Private Advisor Group, Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 155216
· SEC file 801-72060
· Morristown, NJ
· WWW.PRIVATEADVISORGROUP.COM
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ADV data as of Jul 28, 2026
- Regulatory AUM
- $44.3B
- Discretionary
- $44.3B
- Clients
- 142,225
- Avg AUM / client
- $312K
- Accounts
- 142,226
- Employees
- 674
AUM over time
$27.5M
$106B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 117,657 | $19.9B | 44.9% |
| High net worth individuals | 22,083 | $22.4B | 50.6% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 1,195 | $389M | 0.88% |
| Charitable organizations | 554 | $314M | 0.71% |
| State or municipal government entities | 67 | $435M | 0.98% |
| Other investment advisers | 0 | $0 | — |
| Insurance companies | 12 | $16.5M | 0.04% |
| Sovereign wealth funds and foreign official institutions | 0 | $0 | — |
| Corporations and other businesses | 657 | $825M | 1.86% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (907)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Patric Hyland | Executive Chair | Dec 2010 (16y) | ≈ 10.55% – 50% via Pag Legacy Partners Llc | |
| Patrick James Sullivan | Executive Chair | CFP Chartered Financial Consultant | Dec 2010 (16y) | ≈ 10.55% – 50% via Pag Legacy Partners Llc |
| James J Perhacs | Managing Director, Chief Operating Officer | May 2011 (15y) | Less than 5% | |
| James Daniel Sullivan | Managing Director | Feb 2012 (14y) | Less than 5% | |
| Sean Paul Sullivan | Chief Legal Officer, Chief Privacy Officer | Sep 2012 (14y) | Less than 5% | |
| James Alan Hooks | Chief Compliance Officer, Managing Director | Jan 2019 (8y) | Less than 5% | |
| Moore, Robert, Joseph | Executive Chair | Dec 2020 (6y) | Less than 5% | |
| Franklin R Smith | Chief Executive Officer | Nov 2022 (4y) | Less than 5% | |
| Adam J Schorr | Chief Financial Officer | Mar 2023 (3y) | Less than 5% | |
| Peter E Danese | Registered representative | May 2011 (15y) | ||
| David Scott Bahnick | Registered representative | Chartered Financial Consultant | Aug 2011 (15y) | |
| John William Sullivan | Registered representative | Chartered Financial Consultant | Aug 2011 (15y) | |
| Scott Vincent Parry | Registered representative | Aug 2011 (15y) | ||
| Melinda May Stitt | Registered representative | Aug 2011 (15y) | ||
| Thomas J Roberts | Registered representative | Sep 2011 (15y) | ||
| John Arthur Raudat | Registered representative | Oct 2011 (15y) | ||
| David Breault | Registered representative | Oct 2011 (15y) | ||
| William Hart | Registered representative | Oct 2011 (15y) | ||
| Timothy John Brunnock | Registered representative | Oct 2011 (15y) | ||
| Donald J Pfarr | Registered representative | Nov 2011 (15y) | ||
| Terence Sean Coyle | Registered representative | Chartered Financial Consultant | Nov 2011 (15y) | |
| Paul Alexander Colwell | Registered representative | Nov 2011 (15y) | ||
| Mark Luchesa | Registered representative | Dec 2011 (15y) | ||
| Robert Bruce Cumming | Registered representative | Dec 2011 (15y) | ||
| Daniel W Rowles | Registered representative | CFP | Dec 2011 (15y) | |
| William Francis Hoffman | Registered representative | Dec 2011 (15y) | ||
| Scott Ira Gutman | Registered representative | Jan 2012 (15y) | ||
| Gary Scott Sluck | Registered representative | Feb 2012 (15y) | ||
| Donald John Kremer | Registered representative | CFP | Feb 2012 (14y) | |
| Mark F Kelly | Registered representative | Feb 2012 (14y) | ||
| James Kenneth Lyons | Registered representative | Feb 2012 (14y) | ||
| David John Berkeihiser | Registered representative | CFP Chartered Financial Consultant | Apr 2012 (14y) | |
| Elaine Mueller Shanley | Registered representative | CFP | May 2012 (14y) | |
| Cynthia Klein Goldberg | Registered representative | May 2012 (14y) | ||
| Kalen Dobbins Baxter | Registered representative | CFP | May 2012 (14y) | |
| Duane John Smith | Registered representative | May 2012 (14y) | ||
| Michael Patrick Desaulnier | Registered representative | CFP | Jun 2012 (14y) | |
| Robert Joseph Ditrani | Registered representative | CFP | Jun 2012 (14y) | |
| Roy Michael Blumberg | Registered representative | Jun 2012 (14y) | ||
| Charles Albert Mcglynn | Registered representative | Jun 2012 (14y) | ||
| Thomas Charles Corcimiglia | Registered representative | CFP | Jun 2012 (14y) | |
| Frank Peter Sabatucci | Registered representative | Jun 2012 (14y) | ||
| Mark Anthony Newbould | Registered representative | Jul 2012 (14y) | ||
| Mark Adam Opp | Registered representative | Jul 2012 (14y) | ||
| Tor Erik Hotham | Registered representative | CFP Chartered Financial Consultant | Jul 2012 (14y) | |
| Ryland Charles Hakon Hanstad | Registered representative | Jul 2012 (14y) | ||
| Elaine Marie Potash | Registered representative | CFP Chartered Financial Consultant | Jul 2012 (14y) | |
| Hal David Guy | Registered representative | CFP Chartered Financial Consultant | Jul 2012 (14y) | |
| Jeffrey Michael Tracey | Registered representative | CFP | Jul 2012 (14y) | |
| Steven S Leshner | Registered representative | Chartered Financial Consultant | Jul 2012 (14y) | |
| William Wesley Neighbors | Registered representative | Jul 2012 (14y) | ||
| Ronald Eugene Fisher | Registered representative | Jul 2012 (14y) | ||
| Judy Lee Esau | Registered representative | Chartered Financial Consultant | Aug 2012 (14y) | |
| Dennis Michael Wallace | Registered representative | Aug 2012 (14y) | ||
| David Michael Dahan | Registered representative | Aug 2012 (14y) | ||
| Kevin Patrick Yurko | Registered representative | Aug 2012 (14y) | ||
| Mark Richard Ziemba | Registered representative | Sep 2012 (14y) | ||
| Raymond Joseph Angelo | Registered representative | CFP | Sep 2012 (14y) | |
| Ryan Michael Kittredge | Registered representative | CFP | Oct 2012 (14y) | |
| Megan Bracey Resch | Registered representative | Oct 2012 (14y) | ||
| Adam Bernard Strouse | Registered representative | CFP | Nov 2012 (14y) | |
| Joseph August Frederick | Registered representative | Nov 2012 (14y) | ||
| Daniel Matthew Polizzano | Registered representative | Nov 2012 (14y) | ||
| Steven Louis Coppola | Registered representative | CFP | Nov 2012 (14y) | |
| Vernon Cunningham | Registered representative | Nov 2012 (14y) | ||
| William Joseph Schorp | Registered representative | Nov 2012 (14y) | ||
| Joel Alan Miller | Registered representative | Dec 2012 (14y) | ||
| John P. Galego | Registered representative | Dec 2012 (14y) | ||
| Robert Daniel Anderson | Registered representative | Dec 2012 (14y) | ||
| Hubert Anthony Ross | Registered representative | CFP Chartered Financial Consultant | Dec 2012 (14y) | |
| John Patrick Countryman | Registered representative | Dec 2012 (14y) | ||
| Jeffrey Alan Phillips | Registered representative | Dec 2012 (14y) | ||
| Klaudia Maslo | Registered representative | Jan 2013 (14y) | ||
| Kyle Christopher Colwell | Registered representative | Jan 2013 (14y) | ||
| Diana Marie Colahan | Registered representative | CFP | Jan 2013 (14y) | |
| Thomas Matthew Brown | Registered representative | Jan 2013 (14y) | ||
| Christopher David Knight | Registered representative | CFP | Jan 2013 (14y) | |
| Gregg Robert Manis | Registered representative | Mar 2013 (13y) | ||
| James Allen Valis | Registered representative | Mar 2013 (13y) | ||
| Frank Robert Euvino | Registered representative | Mar 2013 (13y) | ||
| Joseph Barbara | Registered representative | Mar 2013 (13y) | ||
| Richard Austin Pond | Registered representative | Mar 2013 (13y) | ||
| H Birkett Becker | Registered representative | Apr 2013 (13y) | ||
| Jeremy Landon Stanley | Registered representative | CFP | May 2013 (13y) | |
| Richard B Shuster | Registered representative | May 2013 (13y) | ||
| David Joseph Tushingham | Registered representative | May 2013 (13y) | ||
| Daniel Oscar Uribe | Registered representative | Jul 2013 (13y) | ||
| Robert Adam Wiswell | Registered representative | Jul 2013 (13y) | ||
| Gary Michael Pryka | Registered representative | CFP | Aug 2013 (13y) | |
| Alan Matthew Fertel | Registered representative | Aug 2013 (13y) | ||
| Melisa D. B. Mersini | Registered representative | Aug 2013 (13y) | ||
| Walter Joseph Watson | Registered representative | Sep 2013 (13y) | ||
| Christopher E Higgins | Registered representative | CFP | Oct 2013 (13y) | |
| Walter Peter Klisiwecz | Registered representative | CFP | Oct 2013 (13y) | |
| Jeffrey M Mutchler | Registered representative | Nov 2013 (13y) | ||
| Daniel Ford Green | Registered representative | Nov 2013 (13y) | ||
| Ann Sheerin Brinckman | Registered representative | CFP | Nov 2013 (13y) | |
| Michael Richard Conley | Registered representative | Nov 2013 (13y) | ||
| Eric P Wilby | Registered representative | Dec 2013 (13y) | ||
| Brian Roy Derosier | Registered representative | Dec 2013 (13y) | ||
| Christine M Schroeder | Registered representative | Dec 2013 (13y) | ||
| Gregory Michael Hanson | Registered representative | Dec 2013 (13y) | ||
