward Lippencott | Registered representative | May 2006 (20y) | ||
| Phillip Ray Whitehead | Registered representative | Chartered Financial Consultant | May 2006 (20y) | |
| Jack Clinton Hall | Registered representative | Jun 2006 (20y) | ||
| Rachel Marie Wilder | Registered representative | CFP Chartered Financial Consultant | Jun 2006 (20y) | |
| Anthony Dean Orizotti | Registered representative | Chartered Financial Consultant | Jun 2006 (20y) | |
| Eugene Michael Gillmor | Registered representative | Jun 2006 (20y) | ||
| Thomas Clifford Klotz | Registered representative | Chartered Financial Consultant | Jul 2006 (20y) | |
| Tina Dandry Mayes | Registered representative | Jul 2006 (20y) | ||
| George Paul Stark | Registered representative | Jul 2006 (20y) | ||
| Timothy Wayne Thomas | Registered representative | Jul 2006 (20y) | ||
| Daryl Robert Ellis | Registered representative | CFP | Jul 2006 (20y) | |
| Michele Therese Guerin | Registered representative | Chartered Financial Consultant | Jul 2006 (20y) | |
| Steven Pierce Fish | Registered representative | Jul 2006 (20y) | ||
| Jack Leon Doverspike | Registered representative | Jul 2006 (20y) | ||
| Janelle D Rodrigue | Registered representative | Jul 2006 (20y) | ||
| Kathleen Turan Davenport | Registered representative | Jul 2006 (20y) | ||
| Linwood Joseph Broussard | Registered representative | Jul 2006 (20y) | ||
| Mark Randall Buller | Registered representative | Jul 2006 (20y) | ||
| Tammy Jane Plotkin Oren | Registered representative | Jul 2006 (20y) | ||
| Craig M Willeke | Registered representative | Aug 2006 (20y) | ||
| Wayne L Rector | Registered representative | Aug 2006 (20y) | ||
| Thomas Jon Walther | Registered representative | Sep 2006 (20y) | ||
| Laura M Day | Registered representative | Sep 2006 (20y) | ||
| Jon M Stamberger | Registered representative | Sep 2006 (20y) | ||
| Douglas James Lambert | Registered representative | Oct 2006 (20y) | ||
| Gary L Myers | Registered representative | Oct 2006 (20y) | ||
| Blayne Andrew Gale | Registered representative | Chartered Financial Consultant | Nov 2006 (20y) | |
| Debora D Clark | Registered representative | Nov 2006 (20y) | ||
| Curtis Allen Lightle | Registered representative | Nov 2006 (20y) | ||
| Richard Charles Maus | Registered representative | Nov 2006 (20y) | ||
| Jesse Bond | Registered representative | Dec 2006 (20y) | ||
| Jeffrey Ransenberg | Registered representative | Dec 2006 (20y) | ||
| David Daniel Kaestner | Registered representative | Chartered Financial Consultant | Jan 2007 (20y) | |
| Thomas Herron Staebler | Registered representative | Jan 2007 (20y) | ||
| Avshalom Gad | Registered representative | CFP Chartered Financial Consultant | Jan 2007 (20y) | |
| Kelly Shawn Dowell | Registered representative | Feb 2007 (19y) | ||
| Michael Thomas Hall | Registered representative | Chartered Financial Consultant | Feb 2007 (19y) | |
| Ellen Debra Tillman | Registered representative | Feb 2007 (19y) | ||
| Leon Patrick Martin | Registered representative | Feb 2007 (19y) | ||
| Karen Bernice Hall | Registered representative | Chartered Financial Consultant | Mar 2007 (19y) | |
| Mark Kevin Phillips | Registered representative | Chartered Financial Consultant | Mar 2007 (19y) | |
| Timothy Joseph Hebert | Registered representative | Mar 2007 (19y) | ||
| Abbass Agahi | Registered representative | Mar 2007 (19y) | ||
| Charles Newman Bombet | Registered representative | CFP | Mar 2007 (19y) | |
| John Angiulli | Registered representative | Mar 2007 (19y) | ||
| Boyd Ray Phillips | Registered representative | Apr 2007 (19y) | ||
| Kelly Diane Kaneski | Registered representative | Chartered Financial Consultant | Apr 2007 (19y) | |
| Sarah Ellen Brown | Registered representative | Apr 2007 (19y) | ||
| Gayle Tanley Milton | Registered representative | CFP | Apr 2007 (19y) | |
| Michael Jerome Flynn | Registered representative | May 2007 (19y) | ||
| Kellie Jo Bass | Registered representative | May 2007 (19y) | ||
| Joseph Patrick Crotty | Registered representative | CFP | May 2007 (19y) | |
| Christopher Michael Broussard | Registered representative | Chartered Financial Consultant | Jun 2007 (19y) | |
| David Allen Glaser | Registered representative | CFP Chartered Financial Consultant | Jun 2007 (19y) | |
| Lori Lynn Kaplan | Registered representative | Jun 2007 (19y) | ||
| Christopher Greg Packard | Registered representative | Jun 2007 (19y) | ||
| Jonathan R Johnson | Registered representative | Jun 2007 (19y) | ||
| Juli Marstall | Registered representative | Jul 2007 (19y) | ||
| Steve Weaver | Registered representative | Aug 2007 (19y) | ||
| Mark Alan Wiskus | Registered representative | Aug 2007 (19y) | ||
| Daniel John Miller | Registered representative | Chartered Financial Consultant | Aug 2007 (19y) | |
| Matthew William Becker | Registered representative | Aug 2007 (19y) | ||
| Phillip Michael Finley | Registered representative | Aug 2007 (19y) | ||
| Vinod Mehta | Registered representative | Aug 2007 (19y) | ||
| Edward Wladyslaw Babula | Registered representative | Sep 2007 (19y) | ||
| Theresa Ann Sims | Registered representative | Chartered Financial Consultant | Oct 2007 (19y) | |
| Timothy Harrell Martin | Registered representative | Oct 2007 (19y) | ||
| Deborah Lorraine Lewis | Registered representative | Nov 2007 (19y) | ||
| William David Hurst | Registered representative | Chartered Financial Consultant | Dec 2007 (19y) | |
| Larry Parker | Registered representative | Dec 2007 (19y) | ||
| Rebecca Neville Landon | Registered representative | CFP | Dec 2007 (19y) | |
| Kale David Magness | Registered representative | Jan 2008 (19y) | ||
| William F O'donnell | Registered representative | CFP | Feb 2008 (19y) | |
| Lee Allan Wilcox | Registered representative | Feb 2008 (18y) | ||
| Richard C Jackson | Registered representative | Feb 2008 (18y) | ||
| James C Friendly | Registered representative | Feb 2008 (18y) | ||
| Ronald Alexander Jones | Registered representative | Feb 2008 (18y) | ||
| Julia Ann Catuara | Registered representative | CFP | Mar 2008 (18y) | |
| Donald A Borawski | Registered representative | Mar 2008 (18y) | ||
| Philbert J Demarie | Registered representative | Chartered Financial Consultant | Apr 2008 (18y) | |
| Matthew Sean Ferris | Registered representative | Apr 2008 (18y) | ||
| Ronald Nyle Meeker | Registered representative | Chartered Financial Consultant | Apr 2008 (18y) | |
| Michael Ward Mcconnell | Registered representative | Chartered Financial Consultant | Apr 2008 (18y) | |
| Christie S Mueller | Registered representative | Apr 2008 (18y) | ||
| Michael F Calafati | Registered representative | May 2008 (18y) | ||
| Erin R. Flower | Registered representative | May 2008 (18y) | ||
| Mark Edward Duck | Registered representative | Chartered Financial Consultant | May 2008 (18y) | |
| Thomas Dwayne Fry | Registered representative | May 2008 (18y) | ||
| Darlene Joy Hathaway | Registered representative | Jun 2008 (18y) | ||
| Kimberly Lovins Miles | Registered representative | Jun 2008 (18y) | ||
| Kevin William Curry | Registered representative | Jun 2008 (18y) | ||
| Yogesh O Khatri | Registered representative | Jun 2008 (18y) | ||
| Terry Hugh Hood | Registered representative | Chartered Financial Consultant | Jun 2008 (18y) | |
| Stuart Holland Glasco | Registered representative | Chartered Financial Consultant | Jul 2008 (18y) | |
| Edward Allen Stein | Registered representative | Aug 2008 (18y) | ||
| Stephen A Griffin | Registered representative | CFP | Aug 2008 (18y) | |
| Joseph Ronald Goodwin | Registered representative | CFP | Aug 2008 (18y) | |
| Tamara Jean Burke | Registered representative | Aug 2008 (18y) | ||
| Frank Thomas Laniecki | Registered representative | Sep 2008 (18y) | ||
| Jason C Vanderstreet | Registered representative | Sep 2008 (18y) | ||
| Nadeem S Salem | Registered representative | Chartered Financial Consultant | Sep 2008 (18y) | |
| Alan Lee Pottebaum | Registered representative | Sep 2008 (18y) | ||
| Larry Preston Weatherford | Registered representative | CFP | Oct 2008 (18y) | |
| Michael Joseph Savastano | Registered representative | Oct 2008 (18y) | ||
| Nikesh Ajay Parikh | Registered representative | CFP Chartered Financial Consultant | Oct 2008 (18y) | |
| Xin Wang | Registered representative | CFP | Oct 2008 (18y) | |
| Michael Edward Kahler | Registered representative | Chartered Financial Consultant | Nov 2008 (18y) | |
| Michael Aaron Porter | Registered representative | Chartered Financial Consultant | Nov 2008 (18y) | |
| Jay Foster Livingston | Registered representative | Nov 2008 (18y) | ||
| Robert George Karalius | Registered representative | Chartered Financial Consultant | Dec 2008 (18y) | |
| Alice Gail Gabrelian | Registered representative | Chartered Financial Consultant | Dec 2008 (18y) | |
| Brian Paul Sauser | Registered representative | CFP | Dec 2008 (18y) | |
| Carson Wade Stephens | Registered representative | Dec 2008 (18y) | ||
| Kevin John Davidson | Registered representative | Dec 2008 (18y) | ||
| William Frank Lyon | Registered representative | Chartered Financial Consultant | Dec 2008 (18y) | |
| Rory C Robison | Registered representative | CFP | Dec 2008 (18y) | |
| Paul David Magness | Registered representative | CFP | Jan 2009 (18y) | |
| David Avigdor Reif | Registered representative | Feb 2009 (17y) | ||
| Thomas Jack Peterson | Registered representative | CFP Chartered Financial Consultant | Feb 2009 (17y) | |
| Amy M Kates | Registered representative | CFP | Mar 2009 (17y) | |
| Scott Paul Macdonald | Registered representative | CFP Chartered Financial Consultant | Apr 2009 (17y) | |
| John L Howard | Registered representative | Apr 2009 (17y) | ||
| Mary Kueichih Chiang | Registered representative | CFP Chartered Financial Consultant | Apr 2009 (17y) | |
| Todd Gordon Oldham | Registered representative | CFP | Apr 2009 (17y) | |
| Umihiko Saito | Registered representative | May 2009 (17y) | ||
| Bryan John Topelsohn | Registered representative | Jun 2009 (17y) | ||
| Sebastian Matthew Zacharias | Registered representative | Jun 2009 (17y) | ||
| Joe Lan Hong | Registered representative | Chartered Financial Consultant | Jul 2009 (17y) | |
| Stuart Wilson Van Winkle | Registered representative | CFP | Jul 2009 (17y) | |
| Aaron Michael Jones | Registered representative | Jul 2009 (17y) | ||
| Christopher Alan Falletti | Registered representative | Aug 2009 (17y) | ||
| Lester Marion Wolf | Registered representative | CFP Chartered Financial Consultant | Sep 2009 (17y) | |
| Brian Terrence Petrov | Registered representative | Sep 2009 (17y) | ||
| Brian Todd Burger | Registered representative | Chartered Financial Consultant | Sep 2009 (17y) | |
| Matthew Derek Brakke | Registered representative | Chartered Financial Consultant | Sep 2009 (17y) | |
| David Matthew O'sullivan | Registered representative | Sep 2009 (17y) | ||
| John Francis O'brien | Registered representative | Sep 2009 (17y) | ||
| Steven Karl Hong | Registered representative | Sep 2009 (17y) | ||
| Tyler Flynn Corbin | Registered representative | Sep 2009 (17y) | ||
| Frank Paul Lavalla | Registered representative | Oct 2009 (17y) | ||
| John Forrester Debuys | Registered representative | Chartered Financial Consultant | Oct 2009 (17y) | |
| Shawn Rene Hooper | Registered representative | Chartered Financial Consultant | Oct 2009 (17y) | |
| Kevin David Lindblom | Registered representative | Chartered Financial Consultant | Nov 2009 (17y) | |
| Adam David Herzing | Registered representative | CFP | Jan 2010 (17y) | |
| Bryan Terrence Mcbeth | Registered representative | Jan 2010 (17y) | ||
| Michael P Downey | Registered representative | Jan 2010 (17y) | ||
| Jesal Patel | Registered representative | Jan 2010 (17y) | ||
| Andrew Johnson Chrisman | Registered representative | Chartered Financial Consultant | Jan 2010 (17y) | |
| Samuel Louis Hebert | Registered representative | Feb 2010 (16y) | ||
| Alisa Mayeda Civello | Registered representative | Mar 2010 (16y) | ||
| Ryan Patrick Vavricka | Registered representative | Chartered Financial Consultant | Mar 2010 (16y) | |
| William B Bast | Registered representative | Mar 2010 (16y) | ||
| Keith Alan Baker | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Heather Ann Albert | Registered representative | CFP Chartered Financial Consultant | Apr 2010 (16y) | |
| William Huddleston | Registered representative | Apr 2010 (16y) | ||
| Colleen Marie Stutz | Registered representative | Chartered Financial Consultant | Apr 2010 (16y) | |
| Kyle Hirofumi Kurahara | Registered representative | May 2010 (16y) | ||
| Jason Eric Brooks | Registered representative | Chartered Financial Consultant | May 2010 (16y) | |
| Timothy John Potjer | Registered representative | CFP Chartered Financial Consultant | May 2010 (16y) | |
| Jenny Po Wah Yu | Registered representative | Jun 2010 (16y) | ||
| Heath B Houston | Registered representative | Jun 2010 (16y) | ||
| Euletta Gordon | Registered representative | Jun 2010 (16y) | ||
| Meghann Patricia Mckenna | Registered representative | Chartered Financial Consultant | Jun 2010 (16y) | |
| Jeffrey Neil Gaylard | Registered representative | CFP | Jul 2010 (16y) | |
| Matthew Edward Neill | Registered representative | Jul 2010 (16y) | ||
| Vladimir Gusinsky | Registered representative | CFP | Jul 2010 (16y) | |
| Barry Leonard Finkelstein | Registered representative | CFP Chartered Financial Consultant | Jul 2010 (16y) | |
| Christopher John Riebling | Registered representative | Aug 2010 (16y) | ||
| Patrick Realis | Registered representative | Sep 2010 (16y) | ||
| Diane Wesbecher | Registered representative | Oct 2010 (16y) | ||
| Matthew Raul Williams | Registered representative | Oct 2010 (16y) | ||
| Bassem Hassan Beaini | Registered representative | Oct 2010 (16y) | ||
| Joseph L Dibella | Registered representative | Oct 2010 (16y) | ||
| Sean P Hall | Registered representative | Oct 2010 (16y) | ||
| Jeffrey Anthony Russolino | Registered representative | Chartered Financial Consultant | Oct 2010 (16y) | |
| Jay A Shah | Registered representative | Nov 2010 (16y) | ||
| Scott Anthony Tagliareni | Registered representative | Nov 2010 (16y) | ||
| Vincent Robert Spaniolo | Registered representative | Dec 2010 (16y) | ||
| Joel Mount Field | Registered representative | CFP | Dec 2010 (16y) | |
| Robert Anthony Nienaber | Registered representative | Jan 2011 (16y) | ||
| Ronald Francis Mack | Registered representative | Jan 2011 (16y) | ||
| Anthony George Garibaldi | Registered representative | CFP | Jan 2011 (16y) | |
| Farah Pradhan | Registered representative | Jan 2011 (16y) | ||
| Kevin Richard Clapham | Registered representative | Jan 2011 (16y) | ||
| William James Laird | Registered representative | CFP Chartered Financial Consultant | Jan 2011 (16y) | |
| Andrew Douglas Reimer | Registered representative | Feb 2011 (15y) | ||
| Jennifer Cage Dougherty | Registered representative | Feb 2011 (15y) | ||
| Michael Thomas Bils | Registered representative | Feb 2011 (15y) | ||
| Scott Allen Pfeil | Registered representative | Chartered Financial Consultant | Feb 2011 (15y) | |
| Thomas Holmes Herlong | Registered representative | Chartered Financial Consultant | Feb 2011 (15y) | |
| Zachary Scott Rigdon | Registered representative | Feb 2011 (15y) | ||
| Silas Clayton Parker | Registered representative | Feb 2011 (15y) | ||
| Derek Timothy Berg | Registered representative | Chartered Financial Consultant | Feb 2011 (15y) | |
| Michael F Scovel | Registered representative | Mar 2011 (15y) | ||
| John Douglas Garnett | Registered representative | Chartered Financial Consultant | Mar 2011 (15y) | |
| Christine Ann Hoeller | Registered representative | Chartered Financial Consultant | Mar 2011 (15y) | |
| Christopher Michael Heinlein | Registered representative | Chartered Financial Consultant | Mar 2011 (15y) | |
| Joseph John Fimmano | Registered representative | Apr 2011 (15y) | ||
| Michael John Fulco | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| David Wayne Loe | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Scott Wayne Shaw | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Usha Krishnakumar | Registered representative | Apr 2011 (15y) | ||
| Michael John Michalak | Registered representative | Apr 2011 (15y) | ||
| Joel I Steele | Registered representative | Apr 2011 (15y) | ||
| Mychael Nguyen | Registered representative | Apr 2011 (15y) | ||
| Daxesh Maniar | Registered representative | Apr 2011 (15y) | ||
| Keith Glen Willerman | Registered representative | CFP Chartered Financial Consultant | Apr 2011 (15y) | |
| Alan S Li | Registered representative | Apr 2011 (15y) | ||
| James Paul Moriarty | Registered representative | Chartered Financial Consultant | May 2011 (15y) | |
| Dagon Leon Garris | Registered representative | May 2011 (15y) | ||
| Lisa Fulks Vito | Registered representative | May 2011 (15y) | ||
| Denise Lynne Johnson | Registered representative | Jun 2011 (15y) | ||
| Adam Glen Robinson | Registered representative | CFP | Jun 2011 (15y) | |
| Megan Lynn Evans | Registered representative | Jun 2011 (15y) | ||
| Jared John Maher | Registered representative | Jun 2011 (15y) | ||
| Winny Yinghua Lin | Registered representative | Jun 2011 (15y) | ||
| Tao Ling | Registered representative | Jul 2011 (15y) | ||
| Hillary Koritz Price | Registered representative | Chartered Financial Consultant | Jul 2011 (15y) | |
| Gabriela Maria Quintero | Registered representative | Jul 2011 (15y) | ||
| Bradley Lloyd Ruh | Registered representative | Jul 2011 (15y) | ||
| Winston Alexander Mc Laughlin | Registered representative | Aug 2011 (15y) | ||
| Chien Kain Yeh | Registered representative | Aug 2011 (15y) | ||
| Elizabeth Mary Dipp Metzger | Registered representative | Aug 2011 (15y) | ||
| Leroy Twisdale | Registered representative | Sep 2011 (15y) | ||
| Richard Seung Hoon Suh | Registered representative | Sep 2011 (15y) | ||
| Mary Anne Leichliter Rice | Registered representative | Sep 2011 (15y) | ||
| Vincent S Ring | Registered representative | CFP | Sep 2011 (15y) | |
| Dale T Facey | Registered representative | Sep 2011 (15y) | ||
| Joanna Antonopoulos | Registered representative | Oct 2011 (15y) | ||
| Carey David Sullivan | Registered representative | Oct 2011 (15y) | ||
| Barbara Alida Whitmore | Registered representative | Nov 2011 (15y) | ||
| William Edward Pearce | Registered representative | Nov 2011 (15y) | ||
| Randall Dean Hart | Registered representative | Chartered Financial Consultant | Nov 2011 (15y) | |
| Faith L Sigler | Registered representative | Dec 2011 (15y) | ||
| Daniel Pierce Smith | Registered representative | Dec 2011 (15y) | ||
| Thomas E Mathas | Registered representative | Dec 2011 (15y) | ||
| Christine Michelle Schader | Registered representative | Jan 2012 (15y) | ||
| Samuel Thomas Winward | Registered representative | Jan 2012 (15y) | ||
| Richard E. Darling | Registered representative | Feb 2012 (14y) | ||
| Albert Rodrigues Paula | Registered representative | Feb 2012 (14y) | ||
| Lilia Abella Arandela | Registered representative | Chartered Financial Consultant | Feb 2012 (14y) | |
| Charles Arthur Tucker | Registered representative | Feb 2012 (14y) | ||
| Michael W Frake | Registered representative | Mar 2012 (14y) | ||
| Regina J Caudill | Registered representative | Mar 2012 (14y) | ||
| Tenner Pau | Registered representative | Mar 2012 (14y) | ||
| Julius Elmer Mabagos Magbitang | Registered representative | CFP | Mar 2012 (14y) | |
| Erica Takach Berning | Registered representative | Apr 2012 (14y) | ||
| Sofia Dumansky | Registered representative | Apr 2012 (14y) | ||
| C Scott Rassler | Registered representative | Chartered Financial Consultant | Apr 2012 (14y) | |
| Julie Ann Redfern | Registered representative | Apr 2012 (14y) | ||
| Timothy Edward Batanian | Registered representative | May 2012 (14y) | ||
| Ramesh K Cherivirala | Registered representative | May 2012 (14y) | ||
| Thomas John Miller | Registered representative | CFP | May 2012 (14y) | |
| Patrick Lohr Flynn | Registered representative | May 2012 (14y) | ||
| Gregory Simmons Shelton | Registered representative | May 2012 (14y) | ||
| David Michael Webb | Registered representative | Jun 2012 (14y) | ||
| Brian Michael Hutt | Registered representative | Jun 2012 (14y) | ||
| Joseph Edward Baumgartner | Registered representative | Jun 2012 (14y) | ||
| Jonathan G Serafin | Registered representative | Jun 2012 (14y) | ||
| Mark Charles Weller | Registered representative | CFP | Jun 2012 (14y) | |
| Michael Jung Mo Lamsfuss | Registered representative | Jun 2012 (14y) | ||
| Daniel Thomas Maher | Registered representative | Jul 2012 (14y) | ||
| James Steven Lasher | Registered representative | Chartered Financial Consultant | Jul 2012 (14y) | |
| Sydney Lea Hale | Registered representative | Jul 2012 (14y) | ||
| Thomas J Fields | Registered representative | CFP | Jul 2012 (14y) | |
| Charan J Khurana | Registered representative | Jul 2012 (14y) | ||
| Tracy Ellen Lewinski | Registered representative | Jul 2012 (14y) | ||
| Andrew Jay Magenheim | Registered representative | Aug 2012 (14y) | ||
| Diane Hack Gould | Registered representative | Aug 2012 (14y) | ||
| Gerald Henry Lorey | Registered representative | Oct 2012 (14y) | ||
| Victoria Lucrecia Staudinger | Registered representative | Oct 2012 (14y) | ||
| Michael Clifford Hutchinson | Registered representative | Oct 2012 (14y) | ||
| Minde Lu | Registered representative | Nov 2012 (14y) | ||
| John Monroe Whitmire | Registered representative | Dec 2012 (14y) | ||
| Tyson James Vines | Registered representative | Dec 2012 (14y) | ||
| Rodney Shane Perkins | Registered representative | CFP | Dec 2012 (14y) | |
| Marc Steven Braden | Registered representative | Dec 2012 (14y) | ||
| Marshall Burstein | Registered representative | Dec 2012 (14y) | ||
| Kathryn Lee Kelley | Registered representative | Dec 2012 (14y) | ||
| Puneet Seth | Registered representative | Dec 2012 (14y) | ||
| William Joseph Terry | Registered representative | Jan 2013 (14y) | ||
| Michael Leonard Leichner | Registered representative | Jan 2013 (14y) | ||
| Dino Arfanis | Registered representative | Jan 2013 (14y) | ||
| Jing Wang | Registered representative | Jan 2013 (14y) | ||
| Timothy Edward Lavino | Registered representative | Jan 2013 (14y) | ||
| Dharmesh Goel | Registered representative | Feb 2013 (13y) | ||
| Anthony Andrew Mangano | Registered representative | Feb 2013 (13y) | ||
| Patrick Fitzgerald Mckallagat | Registered representative | Feb 2013 (13y) | ||
| Christopher James Grimes | Registered representative | CFP | Feb 2013 (13y) | |
| Jeremy Michael Potter | Registered representative | Chartered Financial Consultant | Feb 2013 (13y) | |
| John F Glass | Registered representative | Mar 2013 (13y) | ||
| Daniel R Moraes | Registered representative | Apr 2013 (13y) | ||
| Paul M Brown | Registered representative | Apr 2013 (13y) | ||
| Bradley Gene Brodersen | Registered representative | May 2013 (13y) | ||
| Jason Palmadesso | Registered representative | May 2013 (13y) | ||
| Johnny Charles Choate | Registered representative | May 2013 (13y) | ||
| Matthew Kingsley Schernikau | Registered representative | May 2013 (13y) | ||
| Christian Salvatore Buccola | Registered representative | Jun 2013 (13y) | ||
| Michael Per Antonsen | Registered representative | Jun 2013 (13y) | ||
| Sanjeev Segan | Registered representative | Jun 2013 (13y) | ||
| Ryan Michael Behm | Registered representative | Jun 2013 (13y) | ||
| Isaiah C. Edison | Registered representative | Jul 2013 (13y) | ||
| Matthew Scott Worthington | Registered representative | Jul 2013 (13y) | ||
| Douglas Robert Famous | Registered representative | Aug 2013 (13y) | ||
| Mary Linderman Stockton | Registered representative | CFP Chartered Financial Consultant | Aug 2013 (13y) | |
| Paul I. Franklin | Registered representative | Aug 2013 (13y) | ||
| Derek Jason Tenn | Registered representative | Aug 2013 (13y) | ||
| John Wayne Paul | Registered representative | Sep 2013 (13y) | ||
| Kevin Han Choi | Registered representative | Sep 2013 (13y) | ||
| Nathan Robert Clark | Registered representative | Sep 2013 (13y) | ||
| Jason Joseph Tobias | Registered representative | Sep 2013 (13y) | ||
| Manda Adele Lewis | Registered representative | Sep 2013 (13y) | ||
| Duane Alan Borcherding | Registered representative | Oct 2013 (13y) | ||
| Jeffrey Joseph Chahine | Registered representative | Oct 2013 (13y) | ||
| Nicola Iannitelli | Registered representative | Oct 2013 (13y) | ||
| Matthew Wade Harper | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Neil Albert Bryson | Registered representative | Chartered Financial Consultant | Oct 2013 (13y) | |
| Samuel Yakubu | Registered representative | Chartered Financial Consultant | Nov 2013 (13y) | |
| Jordan Brock Fairbanks | Registered representative | Nov 2013 (13y) | ||
| Joshua John Batalden | Registered representative | Nov 2013 (13y) | ||
| Micheline E Yacoub | Registered representative | Nov 2013 (13y) | ||
| Nazih Ahmad Yehya | Registered representative | Nov 2013 (13y) | ||
| Daniel Andriola | Registered representative | Nov 2013 (13y) | ||
| Charles Eugene Pascu | Registered representative | CFP | Dec 2013 (13y) | |
| Robert A Shoneck | Registered representative | Dec 2013 (13y) | ||
| Sarah H Mosley | Registered representative | Dec 2013 (13y) | ||
| David Joseph Duchene | Registered representative | Chartered Financial Consultant | Dec 2013 (13y) | |
| Michael R Zunino | Registered representative | Dec 2013 (13y) | ||
| Terry Kim Lewis | Registered representative | CFP Chartered Financial Consultant | Dec 2013 (13y) | |
| Sean W Condon | Registered representative | Dec 2013 (13y) | ||
| Gregory R Mason | Registered representative | Jan 2014 (13y) | ||
| Ashish Tomar | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| Charlene Elizabeth Rigelman | Registered representative | Jan 2014 (13y) | ||
| Eric Paul Herried | Registered representative | Jan 2014 (13y) | ||
| Lee Alan Kitzenberg | Registered representative | Jan 2014 (13y) | ||
| Mathew Luke Steward | Registered representative | Jan 2014 (13y) | ||
| Scott W. Olewine | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| Craig Hartwick Roslien | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| Jamie Inah Lee | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| Erik William Brown | Registered representative | CFP | Jan 2014 (13y) | |
| Kristi Tanigawa Chun | Registered representative | CFP Chartered Financial Consultant | Jan 2014 (13y) | |
| Norman Janis | Registered representative | Feb 2014 (12y) | ||
| James Howard Kramer | Registered representative | Chartered Financial Consultant | Feb 2014 (12y) | |
| Thomas A Biren | Registered representative | Chartered Financial Consultant | Feb 2014 (12y) | |
| Charles David Villarreal | Registered representative | Mar 2014 (12y) | ||
| Brian Jon Craig | Registered representative | Chartered Financial Consultant | Mar 2014 (12y) | |
| Barry Alan Eastman | Registered representative | Mar 2014 (12y) | ||
| Mark Joseph Scozzafava | Registered representative | Mar 2014 (12y) | ||
| Robert David Demars | Registered representative | Chartered Financial Consultant | Apr 2014 (12y) | |
| Akram S Alabbassi | Registered representative | Apr 2014 (12y) | ||
| Lynne Joy Carlo | Registered representative | Apr 2014 (12y) | ||
| Robert Isaac Arensberg | Registered representative | Chartered Financial Consultant | Apr 2014 (12y) | |
| Nicholas Silva | Registered representative | Chartered Financial Consultant | May 2014 (12y) | |
| Cleopatra Montelongo Morales | Registered representative | CFP Chartered Financial Consultant | May 2014 (12y) | |
| Carisse Marie Gafni | Registered representative | May 2014 (12y) | ||
| Paul Joseph Moriarty | Registered representative | May 2014 (12y) | ||
| Cynthia Suzanne Fox | Registered representative | Jun 2014 (12y) | ||
| Christopher Michael Saras | Registered representative | Jun 2014 (12y) | ||
| Thomas Matthew Davis | Registered representative | Jun 2014 (12y) | ||
| Daniel Raphael Diiorgi | Registered representative | Jun 2014 (12y) | ||
| Daniel Edward Morris | Registered representative | Jun 2014 (12y) | ||
| Judith Blaustein Klebanow | Registered representative | Jun 2014 (12y) | ||
| Daniel Patrick Burke | Registered representative | Jul 2014 (12y) | ||
| John Michael Scheidegger | Registered representative | Jul 2014 (12y) | ||
| Lauren Griner Isom | Registered representative | Jul 2014 (12y) | ||
| Handan Gencogluer | Registered representative | Chartered Financial Consultant | Jul 2014 (12y) | |
| Caroline Maria Lukez Byrne | Registered representative | Aug 2014 (12y) | ||
| Scott F Perhacs | Registered representative | Chartered Financial Consultant | Aug 2014 (12y) | |
| Shawn M Mckeen | Registered representative | Aug 2014 (12y) | ||
| Adam Charles Persky | Registered representative | Sep 2014 (12y) | ||
| Suzannah Lee Richards | Registered representative | CFP | Sep 2014 (12y) | |
| Betty Williams Kendra | Registered representative | Oct 2014 (12y) | ||
| Katie Baker Hutto | Registered representative | Oct 2014 (12y) | ||
| Patrick Thomas Lang | Registered representative | Oct 2014 (12y) | ||
| William Andrew Doran | Registered representative | Oct 2014 (12y) | ||
| Scott Jay Schechter | Registered representative | CFP Chartered Financial Consultant | Oct 2014 (12y) | |
| David E Mcguire | Registered representative | Oct 2014 (12y) | ||
| Hung Tuan Lai | Registered representative | Chartered Financial Consultant | Oct 2014 (12y) | |
| Pedram Kaivani | Registered representative | Nov 2014 (12y) | ||
| Aaron Michael Overlien | Registered representative | Nov 2014 (12y) | ||
| Mario Roberto Orozco | Registered representative | Nov 2014 (12y) | ||
| Erin Cook | Registered representative | Nov 2014 (12y) | ||
| John Anthony Forte | Registered representative | Chartered Financial Consultant | Nov 2014 (12y) | |
| Heidi L Halus | Registered representative | Nov 2014 (12y) | ||
| Bradley Lowell Miller | Registered representative | Chartered Financial Consultant | Dec 2014 (12y) | |
| Zuzana Ambrova | Registered representative | Dec 2014 (12y) | ||
| Geoffrey Russell Luchetta | Registered representative | Dec 2014 (12y) | ||
| Christine Lee | Registered representative | Chartered Financial Consultant | Dec 2014 (12y) | |
| Erick Ian Buckley | Registered representative | Dec 2014 (12y) | ||
| James D. Cohen | Registered representative | Dec 2014 (12y) | ||
| Kristin Mathis Christofferson | Registered representative | Dec 2014 (12y) | ||
| Raymond Yoshio Kinjo | Registered representative | Dec 2014 (12y) | ||
| Christine Lan Huei Cheng Medeiros | Registered representative | CFP CFA | Jan 2015 (12y) | |
| Paul A Sciacca | Registered representative | Jan 2015 (12y) | ||
| Henry Campbell Mcgee | Registered representative | Jan 2015 (12y) | ||
| Michael Martin Meland | Registered representative | Feb 2015 (11y) | ||
| Clayton Hardy Blanton | Registered representative | Chartered Financial Consultant | Feb 2015 (11y) | |
| Leisl Christina Mooer | Registered representative | Feb 2015 (11y) | ||
| Sarah Arline Johnson | Registered representative | Mar 2015 (11y) | ||
| David Jon Wilson | Registered representative | CFP Chartered Financial Consultant | Mar 2015 (11y) | |
| Kevin Douglas Gates | Registered representative | Mar 2015 (11y) | ||
| Benjamin Bing Yin | Registered representative | Mar 2015 (11y) | ||
| Jeffrey Allan Schuler | Registered representative | Mar 2015 (11y) | ||
| Tyler Joseph Kruse | Registered representative | Mar 2015 (11y) | ||
| Dennis Alan Dickinson | Registered representative | Mar 2015 (11y) | ||
| Mark Allen Johnson | Registered representative | Apr 2015 (11y) | ||
| Brandon Lee Hanson | Registered representative | CFP | Apr 2015 (11y) | |
| Richard A Dennie | Registered representative | Apr 2015 (11y) | ||
| Benjamin W. Davis | Registered representative | May 2015 (11y) | ||
| Kari Ann Harr | Registered representative | May 2015 (11y) | ||
| John Edmond Jackson | Registered representative | May 2015 (11y) | ||
| Anthony Sablan | Registered representative | Jun 2015 (11y) | ||
| Scott Wayne Salisbury | Registered representative | Jun 2015 (11y) | ||
| Anna Chu | Registered representative | Jun 2015 (11y) | ||
| Kevin Gerard Serigne | Registered representative | Jun 2015 (11y) | ||
| Chad A Horsham | Registered representative | Chartered Financial Consultant | Jun 2015 (11y) | |
| John Mcgee | Registered representative | Jul 2015 (11y) | ||
| Jeffery W Still | Registered representative | Jul 2015 (11y) | ||
| James Watson Thomas | Registered representative | Jul 2015 (11y) | ||
| Salvador Banguela Arcadipane | Registered representative | Jul 2015 (11y) | ||
| Caleb W Harty | Registered representative | Jul 2015 (11y) | ||
| Joel Albert | Registered representative | Jul 2015 (11y) | ||
| Yoshikuni Ogawa | Registered representative | Jul 2015 (11y) | ||
| Wai Man Chan | Registered representative | CFP Chartered Financial Consultant | Aug 2015 (11y) | |
| Scott Laramee Fontaine | Registered representative | Aug 2015 (11y) | ||
| Jason Neal Radke | Registered representative | Aug 2015 (11y) | ||
| Joseph Alan Milford | Registered representative | CFA | Aug 2015 (11y) | |
| Kirstin Sue Jensen | Registered representative | Sep 2015 (11y) | ||
| Erik Leland Hulbert | Registered representative | Chartered Financial Consultant | Sep 2015 (11y) | |
| Derek Scot Davidson | Registered representative | Sep 2015 (11y) | ||
| Zachary James Dombrowski | Registered representative | Sep 2015 (11y) | ||
| Frank Anthony Amato | Registered representative | Sep 2015 (11y) | ||
| John Kelly Fahrmann | Registered representative | Sep 2015 (11y) | ||
| Krista Nicole Halbach | Registered representative | Oct 2015 (11y) | ||
| Gerard Michael Morra | Registered representative | Oct 2015 (11y) | ||
| Steven Ifield Crabbe | Registered representative | Oct 2015 (11y) | ||
| Benjamin Thomas Brockman | Registered representative | Nov 2015 (11y) | ||
| German Alfredo Rodriguez | Registered representative | Nov 2015 (11y) | ||
| Roger Ivar Grumdahl | Registered representative | Nov 2015 (11y) | ||
| Ryan Clark Southwick | Registered representative | Nov 2015 (11y) | ||
| Peter Loomis Lovley | Registered representative | Nov 2015 (11y) | ||
| Todd Randal Cobena | Registered representative | Dec 2015 (11y) | ||
| Thomas Nolan Pendleton | Registered representative | CFP | Dec 2015 (11y) | |
| Darren Ronald Schwinefus | Registered representative | Dec 2015 (11y) | ||
| Antonia Anna Roig | Registered representative | Dec 2015 (11y) | ||
| Curtis Lee Rasmussen | Registered representative | Jan 2016 (11y) | ||
| Charles Andrew Triplett | Registered representative | Jan 2016 (11y) | ||
| Bradley A Scheideman | Registered representative | Jan 2016 (11y) | ||
| Kevin James Mulqueen | Registered representative | CFP Chartered Financial Consultant | Jan 2016 (11y) | |
| Michael Evan Scheeler | Registered representative | Jan 2016 (11y) | ||
| Christopher Scott Nickens | Registered representative | Jan 2016 (11y) | ||
| Katherine Foote Newman | Registered representative | Feb 2016 (10y) | ||
| Christopher M Eppich | Registered representative | Feb 2016 (10y) | ||
| Brian Thomas Metzger | Registered representative | Feb 2016 (10y) | ||
| Darwyn Lee Sprik | Registered representative | Mar 2016 (10y) | ||
| Dominic Giovanni Rafetto | Registered representative | Mar 2016 (10y) | ||
| Ryan Patrick Catlaw | Registered representative | Mar 2016 (10y) | ||
| Rordan Lee Hart | Registered representative | Mar 2016 (10y) | ||
| Nancy Dee Kingsberg | Registered representative | Mar 2016 (10y) | ||
| Richard Trace Alexander | Registered representative | Mar 2016 (10y) | ||
| Micheal David Paul | Registered representative | Apr 2016 (10y) | ||
| David Paul Rudi Lenser | Registered representative | Apr 2016 (10y) | ||
| Jane Ellen Radabaugh | Registered representative | Apr 2016 (10y) | ||
| Jeffrey Roland Beaulieu | Registered representative | Apr 2016 (10y) | ||
| Benjamin James Houseman | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| David Paul Rupp | Registered representative | Apr 2016 (10y) | ||
| Mark Musallam | Registered representative | Apr 2016 (10y) | ||
| Bianca Helen Obrien | Registered representative | Apr 2016 (10y) | ||
| Philip Charles Hart | Registered representative | Chartered Financial Consultant | May 2016 (10y) | |
| Dennis R Farrar | Registered representative | May 2016 (10y) | ||
| Joan Haiyen Huang Evans | Registered representative | May 2016 (10y) | ||
| Gregory Rivine | Registered representative | Chartered Financial Consultant | May 2016 (10y) | |
| Ronald Dean Gruber | Registered representative | May 2016 (10y) | ||
| Alexander Yurovitsky | Registered representative | May 2016 (10y) | ||
| Ronald Craig Dickstein | Registered representative | May 2016 (10y) | ||
| Robin Lisa Nack | Registered representative | Jun 2016 (10y) | ||
| William C Butler | Registered representative | Chartered Financial Consultant | Jun 2016 (10y) | |
| Tyler C Garry | Registered representative | Jun 2016 (10y) | ||
| Johnathan Blake Worrells | Registered representative | Jul 2016 (10y) | ||
| Kathleen Marie Knight | Registered representative | Aug 2016 (10y) | ||
| Otto N Grozinger | Registered representative | Aug 2016 (10y) | ||
| Michael Davis | Registered representative | Aug 2016 (10y) | ||
| Jeffrey Lee Japel | Registered representative | Aug 2016 (10y) | ||
| Sherry Renee Senesy | Registered representative | CFP | Aug 2016 (10y) | |
| Juliana Damopoulos | Registered representative | Sep 2016 (10y) | ||
| Rohit Kumar Madan | Registered representative | CFP Chartered Financial Consultant | Sep 2016 (10y) | |
| David Hannibal Farra | Registered representative | Oct 2016 (10y) | ||
| Juan B Gonzalez | Registered representative | Oct 2016 (10y) | ||
| Bradley W Olschlager | Registered representative | Oct 2016 (10y) | ||
| Jeanette Fiore | Registered representative | Oct 2016 (10y) | ||
| Mathew David Solomon | Registered representative | Oct 2016 (10y) | ||
| Craig Alan Potter | Registered representative | Chartered Financial Consultant | Nov 2016 (10y) | |
| Michael Thomas Damon | Registered representative | Nov 2016 (10y) | ||
| Curtis Jay Christensen | Registered representative | Chartered Financial Consultant | Nov 2016 (10y) | |
| Elizabeth Rose Bauer | Registered representative | Nov 2016 (10y) | ||
| Tamara Haskins | Registered representative | Dec 2016 (10y) | ||
| Nathan Trevor Mckay | Registered representative | Dec 2016 (10y) | ||
| Kelly Jean Jahner | Registered representative | Dec 2016 (10y) | ||
| Robert John Ahearn | Registered representative | CFP | Jan 2017 (10y) | |
| Cameron Dl Lagala | Registered representative | Jan 2017 (10y) | ||
| James Buchanan Sutton | Registered representative | Jan 2017 (10y) | ||
| Alan Rory Babbitt | Registered representative | Jan 2017 (10y) | ||
| Arthur Leroy Garcia | Registered representative | Jan 2017 (10y) | ||
| Ryan Mcwilliams Jones | Registered representative | Jan 2017 (10y) | ||
| Jasmita Patel | Registered representative | Jan 2017 (10y) | ||
| Kim W Luckey | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Janine Marie Ruland | Registered representative | Feb 2017 (9y) | ||
| Tyler R Breed | Registered representative | Mar 2017 (9y) | ||
| Jiake Shi | Registered representative | Mar 2017 (9y) | ||
| Quincy De Freitas | Registered representative | Mar 2017 (9y) | ||
| Javier Perez Giz | Registered representative | Mar 2017 (9y) | ||
| Joel Franklin Staich | Registered representative | Mar 2017 (9y) | ||
| Christopher Luis Mcdonald | Registered representative | CFP | Mar 2017 (9y) | |
| Lonny Joseph Babin | Registered representative | Mar 2017 (9y) | ||
| Brian F Keane | Registered representative | Mar 2017 (9y) | ||
| Michael Thomas Bostick | Registered representative | Apr 2017 (9y) | ||
| Michelle Dawn Williams | Registered representative | Apr 2017 (9y) | ||
| Mark Andrew Lavalley | Registered representative | Apr 2017 (9y) | ||
| Dina Antonette Hartnett | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Andrew B. Jensen | Registered representative | May 2017 (9y) | ||
| Michael R Duke | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Jason Thomas Bourque | Registered representative | May 2017 (9y) | ||
| Mark Edward Apolenis | Registered representative | May 2017 (9y) | ||
| Bradley Allen Cameron | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| William Tyler Wehner | Registered representative | Jun 2017 (9y) | ||
| Trevor Scott David Isaacs | Registered representative | CFP Chartered Financial Consultant | Jun 2017 (9y) | |
| Marcus Alan Hester | Registered representative | Jun 2017 (9y) | ||
| Patrick Phelan | Registered representative | Jun 2017 (9y) | ||
| Michael Rush Noland | Registered representative | Chartered Financial Consultant | Jun 2017 (9y) | |
| Richard Gerard Kelly | Registered representative | Chartered Financial Consultant | Jun 2017 (9y) | |
| Erik Steven Engh | Registered representative | Jun 2017 (9y) | ||
| Autumn Rose Sims | Registered representative | Jun 2017 (9y) | ||
| Jason Paul Leonard | Registered representative | Jun 2017 (9y) | ||
| Jessica B Cornejo | Registered representative | Jun 2017 (9y) | ||
| Martin Ezelle | Registered representative | Jul 2017 (9y) | ||
| Barry J Bruno | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| Sara Vaughan Vavricka | Registered representative | Jul 2017 (9y) | ||
| Jacob Lee Pottorff | Registered representative | Aug 2017 (9y) | ||
| John William Cucarese | Registered representative | Aug 2017 (9y) | ||
| Jason Evertson Colquitt | Registered representative | Aug 2017 (9y) | ||
| Jenny Youngjoo Kim | Registered representative | Aug 2017 (9y) | ||
| Robert Andrew Moro | Registered representative | Chartered Financial Consultant | Aug 2017 (9y) | |
| Nathaniel Lynn Laupp | Registered representative | Aug 2017 (9y) | ||
| Christopher Robert Hassett | Registered representative | Chartered Financial Consultant | Sep 2017 (9y) | |
| Nicholas D Rogers | Registered representative | Sep 2017 (9y) | ||
| Michael Scott Kilgore | Registered representative | Sep 2017 (9y) | ||
| Sayaka Joyce Glaser | Registered representative | Sep 2017 (9y) | ||
| Dennis George Poulos | Registered representative | Chartered Financial Consultant | Oct 2017 (9y) | |
| James M Reeves | Registered representative | Oct 2017 (9y) | ||
| Blair Thomas Breton | Registered representative | Oct 2017 (9y) | ||
| Michael Martin Fitzgerald | Registered representative | Oct 2017 (9y) | ||
| Andrew Hwe Do Tadashi Chung | Registered representative | Nov 2017 (9y) | ||
| Mike T Bui | Registered representative | Nov 2017 (9y) | ||
| Jon Andrew Shoemaker | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Kyle John Knutson | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Nathan Allan York | Registered representative | Nov 2017 (9y) | ||
| Aeramy Kiersten Porter | Registered representative | Nov 2017 (9y) | ||
| Bailey Bishop | Registered representative | Nov 2017 (9y) | ||
| David Charles Hannon | Registered representative | Nov 2017 (9y) | ||
| Minh Chau Pham Nguyen | Registered representative | Dec 2017 (9y) | ||
| Kathleen Margaret Kelly | Registered representative | Dec 2017 (9y) | ||
| Matthew Joel Minehart | Registered representative | Dec 2017 (9y) | ||
| David Arthur Denison | Registered representative | Dec 2017 (9y) | ||