| Michael William Stern | Registered representative | Dec 2013 (13y) | ||
| Paul Robert Wilson | Registered representative | CFP | Dec 2013 (13y) | |
| Scott Allan Rall | Registered representative | Dec 2013 (13y) | ||
| Matthew Dougald Mckellar | Registered representative | Dec 2013 (13y) | ||
| Albert Clement Pryka | Registered representative | Jan 2014 (13y) | ||
| Bruce Evan Risler | Registered representative | Jan 2014 (13y) | ||
| John Davis Ursu | Registered representative | Jan 2014 (13y) | ||
| Mark D Alpert | Registered representative | Jan 2014 (13y) | ||
| Douglas P. Duerr | Registered representative | CFP | Jan 2014 (13y) | |
| Douglas Michael Washburn | Registered representative | Jan 2014 (13y) | ||
| John Phillip Carney | Registered representative | Jan 2014 (13y) | ||
| Vishal Gaur | Registered representative | Chartered Financial Consultant | Jan 2014 (13y) | |
| Thomas Scott Teasck | Registered representative | Jan 2014 (13y) | ||
| Nicholas Samuel Perod | Registered representative | Feb 2014 (12y) | ||
| Jonathan Lloyd Carpenter | Registered representative | Feb 2014 (12y) | ||
| Robert Brett Petersmark | Registered representative | Feb 2014 (12y) | ||
| Thomas William Dunn | Registered representative | Mar 2014 (12y) | ||
| Thomas Alan Masters | Registered representative | Mar 2014 (12y) | ||
| Martin A Wissing | Registered representative | Mar 2014 (12y) | ||
| Robert Roy Everitt | Registered representative | CFP | Mar 2014 (12y) | |
| Erin Colleen Eason | Registered representative | Apr 2014 (12y) | ||
| Daniel Joseph Crocker | Registered representative | CFP | May 2014 (12y) | |
| John Christopher Kraeutler | Registered representative | May 2014 (12y) | ||
| Martin Barry Lader | Registered representative | May 2014 (12y) | ||
| James Scott Sullivan | Registered representative | Jun 2014 (12y) | ||
| Jeremy Grant Tincher | Registered representative | CFP | Jun 2014 (12y) | |
| Andrew James Wilson | Registered representative | CFP | Jul 2014 (12y) | |
| Mark Jacob Goldstein | Registered representative | Jul 2014 (12y) | ||
| Terri Elizabeth Krueger | Registered representative | Chartered Financial Consultant | Aug 2014 (12y) | |
| Robert Michael Schwartz | Registered representative | Aug 2014 (12y) | ||
| Brett Raymond Cloak | Registered representative | Sep 2014 (12y) | ||
| Kimberly A Oswald | Registered representative | Sep 2014 (12y) | ||
| Shawn Thomas Hines | Registered representative | Sep 2014 (12y) | ||
| Howard J Moyer | Registered representative | Oct 2014 (12y) | ||
| Benjamin Louis Lodico | Registered representative | Nov 2014 (12y) | ||
| Paul Christopher Krueger | Registered representative | Nov 2014 (12y) | ||
| Richard Ferris Samara | Registered representative | CFP | Nov 2014 (12y) | |
| Scott Jeffrey Tapper | Registered representative | Nov 2014 (12y) | ||
| Shane William Mccormick | Registered representative | CFP | Nov 2014 (12y) | |
| Thomas Henry Vickers | Registered representative | Chartered Financial Consultant | Nov 2014 (12y) | |
| Ashley J Haubrich | Registered representative | Dec 2014 (12y) | ||
| Daniel Ross Helf | Registered representative | Dec 2014 (12y) | ||
| Ralph Elmer Rosamilia | Registered representative | Dec 2014 (12y) | ||
| Michael Joseph Hecht | Registered representative | Dec 2014 (12y) | ||
| Gerald Naber | Registered representative | Dec 2014 (12y) | ||
| William A. Wittich | Registered representative | Dec 2014 (12y) | ||
| James John Mcbratney | Registered representative | Dec 2014 (12y) | ||
| Peter Marc Kraus | Registered representative | CFP | Mar 2015 (11y) | |
| Kelsey Rae Peacock | Registered representative | Mar 2015 (11y) | ||
| Michelle Jochum Hallenbeck | Registered representative | Mar 2015 (11y) | ||
| Evan C Imfeld | Registered representative | Mar 2015 (11y) | ||
| Lester Haven Botkin | Registered representative | CFA | Mar 2015 (11y) | |
| Sara Banes Botkin | Registered representative | CFP | Mar 2015 (11y) | |
| Lester Provan Botkin | Registered representative | Mar 2015 (11y) | ||
| Kevin C Beaudoin | Registered representative | May 2015 (11y) | ||
| Nathanael Carey Flynn | Registered representative | CFP | May 2015 (11y) | |
| Jason C Legg | Registered representative | Jun 2015 (11y) | ||
| Jeremy Caleb Mason | Registered representative | Jun 2015 (11y) | ||
| Scott Warren Nihart | Registered representative | Jun 2015 (11y) | ||
| Anne Theresa Sullivan | Registered representative | Jun 2015 (11y) | ||
| Nathan Edward Reusser | Registered representative | CFP | Jun 2015 (11y) | |
| Joseph R Gazall | Registered representative | Jun 2015 (11y) | ||
| Mark Andrew Casciola | Registered representative | Jun 2015 (11y) | ||
| Daniel John Jago | Registered representative | Jun 2015 (11y) | ||
| Robert Walter Scott | Registered representative | CFP | Jun 2015 (11y) | |
| Trevor K Skaar | Registered representative | Jun 2015 (11y) | ||
| Jay Patrick O'brien | Registered representative | CFP | Jun 2015 (11y) | |
| Ryan Rech | Registered representative | Jul 2015 (11y) | ||
| James Edward Dy | Registered representative | Jul 2015 (11y) | ||
| Shawn Francis Mccombs | Registered representative | Jul 2015 (11y) | ||
| Regina Mccann Hess | Registered representative | CFP | Jul 2015 (11y) | |
| William Conrad Weckesser | Registered representative | Jul 2015 (11y) | ||
| Thomas William Rose | Registered representative | Jul 2015 (11y) | ||
| Isaac Robert Cockfield | Registered representative | CFP | Jul 2015 (11y) | |
| Samuel Jason Butler | Registered representative | Aug 2015 (11y) | ||
| David Scott Corson | Registered representative | Aug 2015 (11y) | ||
| John Gaynor Venne | Registered representative | CFP Chartered Financial Consultant | Aug 2015 (11y) | |
| Kevin Joseph Ross | Registered representative | Aug 2015 (11y) | ||
| Mark Joseph Caprarola | Registered representative | Aug 2015 (11y) | ||
| Michael Joseph Sharp | Registered representative | Aug 2015 (11y) | ||
| Eric Matthew Freckman | Registered representative | CFP | Sep 2015 (11y) | |
| Michael Thomas Mckevitt | Registered representative | CFP | Sep 2015 (11y) | |
| Eric Franklin Nesheim | Registered representative | Sep 2015 (11y) | ||
| Michael Benkovic | Registered representative | CFP | Sep 2015 (11y) | |
| Christopher R. Camburn | Registered representative | CFP | Sep 2015 (11y) | |
| Blake M Beebe | Registered representative | Sep 2015 (11y) | ||
| Alan Edward Runkel | Registered representative | Oct 2015 (11y) | ||
| Kimberly Beth Visco | Registered representative | Oct 2015 (11y) | ||
| Thomas John Neess | Registered representative | Oct 2015 (11y) | ||
| Daniel Thomas Murphy | Registered representative | CFP | Oct 2015 (11y) | |
| William Anthony Eaton | Registered representative | Oct 2015 (11y) | ||
| Lindsay Davis Burnham | Registered representative | Oct 2015 (11y) | ||
| Joseph Stephen Razzano | Registered representative | Nov 2015 (11y) | ||
| Matthew Kelly Warren | Registered representative | Nov 2015 (11y) | ||
| David Ronald Hatfield | Registered representative | CFP | Dec 2015 (11y) | |
| Anthony Joseph Arcuri | Registered representative | Dec 2015 (11y) | ||
| William Angelo | Registered representative | Jan 2016 (11y) | ||
| Cameron Thomas Staley | Registered representative | Jan 2016 (11y) | ||
| Brandon Robert Edwards | Registered representative | Mar 2016 (10y) | ||
| David Samuel Gerkin | Registered representative | Mar 2016 (10y) | ||
| Martin Dalton Porter | Registered representative | Mar 2016 (10y) | ||
| Dominic Anthony Oteri | Registered representative | CFP | Mar 2016 (10y) | |
| John A Franchi | Registered representative | Mar 2016 (10y) | ||
| Steven Charles Champagne | Registered representative | Mar 2016 (10y) | ||
| Travis Ryan Jacques | Registered representative | Mar 2016 (10y) | ||
| Jonathan Scott Frisch | Registered representative | Mar 2016 (10y) | ||
| Max Gregory Weintraub | Registered representative | Mar 2016 (10y) | ||
| Albert Charles Angelos | Registered representative | Apr 2016 (10y) | ||
| Jeffrey Hugh White | Registered representative | Apr 2016 (10y) | ||
| Evan Patrick Franckhauser | Registered representative | Apr 2016 (10y) | ||
| Leah Marie Burke | Registered representative | Apr 2016 (10y) | ||
| Matthew Rynbrandt | Registered representative | May 2016 (10y) | ||
| Daniel Michael Rosenthal | Registered representative | Jun 2016 (10y) | ||
| Robert Cole Schwarz | Registered representative | Jun 2016 (10y) | ||
| John Peter Foster | Registered representative | Jun 2016 (10y) | ||
| Richard Paul Sheilds | Registered representative | Jun 2016 (10y) | ||
| Matthew Wayne Brown | Registered representative | Jul 2016 (10y) | ||
| Michael Wayne Brown | Registered representative | Jul 2016 (10y) | ||
| Kathy Ann Mohn | Registered representative | Aug 2016 (10y) | ||
| Jerry Shane Cohoon | Registered representative | Aug 2016 (10y) | ||
| Matthew Thomas Gilmore | Registered representative | Aug 2016 (10y) | ||
| Jason Paul Codrea | Registered representative | Aug 2016 (10y) | ||
| Erin Lapidus | Registered representative | Sep 2016 (10y) | ||