| Paul Michael Habib | Registered representative | Dec 2017 (9y) | ||
| Frank Rogers Jones | Registered representative | Chartered Financial Consultant | Jan 2018 (9y) | |
| Marguerite Jo Wiese | Registered representative | CFP | Jan 2018 (9y) | |
| Dennis Grimes Ballow | Registered representative | Jan 2018 (9y) | ||
| Guan Xiong Yang | Registered representative | Jan 2018 (9y) | ||
| Mark T Stecker | Registered representative | CFP | Jan 2018 (9y) | |
| Brian P Monk | Registered representative | Jan 2018 (9y) | ||
| Brian Paul Young | Registered representative | Feb 2018 (8y) | ||
| Kimberly Mckown | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Patrick William Forand | Registered representative | Feb 2018 (8y) | ||
| Jeremy Clay Morgan | Registered representative | Feb 2018 (8y) | ||
| Matthew Thomas Pettine | Registered representative | Mar 2018 (8y) | ||
| Daniel Chang | Registered representative | Mar 2018 (8y) | ||
| Jeffrey Duane Bradley | Registered representative | Mar 2018 (8y) | ||
| James R Hayward | Registered representative | Apr 2018 (8y) | ||
| Joshua Anthony Cowart | Registered representative | Apr 2018 (8y) | ||
| Michael Jeffrey Oliphant | Registered representative | Chartered Financial Consultant | Apr 2018 (8y) | |
| Citlalli Hernandez Rojas | Registered representative | Apr 2018 (8y) | ||
| Heidi Lynne Adams | Registered representative | Apr 2018 (8y) | ||
| Jody Young Clement | Registered representative | Apr 2018 (8y) | ||
| Thomas Andrew Tyler | Registered representative | Apr 2018 (8y) | ||
| Phillip Mabey | Registered representative | Apr 2018 (8y) | ||
| Sara Ashmawy | Registered representative | Apr 2018 (8y) | ||
| Daniel Patrick Mueller | Registered representative | May 2018 (8y) | ||
| Louis Fahrbach | Registered representative | May 2018 (8y) | ||
| Berto Cabral | Registered representative | May 2018 (8y) | ||
| Travis Joshua Smith | Registered representative | May 2018 (8y) | ||
| Joshua K Haney | Registered representative | May 2018 (8y) | ||
| Scott Eugene Slusser | Registered representative | May 2018 (8y) | ||
| Timothy Scott Libby | Registered representative | May 2018 (8y) | ||
| Angel Louis Ventura | Registered representative | Chartered Financial Consultant | May 2018 (8y) | |
| Christopher Mark Biren | Registered representative | May 2018 (8y) | ||
| Loyda Yelitxa Molina Pagan | Registered representative | Jun 2018 (8y) | ||
| Grace Pokyong Park | Registered representative | Jun 2018 (8y) | ||
| Joshua Ariel Gonzalez | Registered representative | Jun 2018 (8y) | ||
| Wendy Ruth Aimola | Registered representative | Jun 2018 (8y) | ||
| Jared Douglas Tevis | Registered representative | CFP | Jun 2018 (8y) | |
| Robert C Dcruz | Registered representative | Jun 2018 (8y) | ||
| Ryan Michael Utecht | Registered representative | Jun 2018 (8y) | ||
| Matthew J Kennedy | Registered representative | Jul 2018 (8y) | ||
| Lauren Claire Ip | Registered representative | Jul 2018 (8y) | ||
| Matthew Neil Pomerantz | Registered representative | Jul 2018 (8y) | ||
| Pauline L Healy | Registered representative | Jul 2018 (8y) | ||
| Maram T Nashar | Registered representative | Jul 2018 (8y) | ||
| Kelli Renee Little | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| Marc Shuster | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| Erin Amelia Furman | Registered representative | Aug 2018 (8y) | ||
| Jason P Spears | Registered representative | Chartered Financial Consultant | Aug 2018 (8y) | |
| Sanjeev Hiranand Butani | Registered representative | Chartered Financial Consultant | Aug 2018 (8y) | |
| Christina Lynn Wilson | Registered representative | Aug 2018 (8y) | ||
| Anthony Drake Miller | Registered representative | CFP Chartered Financial Consultant | Aug 2018 (8y) | |
| Hyelee Dan | Registered representative | Aug 2018 (8y) | ||
| Ethan Lars Milton Anderson | Registered representative | Aug 2018 (8y) | ||
| Seth J Bassin | Registered representative | Sep 2018 (8y) | ||
| Diana Sao Figueiredo | Registered representative | Sep 2018 (8y) | ||
| Jason Adam Stockmaster | Registered representative | Sep 2018 (8y) | ||
| Gustavo Adolfo Cala | Registered representative | Sep 2018 (8y) | ||
| Christopher John Weir | Registered representative | Sep 2018 (8y) | ||
| Miguel Usban Delgado Rivero | Registered representative | Sep 2018 (8y) | ||
| Bulent Algokce | Registered representative | Sep 2018 (8y) | ||
| Patricia Bullock Branch | Registered representative | CFP Chartered Financial Consultant | Sep 2018 (8y) | |
| Sarah Eschenbrenner | Registered representative | Oct 2018 (8y) | ||
| Tom E Sunny | Registered representative | Oct 2018 (8y) | ||
| Jason Edward Dennis | Registered representative | Oct 2018 (8y) | ||
| Darren Parker Gunnell | Registered representative | Oct 2018 (8y) | ||
| Dmitry Frenklakh | Registered representative | Oct 2018 (8y) | ||
| Kasia Hargrave | Registered representative | Oct 2018 (8y) | ||
| Eric Alan Gibboney | Registered representative | Oct 2018 (8y) | ||
| Joshua Thomas Mc Carthy | Registered representative | Chartered Financial Consultant | Oct 2018 (8y) | |
| Eric Warren Baumbach | Registered representative | Chartered Financial Consultant | Nov 2018 (8y) | |
| David Brooks Barr | Registered representative | Nov 2018 (8y) | ||
| Jennifer Mary Lane | Registered representative | Nov 2018 (8y) | ||
| Joanne Barbra Litman | Registered representative | Nov 2018 (8y) | ||
| Steven Dung Huy Huynh | Registered representative | Nov 2018 (8y) | ||
| Robert Alan Engler | Registered representative | Nov 2018 (8y) | ||
| Erin K Vick | Registered representative | Nov 2018 (8y) | ||
| Megan Marie Ward | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Austin Lee Janssen | Registered representative | Dec 2018 (8y) | ||
| David Mark Burg | Registered representative | Dec 2018 (8y) | ||
| Timothy James Jordan | Registered representative | Chartered Financial Consultant | Dec 2018 (8y) | |
| Kristoffer Casmer Preble | Registered representative | Dec 2018 (8y) | ||
| Brendan Alan Harty | Registered representative | Dec 2018 (8y) | ||
| Christopher Tucciariello | Registered representative | Dec 2018 (8y) | ||
| Yuk Kin Monita Kuan | Registered representative | Jan 2019 (8y) | ||
| Matthew R Brightman | Registered representative | Jan 2019 (8y) | ||
| Kevin Lee Payne | Registered representative | Jan 2019 (8y) | ||
| Jamil Atuazi Barnes | Registered representative | Jan 2019 (8y) | ||
| Preston Huntley Neumann | Registered representative | Jan 2019 (8y) | ||
| David Michael Eddy | Registered representative | Jan 2019 (8y) | ||
| Cindy Verduzco | Registered representative | Jan 2019 (8y) | ||
| Carolyn Barrett Anders Lyman | Registered representative | Chartered Financial Consultant | Jan 2019 (8y) | |
| Frederick Arden Nyberg | Registered representative | Jan 2019 (8y) | ||
| Marc I Rosenthal | Registered representative | Jan 2019 (8y) | ||
| Bryan W Gesualdo | Registered representative | Jan 2019 (8y) | ||
| Jimmy R Rivera | Registered representative | Feb 2019 (7y) | ||
| Gregory Paul Vasilakos | Registered representative | Feb 2019 (7y) | ||
| Mark Boyle Goggins | Registered representative | Feb 2019 (7y) | ||
| Jakob Tee Hart | Registered representative | Mar 2019 (7y) | ||
| Gilberto Perez | Registered representative | Mar 2019 (7y) | ||
| John S Rocco | Registered representative | Chartered Financial Consultant | Mar 2019 (7y) | |
| Pascal Nyame Asiedu | Registered representative | Mar 2019 (7y) | ||
| Michael Thomas Polito | Registered representative | Apr 2019 (7y) | ||
| Jonathan T Ayres | Registered representative | Apr 2019 (7y) | ||
| Richard Lamar Hamner | Registered representative | Apr 2019 (7y) | ||
| Foster Lee Wilcox | Registered representative | CFP | Apr 2019 (7y) | |
| John Frederick Schweitzer | Registered representative | Apr 2019 (7y) | ||
| Jeremy Daniel Reeder | Registered representative | Apr 2019 (7y) | ||
| Eric Pierre Manson | Registered representative | May 2019 (7y) | ||
| Braden Lee Draggoo | Registered representative | May 2019 (7y) | ||
| Jay Allen Black | Registered representative | May 2019 (7y) | ||
| Andrew Ryan Snyder | Registered representative | May 2019 (7y) | ||
| Kylie Nesbitt | Registered representative | May 2019 (7y) | ||
| Barrett Lund Ethington | Registered representative | Jun 2019 (7y) | ||
| Benjamin Robert Hulstein | Registered representative | Jun 2019 (7y) | ||
| Lisa Youk | Registered representative | Jun 2019 (7y) | ||
| Philip Edward Wyatt | Registered representative | Jun 2019 (7y) | ||
| Mark David Rude | Registered representative | Jun 2019 (7y) | ||
| Thomas John Raddatz | Registered representative | Jun 2019 (7y) | ||
| William Andrew Grub | Registered representative | Jun 2019 (7y) | ||
| Kyoung Tai Lee | Registered representative | Jul 2019 (7y) | ||
| Brent Lamar Stevens | Registered representative | Jul 2019 (7y) | ||
| Monroe Maurice Lampkin Mc Anuff | Registered representative | Jul 2019 (7y) | ||
| Gretchen Weinnig Beedle | Registered representative | Jul 2019 (7y) | ||
| Derek Alan Walker | Registered representative | Jul 2019 (7y) | ||
| David T Rockett | Registered representative | Jul 2019 (7y) | ||
| Steve Woojoon Shim | Registered representative | Aug 2019 (7y) | ||
| Haley Lynn Scarano | Registered representative | Aug 2019 (7y) | ||
| Arin Moradian | Registered representative | Aug 2019 (7y) | ||
| Bryant Matthew Sheftick | Registered representative | CFP | Aug 2019 (7y) | |
| Zachary Matthew Wong | Registered representative | Aug 2019 (7y) | ||
| Wesley A Brugh | Registered representative | Sep 2019 (7y) | ||
| Douglas Bryan Warren | Registered representative | Sep 2019 (7y) | ||
| Kevin Ewing | Registered representative | Sep 2019 (7y) | ||
| Barry Arthur Cook | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Eric Sven Anderson | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Koshin Steven Soga | Registered representative | Sep 2019 (7y) | ||
| David William Lewis | Registered representative | Sep 2019 (7y) | ||
| Jay Everette Smith | Registered representative | Sep 2019 (7y) | ||
| Adam Cameron Tolliver | Registered representative | Sep 2019 (7y) | ||
| Caleb Michael Keysor | Registered representative | Sep 2019 (7y) | ||
| Steven Josh Uy | Registered representative | Sep 2019 (7y) | ||
| Logan Ronald Meeker | Registered representative | Oct 2019 (7y) | ||
| Yewchang Chow | Registered representative | Oct 2019 (7y) | ||
| Kyle Philip German | Registered representative | Oct 2019 (7y) | ||
| Matthew Christopher Walker | Registered representative | Oct 2019 (7y) | ||
| Jennifer Gee Cheung | Registered representative | Oct 2019 (7y) | ||
| Altaf Safri | Registered representative | Nov 2019 (7y) | ||
| Karin Beth Feldstein | Registered representative | Chartered Financial Consultant | Nov 2019 (7y) | |
| Heather Blaylock Bates | Registered representative | Dec 2019 (7y) | ||
| Michael Golosovker | Registered representative | Dec 2019 (7y) | ||
| David Paul Johnson | Registered representative | Dec 2019 (7y) | ||
| Connor Townsend | Registered representative | Dec 2019 (7y) | ||
| Donna Watson Rowell | Registered representative | Dec 2019 (7y) | ||
| Megan Cynthia Davenport | Registered representative | Dec 2019 (7y) | ||
| Corrie A Haux | Registered representative | Chartered Financial Consultant | Dec 2019 (7y) | |
| David Kober | Registered representative | Dec 2019 (7y) | ||
| Patrick Michael Ryan | Registered representative | Dec 2019 (7y) | ||
| Samuel S. Froehlich | Registered representative | Dec 2019 (7y) | ||
| Beau Jacob Welsh | Registered representative | Dec 2019 (7y) | ||
| Andrew James Manuse | Registered representative | Dec 2019 (7y) | ||
| Charles Clifford Bright | Registered representative | Dec 2019 (7y) | ||
| Ehab Abdalla | Registered representative | CFP | Jan 2020 (7y) | |
| John Thomas Ermer | Registered representative | Jan 2020 (7y) | ||
| Anthony Amendola | Registered representative | Jan 2020 (7y) | ||
| Jodi Krom Herman | Registered representative | Jan 2020 (7y) | ||
| William Celester White | Registered representative | Jan 2020 (7y) | ||
| Stephen Mark Patton | Registered representative | Jan 2020 (7y) | ||
| Perry David Thompson | Registered representative | Jan 2020 (7y) | ||
| William D Groff | Registered representative | Feb 2020 (6y) | ||
| David Ashley Thompson | Registered representative | Feb 2020 (6y) | ||
| Corey Christopher Sullivan | Registered representative | Feb 2020 (6y) | ||
| Gregory Steven Snoor | Registered representative | Feb 2020 (6y) | ||
| James Peter Healy | Registered representative | Feb 2020 (6y) | ||
| Alvin R. Barnett | Registered representative | Feb 2020 (6y) | ||
| Kristin Nicole Daniel | Registered representative | Feb 2020 (6y) | ||
| Nicolas Baker | Registered representative | Mar 2020 (6y) | ||
| John B Conner | Registered representative | Mar 2020 (6y) | ||
| Mark John Pratt | Registered representative | Mar 2020 (6y) | ||
| Tyler James Jordan | Registered representative | Mar 2020 (6y) | ||
| Javier Adrian Zubiate | Registered representative | Mar 2020 (6y) | ||
| Ronaldo M Shirey | Registered representative | Apr 2020 (6y) | ||
| Frederick Allen Rich | Registered representative | Apr 2020 (6y) | ||
| Don Allen Damron | Registered representative | Apr 2020 (6y) | ||
| Karan Murugesu | Registered representative | CFP Chartered Financial Consultant | Apr 2020 (6y) | |
| Sherry Lin | Registered representative | May 2020 (6y) | ||
| Andrew Thomas Hooper | Registered representative | Jun 2020 (6y) | ||
| Laurence Lowell Mccarthy | Registered representative | Jun 2020 (6y) | ||
| Anthony Henri Benoit | Registered representative | Jul 2020 (6y) | ||
| Caleb Alexander Loud | Registered representative | Jul 2020 (6y) | ||
| Sarah Lina Smith | Registered representative | Jul 2020 (6y) | ||
| Jeffrey Alan Harrington | Registered representative | Jul 2020 (6y) | ||
| Robert T Hassler | Registered representative | Jul 2020 (6y) | ||
| Patrick Joseph Haggerty | Registered representative | Jul 2020 (6y) | ||
| Kathy Jane Moritz | Registered representative | Jul 2020 (6y) | ||
| Kara E Tavernier | Registered representative | Jul 2020 (6y) | ||
| Hadi Ahmadi Aval | Registered representative | CFP | Jul 2020 (6y) | |
| Samuel Evan Strum | Registered representative | Jul 2020 (6y) | ||
| Christopher Allen Turner | Registered representative | Aug 2020 (6y) | ||
| Kenneth Peter Harper | Registered representative | Aug 2020 (6y) | ||
| Rodney Terrell Kornegay | Registered representative | Aug 2020 (6y) | ||
| Gerard Marc St Cyr | Registered representative | Aug 2020 (6y) | ||
| John E Natoli | Registered representative | CFP Chartered Financial Consultant | Aug 2020 (6y) | |
| Timothy James Haye | Registered representative | Sep 2020 (6y) | ||
| Travis K Skiles | Registered representative | Sep 2020 (6y) | ||
| Kevin Dale Flaagan | Registered representative | Chartered Financial Consultant | Sep 2020 (6y) | |
| Mindy Dorothy Fisdel | Registered representative | Sep 2020 (6y) | ||
| Amy Ailine Cousins | Registered representative | Sep 2020 (6y) | ||
| Emil Musgrove | Registered representative | Sep 2020 (6y) | ||
| Justin Dallas Wiseman | Registered representative | Sep 2020 (6y) | ||
| David Robert Guilford | Registered representative | Chartered Financial Consultant | Sep 2020 (6y) | |
| Justin Robert Golec | Registered representative | Sep 2020 (6y) | ||
| Alexander Schwarte | Registered representative | Sep 2020 (6y) | ||
| Gregory Thomas Dexter | Registered representative | Sep 2020 (6y) | ||
| Crystal Lynn Knuttgen | Registered representative | Oct 2020 (6y) | ||
| Kristen Michelle Ellifritz | Registered representative | Oct 2020 (6y) | ||
| Robert Anthony Quiroga | Registered representative | Oct 2020 (6y) | ||
| Tyler Orion Ruby | Registered representative | Oct 2020 (6y) | ||
| Mary L Place | Registered representative | Oct 2020 (6y) | ||
| Allison Jane Metheny | Registered representative | Oct 2020 (6y) | ||
| Blake Robert Castaldo | Registered representative | Oct 2020 (6y) | ||
| Fatema Asgarali Udaipurwala | Registered representative | CFA | Oct 2020 (6y) | |
| Logwone Warrior Mitz | Registered representative | Oct 2020 (6y) | ||
| David Moler | Registered representative | Oct 2020 (6y) | ||
| Ronald Fishman | Registered representative | Nov 2020 (6y) | ||
| Francis Anthony Franco | Registered representative | Nov 2020 (6y) | ||
| Adam Lee Wheeler | Registered representative | Nov 2020 (6y) | ||
| Marlon Jonis Altoe | Registered representative | Nov 2020 (6y) | ||
| Christene Giron Dino Hobbs | Registered representative | Nov 2020 (6y) | ||
| Deborah Linn Mosley | Registered representative | Nov 2020 (6y) | ||
| Anja Brooke Nickel | Registered representative | Nov 2020 (6y) | ||
| Lynzie Wolters | Registered representative | Chartered Financial Consultant | Nov 2020 (6y) | |
| Paul Robert Holman | Registered representative | Dec 2020 (6y) | ||
| Jayci Lynn Goodlett | Registered representative | Dec 2020 (6y) | ||
| Keith Andrew Macpherson | Registered representative | Dec 2020 (6y) | ||
| Matthew John Scarano | Registered representative | Dec 2020 (6y) | ||
| Justin Patrick Doyle | Registered representative | Dec 2020 (6y) | ||
| Rosa Yesenia Harnack | Registered representative | Dec 2020 (6y) | ||
| Natalie Armine Mcginley | Registered representative | Dec 2020 (6y) | ||
| Matthew Phillip Munet | Registered representative | Jan 2021 (6y) | ||
| Michael Hill | Registered representative | Jan 2021 (6y) | ||
| Joseph Kenyon Vander Linde | Registered representative | Jan 2021 (6y) | ||
| David Paul Tucker | Registered representative | Jan 2021 (6y) | ||
| Joel Timothy Christman | Registered representative | Jan 2021 (6y) | ||
| Peter Lanza | Registered representative | Jan 2021 (6y) | ||
| Shant Tashjian | Registered representative | Jan 2021 (6y) | ||
| Francis Coloma Mesina | Registered representative | Jan 2021 (6y) | ||
| Matthew C Stewart | Registered representative | Jan 2021 (6y) | ||
| Warren Thomas Poirier | Registered representative | Jan 2021 (6y) | ||
| Keith William Mellen | Registered representative | Jan 2021 (6y) | ||
| Andrew Ellis Mcreynolds | Registered representative | Feb 2021 (5y) | ||
| J Winston Hollingsworth | Registered representative | Feb 2021 (5y) | ||
| James Wales Parker Barnes | Registered representative | Feb 2021 (5y) | ||
| Ryan Andrew Garnto | Registered representative | Feb 2021 (5y) | ||
| Luke Ferradj | Registered representative | Mar 2021 (5y) | ||
| Dominick Francis Di Nofa | Registered representative | Mar 2021 (5y) | ||
| Christopher Francis Kenney | Registered representative | Mar 2021 (5y) | ||
| David Victor Bearden | Registered representative | Mar 2021 (5y) | ||
| Darren Dietz Godfrey | Registered representative | Mar 2021 (5y) | ||
| David Lawrence Salgado | Registered representative | Mar 2021 (5y) | ||
| Michael Dee Denton | Registered representative | Mar 2021 (5y) | ||
| Brian Paul O'leary | Registered representative | Mar 2021 (5y) | ||
| Andrew G Blanks | Registered representative | CFP | Mar 2021 (5y) | |
| Reid Carey Flaagan | Registered representative | Mar 2021 (5y) | ||
| Broderick Young | Registered representative | CFP | Apr 2021 (5y) | |
| Aldric Y Johnson | Registered representative | Apr 2021 (5y) | ||
| Vincent Pack | Registered representative | Apr 2021 (5y) | ||
| Luis F Decastro | Registered representative | Apr 2021 (5y) | ||
| Walter Lee Collins | Registered representative | Apr 2021 (5y) | ||
| Tayler Elizabeth Drynan | Registered representative | Apr 2021 (5y) | ||
| Loredana Denardo | Registered representative | Apr 2021 (5y) | ||
| Brendan Geggatt | Registered representative | Apr 2021 (5y) | ||
| Michael William Hurley | Registered representative | Apr 2021 (5y) | ||
| Danny Chenxin Li | Registered representative | Apr 2021 (5y) | ||
| Richard J Green | Registered representative | Apr 2021 (5y) | ||
| Vincent Kin Ming Chan | Registered representative | Apr 2021 (5y) | ||
| Clinton Van Stosich | Registered representative | Apr 2021 (5y) | ||
| Kelly Goldstein | Registered representative | Apr 2021 (5y) | ||
| Louis Wilson Orsatti | Registered representative | Apr 2021 (5y) | ||
| Evan K Horton | Registered representative | May 2021 (5y) | ||
| Michael Nichols | Registered representative | May 2021 (5y) | ||
| Peter Korbakes | Registered representative | May 2021 (5y) | ||
| Derrick Richard Linman | Registered representative | May 2021 (5y) | ||
| Wenping Jin | Registered representative | May 2021 (5y) | ||
| Paul Janco | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| John Kenneth Enslin | Registered representative | May 2021 (5y) | ||
| Christopher D. Mccown | Registered representative | May 2021 (5y) | ||
| Joshua David Payne | Registered representative | Chartered Financial Consultant | May 2021 (5y) | |
| Brian Paul Keigan | Registered representative | Personal Financial Specialist | May 2021 (5y) | |
| Stacey Marie Miner | Registered representative | May 2021 (5y) | ||
| Stacy Vanessa Pierre Louis | Registered representative | May 2021 (5y) | ||
| David Steven Avila | Registered representative | Jun 2021 (5y) | ||
| Joseph Richard Brida | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Melissa Joy Gilbert | Registered representative | Jun 2021 (5y) | ||
| Mariah Jean Hurlburt | Registered representative | Jun 2021 (5y) | ||
| Sandra Maria Mazzola | Registered representative | Jun 2021 (5y) | ||
| Douglas Louis Shepard | Registered representative | Jun 2021 (5y) | ||
| Stephen Lee | Registered representative | Jun 2021 (5y) | ||
| Taylor Marklin Sledge | Registered representative | Jun 2021 (5y) | ||
| Brandon Scott Selph | Registered representative | Jun 2021 (5y) | ||
| Walter Wynne Lawrence | Registered representative | Jun 2021 (5y) | ||
| Scott Odell | Registered representative | Jun 2021 (5y) | ||
| Ezra I Litton | Registered representative | Jun 2021 (5y) | ||
| Daniel Chester Capurso | Registered representative | Jun 2021 (5y) | ||
| Daniel Pearsall | Registered representative | Jun 2021 (5y) | ||
| Hannah Adams | Registered representative | Jun 2021 (5y) | ||
| Jerair Jerry Khachoyan | Registered representative | Jun 2021 (5y) | ||
| Lawrence Thomas Nimbach | Registered representative | CFA | Jun 2021 (5y) | |
| Michael Solomon Verser | Registered representative | Jun 2021 (5y) | ||
| Tania Marie Horowitz Fukuda Freuler | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Frank Alexander Avila | Registered representative | Jun 2021 (5y) | ||
| Jennaydra Dance Jordan | Registered representative | Jun 2021 (5y) | ||
| Kory Matthew Brown | Registered representative | Jul 2021 (5y) | ||
| Alison Ann Longstreet | Registered representative | Jul 2021 (5y) | ||
| John Joseph Burns | Registered representative | Jul 2021 (5y) | ||
| James Christopher Reuter | Registered representative | Jul 2021 (5y) | ||
| Adham Sabek | Registered representative | Jul 2021 (5y) | ||
| Rebecca Wolff | Registered representative | Jul 2021 (5y) | ||
| Kashawn Sanders | Registered representative | Jul 2021 (5y) | ||
| August James Ehlers | Registered representative | Jul 2021 (5y) | ||
| Taylor King White | Registered representative | Jul 2021 (5y) | ||
| Jeffrey James Kao | Registered representative | Jul 2021 (5y) | ||
| Juan P Garcia | Registered representative | Jul 2021 (5y) | ||
| Mark Patrick Hall | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Brendan M Wright | Registered representative | Jul 2021 (5y) | ||
| Elizabeth Lynn Ariazi | Registered representative | Jul 2021 (5y) | ||
| Andrew Michael Murphy | Registered representative | Aug 2021 (5y) | ||
| Donald Robert Boyle | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Robin Sue Badanes | Registered representative | CFP | Aug 2021 (5y) | |
| Albert Marquez | Registered representative | Aug 2021 (5y) | ||
| Alexander Denney | Registered representative | Aug 2021 (5y) | ||
| Alfredo Alves De Lima | Registered representative | Aug 2021 (5y) | ||
| Ali Agha | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Andres Felipe Rios | Registered representative | Aug 2021 (5y) | ||
| Arthur Tristan Zottola | Registered representative | CFP | Aug 2021 (5y) | |
| Bradley C Aldrich | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Brian Ronald Lescinskas | Registered representative | Aug 2021 (5y) | ||
| Christopher Frank Careri | Registered representative | Aug 2021 (5y) | ||
| Colton Edward Herrington | Registered representative | Aug 2021 (5y) | ||
| Craig Doyle Nelson | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| David Hoory | Registered representative | Aug 2021 (5y) | ||
| David Tracy Benson | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Dominick M Kortkamp | Registered representative | Aug 2021 (5y) | ||
| Edward Joseph Chiha | Registered representative | Aug 2021 (5y) | ||
| Edwin A Padilla | Registered representative | Aug 2021 (5y) | ||
| Eric Matthew Halpern | Registered representative | Aug 2021 (5y) | ||
| Felicia Kestenberg | Registered representative | Aug 2021 (5y) | ||
| James Henry Eiseman | Registered representative | Aug 2021 (5y) | ||
| Jamie M Laboska | Registered representative | Aug 2021 (5y) | ||
| Jang Won Lee | Registered representative | Aug 2021 (5y) | ||
| Jeffrey Angel Tenorio | Registered representative | Aug 2021 (5y) | ||
| Jemal Carter | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| John Philip Curry | Registered representative | Aug 2021 (5y) | ||
| Jonathan Schoenberg | Registered representative | CFP | Aug 2021 (5y) | |
| Julia Rose Mcclung | Registered representative | Aug 2021 (5y) | ||
| Kathleen Marie Flynn | Registered representative | Aug 2021 (5y) | ||
| Kiet Gia Hua | Registered representative | Aug 2021 (5y) | ||
| Kristen Sujung Han | Registered representative | CFP | Aug 2021 (5y) | |
| Lisa Michelle Smoltino | Registered representative | Aug 2021 (5y) | ||
| Mark Lenert | Registered representative | Aug 2021 (5y) | ||
| Mark Samuel Haik | Registered representative | Aug 2021 (5y) | ||
| Michael Boubert | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Michael Bruce Dwyer | Registered representative | Aug 2021 (5y) | ||
| Michael Steven Strong | Registered representative | Aug 2021 (5y) | ||
| Mohannad Mekawy Mekawy | Registered representative | Aug 2021 (5y) | ||
| Nancy Woolver | Registered representative | Aug 2021 (5y) | ||
| Nicholas Charles Ruggirello | Registered representative | Aug 2021 (5y) | ||
| Patricia Isis Heslin | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Rohan Handa | Registered representative | Aug 2021 (5y) | ||
| Reie Levi | Registered representative | Aug 2021 (5y) | ||
| Salim Shlomo Bassalian | Registered representative | Aug 2021 (5y) | ||
| Sandra Nadine Gill | Registered representative | Aug 2021 (5y) | ||
| Scott Alan Zeplowitz | Registered representative | Aug 2021 (5y) | ||
| Sean Vincent Viola | Registered representative | Aug 2021 (5y) | ||
| Stephen J Woodard | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Susan Leslie Green | Registered representative | Aug 2021 (5y) | ||
| Stacy Hoffman | Registered representative | Aug 2021 (5y) | ||
| Traci Dene Brown | Registered representative | Aug 2021 (5y) | ||
| Yong Chen | Registered representative | Aug 2021 (5y) | ||
| Johnson Ong Kho | Registered representative | CFP | Aug 2021 (5y) | |
| Lovely May Ravelo Zunino | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Mark Andrew Kinasewitz | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Soterios A Theori | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Mark Gerard Heinemann | Registered representative | Aug 2021 (5y) | ||
| Christopher Lee Santelli | Registered representative | Aug 2021 (5y) | ||
| Drew Christopher Schmidt | Registered representative | Aug 2021 (5y) | ||
| Edward James Kelly | Registered representative | Aug 2021 (5y) | ||
| Jenny Ong Kho | Registered representative | Aug 2021 (5y) | ||
| Leonard Harris Isaacs | Registered representative | Aug 2021 (5y) | ||
| Paul Andrew Lacava | Registered representative | Aug 2021 (5y) | ||
| Richard Marlen Schmidt | Registered representative | Aug 2021 (5y) | ||
| Scott F Hurlbut | Registered representative | Aug 2021 (5y) | ||
| Paige Elizabeth Van Vliet | Registered representative | Aug 2021 (5y) | ||
| Brendan Edward Mccarthy | Registered representative | Aug 2021 (5y) | ||
| Christopher David Nash | Registered representative | Aug 2021 (5y) | ||
| Kyle Edward Herrington | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Daniel Paul Stoll | Registered representative | Aug 2021 (5y) | ||
| Michael Philip Murphy | Registered representative | Aug 2021 (5y) | ||
| Vito Badalamenti | Registered representative | Aug 2021 (5y) | ||
| Eric Scott Anderson | Registered representative | Aug 2021 (5y) | ||
| Hai Minh Ngo | Registered representative | Aug 2021 (5y) | ||
| Jenifer Yi | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Osereme T Okojie | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Andrew Michael Schaffel | Registered representative | Aug 2021 (5y) | ||
| Sheri Ann Hendricks | Registered representative | Aug 2021 (5y) | ||
| Isaac B Kamman | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Jonathan Joseph Spacher | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Joseph Adam Caiello | Registered representative | Aug 2021 (5y) | ||
| Lucas C Herrington | Registered representative | Aug 2021 (5y) | ||
| Richard John Ernst | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Gwendolyn Pudim Tibbals | Registered representative | Aug 2021 (5y) | ||
| Jessie Lee Washington | Registered representative | Aug 2021 (5y) | ||
| John Michael Bruderman | Registered representative | Aug 2021 (5y) | ||
| Michael D Husar | Registered representative | Aug 2021 (5y) | ||
| Brian Nicholas Spader | Registered representative | CFP | Sep 2021 (5y) | |
| Antonio Edward Montalvo | Registered representative | Sep 2021 (5y) | ||
| Jeffrey Charles Olenych | Registered representative | Sep 2021 (5y) | ||
| Roger Wayne Carlson | Registered representative | Sep 2021 (5y) | ||
| Leighton Graham Whitehead | Registered representative | Oct 2021 (5y) | ||
| Adam Alexander Krol | Registered representative | Oct 2021 (5y) | ||
| Brian Keith Shea | Registered representative | Oct 2021 (5y) | ||
| Dingzhi Chen | Registered representative | Oct 2021 (5y) | ||
| Michael Vito Gisonda | Registered representative | Oct 2021 (5y) | ||
| William Thomas Kyle | Registered representative | Chartered Financial Consultant | Oct 2021 (5y) | |
| Osvaldo Gutierrez | Registered representative | Oct 2021 (5y) | ||
| Martin Petoyan | Registered representative | Oct 2021 (5y) | ||
| Rose Marie Roberts Jassoy | Registered representative | Oct 2021 (5y) | ||
| Wesley W Morgan | Registered representative | Oct 2021 (5y) | ||
| Peter William Mc Guire | Registered representative | Oct 2021 (5y) | ||
| Jade Austin Thelin | Registered representative | Nov 2021 (5y) | ||
| Tricia Lynn Holdgrafer | Registered representative | Nov 2021 (5y) | ||
| Wyatt Lamar Coleman | Registered representative | Nov 2021 (5y) | ||
| Andrew J Sanborn | Registered representative | Nov 2021 (5y) | ||
| Chaim David Neuman | Registered representative | Nov 2021 (5y) | ||
| Jovan Edward Coker | Registered representative | Nov 2021 (5y) | ||
| Blaine Kristopher Johnson | Registered representative | Nov 2021 (5y) | ||
| Vanessa Bucklin | Registered representative | Nov 2021 (5y) | ||
| Daniel Ray Johnson | Registered representative | Nov 2021 (5y) | ||
| James William Bartolomei | Registered representative | Nov 2021 (5y) | ||
| Coley Thompson Bellamy | Registered representative | Nov 2021 (5y) | ||
| Edward Philip Hawley | Registered representative | Nov 2021 (5y) | ||
| Seda Ly | Registered representative | Nov 2021 (5y) | ||
| Stacey Shawn Graham | Registered representative | Nov 2021 (5y) | ||
| Kiri Dawn Martin Pullan | Registered representative | Dec 2021 (5y) | ||
| Rusbel Trujillo | Registered representative | Dec 2021 (5y) | ||
| Simon John Ellis | Registered representative | Dec 2021 (5y) | ||
| Sophia Blanca Sekinda Panko | Registered representative | Dec 2021 (5y) | ||
| Travis Samuel Guzik | Registered representative | Dec 2021 (5y) | ||
| Brian James Foecke | Registered representative | Dec 2021 (5y) | ||
| Matthew Doucette | Registered representative | Dec 2021 (5y) | ||
| Kelly Grant | Registered representative | Jan 2022 (5y) | ||
| Leon Gregory Browne | Registered representative | Jan 2022 (5y) | ||
| Zachary Levi Bressick | Registered representative | Jan 2022 (5y) | ||
| Emanuel D Jones | Registered representative | Jan 2022 (5y) | ||
| Jamie Patricia Moyer | Registered representative | Jan 2022 (5y) | ||
| Lucas Michael King | Registered representative | Jan 2022 (5y) | ||
| Andrew Thomas Hill | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| David Paul Brown | Registered representative | Jan 2022 (5y) | ||
| Cyrielle Cecil Rivera | Registered representative | Jan 2022 (5y) | ||
| Sean Aaron Andersen | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| Henry Lee Frazier | Registered representative | Jan 2022 (5y) | ||
| Mark Nicholas Howard | Registered representative | Jan 2022 (5y) | ||
| Joyce J Yoo | Registered representative | Jan 2022 (5y) | ||
| Renato Alfredo Alarcon | Registered representative | Jan 2022 (5y) | ||
| Samir J Alame | Registered representative | Chartered Financial Consultant | Feb 2022 (4y) | |
| Edna M Rachal | Registered representative | Feb 2022 (4y) | ||
| Robert Carl Gascho | Registered representative | CFP | Feb 2022 (4y) | |
| Jeffrey Terrence Graff | Registered representative | Feb 2022 (4y) | ||
| William C. Rowell | Registered representative | Feb 2022 (4y) | ||
| Brenda Maxine Brink | Registered representative | Chartered Financial Consultant | Feb 2022 (4y) | |
| Kristin Marie Stutz | Registered representative | Feb 2022 (4y) | ||
| Matthew Paul Rubin | Registered representative | Feb 2022 (4y) | ||
| Nathan Sebesta | Registered representative | CFP Chartered Financial Consultant | Feb 2022 (4y) | |
| Caitlin Marie Cullerton | Registered representative | Feb 2022 (4y) | ||
| Luis Alonzo Lopez | Registered representative | Feb 2022 (4y) | ||
| Harrison Saal | Registered representative | Feb 2022 (4y) | ||
| Kamilu Abiola Alli | Registered representative | Feb 2022 (4y) | ||
| Andrew Joseph Glaspey | Registered representative | Mar 2022 (4y) | ||
| Elias Padron | Registered representative | Mar 2022 (4y) | ||
| Gregory Weston Wood | Registered representative | Mar 2022 (4y) | ||
| Richard Casey Willis | Registered representative | Mar 2022 (4y) | ||
| Kyle Won Seok Jahng | Registered representative | Mar 2022 (4y) | ||
| Jeremy Matthew Stackhouse | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Tyler Donald Hartman | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Christine Ann Pilgrim | Registered representative | Apr 2022 (4y) | ||
| Nicholas Leason | Registered representative | Apr 2022 (4y) | ||
| Ryan Jude Hart | Registered representative | Apr 2022 (4y) | ||
| Wei Xue | Registered representative | Apr 2022 (4y) | ||
| Beat Franz Karl Reinhart | Registered representative | Apr 2022 (4y) | ||
| David R Antonovich | Registered representative | Apr 2022 (4y) | ||
| Carly Mann | Registered representative | Apr 2022 (4y) | ||
| Grace Yvonne Ottey | Registered representative | Apr 2022 (4y) | ||
| Hope Streeter | Registered representative | Apr 2022 (4y) | ||
| Jack Ray Knight | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Robert Dean Bonk | Registered representative | Apr 2022 (4y) | ||
| Roman Alfredo Hubbard | Registered representative | Apr 2022 (4y) | ||
| James Jose Jazo | Registered representative | Apr 2022 (4y) | ||
| Yudit Silveira | Registered representative | Apr 2022 (4y) | ||
| Joseph Michael De Sipio | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Souheir M Alrachid | Registered representative | May 2022 (4y) | ||
| James Stephen Davis | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Wei Wang | Registered representative | May 2022 (4y) | ||
| Chad Michael Worozaken | Registered representative | May 2022 (4y) | ||
| Imran Ahmed | Registered representative | May 2022 (4y) | ||
| Preston Michael Byers | Registered representative | May 2022 (4y) | ||
| Bradley Dufrane | Registered representative | May 2022 (4y) | ||
| Adam James Buss | Registered representative | May 2022 (4y) | ||
| Anthony Joseph Vitulli | Registered representative | May 2022 (4y) | ||
| Erick Barone | Registered representative | May 2022 (4y) | ||
| Steven Robert Hartman | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Amar Bellara | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Michael Jon Stahl | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Zachary Fred Tally | Registered representative | May 2022 (4y) | ||
| John Michae Nocita | Registered representative | May 2022 (4y) | ||
| Yevgeniy Ilya Vitebskiy | Registered representative | May 2022 (4y) | ||
| Matthew P Cintorino | Registered representative | Jun 2022 (4y) | ||
| Ryan T Faulkner | Registered representative | Jun 2022 (4y) | ||
| Sean Michael Barker | Registered representative | CFP Chartered Financial Consultant | Jun 2022 (4y) | |
| John David Mott | Registered representative | Jun 2022 (4y) | ||
| Susan Marie Ianniello | Registered representative | Chartered Financial Consultant | Jun 2022 (4y) | |
| Mark Xavier O'leary | Registered representative | Jun 2022 (4y) | ||
| Raymond Vitek | Registered representative | Chartered Financial Consultant | Jun 2022 (4y) | |
| Darren Wayne Auster | Registered representative | Jun 2022 (4y) | ||
| Eugenia Guillermina Hernandez Monteverde | Registered representative | Jun 2022 (4y) | ||
| James Alexander Thom | Registered representative | Chartered Financial Consultant | Jun 2022 (4y) | |
| Richard Michael May | Registered representative | Jun 2022 (4y) | ||
| Gerald Mark Scheinman | Registered representative | Jul 2022 (4y) | ||
| Edward Luke Madden | Registered representative | Jul 2022 (4y) | ||
| Kenneth Ricks Richey | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Wei Wei | Registered representative | CFA | Jul 2022 (4y) | |
| Matthew Philip Kuzma | Registered representative | Jul 2022 (4y) | ||
| Shane Alan Grau | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Hirokazu Onuma | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Joseph T Portello | Registered representative | Jul 2022 (4y) | ||
| Michael Pouyah Fard | Registered representative | Jul 2022 (4y) | ||
| Jacqueline Nicole Wilson | Registered representative | Jul 2022 (4y) | ||
| Thomas Robert Schaffer | Registered representative | Jul 2022 (4y) | ||
| David Rosen | Registered representative | Jul 2022 (4y) | ||
| Jacob David Boom | Registered representative | Jul 2022 (4y) | ||
| Zachariah Leslie Robinson | Registered representative | Chartered Financial Consultant | Aug 2022 (4y) | |
| Christina Stuckey Osborne | Registered representative | Aug 2022 (4y) | ||
| Rajesh Ratilal Sanchala | Registered representative | Chartered Financial Consultant | Aug 2022 (4y) | |
| Erik Brandt | Registered representative | Aug 2022 (4y) | ||
| Laura Siragusa | Registered representative | Aug 2022 (4y) | ||
| Maria I Ocampo | Registered representative | Aug 2022 (4y) | ||
| Mi Kim | Registered representative | Aug 2022 (4y) | ||
| Emily Renee Wurm | Registered representative | Aug 2022 (4y) | ||
| Stephen Mark Cardinal | Registered representative | Aug 2022 (4y) | ||
| Shaun T Hamada | Registered representative | Aug 2022 (4y) | ||
| Tyler Reed Young | Registered representative | Aug 2022 (4y) | ||
| Richard Seth Hudson | Registered representative | Aug 2022 (4y) | ||
| Benjamin Parker Gregory | Registered representative | Aug 2022 (4y) | ||
| Cameron Taylor Bennett | Registered representative | Aug 2022 (4y) | ||
| Adam Gross | Registered representative | Aug 2022 (4y) | ||
| Kenneth Paul King | Registered representative | Aug 2022 (4y) | ||
| Joshua Byron Bauer | Registered representative | Sep 2022 (4y) | ||
| John Birkholm Farnum | Registered representative | Sep 2022 (4y) | ||
| Michael Steiner | Registered representative | Sep 2022 (4y) | ||
| Troy Hosteen Mcchristian | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| Christopher Anthony Siaplay | Registered representative | Sep 2022 (4y) | ||
| Michael Keane Hennessy | Registered representative | Sep 2022 (4y) | ||
| Ramon Alberto Cervantes | Registered representative | Sep 2022 (4y) | ||
| Joseph Angelo Auteri | Registered representative | Sep 2022 (4y) | ||
| Trever James Dodd | Registered representative | Sep 2022 (4y) | ||
| Taylor Brooking Triplett | Registered representative | Sep 2022 (4y) | ||
| Kerry Anne Matthews | Registered representative | Sep 2022 (4y) | ||
| Robert H Stein | Registered representative | Sep 2022 (4y) | ||
| Rakesh K Sharma | Registered representative | Sep 2022 (4y) | ||
| Robert Norman Nocera | Registered representative | Sep 2022 (4y) | ||
| Derek Andrew Moore | Registered representative | Sep 2022 (4y) | ||
| Jose Andres Albornoz | Registered representative | Sep 2022 (4y) | ||
| Shu Y Wang | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| David George Metzler | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| Matthew Alfred Malak | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| Karen A Stevens | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| Zachary Marc Starostka | Registered representative | Sep 2022 (4y) | ||
| Keith Otto Janca | Registered representative | Sep 2022 (4y) | ||
| Kirk Howard Dougherty | Registered representative | Chartered Financial Consultant | Sep 2022 (4y) | |
| Thomas Angelo Messina | Registered representative | Sep 2022 (4y) | ||
| Linda Baskerville Poole | Registered representative | Sep 2022 (4y) | ||
| Manuel Santiago | Registered representative | Sep 2022 (4y) | ||
| David Joseph Ray | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| Mark D Mulflur | Registered representative | Oct 2022 (4y) | ||
| David Michael Bush | Registered representative | Oct 2022 (4y) | ||
| Charles Machann | Registered representative | Oct 2022 (4y) | ||
| Frank Enrique Ventura | Registered representative | Oct 2022 (4y) | ||
| Frances A.P. Arias | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| Joseph David Guglielmo | Registered representative | Oct 2022 (4y) | ||
| Malia Sperling | Registered representative | Oct 2022 (4y) | ||
| Warren Clark Bradley | Registered representative | Oct 2022 (4y) | ||
| Naomi R Dagostino | Registered representative | Chartered Financial Consultant | Oct 2022 (4y) | |
| Daniel Tucker Finn | Registered representative | Oct 2022 (4y) | ||
| John Wilmer Maughan | Registered representative | Oct 2022 (4y) | ||
| Michael Aaron Burley | Registered representative | Oct 2022 (4y) | ||
| Julie Anne Cord | Registered representative | CFP Chartered Financial Consultant | Oct 2022 (4y) | |
| Jesse Paul Crispe | Registered representative | Oct 2022 (4y) | ||
| Jared Kyle Doty | Registered representative | Oct 2022 (4y) | ||
| Jay Colin Bluhm | Registered representative | Oct 2022 (4y) | ||
| Patrick Clay Edwards | Registered representative | Oct 2022 (4y) | ||
| Roselyn China Spaan | Registered representative | Oct 2022 (4y) | ||
| Brian Mark Barrett | Registered representative | Oct 2022 (4y) | ||
| Justin Willis Lakin | Registered representative | Oct 2022 (4y) | ||
| John Berchman Stagg | Registered representative | Oct 2022 (4y) | ||
| Brett Dries | Registered representative | Nov 2022 (4y) | ||
| Erik Jay Bond | Registered representative | Nov 2022 (4y) | ||
| Craig S Oki | Registered representative | Nov 2022 (4y) | ||