| Jeffrey Brent Lapidus | Registered representative | Sep 2016 (10y) | ||
| Jason Alan Gaylor | Registered representative | Oct 2016 (10y) | ||
| Drew William Boyer | Registered representative | Oct 2016 (10y) | ||
| William Trevor Greear | Registered representative | Oct 2016 (10y) | ||
| John Wescott Beasley | Registered representative | Oct 2016 (10y) | ||
| Bradden Glen Kimes | Registered representative | Nov 2016 (10y) | ||
| Bernard Paul Martin | Registered representative | Nov 2016 (10y) | ||
| Colin Davis Cissne | Registered representative | Nov 2016 (10y) | ||
| Joshua James Anglin | Registered representative | Dec 2016 (10y) | ||
| Thomas Michael Compernolle | Registered representative | Chartered Financial Consultant | Dec 2016 (10y) | |
| Andrew James Kennedy | Registered representative | Dec 2016 (10y) | ||
| Ener Almanza | Registered representative | Jan 2017 (10y) | ||
| Eric William Dean | Registered representative | Jan 2017 (10y) | ||
| Eric Joseph Connors | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Gregory Thomas Larson | Registered representative | Jan 2017 (10y) | ||
| Brian Ross Michaels | Registered representative | CFP | Feb 2017 (9y) | |
| Keith Michael Keller | Registered representative | CFP | Feb 2017 (9y) | |
| Gavin Richard Lodge | Registered representative | Mar 2017 (9y) | ||
| Lisa Marie Dollerschell Conwell | Registered representative | Apr 2017 (9y) | ||
| Danielle Butler Wilson | Registered representative | May 2017 (9y) | ||
| Joshua David Black | Registered representative | CFP | May 2017 (9y) | |
| Beau David Mankin | Registered representative | Jun 2017 (9y) | ||
| Robert Alan Wells | Registered representative | Jun 2017 (9y) | ||
| Craig D Breitsprecher | Registered representative | Jul 2017 (9y) | ||
| Robert Rene Peters | Registered representative | Jul 2017 (9y) | ||
| Edward John Livrieri | Registered representative | CFP | Jul 2017 (9y) | |
| John V Dolan | Registered representative | Aug 2017 (9y) | ||
| Mark Alan Morgan | Registered representative | CFP | Aug 2017 (9y) | |
| William G Ryon | Registered representative | Sep 2017 (9y) | ||
| Kent Schmidt | Registered representative | Sep 2017 (9y) | ||
| William Edward Ryan | Registered representative | CFP | Oct 2017 (9y) | |
| Dechristopher Curtin | Registered representative | Oct 2017 (9y) | ||
| Jonathan Taylor Harris | Registered representative | Oct 2017 (9y) | ||
| Laura Kay Rolling | Registered representative | Oct 2017 (9y) | ||
| Gilbert Keith Neighbors | Registered representative | Nov 2017 (9y) | ||
| Craig Bernard Cacase | Registered representative | Nov 2017 (9y) | ||
| John Stephen Cahill | Registered representative | Nov 2017 (9y) | ||
| Robert Michael Sorge | Registered representative | Nov 2017 (9y) | ||
| James W Gore | Registered representative | Nov 2017 (9y) | ||
| Jathan W Stisher | Registered representative | Nov 2017 (9y) | ||
| Terese A Roberts | Registered representative | Nov 2017 (9y) | ||
| Justin David Druckenmiller | Registered representative | Nov 2017 (9y) | ||
| Gregory Scott Kupiec | Registered representative | Dec 2017 (9y) | ||
| Tina Marie Seasock | Registered representative | Dec 2017 (9y) | ||
| Robert William Fink | Registered representative | CFP | Dec 2017 (9y) | |
| Timothy Leigh Waite | Registered representative | CFP | Dec 2017 (9y) | |
| Jeffrey Jon Sartorius | Registered representative | CFP | Dec 2017 (9y) | |
| Eric Vaughn Sluss | Registered representative | CFP | Dec 2017 (9y) | |
| Charles Richard Kedra | Registered representative | Jan 2018 (9y) | ||
| June Kelly Flint | Registered representative | Jan 2018 (9y) | ||
| Warren Bernard Gallagher | Registered representative | CFP | Jan 2018 (9y) | |
| Caitlin Strunk | Registered representative | CFP | Jan 2018 (9y) | |
| Zebediah Stone Becker | Registered representative | Jan 2018 (9y) | ||
| Ehrnest Ellsworth Ballagh | Registered representative | Feb 2018 (8y) | ||
| Joseph Spencer Norris | Registered representative | Feb 2018 (8y) | ||
| James Henry Clark | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Louis Joseph Butera | Registered representative | CFP | Feb 2018 (8y) | |
| Robert Pittman Jones | Registered representative | CFP | Mar 2018 (8y) | |
| Matthew William Karis | Registered representative | CFP Chartered Financial Consultant | Apr 2018 (8y) | |
| Molly Anne Brown | Registered representative | Apr 2018 (8y) | ||
| Patrick Andrew Teel Mcmahon | Registered representative | CFP | May 2018 (8y) | |
| Tony Roscoe Pruitt | Registered representative | Jun 2018 (8y) | ||
| Scott Randall Stevens | Registered representative | Jul 2018 (8y) | ||
| Diana Claire Lougen | Registered representative | Jul 2018 (8y) | ||
| Richard L Doll | Registered representative | Oct 2018 (8y) | ||
| Michael Ron Onkes | Registered representative | Oct 2018 (8y) | ||
| Paul Buehner Merrill | Registered representative | Oct 2018 (8y) | ||
| David Joel Brower | Registered representative | CFP | Oct 2018 (8y) | |
| James Francis Worfolk | Registered representative | Oct 2018 (8y) | ||
| Mathew Parsons | Registered representative | Nov 2018 (8y) | ||
| Bryan Laverman | Registered representative | Nov 2018 (8y) | ||
| Chad Jeremy Mast | Registered representative | CFP | Nov 2018 (8y) | |
| James Robert Mehok | Registered representative | Nov 2018 (8y) | ||
| Michael Adrian Porrey | Registered representative | CFP | Dec 2018 (8y) | |
| Brian Lane Smith | Registered representative | Dec 2018 (8y) | ||
| Timothy John Mckenna Jr | Registered representative | Dec 2018 (8y) | ||
| James Patton Clark | Registered representative | Jan 2019 (8y) | ||
| Kevin Michael Gaines | Registered representative | CFP | Jan 2019 (8y) | |
| Stephanie White Mc Cullough | Registered representative | Jan 2019 (8y) | ||
| George Christopher Sukkar | Registered representative | CFP | Jan 2019 (8y) | |
| Daniel Capper Youngblood | Registered representative | CFP | Feb 2019 (8y) | |
| Dianne Lynn Paroubek | Registered representative | Feb 2019 (8y) | ||
| Ralph Lamar Youngblood | Registered representative | Feb 2019 (8y) | ||
| Steve Jerome Cotton | Registered representative | Feb 2019 (8y) | ||
| Nicholas Allan Perazzolo | Registered representative | Feb 2019 (7y) | ||
| Maria D Montilla Frost | Registered representative | Feb 2019 (7y) | ||
| Philip Leonardo Platania | Registered representative | Mar 2019 (7y) | ||
| Jason Velencia | Registered representative | Mar 2019 (7y) | ||
| Janet Marie Horowitz | Registered representative | Apr 2019 (7y) | ||
| Mark Edward Thompson | Registered representative | Apr 2019 (7y) | ||
| Roy Alan Shubert | Registered representative | Chartered Financial Consultant Personal Financial Specialist | Apr 2019 (7y) | |
| Aaron Michael Katyl | Registered representative | May 2019 (7y) | ||
| Bradley Elon Mainster | Registered representative | Chartered Financial Consultant | May 2019 (7y) | |
| Victoria Elizabeth Lindsey | Registered representative | May 2019 (7y) | ||
| Sean Errol Dehaan | Registered representative | Jun 2019 (7y) | ||
| John Greer | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Eric Brian Waggoner | Registered representative | CFP Chartered Financial Consultant CFA | Jul 2019 (7y) | |
| Kiley Anne Eory | Registered representative | CFP Chartered Financial Consultant | Jul 2019 (7y) | |
| Alexander Ryan Pryka | Registered representative | Jul 2019 (7y) | ||
| Frederick Lawrence Scheeler | Registered representative | CFP Chartered Financial Consultant | Aug 2019 (7y) | |
| Anthony J Poe | Registered representative | Aug 2019 (7y) | ||
| Ross James Barbatti | Registered representative | Sep 2019 (7y) | ||
| Cathleen Patrice Mccloy | Registered representative | CFP | Oct 2019 (7y) | |
| Henry Thomas Bolen | Registered representative | CFP | Oct 2019 (7y) | |
| Felipe Castaneda | Registered representative | CFP | Oct 2019 (7y) | |
| Henry Matthew Hernandez | Registered representative | Oct 2019 (7y) | ||
| Jim David Pinkston | Registered representative | CFP | Oct 2019 (7y) | |
| Marilyn L Quinn | Registered representative | CFP | Oct 2019 (7y) | |
| Steven James Tackman | Registered representative | Oct 2019 (7y) | ||
| Raymond Allen Thomas | Registered representative | Oct 2019 (7y) | ||
| Dennis Edward Synesael | Registered representative | Chartered Financial Consultant | Oct 2019 (7y) | |
| Douglas Bryan Holder | Registered representative | CFP | Oct 2019 (7y) | |
| Garrett Ryan Cheney | Registered representative | Oct 2019 (7y) | ||
| A. Nicholas Strom Olsen | Registered representative | Oct 2019 (7y) | ||
| Christopher Brian Noyalis | Registered representative | Nov 2019 (7y) | ||
| Melissa Ann Darden | Registered representative | Nov 2019 (7y) | ||
| Wendy M Kelly | Registered representative | Nov 2019 (7y) | ||
| William Thomas Rabbitt | Registered representative | CFP | Nov 2019 (7y) | |
| Samantha Vincent Sizemore | Registered representative | Dec 2019 (7y) | ||
| Michael Andrew Rabbitt | Registered representative | CFP | Dec 2019 (7y) | |
| Daniel Vincent Giaimo | Registered representative | CFP | Jan 2020 (7y) | |