| Inez Justine Refugio Aznar | Registered representative | Nov 2022 (4y) | ||
| Chang Won Lee | Registered representative | Nov 2022 (4y) | ||
| Konrad Davis Korth | Registered representative | Nov 2022 (4y) | ||
| Shannon W Clem | Registered representative | Nov 2022 (4y) | ||
| Michael John Reese | Registered representative | Nov 2022 (4y) | ||
| Jason Morgan Parrett | Registered representative | Nov 2022 (4y) | ||
| Ellis Lora Arceo | Registered representative | Nov 2022 (4y) | ||
| John Masanja Balele | Registered representative | Chartered Financial Consultant | Dec 2022 (4y) | |
| Kyle M Castilaw | Registered representative | Dec 2022 (4y) | ||
| Jason Mark Depetris | Registered representative | CFP | Dec 2022 (4y) | |
| John Kirchhoff | Registered representative | Dec 2022 (4y) | ||
| Michael Gothers | Registered representative | Dec 2022 (4y) | ||
| Roger A Banville | Registered representative | Dec 2022 (4y) | ||
| Janet Benik Spector | Registered representative | Dec 2022 (4y) | ||
| Megan Leigh Hoffman | Registered representative | Dec 2022 (4y) | ||
| Steven Matthew Lipps | Registered representative | Chartered Financial Consultant | Dec 2022 (4y) | |
| Guilherme Pinto Jubran | Registered representative | Dec 2022 (4y) | ||
| Zikun Xu | Registered representative | Dec 2022 (4y) | ||
| Justin Charles Lindahl | Registered representative | Dec 2022 (4y) | ||
| Pablo Aaron Magdaleno Carlos | Registered representative | Chartered Financial Consultant | Dec 2022 (4y) | |
| Benjamin Scott Hadley | Registered representative | Chartered Financial Consultant | Dec 2022 (4y) | |
| Louis Emilio Bacchetta | Registered representative | Dec 2022 (4y) | ||
| Thomas Allen Christensen | Registered representative | CFA | Dec 2022 (4y) | |
| Brett Michael Heuertz | Registered representative | Dec 2022 (4y) | ||
| Daniel Alberto Aranda | Registered representative | Dec 2022 (4y) | ||
| Kristin Cherie Montagne | Registered representative | Dec 2022 (4y) | ||
| Richard Anthony Basulto | Registered representative | Dec 2022 (4y) | ||
| Steven M Cook | Registered representative | Dec 2022 (4y) | ||
| Michael Moises | Registered representative | Dec 2022 (4y) | ||
| Oscar Wade Brewer | Registered representative | Jan 2023 (4y) | ||
| Paul James Crookston | Registered representative | Jan 2023 (4y) | ||
| Roseann Sylvia Estrada | Registered representative | Jan 2023 (4y) | ||
| Willie Kevin Vaughn | Registered representative | Jan 2023 (4y) | ||
| Patrick James Battersby | Registered representative | Jan 2023 (4y) | ||
| Matthew James Skelly | Registered representative | Jan 2023 (4y) | ||
| Zachary Scott Ruttenberg | Registered representative | Jan 2023 (4y) | ||
| Steven Richard Enna | Registered representative | Jan 2023 (4y) | ||
| Bradley Wayne Cobb | Registered representative | Jan 2023 (4y) | ||
| Dom John Rodriguez | Registered representative | Jan 2023 (4y) | ||
| Stefan Byramji | Registered representative | Jan 2023 (4y) | ||
| James Bryce Martin | Registered representative | Chartered Financial Consultant | Feb 2023 (4y) | |
| Nelson Kenneth Wood | Registered representative | Feb 2023 (3y) | ||
| Thuan Thi Pham | Registered representative | Feb 2023 (3y) | ||
| Tara Nicole Blair | Registered representative | Feb 2023 (3y) | ||
| James Timothy Kersanac | Registered representative | Feb 2023 (3y) | ||
| Maria Bekas | Registered representative | Feb 2023 (3y) | ||
| William Keith Gammon | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| Joey Michael Van Otterloo | Registered representative | Feb 2023 (3y) | ||
| James Anthony Watson | Registered representative | Feb 2023 (3y) | ||
| Alexander Michael Berrey | Registered representative | Feb 2023 (3y) | ||
| Dr. Alfredo Gerardo Discepolo | Registered representative | Feb 2023 (3y) | ||
| Leonel Galvez | Registered representative | CFA | Feb 2023 (3y) | |
| Jeffrey Gale | Registered representative | CFP | Feb 2023 (3y) | |
| Toria N Troxel | Registered representative | Feb 2023 (3y) | ||
| Kody Duy Nguyen | Registered representative | Feb 2023 (3y) | ||
| Ekta Parekh | Registered representative | Feb 2023 (3y) | ||
| Kristi Lynn Cain | Registered representative | Chartered Financial Consultant | Feb 2023 (3y) | |
| John Ainsworth Burrell | Registered representative | Feb 2023 (3y) | ||
| Jean Marie Leonard | Registered representative | Mar 2023 (3y) | ||
| Christina A Lin | Registered representative | Mar 2023 (3y) | ||
| Martin Andrew Michaud | Registered representative | Mar 2023 (3y) | ||
| Daniel Andrew Webb | Registered representative | Mar 2023 (3y) | ||
| Willis Jacob Hopson | Registered representative | Mar 2023 (3y) | ||
| Binh Q Nguyen | Registered representative | Mar 2023 (3y) | ||
| Luke Charles Finchem | Registered representative | Mar 2023 (3y) | ||
| Liam Joseph Greene | Registered representative | Mar 2023 (3y) | ||
| Michael Marius Russo | Registered representative | Mar 2023 (3y) | ||
| Matthew Sprague Turco | Registered representative | Mar 2023 (3y) | ||
| Larry Grant Murphy | Registered representative | Mar 2023 (3y) | ||
| Mark Perry Kissinger | Registered representative | Mar 2023 (3y) | ||
| Aron Kent Scott | Registered representative | Mar 2023 (3y) | ||
| Christopher John Viveiros | Registered representative | Mar 2023 (3y) | ||
| Michael Kasch | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Crystal R Turner | Registered representative | CFA | Mar 2023 (3y) | |
| Amanda H Silfani | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Robert Joe Adams | Registered representative | Mar 2023 (3y) | ||
| Carlo Mantica | Registered representative | Mar 2023 (3y) | ||
| Edward Christian Quimby | Registered representative | Apr 2023 (3y) | ||
| Kirsten Rita Ambrosio | Registered representative | Apr 2023 (3y) | ||
| Ryan Louis Bajjaly | Registered representative | Apr 2023 (3y) | ||
| Tyler David Porter | Registered representative | Apr 2023 (3y) | ||
| Leudson Alves Veloz | Registered representative | Apr 2023 (3y) | ||
| Lori Lynn Vanden Berg | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Mary Esther Capparuccini | Registered representative | CFP Chartered Financial Consultant | Apr 2023 (3y) | |
| Jeffrey Thomas Beebe | Registered representative | Apr 2023 (3y) | ||
| Roberta Eileen Munkeby | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Helena Jiaxuan Lee | Registered representative | Apr 2023 (3y) | ||
| John Christopher Keene | Registered representative | Apr 2023 (3y) | ||
| Randall Tyler Hopkins | Registered representative | Apr 2023 (3y) | ||
| William Benjamin Allen Mc Nair | Registered representative | Apr 2023 (3y) | ||
| Rahim Farid Solehdin | Registered representative | Apr 2023 (3y) | ||
| Steven Hicks | Registered representative | Apr 2023 (3y) | ||
| Athena Webster | Registered representative | Apr 2023 (3y) | ||
| Jonathan Don Morrill | Registered representative | Apr 2023 (3y) | ||
| Seungjin Seok | Registered representative | Chartered Financial Consultant | Apr 2023 (3y) | |
| Steven A Solonch | Registered representative | Apr 2023 (3y) | ||
| Scott Sterling Olsson | Registered representative | Apr 2023 (3y) | ||
| Bryan Schimmel | Registered representative | May 2023 (3y) | ||
| Jerry Blake Mckinney | Registered representative | May 2023 (3y) | ||
| Mark Andrew Selvaggi | Registered representative | May 2023 (3y) | ||
| Victor Shulman | Registered representative | May 2023 (3y) | ||
| David G Anderson | Registered representative | May 2023 (3y) | ||
| Tsuneko Nakatani | Registered representative | May 2023 (3y) | ||
| Alexander D'agostino | Registered representative | May 2023 (3y) | ||
| Louis Emanuele Margro | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Lucas Edward Bisbee | Registered representative | May 2023 (3y) | ||
| James Michael Clang | Registered representative | May 2023 (3y) | ||
| Luis Christopher Lopez | Registered representative | May 2023 (3y) | ||
| Bryan James Mersol | Registered representative | May 2023 (3y) | ||
| Sharon Denise Gerlach | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| William Gordon French | Registered representative | May 2023 (3y) | ||
| Courtney Ann Kramer | Registered representative | May 2023 (3y) | ||
| Michael J Mendelsohn | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Glenn D Hoehnen | Registered representative | May 2023 (3y) | ||
| Erin Caines | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Ryan Ohlin | Registered representative | May 2023 (3y) | ||
| Benito Ibarra | Registered representative | May 2023 (3y) | ||
| Delia Caroline Brimmer | Registered representative | May 2023 (3y) | ||
| Taylor Enrique Villarreal | Registered representative | May 2023 (3y) | ||
| Kyle Richard Strife | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| David Travis Wyatt | Registered representative | Jun 2023 (3y) | ||
| Stephanie Wang | Registered representative | Jun 2023 (3y) | ||
| Christopher John Wilson | Registered representative | Jun 2023 (3y) | ||
| Michael Braccia | Registered representative | Jun 2023 (3y) | ||
| James Samuel Mackey | Registered representative | Chartered Financial Consultant | Jun 2023 (3y) | |
| Tara Lynne Wray | Registered representative | Jun 2023 (3y) | ||
| Eli Cohen Burrows | Registered representative | Jun 2023 (3y) | ||
| Michael R Grinnon | Registered representative | Jun 2023 (3y) | ||
| Joseph N Kerr | Registered representative | Jun 2023 (3y) | ||
| Jared Wayne Stauffer | Registered representative | CFP | Jun 2023 (3y) | |
| Trisha Hutchinson Beharie | Registered representative | Jun 2023 (3y) | ||
| Attar Leve Chalif | Registered representative | Jun 2023 (3y) | ||
| Isabelle Hui Liu | Registered representative | Personal Financial Specialist | Jul 2023 (3y) | |
| Marisa L Sounde | Registered representative | Jul 2023 (3y) | ||
| Matthew Swift | Registered representative | Jul 2023 (3y) | ||
| Benjamin Bruno Kujawa | Registered representative | Jul 2023 (3y) | ||
| Keith Lynch | Registered representative | Jul 2023 (3y) | ||
| Pantelis Xidias | Registered representative | Jul 2023 (3y) | ||
| Catherine Morris Nink | Registered representative | Jul 2023 (3y) | ||
| Nicholas Spinella | Registered representative | Jul 2023 (3y) | ||
| Antonio Naddeo | Registered representative | Jul 2023 (3y) | ||
| Bianca Patricia Difranco | Registered representative | Jul 2023 (3y) | ||
| Francis Nicholas Ardner | Registered representative | Jul 2023 (3y) | ||
| Daisy Yating Wang | Registered representative | Jul 2023 (3y) | ||
| Jason Jeffery Metzger | Registered representative | Jul 2023 (3y) | ||
| Robert Joseph Seghers | Registered representative | Jul 2023 (3y) | ||
| Sarah Frances Foley | Registered representative | Jul 2023 (3y) | ||
| Constantine S Arniotes | Registered representative | Chartered Financial Consultant | Jul 2023 (3y) | |
| Naixin Li | Registered representative | Jul 2023 (3y) | ||
| Raymond Ming Lee | Registered representative | Jul 2023 (3y) | ||
| Matthew Hughes | Registered representative | Aug 2023 (3y) | ||
| Christopher Neal Alderson | Registered representative | CFP | Aug 2023 (3y) | |
| Wu Qu | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| William Ca San | Registered representative | Aug 2023 (3y) | ||
| Anthony John Caligaris | Registered representative | Aug 2023 (3y) | ||
| Adam M Zandonella | Registered representative | Aug 2023 (3y) | ||
| Paige Marie Douglas | Registered representative | Aug 2023 (3y) | ||
| Alexander Frederick Hesse | Registered representative | Aug 2023 (3y) | ||
| Christina Hue Anh Huynh | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Elisa D Ramos | Registered representative | Aug 2023 (3y) | ||
| John Berchman Stagg | Registered representative | Aug 2023 (3y) | ||
| Taylor Reynolds | Registered representative | Aug 2023 (3y) | ||
| Yuen Han Lee | Registered representative | Aug 2023 (3y) | ||
| Christopher Dean Rich | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Isaac Jenkins Mikell | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Alexander Mason | Registered representative | CFP | Sep 2023 (3y) | |
| Frederick Olusegun Ehinmiakhena | Registered representative | Sep 2023 (3y) | ||
| Michele Lynne Colomba | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Ardal Powell | Registered representative | Sep 2023 (3y) | ||
| Carla Christine Jagodzinski | Registered representative | Sep 2023 (3y) | ||
| Dale Curtis Berry | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Chauvon Letroy Mcfadden | Registered representative | Sep 2023 (3y) | ||
| Magaly Aguirre | Registered representative | Sep 2023 (3y) | ||
| Caleb Alan Baker | Registered representative | Sep 2023 (3y) | ||
| Jason Otis Delaney | Registered representative | Sep 2023 (3y) | ||
| Emmanuel Elikplim Adzadza | Registered representative | Sep 2023 (3y) | ||
| Jessica Squadroni | Registered representative | Sep 2023 (3y) | ||
| Ramsey R Johnsen | Registered representative | Sep 2023 (3y) | ||
| Junghyun Lee | Registered representative | Sep 2023 (3y) | ||
| Valeriya Kolesnikova | Registered representative | CFP | Sep 2023 (3y) | |
| Ying Chen | Registered representative | Sep 2023 (3y) | ||
| John Stephen Lukehart | Registered representative | Sep 2023 (3y) | ||
| Kevin Alexander Ash | Registered representative | Sep 2023 (3y) | ||
| Lesley Ann Nalley | Registered representative | Sep 2023 (3y) | ||
| Rosani Marisol Hernandez Madrid | Registered representative | Sep 2023 (3y) | ||
| Connor Scott Nutt | Registered representative | Sep 2023 (3y) | ||
| William A Harris | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Alexander Dalton | Registered representative | Oct 2023 (3y) | ||
| Casey Noyes O'donnell | Registered representative | Oct 2023 (3y) | ||
| Rory Mc Nabb | Registered representative | Oct 2023 (3y) | ||
| Sharon Ching Hua Lin | Registered representative | CFA | Oct 2023 (3y) | |
| Dawson Joseph Halvorson | Registered representative | Oct 2023 (3y) | ||
| Lyla Zaghloul Mc Curdy | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Vincent Nestorovski | Registered representative | CFP | Oct 2023 (3y) | |
| Ashley Elizabeth Vondra | Registered representative | Oct 2023 (3y) | ||
| Grace Eun Lee | Registered representative | Oct 2023 (3y) | ||
| Sylvestre Beltran | Registered representative | Oct 2023 (3y) | ||
| Austin Russell Bustamante | Registered representative | Oct 2023 (3y) | ||
| Matthew Aaron Diaz | Registered representative | Oct 2023 (3y) | ||
| Matthew Aaron Turco | Registered representative | Oct 2023 (3y) | ||
| Madison Hester Robidart | Registered representative | Oct 2023 (3y) | ||
| Matthew Ross Amelio | Registered representative | Nov 2023 (3y) | ||
| Reuben Mc Coy Rowley | Registered representative | CFP | Nov 2023 (3y) | |
| David N Burt | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Peter Charles Morin | Registered representative | Nov 2023 (3y) | ||
| Alexis Quaglieri | Registered representative | CFP | Nov 2023 (3y) | |
| Yang Vogel | Registered representative | Nov 2023 (3y) | ||
| Oguguomakwa Justice Okolie | Registered representative | Nov 2023 (3y) | ||
| Stephanie Willett Niblack | Registered representative | Nov 2023 (3y) | ||
| Tyler Joseph Cahill | Registered representative | Nov 2023 (3y) | ||
| Jackson Robert Rotondo | Registered representative | Nov 2023 (3y) | ||
| Paul Michael Szkotak | Registered representative | Nov 2023 (3y) | ||
| Richard Jason Schwartz | Registered representative | Nov 2023 (3y) | ||
| Anthony Mazzella | Registered representative | Nov 2023 (3y) | ||
| Susan M Crannell | Registered representative | Nov 2023 (3y) | ||
| David Ray Hughes | Registered representative | Nov 2023 (3y) | ||
| Daniel Michael Hankinson | Registered representative | Nov 2023 (3y) | ||
| Brandon Mc Lemore | Registered representative | Nov 2023 (3y) | ||
| Carl Michael Consing | Registered representative | Nov 2023 (3y) | ||
| Courtney Lynn Ruiz | Registered representative | Nov 2023 (3y) | ||
| Jordon Kurt Accetta | Registered representative | Nov 2023 (3y) | ||
| Robert Drexel | Registered representative | Nov 2023 (3y) | ||
| Kevin T Ruscher | Registered representative | Nov 2023 (3y) | ||
| Denise De Luca Meehan | Registered representative | Dec 2023 (3y) | ||
| Luke Jared Edds | Registered representative | Dec 2023 (3y) | ||
| Minhua Chen | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Jeff James Berg | Registered representative | Dec 2023 (3y) | ||
| Jordan Godeaux | Registered representative | Dec 2023 (3y) | ||
| Corina Lee Wack | Registered representative | Dec 2023 (3y) | ||
| Emmanuelle Le Tertre | Registered representative | Dec 2023 (3y) | ||
| Martin James Hagge | Registered representative | Dec 2023 (3y) | ||
| Bruce Honicky | Registered representative | Dec 2023 (3y) | ||
| David Nader | Registered representative | Dec 2023 (3y) | ||
| Dylan Beam | Registered representative | Dec 2023 (3y) | ||
| Robert Armendariz | Registered representative | Dec 2023 (3y) | ||
| Nathaniel Joseph Workentine | Registered representative | Dec 2023 (3y) | ||
| Vatsal Patel | Registered representative | Dec 2023 (3y) | ||
| Brandon Joseph Potter | Registered representative | Dec 2023 (3y) | ||
| Jeran Boyd Artery | Registered representative | Jan 2024 (3y) | ||
| William James Buehler | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Amy Susan Porado | Registered representative | Jan 2024 (3y) | ||
| Brian James Hankinson | Registered representative | Jan 2024 (3y) | ||
| Joel Alexandro Gomez | Registered representative | Jan 2024 (3y) | ||
| Nathan Everett Engstrom | Registered representative | CFP | Jan 2024 (3y) | |
| Beverly Anna Johnson Davis | Registered representative | Jan 2024 (3y) | ||
| Darin Scott Fass | Registered representative | Jan 2024 (3y) | ||
| Richard Simonetti | Registered representative | Jan 2024 (3y) | ||
| Sean Patrick Madgett | Registered representative | Jan 2024 (3y) | ||
| Cody Samuel Greene | Registered representative | Jan 2024 (3y) | ||
| Prem K Suhalka | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Collie Dicken Coburn | Registered representative | Jan 2024 (3y) | ||
| Eric Bernard Jackson | Registered representative | Jan 2024 (3y) | ||
| Nathan D Dempsey | Registered representative | Jan 2024 (3y) | ||
| Simon George Bloomfield | Registered representative | Jan 2024 (3y) | ||
| Moishe Zirkind | Registered representative | Jan 2024 (3y) | ||
| Lucas John Quaccia | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Jacob M Godwin | Registered representative | Jan 2024 (3y) | ||
| Michael Edward Shain | Registered representative | Jan 2024 (3y) | ||
| Reed Michael Lindhe | Registered representative | Jan 2024 (3y) | ||
| Jacob Daniel Howell | Registered representative | CFP | Jan 2024 (3y) | |
| Joshua Thomas Haapanen | Registered representative | Jan 2024 (3y) | ||
| Andrew Michael Brown | Registered representative | Jan 2024 (3y) | ||
| Kameron Bryant | Registered representative | Jan 2024 (3y) | ||
| John Knox Mccallum | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Pedro Alfredo Gonzalez | Registered representative | Jan 2024 (3y) | ||
| Daniel Carlisle Jeanneret | Registered representative | Jan 2024 (3y) | ||
| Dongming Sun | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Catherine Mitchell Sherer | Registered representative | Jan 2024 (3y) | ||
| Melanie Basch Jaye | Registered representative | Jan 2024 (3y) | ||
| Elvira Chaush | Registered representative | Jan 2024 (3y) | ||
| Muriel Jeannell Harris | Registered representative | Feb 2024 (3y) | ||
| Ricardo Miguel Ramirez | Registered representative | Feb 2024 (2y) | ||
| Kenneth Maurice Lane | Registered representative | Feb 2024 (2y) | ||
| Stephen Koehnline Rowley | Registered representative | Feb 2024 (2y) | ||
| Ari Jason Kaplan | Registered representative | Feb 2024 (2y) | ||
| Nathan Mayer Zimmer | Registered representative | Feb 2024 (2y) | ||
| Alberto Quiroz Mota | Registered representative | Feb 2024 (2y) | ||
| Scott Goldman | Registered representative | Feb 2024 (2y) | ||
| Satya R Rangaraju | Registered representative | Feb 2024 (2y) | ||
| Brad Alan Zent | Registered representative | Feb 2024 (2y) | ||
| Peter Vesselinov Jilkov | Registered representative | Feb 2024 (2y) | ||
| Ricky Gonzales | Registered representative | Feb 2024 (2y) | ||
| Kevyn B Mosele | Registered representative | Feb 2024 (2y) | ||
| Cameron Michael Tewksbury | Registered representative | Feb 2024 (2y) | ||
| Brian Hurst | Registered representative | Feb 2024 (2y) | ||
| Evelin Flaherty Freytas | Registered representative | Feb 2024 (2y) | ||
| Justin Cook | Registered representative | Feb 2024 (2y) | ||
| Michael William Poch | Registered representative | Feb 2024 (2y) | ||
| Li Huo | Registered representative | CFP | Feb 2024 (2y) | |
| Tate Felton | Registered representative | Feb 2024 (2y) | ||
| Brett Mitchell Sause | Registered representative | Feb 2024 (2y) | ||
| Eitan Aharon | Registered representative | Mar 2024 (2y) | ||
| Sean Moore | Registered representative | Mar 2024 (2y) | ||
| Monique Lee | Registered representative | Mar 2024 (2y) | ||
| Cassidy P Russo | Registered representative | Mar 2024 (2y) | ||
| James Millard Smith | Registered representative | Mar 2024 (2y) | ||
| Richard Adrian St John | Registered representative | Mar 2024 (2y) | ||
| Sonali Amodwala | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Olivia Kathryn Helmers | Registered representative | Mar 2024 (2y) | ||
| Qi Zhang | Registered representative | Mar 2024 (2y) | ||
| Shelby Don Mc Intyre | Registered representative | Mar 2024 (2y) | ||
| Erik Scott Friedman | Registered representative | Mar 2024 (2y) | ||
| Kari S Rai | Registered representative | Mar 2024 (2y) | ||
| Adam Hillebold | Registered representative | Mar 2024 (2y) | ||
| Thomas Joseph Casey | Registered representative | Mar 2024 (2y) | ||