| James Thomas Barnette | Registered representative | CFP | Jan 2020 (7y) | |
| Jennifer Eva Donnelly | Registered representative | Jan 2020 (7y) | ||
| Joan Marie Confoy | Registered representative | CFP | Jan 2020 (7y) | |
| Joseph Schaffer Pabis | Registered representative | CFP | Jan 2020 (7y) | |
| Jeffrey Bernard Byas | Registered representative | Jan 2020 (7y) | ||
| Katrina Leigh Freedman | Registered representative | Jan 2020 (7y) | ||
| Lone Maria Bjork | Registered representative | Jan 2020 (7y) | ||
| Brian Michael Mc Govern | Registered representative | Mar 2020 (6y) | ||
| Tyler Jordan Samko | Registered representative | Mar 2020 (6y) | ||
| Harry Stephen Lodge | Registered representative | Apr 2020 (6y) | ||
| Lawrence Jay Cole | Registered representative | May 2020 (6y) | ||
| Shane Adkins | Registered representative | CFP | May 2020 (6y) | |
| Zachary Michael Bromley | Registered representative | May 2020 (6y) | ||
| Brian Dorflinger | Registered representative | May 2020 (6y) | ||
| William Pennington Dunn | Registered representative | Jun 2020 (6y) | ||
| Celia Cayce | Registered representative | Jun 2020 (6y) | ||
| Daniel Alan Sellers | Registered representative | Jun 2020 (6y) | ||
| Kyle Thomas Malavasi | Registered representative | CFP | Jun 2020 (6y) | |
| Kelly Anne Mecca | Registered representative | CFP | Jul 2020 (6y) | |
| John V O'hara | Registered representative | CFP | Jul 2020 (6y) | |
| Christopher Eric Dziklinski | Registered representative | Aug 2020 (6y) | ||
| Andrew Marc Newman | Registered representative | Sep 2020 (6y) | ||
| John Lewis Bays | Registered representative | Sep 2020 (6y) | ||
| Benjamin Alvis Gentry | Registered representative | Oct 2020 (6y) | ||
| Cari Anne Smith | Registered representative | Oct 2020 (6y) | ||
| Neil Thomas Hartzog | Registered representative | CFP | Oct 2020 (6y) | |
| Thomas Waterway | Registered representative | Oct 2020 (6y) | ||
| Joseph Alexander Cuozzi | Registered representative | Oct 2020 (6y) | ||
| Stephen Mark Littenberg | Registered representative | CFP Chartered Financial Consultant | Oct 2020 (6y) | |
| William Blair Hammond | Registered representative | Chartered Financial Consultant | Oct 2020 (6y) | |
| Ellen Katherine Duffy | Registered representative | CFP | Nov 2020 (6y) | |
| Jarrod L Renninger | Registered representative | Nov 2020 (6y) | ||
| Lee Dennis Berger | Registered representative | CFP | Nov 2020 (6y) | |
| William Patrick Davis | Registered representative | CFP | Nov 2020 (6y) | |
| Jarrod Michael Trouy | Registered representative | Dec 2020 (6y) | ||
| Michael Ray Lysenko | Registered representative | Dec 2020 (6y) | ||
| Robert Bubser | Registered representative | Dec 2020 (6y) | ||
| Joseph Craig Conroy | Registered representative | Jan 2021 (6y) | ||
| Gregory Grant Hood | Registered representative | Jan 2021 (6y) | ||
| Joshua Steven Grogan | Registered representative | Jan 2021 (6y) | ||
| Keith Gerard Wetjen | Registered representative | CFP | Feb 2021 (5y) | |
| Peter C Pabich | Registered representative | CFP | Feb 2021 (5y) | |
| Megan Teresa Wursta | Registered representative | CFP | Feb 2021 (5y) | |
| Gregory Allen Custer | Registered representative | Feb 2021 (5y) | ||
| Mark Richard Reimet | Registered representative | CFP | Feb 2021 (5y) | |
| Terry Lee Kors | Registered representative | Feb 2021 (5y) | ||
| Eric James Vasil | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| Suzanne Annette Lake | Registered representative | Mar 2021 (5y) | ||
| Christopher Scott Kent | Registered representative | Mar 2021 (5y) | ||
| Christopher J Dame | Registered representative | May 2021 (5y) | ||
| Patrick Daniel Newton | Registered representative | May 2021 (5y) | ||
| Joseph Lazarus Soricelli | Registered representative | May 2021 (5y) | ||
| John Scott Winchek | Registered representative | May 2021 (5y) | ||
| Joseph Raymond Pigot | Registered representative | May 2021 (5y) | ||
| Joel Martin Morawski | Registered representative | CFP | May 2021 (5y) | |
| John G Gigliello | Registered representative | May 2021 (5y) | ||
| Edward Joseph Dempsey | Registered representative | CFP | May 2021 (5y) | |
| Joseph Francis Koehler | Registered representative | CFP | May 2021 (5y) | |
| Peter Francis Brucato | Registered representative | CFP CFA | May 2021 (5y) | |
| Karen Scheele Detorres | Registered representative | CFP Chartered Financial Consultant | May 2021 (5y) | |
| Kevin Mitchell Myers | Registered representative | CFP CFA | May 2021 (5y) | |
| Brian A Slattery | Registered representative | CFP | May 2021 (5y) | |
| Joseph John Hermann | Registered representative | May 2021 (5y) | ||
| Lee Martin Masquelier | Registered representative | May 2021 (5y) | ||
| Steven L. Kennedy | Registered representative | CFP | May 2021 (5y) | |
| Adam J Loedel | Registered representative | CFP Chartered Financial Consultant | May 2021 (5y) | |
| Bruce Russel Gaynor | Registered representative | May 2021 (5y) | ||
| John Bosco Walsh | Registered representative | May 2021 (5y) | ||
| Christina Koehler | Registered representative | May 2021 (5y) | ||
| Constantine J Kitrinos | Registered representative | May 2021 (5y) | ||
| David T Georgiev | Registered representative | May 2021 (5y) | ||
| Luis Alfonso Granados | Registered representative | CFP | May 2021 (5y) | |
| Sandra Alterio Barry | Registered representative | May 2021 (5y) | ||
| Timothy Christian Drumm | Registered representative | May 2021 (5y) | ||
| Kenneth Michael Ford | Registered representative | May 2021 (5y) | ||
| Mark Joseph Libersher | Registered representative | May 2021 (5y) | ||
| Miguel Gonzalez | Registered representative | May 2021 (5y) | ||
| Nathan Robert Stevens | Registered representative | May 2021 (5y) | ||
| Peter V Trulli | Registered representative | May 2021 (5y) | ||
| Steven Eric Gottlieb | Registered representative | May 2021 (5y) | ||
| Timothy Patrick Flynn | Registered representative | May 2021 (5y) | ||
| James Salvatore Mantione | Registered representative | Jun 2021 (5y) | ||
| Krzysztof Kolba | Registered representative | CFP | Jun 2021 (5y) | |
| Patrick Lennon | Registered representative | Jun 2021 (5y) | ||
| Francine L Olk | Registered representative | Jun 2021 (5y) | ||
| John A Carbone | Registered representative | Jun 2021 (5y) | ||
| Joshua Fein | Registered representative | Jun 2021 (5y) | ||
| Keith Silvio Salegna | Registered representative | Jun 2021 (5y) | ||
| Thomas Montulli | Registered representative | Jun 2021 (5y) | ||
| Ray Young | Registered representative | Jun 2021 (5y) | ||
| John Matthew Raque | Registered representative | Jun 2021 (5y) | ||
| Marc Judd Scharf | Registered representative | Jun 2021 (5y) | ||
| Colin Desmond Pratt | Registered representative | CFP | Jun 2021 (5y) | |
| Matthew Charles Collard | Registered representative | Jun 2021 (5y) | ||
| Michael Joseph Pratt | Registered representative | CFA | Jun 2021 (5y) | |
| Winthrop Lawrence Buck | Registered representative | CFP | Jun 2021 (5y) | |
| Heather Anne Marcus | Registered representative | Jun 2021 (5y) | ||
| Robert Frank Hopper | Registered representative | Chartered Financial Consultant | Jul 2021 (5y) | |
| Erin M Schuster | Registered representative | Jul 2021 (5y) | ||
| Richard Matthieu Marciano | Registered representative | CFP | Jul 2021 (5y) | |
| Julia Claire Simmons | Registered representative | Jul 2021 (5y) | ||
| Raymond Carl Bolleia | Registered representative | Jul 2021 (5y) | ||
| Troy Edward Miller | Registered representative | CFP Chartered Financial Consultant | Aug 2021 (5y) | |
| Joseph H Katelman | Registered representative | Aug 2021 (5y) | ||
| Connor Lewis Carnduff | Registered representative | CFP | Aug 2021 (5y) | |
| Trevor S Wallner | Registered representative | CFP | Aug 2021 (5y) | |
| Ankit Kumar Jalan | Registered representative | Aug 2021 (5y) | ||
| Wayne Scott Segear | Registered representative | CFP | Aug 2021 (5y) | |
| Joseph Wayne Globensky | Registered representative | Aug 2021 (5y) | ||
| Jan Deane Warzecha | Registered representative | Aug 2021 (5y) | ||
| Kathryn Bridget Schneider | Registered representative | CFP | Aug 2021 (5y) | |
| Matthew Sean Sherman | Registered representative | Aug 2021 (5y) | ||
| Harlin Christopher Noel | Registered representative | Aug 2021 (5y) | ||
| Joseph Solomon | Registered representative | CFP | Aug 2021 (5y) | |
| Paul Keith Kupchok | Registered representative | Sep 2021 (5y) | ||
| James Thomas Pigot | Registered representative | Sep 2021 (5y) | ||
| Anthony Robert Pettograsso | Registered representative | Oct 2021 (5y) | ||
| Shelley Anne Reeves | Registered representative | Oct 2021 (5y) | ||
| Daniel Michael Malloy | Registered representative | Oct 2021 (5y) | ||
| Richard Charles Summers | Registered representative | Oct 2021 (5y) | ||
| John Michael Sirrine | Registered representative | Nov 2021 (5y) | ||
| Harold Vincent Laudien | Registered representative | Nov 2021 (5y) | ||
| Eric Oscar Wolf | Registered representative | Dec 2021 (5y) | ||
| Daniel John Bakker | Registered representative | CFP | Jan 2022 (5y) | |
| Jason Oliver Norton | Registered representative | CFP | Jan 2022 (5y) | |
| Keegan Conrad Weckesser | Registered representative | Jan 2022 (5y) | ||
| Erik Jordan Myers | Registered representative | Jan 2022 (5y) | ||
| Jeffrey Carl Grenchik | Registered representative | CFP | Feb 2022 (4y) | |
| Taylor Alan Massa | Registered representative | Feb 2022 (4y) | ||
| Louis Michael Dangelo | Registered representative | Feb 2022 (4y) | ||
| Mary Beth B Donas | Registered representative | CFP | Feb 2022 (4y) | |
| Niko Isaiah Camacho | Registered representative | Mar 2022 (4y) | ||
| Kimberly Flynn | Registered representative | Mar 2022 (4y) | ||
| Connor Monahan Gaarder | Registered representative | Mar 2022 (4y) | ||
| Elizabeth Ann Dehn | Registered representative | Mar 2022 (4y) | ||
| Evan John Meyer | Registered representative | CFP | Mar 2022 (4y) | |
| James Lawrence Chapple | Registered representative | Mar 2022 (4y) | ||
| Jeffrey Roger Doom | Registered representative | CFP | Mar 2022 (4y) | |
| Matthew Richard Norland | Registered representative | CFP | Mar 2022 (4y) | |
| Michael Robert Vitale | Registered representative | CFP | Mar 2022 (4y) | |
| Patrick Martin Stenson | Registered representative | Mar 2022 (4y) | ||
| Philip John Anderson | Registered representative | Mar 2022 (4y) | ||
| Richard John Anderson | Registered representative | Mar 2022 (4y) | ||
| Rodney Lynn Meyer | Registered representative | Mar 2022 (4y) | ||
| Timothy David Gaarder | Registered representative | Mar 2022 (4y) | ||
| Troy Allen Gourde | Registered representative | Mar 2022 (4y) | ||
| Tyler Scott Christenson | Registered representative | Mar 2022 (4y) | ||
| Eric Thomas Norman | Registered representative | Mar 2022 (4y) | ||
| Lucas J Anderson | Registered representative | Mar 2022 (4y) | ||
| Michael T Tervo | Registered representative | Mar 2022 (4y) | ||
| Richard Mark Berquist | Registered representative | Mar 2022 (4y) | ||
| Ronald James Bickford | Registered representative | Mar 2022 (4y) | ||
| Thomas Allan Miller | Registered representative | Mar 2022 (4y) | ||
| Janice Nicole Guinn | Registered representative | CFP | Mar 2022 (4y) | |
| Stephen Christopher North | Registered representative | Mar 2022 (4y) | ||
| William Snuggerud | Registered representative | Mar 2022 (4y) | ||
| David Michael Kleinholter | Registered representative | Mar 2022 (4y) | ||
| James Biddlecomb Galbraith | Registered representative | CFP | Mar 2022 (4y) | |
| Jay Schwartz | Registered representative | Mar 2022 (4y) | ||
| Tyler Eppich | Registered representative | Apr 2022 (4y) | ||
| Michael John Guarino | Registered representative | Apr 2022 (4y) | ||
| Matthew John Dempsey | Registered representative | Apr 2022 (4y) | ||
| Richard A. Rosa | Registered representative | Apr 2022 (4y) | ||
| Emma Michelle Goetz | Registered representative | CFP | Apr 2022 (4y) | |
| Michael James Shaub | Registered representative | Apr 2022 (4y) | ||
| Richard Ning Suder | Registered representative | Apr 2022 (4y) | ||
| Ryan Tate Peters | Registered representative | May 2022 (4y) | ||
| Samuel John Whelan | Registered representative | CFP | May 2022 (4y) | |
| Nathaniel James Barnette | Registered representative | CFP | Jun 2022 (4y) | |
| Charles A. Noonan | Registered representative | Jun 2022 (4y) | ||
| Katie R Molander | Registered representative | Jun 2022 (4y) | ||
| Jason Michael Mc Carthy | Registered representative | Jun 2022 (4y) | ||
| Joseph Michael Masella | Registered representative | Jul 2022 (4y) | ||
| Thomas H. Lazenby | Registered representative | Jul 2022 (4y) | ||
| William Lawrence Holden | Registered representative | Jul 2022 (4y) | ||
| Thomas F Furey | Registered representative | Aug 2022 (4y) | ||
| Christine Lynn Hagen | Registered representative | CFP | Aug 2022 (4y) | |
| Trent Chapman Huston | Registered representative | Chartered Financial Consultant | Aug 2022 (4y) | |
| Elizabeth Anne Debassio | Registered representative | Personal Financial Specialist | Aug 2022 (4y) | |
| Howard Jerome Arend | Registered representative | CFP Chartered Financial Consultant | Aug 2022 (4y) | |
| Paul David Mulholland | Registered representative | CFP | Sep 2022 (4y) | |
| James Phillip Quinlan | Registered representative | CFP Chartered Financial Consultant Personal Financial Specialist | Sep 2022 (4y) | |
| James Thomas Parks | Registered representative | CFP | Sep 2022 (4y) | |
| Jonathon Allen | Registered representative | CFP | Sep 2022 (4y) | |
| Ryan Keith Scott | Registered representative | Sep 2022 (4y) | ||
| Nathan Asante Addo | Registered representative | CFP | Sep 2022 (4y) | |
| Andrew Conrad Karlinski | Registered representative | CFP | Sep 2022 (4y) | |
| Brett Coleman Lonergan | Registered representative | CFP CFA | Sep 2022 (4y) | |
| Nicholas Thomas Rossi | Registered representative | CFP | Sep 2022 (4y) | |
| Ronald David Halterman | Registered representative | CFP | Sep 2022 (4y) | |
| Susan Ruth Arnold | Registered representative | CFP | Sep 2022 (4y) | |
| Jason Philip Neslony | Registered representative | Oct 2022 (4y) | ||
| Eric Jordan Lyons | Registered representative | Oct 2022 (4y) | ||
| Liam Thomas Mcgarry | Registered representative | Oct 2022 (4y) | ||
| Pasquale Carannante | Registered representative | Oct 2022 (4y) | ||
| Susan Jones Martin | Registered representative | CFP | Oct 2022 (4y) | |
| Christopher Ian Dorsey | Registered representative | Nov 2022 (4y) | ||
| James Alan Turk | Registered representative | Nov 2022 (4y) | ||
| Theresa Rose Bolen | Registered representative | Nov 2022 (4y) | ||
| Edward Scott Smith | Registered representative | Nov 2022 (4y) | ||
| Kathryn Murphy | Registered representative | Dec 2022 (4y) | ||
| Jamie Lee Ireland | Registered representative | Dec 2022 (4y) | ||
| John Jerry Strasburger | Registered representative | CFP | Dec 2022 (4y) | |
| John Patrick Hamilton | Registered representative | Jan 2023 (4y) | ||
| Lauren Emilia Mc Grath | Registered representative | Jan 2023 (4y) | ||
| Michael Hugh Crumley | Registered representative | Jan 2023 (4y) | ||
| Justin Nathan Petersmark | Registered representative | Jan 2023 (4y) | ||
| Ryan Christopher Brunnock | Registered representative | Jan 2023 (4y) | ||
| William C Magill | Registered representative | Jan 2023 (4y) | ||
| William Thomas Tortorice | Registered representative | Feb 2023 (3y) | ||
| Justin Harding | Registered representative | Mar 2023 (3y) | ||
| Colby Burnette Long | Registered representative | Mar 2023 (3y) | ||
| Ryan Maurice Ferriter | Registered representative | Mar 2023 (3y) | ||
| Laura Sundquist | Registered representative | CFP | Mar 2023 (3y) | |
| David Thomas Ryan | Registered representative | Mar 2023 (3y) | ||
| Alex Michael Dimartino | Registered representative | Apr 2023 (3y) | ||
| Jacob Allen Bunch | Registered representative | Apr 2023 (3y) | ||
| Patric Ginty Hyland | Registered representative | Apr 2023 (3y) | ||
| Michael Thomas Brandt | Registered representative | Apr 2023 (3y) | ||
| Samuel Peter Varano | Registered representative | CFP | Apr 2023 (3y) | |
| Daniel Earl Wright | Registered representative | CFP | May 2023 (3y) | |
| Elan Suder | Registered representative | May 2023 (3y) | ||
| Travis Lynn Riggs | Registered representative | May 2023 (3y) | ||
| Rebecca Ann Berger | Registered representative | CFP | May 2023 (3y) | |
| Brian David Testino | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Mark Anthony Giordano | Registered representative | May 2023 (3y) | ||
| Vesnaann Ramsey Tucker | Registered representative | CFP | May 2023 (3y) | |
| Daniel J Confreda | Registered representative | May 2023 (3y) | ||
| Brenton James Goers | Registered representative | Jun 2023 (3y) | ||
| James Licata | Registered representative | Jun 2023 (3y) | ||
| Steven Maxwell | Registered representative | Jun 2023 (3y) | ||
| Stephen E Lierman | Registered representative | Jun 2023 (3y) | ||
| David James Schelhorn | Registered representative | Jun 2023 (3y) | ||
| Ian Ritchie | Registered representative | Jun 2023 (3y) | ||
| Dominic Lawrence Rosso | Registered representative | CFP | Jul 2023 (3y) | |
| Charles Forte | Registered representative | Jul 2023 (3y) | ||
| Asif Shafi Kuchey | Registered representative | Aug 2023 (3y) | ||
| Ryan Bedross | Registered representative | Aug 2023 (3y) | ||
| Harold Lilburn Rives | Registered representative | Aug 2023 (3y) | ||
| James Michael Clark | Registered representative | Sep 2023 (3y) | ||
| Jacquelyn Leigh Leon | Registered representative | Sep 2023 (3y) | ||
| Kevin L Hussey | Registered representative | CFP | Sep 2023 (3y) | |
| Joshua Paul Gleason | Registered representative | Sep 2023 (3y) | ||
| Michael Herman Cunningham | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Steven Blaine Cunningham | Registered representative | Sep 2023 (3y) | ||
| Benjamin Theodore Mayhew | Registered representative | Sep 2023 (3y) | ||