| Richard John Price | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Seth Mc Carty | Registered representative | Mar 2024 (2y) | ||
| Scott Fister Stewart | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Lilwyn Lucas Dyer | Registered representative | Chartered Financial Consultant | Mar 2024 (2y) | |
| Taylor O Connell | Registered representative | Mar 2024 (2y) | ||
| Eric S Mcelmeel | Registered representative | Apr 2024 (2y) | ||
| Jaime Leonard Sklawer | Registered representative | Apr 2024 (2y) | ||
| Lee R Loomis | Registered representative | Apr 2024 (2y) | ||
| Patricia Moulton | Registered representative | Apr 2024 (2y) | ||
| Daniel Kipton Musson | Registered representative | Apr 2024 (2y) | ||
| Rebecca Ann Gorrell | Registered representative | Apr 2024 (2y) | ||
| Jaesung Son | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Scott Trevor Salway | Registered representative | Apr 2024 (2y) | ||
| Kory Lamar Yoder | Registered representative | Apr 2024 (2y) | ||
| Nathan Ballentine | Registered representative | Apr 2024 (2y) | ||
| Christopher Rial | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Paloma Alvarado | Registered representative | Apr 2024 (2y) | ||
| Jessica Youngmi Kwon Kapadia | Registered representative | Apr 2024 (2y) | ||
| Bryson Thomas Hill | Registered representative | Apr 2024 (2y) | ||
| Hector D Vilchis | Registered representative | Apr 2024 (2y) | ||
| Austin Ray Smith | Registered representative | Apr 2024 (2y) | ||
| Maxwell Dylan Bobrycki | Registered representative | Apr 2024 (2y) | ||
| George Barry Lynas | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
| Wai Man Luk | Registered representative | Apr 2024 (2y) | ||
| Elena Barbara Hogan | Registered representative | May 2024 (2y) | ||
| Chelsea Louise Kessler | Registered representative | May 2024 (2y) | ||
| Morel Mahotiere | Registered representative | May 2024 (2y) | ||
| Mac Douglas Kowaleski | Registered representative | May 2024 (2y) | ||
| Brett W Bly | Registered representative | May 2024 (2y) | ||
| Jacob Stephen Schmitz | Registered representative | May 2024 (2y) | ||
| Timothy Cooley | Registered representative | May 2024 (2y) | ||
| Pamela Jean Destefano | Registered representative | May 2024 (2y) | ||
| Timothy L Jaggi | Registered representative | May 2024 (2y) | ||
| Alexa Elaine Fronk | Registered representative | May 2024 (2y) | ||
| Ian A Lovegrove | Registered representative | May 2024 (2y) | ||
| John Hinckley Nebeker | Registered representative | May 2024 (2y) | ||
| Miles Douglas Pruner | Registered representative | May 2024 (2y) | ||
| Aaron Gose | Registered representative | May 2024 (2y) | ||
| Alfredo Guerrero | Registered representative | May 2024 (2y) | ||
| Korynn I Grella | Registered representative | May 2024 (2y) | ||
| Andrew J Levenson | Registered representative | May 2024 (2y) | ||
| Juliette E Castelli | Registered representative | May 2024 (2y) | ||
| Heidi L Tiong | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Christopher John Snipes | Registered representative | May 2024 (2y) | ||
| Joshua Marcelo Amparan | Registered representative | May 2024 (2y) | ||
| Alexander Delvor Williams | Registered representative | May 2024 (2y) | ||
| Anastasios Ioannis Marros | Registered representative | May 2024 (2y) | ||
| Thomas Manning | Registered representative | May 2024 (2y) | ||
| Timothy James Kattke | Registered representative | Chartered Financial Consultant | May 2024 (2y) | |
| Gwendolen Paige Blair | Registered representative | Jun 2024 (2y) | ||
| Jack Samuel Rebolledo | Registered representative | Jun 2024 (2y) | ||
| Raymond Joel Stellhorn Tavera | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Zachary Taylor Jenkins | Registered representative | Jun 2024 (2y) | ||
| Hyojoung Kim | Registered representative | Jun 2024 (2y) | ||
| Jean Paul Desrosiers | Registered representative | Chartered Financial Consultant | Jun 2024 (2y) | |
| Philip J Mcevoy | Registered representative | Jun 2024 (2y) | ||
| Scott Joseph Rumple | Registered representative | Jun 2024 (2y) | ||
| Keith Zuckerberg | Registered representative | Jun 2024 (2y) | ||
| Christina Mazzello Horsley | Registered representative | Jun 2024 (2y) | ||
| Christine Rose Cabras | Registered representative | Jun 2024 (2y) | ||
| Eliseo Fuentes | Registered representative | Jun 2024 (2y) | ||
| Angelo Rufino | Registered representative | Jun 2024 (2y) | ||
| Julia Lynne Mc Cray | Registered representative | Jun 2024 (2y) | ||
| Aridaman Shah Singh | Registered representative | Jun 2024 (2y) | ||
| Christian David Lozano | Registered representative | Jun 2024 (2y) | ||
| Kevin Lee Baumberger | Registered representative | Jun 2024 (2y) | ||
| Ulitza Kronemeyer | Registered representative | Jun 2024 (2y) | ||
| Wesley James White | Registered representative | Jun 2024 (2y) | ||
| Xin Wang | Registered representative | Jun 2024 (2y) | ||
| Yuliang Cao | Registered representative | Jun 2024 (2y) | ||
| Aaron Rene Thevenet | Registered representative | Jun 2024 (2y) | ||
| Christopher Eaton | Registered representative | Jun 2024 (2y) | ||
| Farhod Sultonov | Registered representative | Jun 2024 (2y) | ||
| Michael Wayne Armstrong | Registered representative | Jun 2024 (2y) | ||
| Ambyr Dnae Capps | Registered representative | Jul 2024 (2y) | ||
| Darryl Liu | Registered representative | Jul 2024 (2y) | ||
| Howard Allen Brown | Registered representative | Jul 2024 (2y) | ||
| Jose Manuel Negron | Registered representative | Jul 2024 (2y) | ||
| Michael Evan Kull | Registered representative | Jul 2024 (2y) | ||
| Kyle Darrell Scott | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Tyler Ciemniecki | Registered representative | Jul 2024 (2y) | ||
| Lani Lanfear | Registered representative | Jul 2024 (2y) | ||
| Candis Best | Registered representative | CFP Chartered Financial Consultant | Jul 2024 (2y) | |
| Matthew Scott Leahey | Registered representative | Jul 2024 (2y) | ||
| Alexander Jimenez | Registered representative | Jul 2024 (2y) | ||
| Chad Allen Demarre | Registered representative | Jul 2024 (2y) | ||
| Kevin James Tostado | Registered representative | Jul 2024 (2y) | ||
| John Douglas York | Registered representative | Jul 2024 (2y) | ||
| Yang Song | Registered representative | Jul 2024 (2y) | ||
| Nicholas Drynan | Registered representative | CFP | Jul 2024 (2y) | |
| Noah Drynan | Registered representative | CFP | Jul 2024 (2y) | |
| Adelaide Nana Agyemang | Registered representative | Jul 2024 (2y) | ||
| Alejandro Garib | Registered representative | Jul 2024 (2y) | ||
| Donald Marks | Registered representative | Jul 2024 (2y) | ||
| Justin B Curtis | Registered representative | Jul 2024 (2y) | ||
| Kaysi Lynn Whelan | Registered representative | Aug 2024 (2y) | ||
| Clarence Lyndel Meigs | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| David Grant Griffith | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Alisha Raeann Gillette | Registered representative | Aug 2024 (2y) | ||
| Andrew Mark Fenstermaker | Registered representative | Aug 2024 (2y) | ||
| Daniel Minchk | Registered representative | Aug 2024 (2y) | ||
| Frank Paul Napolitano | Registered representative | Aug 2024 (2y) | ||
| Vickie Lynn Ford | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Randall Kraig Smith | Registered representative | Aug 2024 (2y) | ||
| Yechezkel Malamud | Registered representative | Aug 2024 (2y) | ||
| Carlos A Cortez | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Thomas John Krawczyk | Registered representative | Aug 2024 (2y) | ||
| Kelly Clark Walgamotte | Registered representative | Aug 2024 (2y) | ||
| Isaac Douglas Scheper | Registered representative | Aug 2024 (2y) | ||
| Matthew Pisera | Registered representative | CFP Chartered Financial Consultant | Aug 2024 (2y) | |
| Dongzhe Jin | Registered representative | Aug 2024 (2y) | ||
| Mary Ann Sumulong Rivera | Registered representative | Aug 2024 (2y) | ||
| Kathleen Carey Fox | Registered representative | Aug 2024 (2y) | ||
| Maria S Nikitina | Registered representative | Aug 2024 (2y) | ||
| Steven Gary Weinkle | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Akeem Kareem Allan Brooks | Registered representative | Sep 2024 (2y) | ||
| Qiaoping Ren | Registered representative | Sep 2024 (2y) | ||
| Serge Tinovsky | Registered representative | Sep 2024 (2y) | ||
| Jane Leeka Fruin | Registered representative | Sep 2024 (2y) | ||
| Makena Sierra Hunter | Registered representative | Sep 2024 (2y) | ||
| Philip James Mix | Registered representative | Sep 2024 (2y) | ||
| Eve Marie Brewer | Registered representative | Sep 2024 (2y) | ||
| Shannon Jo Kimmel | Registered representative | Sep 2024 (2y) | ||
| Bret David Posner | Registered representative | Sep 2024 (2y) | ||
| Brian Patrick Drohan | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Andrew Gregory Schantz | Registered representative | Sep 2024 (2y) | ||
| Elaine Beth Eisner | Registered representative | Sep 2024 (2y) | ||
| Ambika Bablani | Registered representative | Sep 2024 (2y) | ||
| John Lewis Usry | Registered representative | Sep 2024 (2y) | ||
| Rachel L Waddell | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Neil Renner | Registered representative | CFP Chartered Financial Consultant | Sep 2024 (2y) | |
| Siyavash Askari | Registered representative | Sep 2024 (2y) | ||
| Brian Robinson | Registered representative | Oct 2024 (2y) | ||
| Elizabeth Latimore | Registered representative | Oct 2024 (2y) | ||
| Pujan Patel | Registered representative | Oct 2024 (2y) | ||
| Claire Alyse Sauerman | Registered representative | Oct 2024 (2y) | ||
| Guillermo Cintron | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Tracy Yusheng Chen | Registered representative | Oct 2024 (2y) | ||
| Loren Keith Eggleston | Registered representative | Oct 2024 (2y) | ||
| Steven Richard Block | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Mary Claire C Meehan | Registered representative | Oct 2024 (2y) | ||
| Dmitriy Khalilov | Registered representative | Oct 2024 (2y) | ||
| Hernando De Jesus Ospina | Registered representative | Oct 2024 (2y) | ||
| Steven Nicholas Sacco | Registered representative | Oct 2024 (2y) | ||
| Steven Nikolopoulos | Registered representative | Oct 2024 (2y) | ||
| Anthony Melo | Registered representative | Oct 2024 (2y) | ||
| Stephen Michael Machado | Registered representative | Oct 2024 (2y) | ||
| Aida Sanchez Castro | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Gregory Ryan Kelly | Registered representative | Oct 2024 (2y) | ||
| Jazmyn Pearl Campos | Registered representative | Oct 2024 (2y) | ||
| Sebastian Pepe | Registered representative | Oct 2024 (2y) | ||
| Alexa Jean Lenhart | Registered representative | Oct 2024 (2y) | ||
| Eldridge Thomas Hawkins | Registered representative | Nov 2024 (2y) | ||
| Hannah Mae Floom | Registered representative | Nov 2024 (2y) | ||
| Andrea Viktoria Burckhard | Registered representative | Nov 2024 (2y) | ||
| Erick F Mohrbacher | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Edward Burnett | Registered representative | Nov 2024 (2y) | ||
| Isaiah Cooper | Registered representative | Nov 2024 (2y) | ||
| Kevin G Yang | Registered representative | Nov 2024 (2y) | ||
| Matthew Sharabi | Registered representative | Nov 2024 (2y) | ||
| Elijah Joseph Zeh | Registered representative | Nov 2024 (2y) | ||
| Giovanni Lazaro Classen | Registered representative | Nov 2024 (2y) | ||
| Peter Nicholas Dalis | Registered representative | Nov 2024 (2y) | ||
| Roger D Sims | Registered representative | Nov 2024 (2y) | ||
| Stephen Gardner Higgins | Registered representative | Nov 2024 (2y) | ||
| Adam Joseph Sheldon | Registered representative | Nov 2024 (2y) | ||
| Strawford Hale Dees | Registered representative | Nov 2024 (2y) | ||
| Arman Harutyunyan | Registered representative | Nov 2024 (2y) | ||
| Brandon Michael Kohnen | Registered representative | Nov 2024 (2y) | ||
| Gavin Paul Landry | Registered representative | Nov 2024 (2y) | ||
| Judi Ilana Gordon | Registered representative | Nov 2024 (2y) | ||
| Eulette Carmell Edwards | Registered representative | Nov 2024 (2y) | ||
| Robert Theisen | Registered representative | Nov 2024 (2y) | ||
| Chad Loren Bunger | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Joseph Morgan Russell Mitchell | Registered representative | Nov 2024 (2y) | ||
| Anthoni D Pope | Registered representative | Nov 2024 (2y) | ||
| Howard Pickering | Registered representative | CFP Chartered Financial Consultant | Nov 2024 (2y) | |
| Aman Goel | Registered representative | Dec 2024 (2y) | ||
| Susan Davis | Registered representative | CFP | Dec 2024 (2y) | |
| Brady Donald Cameron | Registered representative | Dec 2024 (2y) | ||
| Darinka Ivon Lora Stepan | Registered representative | Dec 2024 (2y) | ||
| David Charles Miller | Registered representative | Dec 2024 (2y) | ||
| Jonathan De Jesus | Registered representative | Dec 2024 (2y) | ||
| Daniel Edward Skellan | Registered representative | Dec 2024 (2y) | ||
| Jennifer Williamson | Registered representative | Dec 2024 (2y) | ||
| Lily Ku | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| William Wailam Sum | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| Luke Henry | Registered representative | Dec 2024 (2y) | ||
| Anthony Luigi Condina | Registered representative | Dec 2024 (2y) | ||
| Harry Mitchell Meaux | Registered representative | Dec 2024 (2y) | ||
| David Tolsma Manley | Registered representative | Dec 2024 (2y) | ||
| Bernard Jon Rosen | Registered representative | Dec 2024 (2y) | ||
| Douglas James Macrae Lambert | Registered representative | Dec 2024 (2y) | ||
| Sophia Nicole Viola Sledge | Registered representative | Dec 2024 (2y) | ||
| Travis Aaron Sprenger | Registered representative | Dec 2024 (2y) | ||
| Christina O Connell | Registered representative | Dec 2024 (2y) | ||
| Cleidson Araujo Rangel | Registered representative | Dec 2024 (2y) | ||
| Aaron N Jones | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| Matthew Dean Ragan | Registered representative | Dec 2024 (2y) | ||
| Victoria Mercedes Aprano | Registered representative | Dec 2024 (2y) | ||
| Alexandra Marie Carney | Registered representative | Jan 2025 (2y) | ||
| Benjamin Alan Fisher | Registered representative | Jan 2025 (2y) | ||
| Blake Robert Mai | Registered representative | Jan 2025 (2y) | ||
| Dennis Keith King | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Daniel Enrique Lopez | Registered representative | Jan 2025 (2y) | ||
| Daniel Joseph Pagliaroli | Registered representative | Jan 2025 (2y) | ||
| George Scott Hayden | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| John Arthur Ginn | Registered representative | Jan 2025 (2y) | ||
| John Paul Kilaton Abenoja | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Joseph M Garrel | Registered representative | Jan 2025 (2y) | ||
| Laurel Michelle Packham | Registered representative | Jan 2025 (2y) | ||
| Monica Escobar Rangel | Registered representative | Jan 2025 (2y) | ||
| Michael Eugene Russ | Registered representative | Jan 2025 (2y) | ||
| Ronald Walter Farr | Registered representative | Jan 2025 (2y) | ||
| Rosa Melkonyan | Registered representative | Jan 2025 (2y) | ||
| Stanley Frank Goodin | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Steven Ronald Morgan | Registered representative | Jan 2025 (2y) | ||
| Ted Phung Ngo | Registered representative | CFP | Jan 2025 (2y) | |
| Theodore Francis Bonarski | Registered representative | Jan 2025 (2y) | ||
| Thomas Patrick Mccarty | Registered representative | Jan 2025 (2y) | ||
| Tobin John Mergenthaler | Registered representative | Jan 2025 (2y) | ||
| Todd L Middleton | Registered representative | Jan 2025 (2y) | ||
| Bingjie Zhu | Registered representative | Jan 2025 (2y) | ||
| Blake Bishop | Registered representative | Jan 2025 (2y) | ||
| Christine Hope Parman | Registered representative | Jan 2025 (2y) | ||
| Gregory Dean Blanchard | Registered representative | Jan 2025 (2y) | ||
| John Edward Moore | Registered representative | Jan 2025 (2y) | ||
| Lourdes Mireya Calas | Registered representative | Jan 2025 (2y) | ||
| Melanie Yvonne Price | Registered representative | Jan 2025 (2y) | ||
| Michael Xin Ming Zheng | Registered representative | Jan 2025 (2y) | ||
| Roberto Recine | Registered representative | Jan 2025 (2y) | ||
| Siddi Sheas Hussain | Registered representative | Jan 2025 (2y) | ||
| Terry Gerard Fenwick | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Christopher Michael Mulch | Registered representative | Jan 2025 (2y) | ||
| Gail Maupin Schank | Registered representative | Jan 2025 (2y) | ||
| Guzman Jose Castro | Registered representative | Jan 2025 (2y) | ||
| Robert Alexander Palumbo | Registered representative | Jan 2025 (2y) | ||
| Renate Marie Knippen | Registered representative | Jan 2025 (2y) | ||
| Haoqiu Zhang | Registered representative | Jan 2025 (2y) | ||
| Boaz Gerthe Pierre | Registered representative | Jan 2025 (2y) | ||
| Jeremiah Stehlick | Registered representative | Jan 2025 (2y) | ||
| Alice Larisa Wilms | Registered representative | Jan 2025 (2y) | ||
| Fabrice Montissol | Registered representative | Jan 2025 (2y) | ||
| John Murphy Collett | Registered representative | Jan 2025 (2y) | ||
| Benjamin R Richey | Registered representative | CFP | Jan 2025 (2y) | |
| Jason Christopher Davis | Registered representative | Jan 2025 (2y) | ||
| Stephen H Mc Cue | Registered representative | Jan 2025 (2y) | ||
| Timothy Jay Vrieland | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Daniel Krisiloff | Registered representative | Jan 2025 (2y) | ||
| Hadi Samir Hassan | Registered representative | Jan 2025 (2y) | ||
| Jennifer Anderson | Registered representative | Jan 2025 (2y) | ||
| Mark Andrew Schmeling | Registered representative | Jan 2025 (2y) | ||
| Curtis Earl Kuetemeyer | Registered representative | Jan 2025 (2y) | ||
| Jeffrey Yim | Registered representative | Jan 2025 (2y) | ||
| Liangchih Lin | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Yuanyuan Huang | Registered representative | Jan 2025 (2y) | ||
| David R Eggleston | Registered representative | CFP | Jan 2025 (2y) | |
| Gilbert Agyemang Badu | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| John J Choi | Registered representative | Jan 2025 (2y) | ||
| Thi Le Tram Hoang | Registered representative | Jan 2025 (2y) | ||
| John David Hodgins | Registered representative | Jan 2025 (2y) | ||
| Kyle Leigh Jones | Registered representative | Jan 2025 (2y) | ||
| Andrew John Lesser | Registered representative | Jan 2025 (2y) | ||
| Larry Edwin Botts | Registered representative | Jan 2025 (2y) | ||
| Andrew C Kasiski | Registered representative | Feb 2025 (1y) | ||
| Brian St Croix | Registered representative | Feb 2025 (1y) | ||
| Clinton John Kelly | Registered representative | Feb 2025 (1y) | ||
| Dakota Allen Dolgos | Registered representative | Feb 2025 (1y) | ||
| Peter Triolo | Registered representative | Feb 2025 (1y) | ||
| Charles E Rogers | Registered representative | Feb 2025 (1y) | ||
| Bryton Czerwinski | Registered representative | Feb 2025 (1y) | ||
| Joshua David Polkow | Registered representative | Feb 2025 (1y) | ||
| Terry Anthony James | Registered representative | Feb 2025 (1y) | ||
| John Nicholas Gust | Registered representative | Feb 2025 (1y) | ||
| Phillip Mark Grandison | Registered representative | Feb 2025 (1y) | ||
| Bernadette Baumgarten | Registered representative | Feb 2025 (1y) | ||
| James Christopher Giliberto | Registered representative | Feb 2025 (1y) | ||
| Natthavadee Khemsuwan | Registered representative | Feb 2025 (1y) | ||
| Benjamin Plummer | Registered representative | Feb 2025 (1y) | ||
| Ella Jeanette Plotkin Oren | Registered representative | Feb 2025 (1y) | ||
| Hun Jeong Song | Registered representative | Feb 2025 (1y) | ||
| Michael Paul Williams | Registered representative | Feb 2025 (1y) | ||
| Preston S Karraker | Registered representative | Feb 2025 (1y) | ||
| Yuxuan Wang | Registered representative | Feb 2025 (1y) | ||
| Atta Panyin Young | Registered representative | Feb 2025 (1y) | ||
| Myles Christian Luke Davis | Registered representative | Feb 2025 (1y) | ||
| Taylor Askew Thompson | Registered representative | Feb 2025 (1y) | ||
| Xiaomao Wang | Registered representative | Feb 2025 (1y) | ||
| William F Pyott | Registered representative | Mar 2025 (1y) | ||
| Cavan Cotter | Registered representative | Mar 2025 (1y) | ||
| Harold T Bourque | Registered representative | Mar 2025 (1y) | ||
| Michael Esteban Barragan | Registered representative | Mar 2025 (1y) | ||
| Youjun Liu | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Jared Jae Young | Registered representative | Mar 2025 (1y) | ||
| Michael Thomas Rossman | Registered representative | Mar 2025 (1y) | ||
| Miranda L King | Registered representative | Mar 2025 (1y) | ||
| Nicole Marie Pizzi | Registered representative | Mar 2025 (1y) | ||
| Roger Americo Silvera | Registered representative | Mar 2025 (1y) | ||
| Gabriel Robert Bonebrake | Registered representative | Mar 2025 (1y) | ||
| Michael Conley | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Toan Ngoc Dinh | Registered representative | Mar 2025 (1y) | ||
| Yanzhi Gong | Registered representative | Mar 2025 (1y) | ||
| Alexander Joseph Brese | Registered representative | Mar 2025 (1y) | ||
| Christopher Springer | Registered representative | Mar 2025 (1y) | ||
| Craig William Poe | Registered representative | Mar 2025 (1y) | ||
| John Paul Saitta | Registered representative | Mar 2025 (1y) | ||
| Darryl Craig Hudspeth | Registered representative | Mar 2025 (1y) | ||
| Walton John Guidry | Registered representative | Mar 2025 (1y) | ||
| Christopher S Walters | Registered representative | Mar 2025 (1y) | ||
| Colton Bernard White | Registered representative | Mar 2025 (1y) | ||
| Ani Abrahamson | Registered representative | Mar 2025 (1y) | ||
| Crystal Kanada | Registered representative | Mar 2025 (1y) | ||
| Gary T. Sunada | Registered representative | Mar 2025 (1y) | ||
| Anthony Christopher Ferreri | Registered representative | Mar 2025 (1y) | ||
| Diana May Jimenez | Registered representative | Mar 2025 (1y) | ||
| Justin Marshall Hinton | Registered representative | Mar 2025 (1y) | ||
| Dawn M Terbush | Registered representative | Mar 2025 (1y) | ||
| Nathaniel Antonio De Jesus | Registered representative | Chartered Financial Consultant | Mar 2025 (1y) | |
| Brandon Hunter Todd | Registered representative | Mar 2025 (1y) | ||
| Hai Nguyen | Registered representative | Mar 2025 (1y) | ||
| Nicholas James Roughan | Registered representative | Mar 2025 (1y) | ||
| Yaya Wang | Registered representative | Mar 2025 (1y) | ||
| Richard Brian Harville | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Robert Appleton Hodgkiss | Registered representative | Apr 2025 (1y) | ||
| Hermann Rojas | Registered representative | Apr 2025 (1y) | ||
| Jennifer Leigh Taranto | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Martin A Stansbery | Registered representative | Apr 2025 (1y) | ||
| Philip Phiphung Nguyen | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Vicente J.A. Iniguez | Registered representative | Apr 2025 (1y) | ||
| Daniel Christensen | Registered representative | Apr 2025 (1y) | ||
| Leah Nicole Brockschmidt | Registered representative | Apr 2025 (1y) | ||
| Robert Ernie Lee | Registered representative | Apr 2025 (1y) | ||
| Anthony Brent Church | Registered representative | Apr 2025 (1y) | ||
| Luca Massimo Pautasso | Registered representative | Apr 2025 (1y) | ||
| Esmeralda Spahiu | Registered representative | Apr 2025 (1y) | ||
| Guy Arie Bodner | Registered representative | Apr 2025 (1y) | ||
| Mark David Elder | Registered representative | Apr 2025 (1y) | ||
| Kelly Gordon Meeker | Registered representative | Apr 2025 (1y) | ||
| Kathleen Margaret Phillips | Registered representative | Apr 2025 (1y) | ||
| Seafth Highlander Howe | Registered representative | Apr 2025 (1y) | ||
| Jacob Battersby | Registered representative | Apr 2025 (1y) | ||
| Alexis Zeleznik Stecker Ablezer | Registered representative | Apr 2025 (1y) | ||
| Jacob Daniel Davis | Registered representative | Apr 2025 (1y) | ||
| Kevin John Hickey | Registered representative | Apr 2025 (1y) | ||
| Randall Mark Copier | Registered representative | Apr 2025 (1y) | ||
| Robert Andrew Heegel | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Chad W Franks | Registered representative | Apr 2025 (1y) | ||
| Daniel Joseph Frazier | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Edgar Allen Freeman | Registered representative | Apr 2025 (1y) | ||
| Kenneth Dean Price | Registered representative | Apr 2025 (1y) | ||
| Max William Paulsen | Registered representative | Apr 2025 (1y) | ||
| Anthony Wesley Browder | Registered representative | Apr 2025 (1y) | ||
| Edgar Vivian Guerrero | Registered representative | Apr 2025 (1y) | ||
| Madison Rae Moery | Registered representative | Apr 2025 (1y) | ||
| John Fitzpatrick | Registered representative | Apr 2025 (1y) | ||
| Matthew Alberico | Registered representative | Apr 2025 (1y) | ||
| Michael Daniel Bloomquist | Registered representative | Apr 2025 (1y) | ||
| Vanessa Lynn Simon | Registered representative | Apr 2025 (1y) | ||
| Delickson Souffrant | Registered representative | May 2025 (1y) | ||
| Justin Michael Lerette | Registered representative | May 2025 (1y) | ||
| Shelly Gonsoulin Johnson | Registered representative | May 2025 (1y) | ||
| Kevin Wong | Registered representative | May 2025 (1y) | ||
| Mordechai Moscowitz | Registered representative | May 2025 (1y) | ||
| Ramone Donnell Givens | Registered representative | May 2025 (1y) | ||
| Annette J Blair | Registered representative | May 2025 (1y) | ||
| Aubrey Monette Hiwatig Padilla | Registered representative | May 2025 (1y) | ||
| Frank Moschella | Registered representative | May 2025 (1y) | ||
| Jason M Basso | Registered representative | May 2025 (1y) | ||
| Brendan Robert Morrison | Registered representative | May 2025 (1y) | ||
| David L Shuler | Registered representative | May 2025 (1y) | ||
| Daryl Gaskin | Registered representative | May 2025 (1y) | ||
| Gurgen Boris Bakhshiyan | Registered representative | May 2025 (1y) | ||
| Kristen Vine | Registered representative | May 2025 (1y) | ||
| Stephen Harms | Registered representative | May 2025 (1y) | ||
| Todd Ryan Miller | Registered representative | May 2025 (1y) | ||
| Damon D Graham | Registered representative | May 2025 (1y) | ||
| Jenilee Frances Wirtz | Registered representative | May 2025 (1y) | ||
| Kyle Timothy Renick | Registered representative | May 2025 (1y) | ||
| Zhi Hang Lin | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Jarrod Tyler Oberg | Registered representative | May 2025 (1y) | ||
| Jessica Ann Holmen | Registered representative | May 2025 (1y) | ||
| Adam Knopow | Registered representative | May 2025 (1y) | ||
| Jason J Harris | Registered representative | May 2025 (1y) | ||
| Cherilyn Joy Taylor | Registered representative | May 2025 (1y) | ||
| Daniel Roy Ponce | Registered representative | May 2025 (1y) | ||
| Kurt Alan Boutin | Registered representative | Jun 2025 (1y) | ||
| Peter Van Alstine | Registered representative | Jun 2025 (1y) | ||
| Sueann Orlowski Lin | Registered representative | Jun 2025 (1y) | ||
| William Barry | Registered representative | Jun 2025 (1y) | ||
| Sherwood L Brown | Registered representative | CFP | Jun 2025 (1y) | |
| Jeffrey Dale Meinbresse | Registered representative | Jun 2025 (1y) | ||
| Stephanie Elaine Mckinney | Registered representative | Jun 2025 (1y) | ||
| Steven Owen Shade | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Benjamin Lisle | Registered representative | Jun 2025 (1y) | ||
| Dan Kubo | Registered representative | Jun 2025 (1y) | ||
| Luis Simon Tagliaferro | Registered representative | Jun 2025 (1y) | ||
| Kevin M Carano | Registered representative | Jun 2025 (1y) | ||
| Brian Segel | Registered representative | Jun 2025 (1y) | ||
| Alice Kyerewaa Agyemang Badu | Registered representative | CFP | Jun 2025 (1y) | |
| Chelsea Noel Landolf | Registered representative | Jun 2025 (1y) | ||
| Jesse Zaragoza | Registered representative | Jun 2025 (1y) | ||
| Joseph Ryan Byker | Registered representative | Jun 2025 (1y) | ||
| Randy Steven Stepho | Registered representative | Jun 2025 (1y) | ||
| Charity Stephi Suzanne Coats | Registered representative | Jun 2025 (1y) | ||
| Supriya Bakshi | Registered representative | Jun 2025 (1y) | ||
| Timothy Vogt | Registered representative | Jun 2025 (1y) | ||
| Joshua Denney | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Robert Hsu | Registered representative | Jun 2025 (1y) | ||
| Broderick Dean Kunzmann | Registered representative | Jun 2025 (1y) | ||
| Jared Brandon Backner | Registered representative | Jun 2025 (1y) | ||
| Pilar Soledad Recto Zosa | Registered representative | Jun 2025 (1y) | ||
| Austin Decker | Registered representative | Jul 2025 (1y) | ||
| Jayden Daniel Carpenter | Registered representative | Jul 2025 (1y) | ||
| Elizabeth Magner Simon Crawley | Registered representative | Jul 2025 (1y) | ||
| Christian Edwards Saliu | Registered representative | Jul 2025 (1y) | ||
| Jacob Lloyd Miller | Registered representative | Jul 2025 (1y) | ||
| Xin Zhang | Registered representative | Jul 2025 (1y) | ||
| Rodney Dewitt Gillespie | Registered representative | Jul 2025 (1y) | ||
| Douglas Allan | Registered representative | Jul 2025 (1y) | ||
| Mitchell Derek Taing | Registered representative | Jul 2025 (1y) | ||
| Lawrence James Cabirac | Registered representative | Jul 2025 (1y) | ||
| Robert Alexander Davanzo | Registered representative | Jul 2025 (1y) | ||
| Sagar Shah | Registered representative | Jul 2025 (1y) | ||
| Kyle Robert Smith | Registered representative | Jul 2025 (1y) | ||
| Brandyn Tuttle | Registered representative | Jul 2025 (1y) | ||
| Jacob Gregory Gerk | Registered representative | Jul 2025 (1y) | ||
| Jennifer Selina Joseph | Registered representative | Jul 2025 (1y) | ||
| Omero Cesere Catan | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Terreaux Williams | Registered representative | Jul 2025 (1y) | ||
| Darin Swick | Registered representative | Jul 2025 (1y) | ||
| Shane Peter Valdez | Registered representative | Jul 2025 (1y) | ||
| John Matthew Wheat | Registered representative | Aug 2025 (1y) | ||
| Alisha Renee Ragusa | Registered representative | Aug 2025 (1y) | ||
| Dominick Samuel Bonura | Registered representative | CFP | Aug 2025 (1y) | |
| Ezzedean Adam Amer Fahoum | Registered representative | Aug 2025 (1y) | ||
| David Thomas Summers | Registered representative | Aug 2025 (1y) | ||
| James Randolph Clayton | Registered representative | Aug 2025 (1y) | ||
| Kirk Ronald Blackman | Registered representative | Aug 2025 (1y) | ||
| Ariel Jordan Bollant | Registered representative | CFP | Aug 2025 (1y) | |
| Craig Gallen | Registered representative | Aug 2025 (1y) | ||
| Laura Susan Littman | Registered representative | Aug 2025 (1y) | ||
| Arpit Dinendra Trivedi | Registered representative | Aug 2025 (1y) | ||
| Dilmurod S Adkhamov | Registered representative | Aug 2025 (1y) | ||
| Michael De Vlaming Flinn | Registered representative | Aug 2025 (1y) | ||
| Ryan Myers | Registered representative | Aug 2025 (1y) | ||
| Justin C Williams | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Kathy Soohyun Ko | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Patrick Sloan | Registered representative | Aug 2025 (1y) | ||
| Benjamin Stephen Farmer | Registered representative | Aug 2025 (1y) | ||
| Elizabeth Marie Hebert | Registered representative | Aug 2025 (1y) | ||
| Lingfeng Lu | Registered representative | Aug 2025 (1y) | ||
| Philip Jupp | Registered representative | Aug 2025 (1y) | ||
| James Stavros Louchis | Registered representative | Aug 2025 (1y) | ||
| Jennifer Renee Mc Adow | Registered representative | Aug 2025 (1y) | ||
| Kristin Jo Anne Paystrup Scott | Registered representative | Aug 2025 (1y) | ||
| Palki Mehta | Registered representative | Aug 2025 (1y) | ||
| Sharon Kay Combs | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Dilshad Del Rahmonov | Registered representative | Aug 2025 (1y) | ||
| Christian Crumpacker | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| David James Bennett | Registered representative | Sep 2025 (1y) | ||
| Grace Elizabeth Mead | Registered representative | Sep 2025 (1y) | ||
| Michael Lex Persons | Registered representative | Sep 2025 (1y) | ||
| Spenser Mclaughlin Wong | Registered representative | Sep 2025 (1y) | ||
| Trevor Lewis Fridell | Registered representative | Sep 2025 (1y) | ||
| Eileen Cliu Lee | Registered representative | Sep 2025 (1y) | ||
| Rocio F Mendez | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Munir Karson Tager | Registered representative | Sep 2025 (1y) | ||
| Alexander Justin Phillips | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Jacob Beekman | Registered representative | Sep 2025 (1y) | ||
| Nolan Ripple | Registered representative | Sep 2025 (1y) | ||
| Benson B Liao | Registered representative | Sep 2025 (1y) | ||
| Andrew Michael Leeman | Registered representative | Sep 2025 (1y) | ||
| Steven Wheeler | Registered representative | Sep 2025 (1y) | ||
| Sean Son Nhu Phan | Registered representative | Sep 2025 (1y) | ||
| Amy Pierce | Registered representative | Sep 2025 (1y) | ||
| Wendell Dornell Stallings | Registered representative | CFP Chartered Financial Consultant | Sep 2025 (1y) | |
| Xianjunliang Kong | Registered representative | CFP | Sep 2025 (1y) | |
| Graham Pettis | Registered representative | Sep 2025 (1y) | ||
| Eugene R Lutz | Registered representative | Sep 2025 (1y) | ||
| Michael G Fisher | Registered representative | Sep 2025 (1y) | ||
| Phu Dang Nguyen | Registered representative | Sep 2025 (1y) | ||
| Richard Alan Hoberman | Registered representative | Sep 2025 (1y) | ||
| Yosuke Kameoka | Registered representative | Sep 2025 (1y) | ||
| Ashley Michael Cedzo | Registered representative | Sep 2025 (1y) | ||
| Brett Reginald Hoeflich | Registered representative | Sep 2025 (1y) | ||
| Gregory Manukian | Registered representative | Sep 2025 (1y) | ||
| Nicholas Colello | Registered representative | CFP Chartered Financial Consultant | Sep 2025 (1y) | |
| Shanan Johnson Boyd | Registered representative | Oct 2025 (1y) | ||
| John Phillip Maroulis | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Anthony Vincent Spaniolo | Registered representative | Oct 2025 (1y) | ||
| Ricardo Wilson Reyes | Registered representative | Oct 2025 (1y) | ||
| Belema Sophie Dyegh | Registered representative | Oct 2025 (1y) | ||
| Mark Cernicky | Registered representative | CFP CFA | Oct 2025 (1y) | |
| William Olson | Registered representative | Oct 2025 (1y) | ||
| Catherine Marie Greenspan | Registered representative | Oct 2025 (1y) | ||
| Francesco Clemente Livoti | Registered representative | Oct 2025 (1y) | ||
| Reynaldo Ortiz | Registered representative | CFP | Oct 2025 (1y) | |
| Calvin Marino Holmes | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Thomas Elliot Robin | Registered representative | Oct 2025 (1y) | ||
| Edward Michael Emery | Registered representative | Oct 2025 (1y) | ||
| Vera Lucia Rampartap | Registered representative | Oct 2025 (1y) | ||
| Brendon Tyler Dejesus Fausset | Registered representative | Oct 2025 (1y) | ||
| Kevin Michael Harrington | Registered representative | Oct 2025 (1y) | ||
| Ryan James Trailer | Registered representative | Oct 2025 (1y) | ||
| Eric Maher | Registered representative | Oct 2025 (1y) | ||
| Erick Ochieng Arowo | Registered representative | Oct 2025 (1y) | ||
| Vivian Yi Ping Ong | Registered representative | Oct 2025 (1y) | ||
| Trevor Buckels | Registered representative | Oct 2025 (1y) | ||
| Adam Cote | Registered representative | Oct 2025 (1y) | ||
| Scott K Andrews | Registered representative | Oct 2025 (1y) | ||
| Douglas Dean Brown | Registered representative | Chartered Financial Consultant | Oct 2025 (1y) | |
| Derek E Wolford | Registered representative | Oct 2025 (1y) | ||
| Robert Walter Self | Registered representative | Oct 2025 (1y) | ||
| Andrew Balettie | Registered representative | Nov 2025 (1y) | ||
| Alison Reed Zabriskie | Registered representative | Nov 2025 (1y) | ||
| Jonathan Mead | Registered representative | Nov 2025 (1y) | ||
| Zachary Eastman | Registered representative | Nov 2025 (1y) | ||
| Anthony Michael Di Paola | Registered representative | Nov 2025 (1y) | ||
| Scott Christopher Wilson | Registered representative | Nov 2025 (1y) | ||
| Aaron James Verbrugge | Registered representative | Nov 2025 (1y) | ||
| Kevin Lee Friddle | Registered representative | Nov 2025 (1y) | ||
| Roberto Francisco Hernandez | Registered representative | Nov 2025 (1y) | ||
| William Cecil Smalls | Registered representative | Nov 2025 (1y) | ||
| Logan Andrew Isaak | Registered representative | Nov 2025 (1y) | ||
| Rachell Eileen Roach | Registered representative | Nov 2025 (1y) | ||
| Colby Rucker | Registered representative | Nov 2025 (1y) | ||
| Michael Dennis Mc Grath | Registered representative | Nov 2025 (1y) | ||
| Joshua Micah Coffey | Registered representative | Nov 2025 (1y) | ||
| Pamela Ponce Johnson | Registered representative | Nov 2025 (1y) | ||
| Anthony Mingmu Chee | Registered representative | Chartered Financial Consultant | Nov 2025 (1y) | |
| Michalis Stylianou | Registered representative | Nov 2025 (1y) | ||
| Paul Thomas Henderson | Registered representative | Nov 2025 (1y) | ||
| Kirrupan Theivakumar | Registered representative | Nov 2025 (1y) | ||
| William Hayden Miller | Registered representative | Dec 2025 (1y) | ||
| Abby Laine Gross | Registered representative | CFP | Dec 2025 (1y) | |
| Tara Cole Ellis | Registered representative | Dec 2025 (1y) | ||
| Walton Worth Rogers | Registered representative | Chartered Financial Consultant | Dec 2025 (1y) | |
| Ashley Nicole Ethridge | Registered representative | Dec 2025 (1y) | ||
| Timothy James Fry | Registered representative | Dec 2025 (1y) | ||
| Cassandra Dianne Fyles Graziano | Registered representative | Dec 2025 (1y) | ||
| Danielle Marie Niderost | Registered representative | Dec 2025 (1y) | ||
| Robert Ryan Apuzzo | Registered representative | Dec 2025 (1y) | ||
| Joseph Anthony Anderson | Registered representative | Dec 2025 (1y) | ||
| Thomas Fitts | Registered representative | Dec 2025 (1y) | ||
| Melanie Victoria Terry | Registered representative | Dec 2025 (1y) | ||
| Jaclyn Eryn Mabagos Magbitang | Registered representative | Chartered Financial Consultant | Dec 2025 (1y) | |
| Jonathon Frey | Registered representative | Dec 2025 (1y) | ||
| Carson Schumann | Registered representative | Dec 2025 (1y) | ||
| Alan William Flota | Registered representative | Dec 2025 (1y) | ||
| Kevin Edward Boland | Registered representative | Dec 2025 (1y) | ||
| Joshua Lindland | Registered representative | Dec 2025 (1y) | ||
| Luke Daniel Knighten | Registered representative | Dec 2025 (1y) | ||
| Rick Kent Stivers | Registered representative | Dec 2025 (1y) | ||
| Austin Mau | Registered representative | Dec 2025 (1y) | ||
| Jeremy William Johansen | Registered representative | Dec 2025 (1y) | ||
| Nicholas Cross | Registered representative | Dec 2025 (1y) | ||
| Robert John Shoff | Registered representative | Dec 2025 (1y) | ||
| William Edward Turner | Registered representative | Dec 2025 (1y) | ||
| Richard Jackson | Registered representative | Dec 2025 (1y) | ||
| Sarah Susan Lavelle | Registered representative | Dec 2025 (1y) | ||
| Dong Hoon Kim | Registered representative | Dec 2025 (1y) | ||
| Felipe Albuquerque | Registered representative | Dec 2025 (1y) | ||
| James Miguel Quintana | Registered representative | Dec 2025 (1y) | ||
| Annaamalaii Palani | Registered representative | Jan 2026 (1y) | ||
| Brian Lee Hardman | Registered representative | Jan 2026 (1y) | ||
| Christopher Wray Armistead | Registered representative | Jan 2026 (1y) | ||
| Dev Rana | Registered representative | Jan 2026 (1y) | ||
| Jon Aron Livingston | Registered representative | Jan 2026 (1y) | ||
| Jon E Rusten | Registered representative | Jan 2026 (1y) | ||
| Paul Christopher De Biasse | Registered representative | Jan 2026 (1y) | ||
| Robert Hawley Quaife | Registered representative | Jan 2026 (1y) | ||
| Anesti Duka | Registered representative | Jan 2026 (1y) | ||
| George Nelson Ridings | Registered representative | Jan 2026 (1y) | ||
| Mark Curtis Medairy | Registered representative | Jan 2026 (1y) | ||
| Matthew Kellon Quick | Registered representative | Jan 2026 (1y) | ||
| Shawn Sung Hyun Jeong | Registered representative | Jan 2026 (1y) | ||
| Youwha Lee | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| Andrew Jason Bondar | Registered representative | Jan 2026 (1y) | ||
| Joseph Gyumolcs | Registered representative | Jan 2026 (1y) | ||
| Cara Jaclyn Archer | Registered representative | Chartered Financial Consultant | Jan 2026 (1y) | |
| David Brody | Registered representative | Jan 2026 (1y) | ||
| Gillian Carole Lotz Hopkins | Registered representative | Jan 2026 (1y) | ||
| Gurcharan Singh Soni | Registered representative | Jan 2026 (1y) | ||
| Brittany Hendry | Registered representative | Jan 2026 (1y) | ||
| Joshua Stephen Phillips | Registered representative | Jan 2026 (1y) | ||
| Scott Michael Tally | Registered representative | Jan 2026 (1y) | ||
| Sebastian Sihee Kim | Registered representative | Jan 2026 (1y) | ||
| William Denler | Registered representative | Jan 2026 (1y) | ||
| Conor Willeke | Registered representative | Jan 2026 (1y) | ||
| Daniel Paul Torres | Registered representative | Jan 2026 (1y) | ||
| Tigran Basmadjyan | Registered representative | Jan 2026 (1y) | ||
| Alex Yi Shiou Yang | Registered representative | Jan 2026 (1y) | ||
| Anthony Easton Grant | Registered representative | Jan 2026 (1y) | ||
| John Michael Hays | Registered representative | Jan 2026 (1y) | ||
| Mitchell Axelrod | Registered representative | Jan 2026 (1y) | ||
| Brandon T Ramos | Registered representative | Jan 2026 (1y) | ||
| Ishkhan Boghossian | Registered representative | Jan 2026 (1y) | ||
| Peter Mc Evoy | Registered representative | CFP | Jan 2026 (1y) | |
| Du V Tran | Registered representative | Jan 2026 (1y) | ||
| Tamar Zepur Injeyan | Registered representative | Jan 2026 (1y) | ||
| John Albert Stobbe | Registered representative | Jan 2026 (1y) | ||
| Theresa Castro | Registered representative | Jan 2026 (1y) | ||
| Rachel Marie Vergari | Registered representative | Jan 2026 (1y) | ||
| Mohamad Ali Atwi | Registered representative | Jan 2026 (1y) | ||
| Trevor Mitchel Houston | Registered representative | Jan 2026 (1y) | ||
| Matthew Newfield | Registered representative | Jan 2026 (1y) | ||
| Elliott Hughes | Registered representative | Jan 2026 (1y) | ||
| Melissa Darlene Reardon | Registered representative | Jan 2026 (1y) | ||
| Michael Joseph Corrigan | Registered representative | Jan 2026 (1y) | ||
| Naor David Izik | Registered representative | Jan 2026 (1y) | ||
| Rodney Archer | Registered representative | Jan 2026 (1y) | ||
| Grant Thomas Howell | Registered representative | Jan 2026 (1y) | ||
| Quinn Willam Process | Registered representative | Jan 2026 (1y) | ||
| Charleger Santiago | Registered representative | Jan 2026 (1y) | ||
| Leon Kearse | Registered representative | Jan 2026 (1y) | ||
| Andrew William Gale | Registered representative | Feb 2026 (0y) | ||