| Peyton Hope Boling Reddick | Registered representative | Oct 2023 (3y) | ||
| Steven Ray Miller | Registered representative | Oct 2023 (3y) | ||
| Brooke Ann Smith | Registered representative | Oct 2023 (3y) | ||
| Kaitlin Alexis Compernolle | Registered representative | Oct 2023 (3y) | ||
| Robert Kerr Drake | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| William R Sullivan | Registered representative | CFP | Nov 2023 (3y) | |
| Michael Jason Towman | Registered representative | Dec 2023 (3y) | ||
| Faith M Ryan | Registered representative | Dec 2023 (3y) | ||
| Evan Goetz | Registered representative | CFP | Jan 2024 (3y) | |
| Michael Jan Goldsmith | Registered representative | CFP | Jan 2024 (3y) | |
| Jason M Burd | Registered representative | Jan 2024 (3y) | ||
| Russell P Zamloot | Registered representative | Jan 2024 (3y) | ||
| Austin Turk | Registered representative | Jan 2024 (3y) | ||
| Norman Gregory Grevey | Registered representative | Feb 2024 (2y) | ||
| Nicolas Carrion | Registered representative | Feb 2024 (2y) | ||
| Rodrigo Jose De La Roca Pinzon | Registered representative | Feb 2024 (2y) | ||
| Russell Albert Stola | Registered representative | Mar 2024 (2y) | ||
| Ellen Ella Ross | Registered representative | Mar 2024 (2y) | ||
| Robert N Delisanti | Registered representative | Mar 2024 (2y) | ||
| Robert Richard Samara | Registered representative | Mar 2024 (2y) | ||
| Galina Kolossovsky | Registered representative | Apr 2024 (2y) | ||
| Laura Kuo Carmany | Registered representative | Apr 2024 (2y) | ||
| Collin Wayne Reed | Registered representative | Apr 2024 (2y) | ||
| Ethan Forrest Campbell | Registered representative | Apr 2024 (2y) | ||
| Robert Charles Streit | Registered representative | Apr 2024 (2y) | ||
| Edward Lee Lazaro | Registered representative | May 2024 (2y) | ||
| Quentin Lee Lazaro | Registered representative | May 2024 (2y) | ||
| Ryan Matthew Czamara | Registered representative | CFP | May 2024 (2y) | |
| Thomas Michael Hamilton | Registered representative | May 2024 (2y) | ||
| Brittany Richard | Registered representative | May 2024 (2y) | ||
| Mitchell Blake Gore | Registered representative | May 2024 (2y) | ||
| Noah Lazaro | Registered representative | May 2024 (2y) | ||
| Jonathan Y Moss | Registered representative | Jun 2024 (2y) | ||
| Brandon Scott Livrago | Registered representative | Jun 2024 (2y) | ||
| Steven T Ries | Registered representative | CFP | Jun 2024 (2y) | |
| John Paul Conners | Registered representative | Jul 2024 (2y) | ||
| Jeremy Newgard | Registered representative | Jul 2024 (2y) | ||
| Thomas William Roberts | Registered representative | Jul 2024 (2y) | ||
| Terrence Hugh Gee | Registered representative | Jul 2024 (2y) | ||
| Conor De La Rosa | Registered representative | Jul 2024 (2y) | ||
| Lee Dennis Miles | Registered representative | Chartered Financial Consultant | Jul 2024 (2y) | |
| Joseph Roy Russo | Registered representative | Jul 2024 (2y) | ||
| Jackson Alexander Gulley | Registered representative | Jul 2024 (2y) | ||
| Barbara Elizabeth Leonard | Registered representative | Jul 2024 (2y) | ||
| Lucas Linden Allen | Registered representative | CFP | Jul 2024 (2y) | |
| Steven Christopher Testino | Registered representative | CFP | Jul 2024 (2y) | |
| Richard David Fontana | Registered representative | Jul 2024 (2y) | ||
| Graham Mattes | Registered representative | CFP | Aug 2024 (2y) | |
| James Gregory Hamrick | Registered representative | Aug 2024 (2y) | ||
| Michael Juergen Bock | Registered representative | Aug 2024 (2y) | ||
| Natalie Gerard Mender | Registered representative | Oct 2024 (2y) | ||
| David Charles Carratt | Registered representative | CFP | Oct 2024 (2y) | |
| Amanda M Huston | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| Noah Raymond Schwartz | Registered representative | Oct 2024 (2y) | ||
| Sheridan Delaney Fearing | Registered representative | Nov 2024 (2y) | ||
| Jordan Thomas Barnette | Registered representative | Nov 2024 (2y) | ||
| Jacob E Brower | Registered representative | Dec 2024 (2y) | ||
| Matthew Carl Spatola | Registered representative | Dec 2024 (2y) | ||
| Jeffrey Buchenau Huston | Registered representative | Chartered Financial Consultant | Dec 2024 (2y) | |
| Kedisha Ebanks | Registered representative | Dec 2024 (2y) | ||
| Logan Haydel | Registered representative | Dec 2024 (2y) | ||
| Miles Xavier Tomlinson | Registered representative | Dec 2024 (2y) | ||
| Anne Huynh Mortera | Registered representative | Jan 2025 (2y) | ||
| David Joseph Cariani | Registered representative | CFP CFA | Jan 2025 (2y) | |
| Jordan Harrison Bowman | Registered representative | Jan 2025 (2y) | ||
| Julian Isiah Brown | Registered representative | Jan 2025 (2y) | ||
| Victor J Alfieri | Registered representative | Jan 2025 (2y) | ||
| Christopher Andre Radu | Registered representative | Jan 2025 (2y) | ||
| John Karl Broman | Registered representative | CFP | Jan 2025 (2y) | |
| Daniel Joseph Mckenna | Registered representative | CFA | Jan 2025 (2y) | |
| Caroline Taylor Dominguez | Registered representative | Feb 2025 (1y) | ||
| Jordan Hensley | Registered representative | Feb 2025 (1y) | ||
| Michael Paul Capriotti | Registered representative | Feb 2025 (1y) | ||
| David James Patton Clark | Registered representative | Mar 2025 (1y) | ||
| Kyle Macrina | Registered representative | Mar 2025 (1y) | ||
| Bryan Clark De Cuir | Registered representative | Mar 2025 (1y) | ||
| Lisa Marie Ansley Clapper | Registered representative | Mar 2025 (1y) | ||
| Matthew Tuley | Registered representative | Apr 2025 (1y) | ||
| Andrew James Stitt | Registered representative | Apr 2025 (1y) | ||
| Sabrina Satveer Narula | Registered representative | Apr 2025 (1y) | ||
| Rebecca Grace Grubb | Registered representative | Apr 2025 (1y) | ||
| Tristan Li Munalem | Registered representative | Apr 2025 (1y) | ||
| Mitchel Raudat | Registered representative | May 2025 (1y) | ||
| Adon S Vanwoerden | Registered representative | CFA | May 2025 (1y) | |
| Alfonso Rocco Saverino | Registered representative | May 2025 (1y) | ||
| Jayson William Johnson | Registered representative | CFP | May 2025 (1y) | |
| Robert Warren Hanson | Registered representative | CFP | Jun 2025 (1y) | |
| Dana Lynne Mosk | Registered representative | CFP | Jun 2025 (1y) | |
| Robert Lohring Smee | Registered representative | Jun 2025 (1y) | ||
| Ryan C Duff | Registered representative | CFP | Jun 2025 (1y) | |
| Karl P Mongold | Registered representative | Jun 2025 (1y) | ||
| Patricia Jean Mcconnell | Registered representative | CFP | Jun 2025 (1y) | |
| Brad Michael Glickman | Registered representative | CFP | Jun 2025 (1y) | |
| Samantha Amanda Fraelich Rohe | Registered representative | CFP | Jun 2025 (1y) | |
| Eliot Snow Howell | Registered representative | Jul 2025 (1y) | ||
| Tanner Kenneth Johnson | Registered representative | Jul 2025 (1y) | ||
| Lorenzo Duran | Registered representative | Jul 2025 (1y) | ||
| Edward Michael Dirugeris | Registered representative | CFP CFA | Jul 2025 (1y) | |
| Kasey Luv Davis | Registered representative | CFP | Jul 2025 (1y) | |
| Wendy B Coleman | Registered representative | Jul 2025 (1y) | ||
| Cregg Dale Miyat | Registered representative | CFP | Jul 2025 (1y) | |
| Robert Cramer Kedra | Registered representative | CFP | Jul 2025 (1y) | |
| Jose Manuel Leon Garcia | Registered representative | Aug 2025 (1y) | ||
| Simone Bolden | Registered representative | Aug 2025 (1y) | ||
| Thomas Kelly O'connor | Registered representative | Aug 2025 (1y) | ||
| Cameron Thomas Witherow | Registered representative | Aug 2025 (1y) | ||
| Mary Lynn Skarzenski | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Gregory Ryan Colasurdo | Registered representative | Aug 2025 (1y) | ||
| Adam Bradley Weiner | Registered representative | Sep 2025 (1y) | ||
| Michael William Tsoukatos | Registered representative | CFA | Sep 2025 (1y) | |
| Alexander R Samara | Registered representative | Sep 2025 (1y) | ||
| Nicholas Richard Samara | Registered representative | Sep 2025 (1y) | ||
| Janette Monica Schwendeman | Registered representative | CFP | Oct 2025 (1y) | |
| Aidan Thomas Durney | Registered representative | Oct 2025 (1y) | ||
| Lance Warren Roberts | Registered representative | Oct 2025 (1y) | ||
| Duane Paul Pinnock | Registered representative | Oct 2025 (1y) | ||
| Jeffrey Michael Johnson | Registered representative | CFP | Oct 2025 (1y) | |
| Andrew Torbert | Registered representative | Oct 2025 (1y) | ||
| Brian Mercado | Registered representative | CFP | Nov 2025 (1y) | |
| Garin Ray Rydalch | Registered representative | Nov 2025 (1y) | ||
| Rich Grivas | Registered representative | Nov 2025 (1y) | ||
| Haesoo Cheon | Registered representative | Dec 2025 (1y) | ||
| Ellen Michelle Scheeler | Registered representative | Dec 2025 (1y) | ||
| Christian Andrew Tackman | Registered representative | Dec 2025 (1y) | ||
| Andrew Lawson Julian | Registered representative | CFP | Jan 2026 (1y) | |