| Antwan Gibson | Registered representative | Feb 2026 (0y) | ||
| Bobby Hardamon | Registered representative | Feb 2026 (0y) | ||
| Lakshya Arora | Registered representative | Feb 2026 (0y) | ||
| Toan V Thai | Registered representative | Chartered Financial Consultant | Feb 2026 (0y) | |
| Tyler Steven Zeplowitz | Registered representative | Feb 2026 (0y) | ||
| Juan Jose Flores Saldana | Registered representative | Feb 2026 (0y) | ||
| Jiri Iglesias Farinas | Registered representative | Feb 2026 (0y) | ||
| Michelle Harlan | Registered representative | Feb 2026 (0y) | ||
| Frank Rosano | Registered representative | Feb 2026 (0y) | ||
| Eric Wellington Deems | Registered representative | Feb 2026 (0y) | ||
| Marzena Hrebenko | Registered representative | Feb 2026 (0y) | ||
| Sarina M Tannehill | Registered representative | Feb 2026 (0y) | ||
| Carlos Otaviano Nano | Registered representative | Feb 2026 (0y) | ||
| Hugh Laurence Malone Campbell | Registered representative | Feb 2026 (0y) | ||
| Joseph Luke Natuzzi | Registered representative | Feb 2026 (0y) | ||
| Spencer Stokes French | Registered representative | Feb 2026 (0y) | ||
| Joshua Abrams Sanborn | Registered representative | Feb 2026 (0y) | ||
| Brock Ted Harrison | Registered representative | Feb 2026 (0y) | ||
| Joseph Bethel | Registered representative | Feb 2026 (0y) | ||
| Rigoberto Antonio Ruiz | Registered representative | Feb 2026 (0y) | ||
| Skerdi Kostreci | Registered representative | CFP | Feb 2026 (0y) | |
| Guillermo Hernandez | Registered representative | Feb 2026 (0y) | ||
| Dylan Richard La Croix | Registered representative | Feb 2026 (0y) | ||
| Konnor Thomas Hoerman | Registered representative | Feb 2026 (0y) | ||
| Yitzchak Felberbaum | Registered representative | Feb 2026 (0y) | ||
| Jason Michael Craciun | Registered representative | Feb 2026 (0y) | ||
| Joseph Matthew Facciani | Registered representative | Feb 2026 (0y) | ||
| Harvey Grant Allison | Registered representative | Feb 2026 (0y) | ||
| Ricky Dukes | Registered representative | Mar 2026 (0y) | ||
| Michael Giasi | Registered representative | CFA | Mar 2026 (0y) | |
| John Begley | Registered representative | CFP | Mar 2026 (0y) | |
| Jack Steven Potzauf | Registered representative | Mar 2026 (0y) | ||
| Jason Thomas King | Registered representative | Chartered Financial Consultant | Mar 2026 (0y) | |
| John Roger Gendreau | Registered representative | Mar 2026 (0y) | ||
| Justin Charles Kimmel | Registered representative | Mar 2026 (0y) | ||
| Matthew Dawson | Registered representative | Mar 2026 (0y) | ||
| Ilana C Stern | Registered representative | Mar 2026 (0y) | ||
| Renee Jaques Millick | Registered representative | Mar 2026 (0y) | ||
| Allan Sherwood | Registered representative | CFP | Mar 2026 (0y) | |
| David Pierce | Registered representative | Mar 2026 (0y) | ||
| David Michael Sanderson | Registered representative | Mar 2026 (0y) | ||
| Elijah Kwesi Moscinski | Registered representative | Mar 2026 (0y) | ||
| Paige Bonnema | Registered representative | Mar 2026 (0y) | ||
| Darvin Acosta Filpo | Registered representative | Mar 2026 (0y) | ||
| Tyler Luke | Registered representative | Mar 2026 (0y) | ||
| Vivienne Ather | Registered representative | Mar 2026 (0y) | ||
| Zanneisha Morrison | Registered representative | Mar 2026 (0y) | ||
| Isaac Oko Addo | Registered representative | Mar 2026 (0y) | ||
| Donovan A Williams | Registered representative | Mar 2026 (0y) | ||
| Jenny Cicero Castro | Registered representative | Mar 2026 (0y) | ||
| Jonathan Babyak | Registered representative | Mar 2026 (0y) | ||
| Benjamin Harold Pettit | Registered representative | Mar 2026 (0y) | ||
| Randy Lee Wentz | Registered representative | Mar 2026 (0y) | ||
| Suk In Hong | Registered representative | Mar 2026 (0y) | ||
| Bryan Neil Zimmerman | Registered representative | Mar 2026 (0y) | ||
| Vijaykrishna Sadagopan | Registered representative | Mar 2026 (0y) | ||
| Angela Marie Henderson | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Carol Jean Ward | Registered representative | Apr 2026 (0y) | ||
| Tia Alisha Finn | Registered representative | Apr 2026 (0y) | ||
| Leopoldo Miguel Brauer | Registered representative | Apr 2026 (0y) | ||
| Allen Harris | Registered representative | Apr 2026 (0y) | ||
| Brayden Horn | Registered representative | Apr 2026 (0y) | ||
| Jeffery Scott Wilkins | Registered representative | Apr 2026 (0y) | ||
| Sean Kazangian | Registered representative | Apr 2026 (0y) | ||
| Stacy Bibi Sanders | Registered representative | Apr 2026 (0y) | ||
| Dan Zhang | Registered representative | Apr 2026 (0y) | ||
| Kaleigh S Hayes | Registered representative | Apr 2026 (0y) | ||
| Kasha L Fritsch | Registered representative | Apr 2026 (0y) | ||
| Ryan Joseph Ballesteros | Registered representative | Apr 2026 (0y) | ||
| James Allan Jones | Registered representative | Apr 2026 (0y) | ||
| Jared Tyler Weber | Registered representative | Apr 2026 (0y) | ||
| Raynard Francis Gagnon | Registered representative | Apr 2026 (0y) | ||
| Gavin Sinke | Registered representative | Apr 2026 (0y) | ||
| Quan Nguyen | Registered representative | Apr 2026 (0y) | ||
| Nicholas Park | Registered representative | Apr 2026 (0y) | ||
| Matthew Alex Mcwhorter | Registered representative | Apr 2026 (0y) | ||
| Raimundo Nonato Uz Espinheira | Registered representative | Apr 2026 (0y) | ||
| Jeffrey Thomas Kuhn | Registered representative | Apr 2026 (0y) | ||
| Ashley Ingle Johnston | Registered representative | Apr 2026 (0y) | ||
| Patrick Paragas | Registered representative | May 2026 (0y) | ||
| Sean Michael Starling | Registered representative | May 2026 (0y) | ||
| Brady Lee Wheeler | Registered representative | May 2026 (0y) | ||
| Eskinder Assefa | Registered representative | May 2026 (0y) | ||
| Jack Mickey Davis | Registered representative | May 2026 (0y) | ||
| Louis Theodore Bosse | Registered representative | May 2026 (0y) | ||
| Philip Hill | Registered representative | May 2026 (0y) | ||
| William Howard | Registered representative | May 2026 (0y) | ||
| Maurice Rodgers | Registered representative | May 2026 (0y) | ||
| Yi Ding | Registered representative | May 2026 (0y) | ||
| Carol Jane Vander Dys | Registered representative | May 2026 (0y) | ||
| Dominic Hrichena | Registered representative | May 2026 (0y) | ||
| Ronnie Lynn Cochran | Registered representative | May 2026 (0y) | ||
| Francisco Ortiz Zepeda | Registered representative | May 2026 (0y) | ||
| Ying Liu | Registered representative | May 2026 (0y) | ||
| Rachel Carr | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Pavel Nalivayko | Registered representative | May 2026 (0y) | ||
| Richa Sadana | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Gary Blake Wallace | Registered representative | Jun 2026 (0y) | ||
| Shane Asbury | Registered representative | Jun 2026 (0y) | ||
| Timothy Gerald Graham | Registered representative | Jun 2026 (0y) | ||
| Angelo Anthony Valdez | Registered representative | Jun 2026 (0y) | ||
| Gerard Anthony Rocchi | Registered representative | Jun 2026 (0y) | ||
| Melissa Lea Siesto | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Eun Kyung Im | Registered representative | Jun 2026 (0y) | ||
| Jonathan Hempstead | Registered representative | Jun 2026 (0y) | ||
| Charles Ashley Enders | Registered representative | Jun 2026 (0y) | ||
| Cory Jean Wahl | Registered representative | Jun 2026 (0y) | ||
| Charles Ellis | Registered representative | Jun 2026 (0y) | ||
| Myron Anthony Mc Donald | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Ryan Butler | Registered representative | Jun 2026 (0y) | ||
| Anna Mpinga | Registered representative | Jun 2026 (0y) | ||
| Dennis Charles Liu | Registered representative | Jun 2026 (0y) | ||
| Autourina Mains | Registered representative | Jun 2026 (0y) | ||
| Jesse Aaron Howes | Registered representative | Jun 2026 (0y) | ||
| Nelson Chavez | Registered representative | Jun 2026 (0y) | ||
| Thomas Patrick Raby | Registered representative | Jun 2026 (0y) | ||
| Curtis Woodard | Registered representative | Jun 2026 (0y) | ||
| Songqun Florence | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Jennifer Kyle | Registered representative | Jun 2026 (0y) | ||
| Cameron Donald Ginsberg | Registered representative | Jun 2026 (0y) | ||
| Nicholas David Nixon | Registered representative | Jun 2026 (0y) | ||
| Gennivie Marie Egan | Registered representative | Jun 2026 (0y) | ||
| Michael Bryant Mc Clinton | Registered representative | Jun 2026 (0y) | ||
| Timothy John Babco | Registered representative | Jun 2026 (0y) | ||
| Ashley Filuta | Registered representative | Jun 2026 (0y) | ||
| Kevin Robert Cunningham | Registered representative | Jun 2026 (0y) | ||
| Stephen Pederson | Registered representative | Jun 2026 (0y) | ||
| Tyler Allen Nicholson Adams | Registered representative | Jun 2026 (0y) | ||
| George Andrew Barden | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Joshua Sul | Registered representative | Jun 2026 (0y) | ||
| Julia Grace Robinson | Registered representative | Jun 2026 (0y) | ||
| Giuseppe Antonio Vitulli | Registered representative | Jun 2026 (0y) | ||
| Andrew Pokriki | Registered representative | Jun 2026 (0y) | ||
| Elizabeth Assad Eiroa | Registered representative | Jul 2026 (0y) | ||
| Joseph G Doniger | Registered representative | Jul 2026 (0y) | ||
| Joseph Pensabene | Registered representative | Jul 2026 (0y) | ||
| Justin Arnold | Registered representative | Jul 2026 (0y) | ||
| Scott Severance Edmiston | Registered representative | CFA | Jul 2026 (0y) | |
| Allen Joseph Williams | Registered representative | Jul 2026 (0y) | ||
| Brian Bradford Hendrickson | Registered representative | Jul 2026 (0y) | ||
| Claribel Henriquez | Registered representative | Jul 2026 (0y) | ||
| Jake Scott Cameron | Registered representative | Jul 2026 (0y) | ||
| Morgan Robinson | Registered representative | Jul 2026 (0y) | ||
| Sol Rascon | Registered representative | Jul 2026 (0y) | ||
| Long H Duong | Registered representative | Jul 2026 (0y) | ||
| Luke Hosein Johnson | Registered representative | Chartered Financial Consultant | Jul 2026 (0y) | |
| John Scott Shaw | Registered representative | Jul 2026 (0y) | ||
| Kevin Joseph Kania | Registered representative | Jul 2026 (0y) | ||
| Karlene Andrea Mullings | Registered representative | Jul 2026 (0y) | ||
| Alyse Marie Horan | Registered representative | Jul 2026 (0y) | ||
| Benjamin Murray | Registered representative | Jul 2026 (0y) | ||
| Taylor Ballou | Registered representative | Jul 2026 (0y) | ||
| Kenneth Russell Shriver | Registered representative | Jul 2026 (0y) | ||
| David Michael Martin | Registered representative | Jul 2026 (0y) | ||
| Hailey Elizabeth Roberti | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nylife Llc | Member | Jul 1988 | A | 75% or more |
| New York Life Insurance Company | Indirect Manager | Jul 1988 | B | ≈ 56.25% – 100% via Nylife Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- New York Life Insurance Company: 75% – 100% of Nylife Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (6)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| New Roads School 403(b) Plan | New Roads School | 177 | $11.9M | 07/01/2024 |
| Automated Precision, Inc. 401(k) & Ps Plan | Automated Precision, Inc. | 98 | $11.5M | 01/01/2024 |
| Sapaugh Motors Retirement Plan | Sapaugh Motors, Inc. | 147 | $8.4M | 01/01/2024 |
| Community Hospital 403(b) Plan | Colorado West Healthcare System Dba Community Hospital | 1,425 | $70.2M | 01/01/2024 |
| Hpj Industries Inc 401(k) Profit Sharing Plan And Trust | Hpj Industries Inc. | 89 | $2.5M | 01/01/2024 |
| Varney, Inc. 401(k) & Profit Sharing Plan | Varney, Inc. | 175 | $8.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 5.83 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, EAGLE SETTLED AN ADMINISTRATIVE ACTION WITH THE MASSACHUSETTS SECURITIES DIVISION OF THE OFFICE OF THE SECRETARY OF THE COMMONWEALTH. THE SETTLEMENT ORDER FOUND THAT, FROM NOVEMBER 2018 THROUGH THE DATE OF THE SETTLEMENT, ONE OF EAGLE'S INVESTMENT ADVISER REPRESENTATIVES PROVIDED INVESTMENT ADVISORY SERVICES FROM A PLACE OF BUSINESS IN MASSACHUSETTS WHILE THE REPRESENTATIVE WAS NOT REGISTERED IN THAT STATE. Status: Final Sanction Detail: EAGLE PAID THE FINE OF $40,000 ON FEBRUARY 4, 2022. Summary: EAGLE AGREED TO: A CEASE AND DESIST ORDER; A CENSURE; TO TIMELY REGISTER AND MAINTAIN REGISTRATION OF INVESTMENT ADVISER REPRESENTATIVES IN MASSACHUSETTS; TO REVIEW ITS PERTINENT POLICIES AND PROCEDURES; AND, AN ADMINISTRATIVE FINE OF $40,000. THE REPRESENTATIVE WAS QUALIFIED, REGISTERED, AND APPROVED TO PROVIDE INVESTMENT ADVISORY SERVICES ON EAGLE'S BEHALF FROM ANOTHER STATE BEFORE THE SETTLEMENT. THE SETTLEMENT DID NOT INVOLVE ANY CONCERNS ABOUT THE REPRESENTATIVE'S CONDUCT AS AN ADVISER AND THERE WAS NO IMPACT TO ANY CLIENTS OR ACCOUNTS.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: EAGLE STRATEGIES EMPLOYED AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA WHO WAS NOT REGISTERED WITH THE DIVISION IN VIOLATION OF SECTION 13.1-504 C OF THE VIRGINIA SECURITIES ACT. Status: Final Sanction Detail: ON MAY 20, 2022, EAGLE STRATEGIES PAID $6,000 IN MONETARY PENALTIES AND $1,000 FOR COSTS OF THE INVESTIGATION Summary: THE DIVISION ACCEPTED THE SETTLEMENT AND THE CASE WAS DISMISSED.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. Status: Final Sanction Detail: N/A Summary: IN MARCH 2014 NEW YORK LIFE INSURANCE COMPANY PAID A CIVIL PENALTY IN THE AMOUNT OF $5,000 TO THE KENTUCKY DEPARTMENT OF INSURANCE BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: THE ILLINOIS DEPARTMENT OF INSURANCE CONDUCTED A MARKET EXAM, THE REPORT OF WHICH IDENTIFIED CERTAIN AREAS WHERE NYLIC WAS NOT IN COMPLIANCE WITH ILLINOIS INSURANCE REGULATIONS. NYLIC AND THE IL DEPT OF INSURANCE ENTERED INTO A STIPULATION AND CONSENT ORDER UNDER WHICH NYLIC WILL PAY A CIVIL PENALTY AND INSTITUTE POLICIES AND PROCEDURES TO COMPLY WITH APPROPRIATE REGULATIONS. Status: Final Sanction Detail: THE CIVIL FORFEITURE LEVIED AGAINST NYLIC (EAGLE'S CONTROLLING AFFILIATE) WAS IN THE AMOUNT OF $26,450 AND A CHECK WAS ISSUED, PAYABLE TO THE DIRECTOR OF INSURANCE, FOR THIS AMOUNT ON 12/16/2015. Summary: NYLIC PAID $26,450 TO THE DIRECTOR OF INSURANCE ON 12/16/2015.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: AS THE RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005 THROUGH DECEMBER 31, 2009, THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES FOUND THAT NEW YORK LIFE VIOLATED SECTIONS 53-3.5(A), 53.3-5(B), 53-3.2(A)(2) AND 53-3.6(B) OF DEPARTMENT REGULATION NO. 74 AS WELL AS NEW YORK INSURANCE LAW SECTION 3201(B)(1). Status: Final Sanction Detail: IN OCTOBER 2016, NEW YORK LIFE PAID A CIVIL PENALTY OF $ 732,067.00. Summary: THE FINDINGS BY THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES HAVE BEEN RESOLVED THROUGH A CONSENT ORDER.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: NYLIC ADMITED TO THE FACTS AND ACCEPTED THE MARYLAND ADMINISTRATION'S CONCLUSIONS AS STATED IN THE EXAMINATION REPORT (MCLH-17-2011-E), IN RELATION TO NOT OFFERING THE BENEFICIARY IN WRITING AN EXPLANATION OF THE FEATURES OF THE RETAINED ASSET ACCOUNTS. NYLIC DENIED LIABILITY TO ANY THIRD PARTY AS A RESULT OF THE VIOLATIONS. Status: Final Sanction Detail: NYLIC AND THE MARYLAND ADMINISTRATION AGREE TO THE TERMS OF THE ORDER WHERE NYLIC PAID $1000.00 IN PENALTIES AND IMPLEMENTED REMEDIAL MEASURES. Summary: NYLIC ADMITED TO THE FACTS AND ACCEPTED THE MARYLAND ADMINISTRATION'S CONCLUSIONS AS STATED IN THE EXAMINATION REPORT (MCLH-17-2011-E), IN RELATION TO NOT OFFERING THE BENEFICIARY IN WRITING AN EXPLANATION OF FEATURES OF THE RETAINED ASSET ACCOUNTS. NYLIC DENIED LIABILITY TO ANY THIRD PARTY AS A RESULT OF THE VIOLATIONS. NYLIC AND THE MARYLAND ADMINISTRATION AGREE TO THE TERMS OF THE ORDER WHERE NYLIC PAID $1000.00 IN PENALTIES AND IMPLEMENTED REMEDIAL MEASURES.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. Status: Final Sanction Detail: NYLIC PAID $6000 TO THE STATE OF KENTUCKY ON OCTOBER 30, 2014 Summary: IN OCTOBER 2014 NEW YORK LIFE INSURANCE COMPANY PAID A CIVIL PENALTY IN THE AMOUNT OF $6000 TO THE KENTUCKY DEPARTMENT OF INSURANCE.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE COMPANY DID NOT TIMELY PAY LONG TERM CARE CLAIMS IN FOUR INSTANCES. Status: Final Sanction Detail: NYLIC WAS FINED $1,000.00, WHICH WAS PAID TO THE S TATE IN DECEMBER 2017. Summary: DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE COMPANY DID NOT TIMELY PAY LONG TERM CARE CLAIMS IN FOUR INSTANCES.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: ON OCTOBER 4, 2021 NEW YORK LIFE INSURANCE COMPANY ("NYLIC") RECEIVED AN ORDER OF CIVIL PENALTY AND ADOPTION OF A CORRECTIVE ACTION PLAN FROM THE KENTUCKY DEPARTMENT OF INSURANCE ALLEGING THAT NYLIC INCORRECTLY IMPLEMENTED PREMIUM RATE INCREASES ON 112 INDIVIDUAL LONG TERM CARE CONTRACTS IN VIOLATION OF KENTUCKY INSURANCE LAW. Status: Final Sanction Detail: NYLIC PAID A $56,000 FINE ON OCTOBER 20, 2021 IN ACCORDANCE WITH THE ORDER WHICH STIPULATES 50% OF THE PENALTY TO BE HELD IN ABEYANCE AND SUBJECT TO DISMISSAL FOLLOWING (1) EXECUTION AND SATISFACTION OF THE CORRECTIVE ACTION PLAN, AND (2) CORRECT IMPLEMENTATION OF THE RATE INCREASE. Summary: NYLIC PAID A $56,000 FINE ON OCTOBER 20, 2021 IN ACCORDANCE WITH THE ORDER WHICH STIPULATES 50% OF THE PENALTY TO BE HELD IN ABEYANCE AND SUBJECT TO DISMISSAL FOLLOWING (1) EXECUTION AND SATISFACTION OF THE CORRECTIVE ACTION PLAN, AND (2) CORRECT IMPLEMENTATION OF THE RATE INCREASE.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: THE OFFICE OF THE MONTANA STATE AUDITOR, COMMISSION OF SECURITIES AND INSURANCE ("CSI") FOUND THAT SINCE 2015 NEW YORK LIFE INSURANCE COMPANY AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION (COLLECTIVELY, "NYL") USED GROUP LIFE INSURANCE AND GROUP ANNUITY FORMS THAT HAD NOT BEEN APPROVED BY THE CSI, PROVIDED COVERAGE UNDER SUCH FORMS TO MONTANA RESIDENTS AND DID NOT SUBMIT THE FORM FOR APPROVAL AS REQUIRED UNDER MONTANA LAW. Status: Final Sanction Detail: ON MARCH 30, 2021, NYL PAID THE ADMINISTRATIVE PENALTY OF $10,000 IN FULL. Summary: THE MARCH 23, 2021 CONSENT AGREEMENT RESOLVES THE ALLEGATIONS AGAINST NYL AND WAS ENTERED WITHOUT ADJUDICATION OF ANY ISSUE, LAW OR FACT.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: NEW YORK LIFE GROUP INSURANCE COMPANY OF NEW YORK AND THE PREDECESSOR COMPANY FILED FORMS AND PROVIDED DATA TO THE STATE FROM 2018 TO 2022 THAT CONTAINED INACCURACIES. Status: Final Sanction Detail: NEW YORK LIFE AGREES TO PAY THE $13,000 FORFEITURE AND TO TAKE REMEDIAL ACTION BRINGING IT INTO COMPLIANCE WITH THE STATUTES AND REGULATIONS OF MISSOURI AND AGREES TO MAINTAIN THOSE REMEDIAL ACTIONS AT ALL TIMES. Summary: NEW YORK LIFE GROUP INSURANCE COMPANY OF NEW YORK AND THE PREDECESSOR COMPANY FILED FORMS AND PROVIDED DATA TO THE STATE FROM 2018 TO 2022 THAT CONTAINED INACCURACIES. NEW YORK LIFE HAS PAID THE $13,000 FORFEITURE AND TAKEN REMEDIAL ACTION BRINGING IT INTO, AND MAINTAINING, COMPLIANCE WITH THE STATUTES AND REGULATIONS OF MISSOURI.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 18, 2024
Allegations: NEW YORK LIFE INSURANCE COMPANY FAILED TO USE POLICY FORMS THAT WERE REVIEWED AND APPROVED BY THE STATE. IN ADDITION, CERTAIN FORMS DID NOT COMPLY WITH STATE REGULATIONS. Status: Final Sanction Detail: NEW YORK LIFE WILL AMEND FORMS IN VIOLATION OF STATE REGULATIONS AND RESUBMIT THEM FOR APPROVAL AND USE. NEW YORK LIFE WILL ALSO AMEND ITS SERVICE AGREEMENT WITH AARP TO STIPULATE NYL CAN ACT ON BEHALF OF AARP TO RECEIVE PREMIUMS DIRECTLY FROM GROUP MEMBERS. FINALLY NYL HAS PAID THE $100,000 FINE. Summary: NEW YORK LIFE AGREED TO A CONSENT ORDER FROM THE STATE AND PAID A FINE OF $100,000 RELATED TO USE OF FORMS IN THE STATE WHICH WERE NOT APPROVED BY OR DID NOT COMPLY WITH STATE REGULATIONS. IN ADDITION TO PAYING THE FINE OF $100,000 ON 12/22/2023, NYL IS ALSO AMENDING FORMS AND AGREEMENT AND RESUBMITTING THEM TO THE STATE TO COMPLY WITH THE APPROPRIATE REGULATIONS.
Regulatory
as of Dec 18, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, EAGLE SETTLED AN ADMINISTRATIVE ACTION WITH THE SEC. THE SETTLEMENT ORDER ("ORDER") FOUND THAT EAGLE WILLFULLY VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 BY BREACHING ITS FIDUCIARY DUTY AND MAKING INADEQUATE DISCLOSURES CONCERNING THE CONFLICTS OF INTEREST PRESENTED BY RECOMMENDING MUTUAL FUND SHARE CLASSES THAT PAID AN AFFILIATE 12B-1 FEES DURING THE PERIOD FROM JANUARY 1, 2014 TO MARCH 30, 2016. Status: Final Sanction Detail: EAGLE MUST PAY DISGORGEMENT AND PREJUDGMENT INTEREST TO AFFECTED INVESTORS TOTALING $101,090.46 WITHIN 150 DAYS OF THE SEC APPROVING THE PAYMENT CALCULATION PURSUANT TO THE ORDER. Summary: EAGLE SELF-REPORTED ITS CONDUCT IN JUNE 2018 UNDER THE SEC'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE. AS PART OF THE SETTLEMENT, EAGLE UNDERTOOK TO REVIEW RELEVANT DISCLOSURE DOCUMENTS; EVALUATE WHETHER EXISTING CLIENTS SHOULD BE MOVED TO A LOWER-COST SHARE CLASS; AND EVALUATE AND REVIEW FOR EFFECTIVENESS EAGLE'S RELEVANT POLICIES AND PROCEDURES AND TAKE ANY NECESSARY CORRECTIVE ACTION. IT ALSO AGREED TO NOTIFY AFFECTED INVESTORS OF THE SETTLEMENT TERMS AND CERTIFY COMPLIANCE WITH THE ABOVE UNDERTAKINGS. FURTHERMORE, THE SEC ORDERED EAGLE TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 206(2), CENSURED EAGLE, AND ORDERED EAGLE TO PAY DISGORGEMENT AND PREJUDGMENT INTEREST TO AFFECTED INVESTORS TOTALING $101,090.46.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- National Financial Services (Fidelity) $29.7B (93% of AUM) Mar 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: Mar 31, 2026.
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