| Dominick Robert Caprarola | Registered representative | Jan 2026 (1y) | ||
| Jamie Leigh Kulik | Registered representative | CFP | Jan 2026 (1y) | |
| Michael Steven Tambini | Registered representative | Jan 2026 (1y) | ||
| Muhammad Shanzer Khan | Registered representative | Jan 2026 (1y) | ||
| Elliot Keenan Rybak | Registered representative | Jan 2026 (1y) | ||
| John Joseph Murphy | Registered representative | Jan 2026 (1y) | ||
| Leslie Marie Krajnak | Registered representative | CFP | Jan 2026 (1y) | |
| Robert Morris Hoffman | Registered representative | Jan 2026 (1y) | ||
| Daniel Matthew Johnson | Registered representative | CFP | Jan 2026 (1y) | |
| Christopher John Bissonnette | Registered representative | Jan 2026 (1y) | ||
| William Anthony Scarfone | Registered representative | Jan 2026 (1y) | ||
| Micah K Fannin | Registered representative | Jan 2026 (1y) | ||
| Adam Noah Landvik | Registered representative | Jan 2026 (1y) | ||
| John Patrick Gannon | Registered representative | Jan 2026 (1y) | ||
| Robert Markham | Registered representative | Jan 2026 (1y) | ||
| Bridget Marie Shanley | Registered representative | Jan 2026 (1y) | ||
| Hunter James Pasqualini | Registered representative | Feb 2026 (0y) | ||
| William M Angelo | Registered representative | Feb 2026 (0y) | ||
| Collin Michael Hess | Registered representative | Feb 2026 (0y) | ||
| Robert Daniel Woodend | Registered representative | Feb 2026 (0y) | ||
| Ziad Nseir | Registered representative | Feb 2026 (0y) | ||
| Thomas Grant | Registered representative | CFP | Mar 2026 (0y) | |
| Francis Michael Tedesco | Registered representative | CFP | Mar 2026 (0y) | |
| Mitchell Ian Protus | Registered representative | Mar 2026 (0y) | ||
| Brycen Alexander Moore | Registered representative | Mar 2026 (0y) | ||
| Justin W Pangburn | Registered representative | Apr 2026 (0y) | ||
| Karin Tram Le | Registered representative | CFP | Apr 2026 (0y) | |
| Jack David Pinkston | Registered representative | Apr 2026 (0y) | ||
| William Raymond Mccurdy | Registered representative | Apr 2026 (0y) | ||
| Gregory Keith Kempner | Registered representative | Apr 2026 (0y) | ||
| John Francis Korn | Registered representative | May 2026 (0y) | ||
| Tianna Truby | Registered representative | May 2026 (0y) | ||
| Michael Edward Rowland | Registered representative | May 2026 (0y) | ||
| Michelle Marie Nocito | Registered representative | May 2026 (0y) | ||
| William Burch Bruno | Registered representative | May 2026 (0y) | ||
| Martin Brendan Hickey | Registered representative | May 2026 (0y) | ||
| Stephen Albert Vollmer | Registered representative | May 2026 (0y) | ||
| Todd Michael Barney | Registered representative | CFP | May 2026 (0y) | |
| Willem Hotham | Registered representative | Jun 2026 (0y) | ||
| Allen Joseph Kletkin | Registered representative | Jun 2026 (0y) | ||
| Holden Braswell Hall | Registered representative | Jun 2026 (0y) | ||
| Edward Lee | Registered representative | Jun 2026 (0y) | ||
| Tyler J Roper | Registered representative | Jun 2026 (0y) | ||
| Rustam Nurhan | Registered representative | Jun 2026 (0y) | ||
| Jack D Kremer | Registered representative | Jun 2026 (0y) | ||
| William J Wahl | Registered representative | Jun 2026 (0y) | ||
| Erin M Hutter | Registered representative | Jun 2026 (0y) | ||
| Adam Gourley | Registered representative | CFP CFA | Jun 2026 (0y) | |
| Alexander Sasha Izmailov | Registered representative | Jun 2026 (0y) | ||
| Andrew Hale Slankster | Registered representative | Jun 2026 (0y) | ||
| Anthony Y Tsang | Registered representative | Jun 2026 (0y) | ||
| Arrin Michelle Simpson | Registered representative | Jun 2026 (0y) | ||
| Ashley L Wada | Registered representative | Jun 2026 (0y) | ||
| Austin Michael Brown | Registered representative | Jun 2026 (0y) | ||
| Andrew Rocky Chen | Registered representative | Jun 2026 (0y) | ||
| Bradley Scott Moser | Registered representative | CFP | Jun 2026 (0y) | |
| Brandon Paul Simmons | Registered representative | CFP | Jun 2026 (0y) | |
| Brice Gregory Lowe | Registered representative | CFP | Jun 2026 (0y) | |
| Bryce Putnam Heringer | Registered representative | Jun 2026 (0y) | ||
| Beau Chandon | Registered representative | Jun 2026 (0y) | ||
| Brian Chi Wong | Registered representative | CFP Chartered Financial Consultant | Jun 2026 (0y) | |
| Brian M Rasmussen | Registered representative | Jun 2026 (0y) | ||
| Carolyn Soohae Oh | Registered representative | CFP | Jun 2026 (0y) | |
| Chad Daniel Faul | Registered representative | Jun 2026 (0y) | ||
| Charla Spalluto Misse | Registered representative | Jun 2026 (0y) | ||
| Chet Charles Bogdan | Registered representative | Jun 2026 (0y) | ||
| Chris N Spencer | Registered representative | Jun 2026 (0y) | ||
| Christopher Anton Dime | Registered representative | CFP Chartered Financial Consultant | Jun 2026 (0y) | |
| Cody Allen Warner | Registered representative | Jun 2026 (0y) | ||
| Craig Allen Brown | Registered representative | Jun 2026 (0y) | ||
| Craig Steven Brooks | Registered representative | CFP | Jun 2026 (0y) | |
| Cameron Mohamad Reid | Registered representative | Jun 2026 (0y) | ||
| Christian Horacio Ortez | Registered representative | Jun 2026 (0y) | ||
| Christopher Julian Bell | Registered representative | Jun 2026 (0y) | ||
| Clark Nile Osterhout | Registered representative | Jun 2026 (0y) | ||
| Daniel George Misse | Registered representative | Jun 2026 (0y) | ||
| Daniel King Ott | Registered representative | Jun 2026 (0y) | ||
| David Edward Siegel | Registered representative | Jun 2026 (0y) | ||
| Derek William Cockrell | Registered representative | Jun 2026 (0y) | ||
| Diane Ludemann Woodward | Registered representative | CFP | Jun 2026 (0y) | |
| Donald William Faul | Registered representative | CFP | Jun 2026 (0y) | |
| Dustin Ryan Dockter | Registered representative | CFP | Jun 2026 (0y) | |
| Donald Morgan Slankster | Registered representative | Jun 2026 (0y) | ||
| Douglas Everett Vincent Krug | Registered representative | Jun 2026 (0y) | ||
| Douglas Vincent Krug | Registered representative | Jun 2026 (0y) | ||
| Dustin James Davis | Registered representative | Jun 2026 (0y) | ||
| Dylan Gois | Registered representative | Jun 2026 (0y) | ||
| Edward Soo Chul Oh | Registered representative | CFP | Jun 2026 (0y) | |
| Eric Curtis Sporing | Registered representative | Jun 2026 (0y) | ||
| Emily Denise Helman | Registered representative | Jun 2026 (0y) | ||
| Frank Peter Messano | Registered representative | Jun 2026 (0y) | ||
| Gary Allen Warner | Registered representative | CFP | Jun 2026 (0y) | |
| George Theodore Temel | Registered representative | CFP | Jun 2026 (0y) | |
| Glenn Eric Raese | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Gregory Morris Ruley | Registered representative | CFP | Jun 2026 (0y) | |
| Gregory Reginald Van Kesteren | Registered representative | CFP | Jun 2026 (0y) | |
| Garson Tanner Graham | Registered representative | Jun 2026 (0y) | ||
| Harold J Hicks | Registered representative | CFP | Jun 2026 (0y) | |
| Harry Sherdil | Registered representative | Jun 2026 (0y) | ||
| Hee Young Park | Registered representative | Jun 2026 (0y) | ||
| Ilia Michael Dalea | Registered representative | Jun 2026 (0y) | ||
| James Aladino Parenti | Registered representative | CFP | Jun 2026 (0y) | |
| James M. Graham | Registered representative | Jun 2026 (0y) | ||
| Jason Bradley Johnson | Registered representative | Jun 2026 (0y) | ||
| Jeff David Shafer | Registered representative | Jun 2026 (0y) | ||
| Jeffrey A Schnoebelen | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Roger Klein | Registered representative | Jun 2026 (0y) | ||
| Jessica Lillian Mc Curdy | Registered representative | Jun 2026 (0y) | ||
| John Franklin Campaigne | Registered representative | CFP | Jun 2026 (0y) | |
| John Franklin Hall | Registered representative | Jun 2026 (0y) | ||
| John Thomas Mills | Registered representative | Jun 2026 (0y) | ||
| Jong Sook Oh | Registered representative | Jun 2026 (0y) | ||
| Jordan Brandon Green | Registered representative | Jun 2026 (0y) | ||
| Joseph A. Gass | Registered representative | Jun 2026 (0y) | ||
| Joseph Dale Davison | Registered representative | CFP | Jun 2026 (0y) | |
| Joseph Henry Frantz | Registered representative | Jun 2026 (0y) | ||
| Joseph Nicholas Clevenger | Registered representative | Jun 2026 (0y) | ||
| Joshua Crisosto | Registered representative | Jun 2026 (0y) | ||
| Jason Edward Campbell | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Weaver | Registered representative | Jun 2026 (0y) | ||
| Jesse James Ettlin | Registered representative | Jun 2026 (0y) | ||
| John Guess | Registered representative | Jun 2026 (0y) | ||
| Jonathan David Caplan | Registered representative | Jun 2026 (0y) | ||
| Jordan Austin Lee | Registered representative | Jun 2026 (0y) | ||
| Joseph Zev Caplan | Registered representative | CFP | Jun 2026 (0y) | |
| Keith Lavern Muth | Registered representative | CFP CFA | Jun 2026 (0y) | |
| Kenneth Jurgen Weise | Registered representative | Jun 2026 (0y) | ||
| Kurt Michael Le Fevre | Registered representative | CFA | Jun 2026 (0y) | |
| Keith Muth | Registered representative | Jun 2026 (0y) | ||
| Larry Allen Fletcher | Registered representative | CFP | Jun 2026 (0y) | |
| Leslie Minter Castillo | Registered representative | CFP | Jun 2026 (0y) | |
| Lloyd Francois Du Preez | Registered representative | CFP | Jun 2026 (0y) | |
| Lucas John Mijares | Registered representative | CFP | Jun 2026 (0y) | |
| Mandir Ramesh Nagdev | Registered representative | Jun 2026 (0y) | ||
| Marilyn Suey | Registered representative | CFP | Jun 2026 (0y) | |
| Mark Christopher Shoemaker | Registered representative | Jun 2026 (0y) | ||
| Marlon Eduardo "Eddie" Zavala | Registered representative | Jun 2026 (0y) | ||
| Matthew Hemphill | Registered representative | Jun 2026 (0y) | ||
| Michael Allen Gregg | Registered representative | CFP | Jun 2026 (0y) | |
| Michael B. Napoli | Registered representative | Jun 2026 (0y) | ||
| Michael Robert Zent | Registered representative | Jun 2026 (0y) | ||
| Miranda Payne Gerda | Registered representative | CFP | Jun 2026 (0y) | |
| Michael C Duffy | Registered representative | Jun 2026 (0y) | ||
| Nestor Guevara Belmonte | Registered representative | Jun 2026 (0y) | ||
| Nicholas John Goodwin | Registered representative | CFP | Jun 2026 (0y) | |
| Nicholas Joseph Enzweiler | Registered representative | Jun 2026 (0y) | ||
| Parrish T Malson | Registered representative | CFP | Jun 2026 (0y) | |
| Paul Catlow Crawford | Registered representative | Jun 2026 (0y) | ||
| Paul Michael Smith | Registered representative | CFP | Jun 2026 (0y) | |
| Peter Guergues Haroun | Registered representative | CFP | Jun 2026 (0y) | |
| Rebecca Yvanne Wynarczyk | Registered representative | Jun 2026 (0y) | ||
| Robert Darien Tapia | Registered representative | Jun 2026 (0y) | ||
| Robert Richard Wheeler | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Ron Dean Brown | Registered representative | Jun 2026 (0y) | ||
| Ronald Aiji Matsui | Registered representative | CFP | Jun 2026 (0y) | |
| Sajni Desai Shah | Registered representative | Jun 2026 (0y) | ||
| Salvador Trinidad Martinez | Registered representative | Jun 2026 (0y) | ||
| Sarah Michelle Woehrman | Registered representative | CFP | Jun 2026 (0y) | |
| Scott Alan Sprague | Registered representative | CFP | Jun 2026 (0y) | |
| Scott Michael Murray | Registered representative | Jun 2026 (0y) | ||
| Sean Khaligh | Registered representative | CFP | Jun 2026 (0y) | |
| Steven Frederick Rau | Registered representative | Jun 2026 (0y) | ||
| Steven L Glasberg | Registered representative | Jun 2026 (0y) | ||
| Steven Robert Vieira | Registered representative | Jun 2026 (0y) | ||
| Sara Kathleen Wynne | Registered representative | Jun 2026 (0y) | ||
| Shayla Rose Cloutier | Registered representative | Jun 2026 (0y) | ||
| Tammie Ann Barsocchini | Registered representative | Jun 2026 (0y) | ||
| Thomas Michael Chavez | Registered representative | Jun 2026 (0y) | ||
| Thomas Russell Croxton | Registered representative | Jun 2026 (0y) | ||
| Timothy James Warren | Registered representative | Jun 2026 (0y) | ||
| Tiffany Wharton | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Tristan Michael Bolton | Registered representative | Jun 2026 (0y) | ||
| Victoria Chin I Wang | Registered representative | Jun 2026 (0y) | ||
| Vida Maria Jatulis | Registered representative | CFP | Jun 2026 (0y) | |
| Vincent Nicholas Arcuri | Registered representative | Jun 2026 (0y) | ||
| William Pond Baker | Registered representative | Jun 2026 (0y) | ||
| William Scott Perry | Registered representative | CFP | Jun 2026 (0y) | |
| Zachary Louis Mattos | Registered representative | Jun 2026 (0y) | ||
| Amber S Hoover | Registered representative | Jun 2026 (0y) | ||
| Jude Justin Digidio | Registered representative | CFP | Jun 2026 (0y) | |
| Brent Wayne Whiddon | Registered representative | Jul 2026 (0y) | ||
| Anh Dien Vong | Registered representative | Jul 2026 (0y) | ||
| Samuel Bruce Ledwitz | Registered representative | Jul 2026 (0y) | ||
| Daniel Keith Beck | Registered representative | Jul 2026 (0y) | ||
| Dale Andrew Hornberger | Registered representative | Jul 2026 (0y) | ||
| Chin Po | Registered representative | Jul 2026 (0y) | ||
| Fang Hsi Lee | Registered representative | Jul 2026 (0y) | ||
| Jing Xu | Registered representative | Jul 2026 (0y) | ||
| Xinyu Liu | Registered representative | Jul 2026 (0y) | ||
| Weili Jiang | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Pag Holdings, Llc | Owner, Managing Member | Jan 2020 | A | 75% or more |
| Pag Partnership Holdco Llc | Owner | Dec 2021 | B | ≈ 56.25% – 100% via Pag Holdings, Llc |
| Pag Legacy Partners Llc | Owner | Dec 2021 | B | ≈ 42.19% – 100% via Pag Partnership Holdco Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- John Patric Hyland: 25% – 50% of Pag Legacy Partners Llc × 75% – 100% of Pag Partnership Holdco Llc × 75% – 100% of Pag Holdings, Llc × 75% – 100% direct ≈ 10.55% – 50% of the firm
- Patrick James Sullivan: 25% – 50% of Pag Legacy Partners Llc × 75% – 100% of Pag Partnership Holdco Llc × 75% – 100% of Pag Holdings, Llc × 75% – 100% direct ≈ 10.55% – 50% of the firm
- Pag Partnership Holdco Llc: 75% – 100% of Pag Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Pag Legacy Partners Llc: 75% – 100% of Pag Partnership Holdco Llc × 75% – 100% of Pag Holdings, Llc × 75% – 100% direct ≈ 42.19% – 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 (54)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Torti Gallas And Partners, Inc. 401(k) Profit Sharing Plan | Torti Gallas And Partners, Inc. | 100 | $31.9M | 03/01/2024 |
| Longbridge Financial Llc 401(k) Profit Sharing Plan | Longbridge Financial Llc | 411 | $21.8M | 01/01/2024 |
| The Lia Group 401(k) Plan | Lia Group, Inc. | 763 | $26.6M | 01/01/2024 |
| American Ambulance Service, Inc. Profit Sharing Plan | American Ambulance Service, Inc. | 0 | $0 | 01/01/2024 |
| Walzcraft Industries, Inc. 401(k) Retirement Plan | Walzcraft Industries, Inc | 207 | $16.7M | 01/01/2024 |
| Klondike Cheese Co. 401(k) Retirement Plan | Klondike Cheese Co. | 226 | $35.4M | 01/01/2024 |
| Barnes & Thornburg Llp Profit Sharing Plan | Barnes & Thornburg Llp | 1,515 | $754M | 01/01/2024 |
| Gurtler Chemicals Inc 401(k) Profit Sharing Plan & Trust | Gurtler Chemicals Inc | 122 | $10.5M | 01/01/2024 |
| Kamps Retirement Savings Plan | Kamps, Inc. | 3,253 | $54.4M | 01/01/2024 |
| Vc3, Inc. 401(k) Plan | Vc3, Inc. | 572 | $33.4M | 01/01/2024 |
| Agata & Valentina 401(k) Retirement Plan | Jav Food Corp. | 166 | $5.0M | 01/01/2024 |
| Bernie & Phyl's Furniture Retirement Plan | Convertible Castle, Inc. Dba Bernie & Phyl's Furni | 371 | $17.9M | 01/01/2024 |
| Urus Group Lp 401(k) Retirement Plan | Urus Group Lp | 1,777 | $157M | 01/01/2024 |
| Ferolie Corporation Ee's Svgs Investment Plan | Ferolie Corporation | 421 | $53.5M | 01/01/2024 |
| Milwaukee Bucks Retirement Savings Plan | Milwaukee Bucks, Llc | 365 | $29.1M | 01/01/2024 |
| Total Water Treatment Systems, Inc. 401(k) Plan | Total Water Treatment Systems, Inc. | 189 | $6.1M | 01/01/2024 |
| Ixonia Bank 401(k) Savings Plan | Ixonia Bank | 587 | $14.8M | 01/01/2024 |
| Wpmg 401(k) Retirement Savings Plan | Washington Permanente Medical Group, P.C. | 1,654 | $1.5B | 01/01/2024 |
| In Place Machining Company 401(k) Plan | In Place Machining Company, Llc | 424 | $44.3M | 01/01/2024 |
| Steptoe Llp 401(k) And Profit Sharing Plan | Steptoe Llp | 727 | $456M | 01/01/2024 |
| Norris Mclaughlin, P.A. Thrift Savings Plan | Norris Mclaughlin, P.A. | 175 | $75.6M | 01/01/2024 |
| The Dutra Group 401(k) Plan | The Dutra Group | 157 | $39.1M | 01/01/2024 |
| Wilo Usa Llc Retirement Plan | Wilo Usa Llc | 451 | $30.9M | 01/01/2024 |
| Saelens Corporation 401(k) Savings Plan | Saelens Corporation | 183 | $8.9M | 01/01/2024 |
| The Bliss Group Holdings, Llc 401(k) Profit Sharing Plan And Trust | The Bliss Group Holdings, Llc | 91 | $8.2M | 01/01/2024 |
Top 25 of 54 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/16/2026 | 3.53 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 Sep 27, 2024
Allegations: FIRM EMPLOYED ONE INVESTMENT ADVISER REPRESENTATIVE IN STATE WHO WAS NOT REGISTERED WITH STATE. Status: Final Sanction Detail: ADMINISTRATIVE ASSESSMENT OF $20000 WAS PAID ON 5.2.2017 Summary: REPRESENTATIVE MOVED HIS OFFICE AND FIRM FAILED TO TRANSFER REGISTRATION TO NEW STATE.
Regulatory · Item 11.D(2), 11.D(4)
as of Sep 27, 2024
Allegations: THE MINNESOTA DEPARTMENT OF COMMERCE ALLEGED THAT THE REGISTERED REPRESENTATIVE CLAIMED CREDIT FOR CE CREDIT HOURS THAT WERE NOT ACTUALLY COMPLETED IN ORDER TO CONTINUE INSURANCE PRODUCER LICENSURE WITH THE DEPARTMENT OF COMMERCE IN VIOLATION OF MINNESOTA STAT. SECTIONS 45.027, SUBD. 7(A)(1) & (2) AND 60K.56, SUBD.8A (2008). Status: Final Sanction Detail: REGISTERED REPRESENTATIVE WAS GIVEN 90 DAYS TO REQUALIFY AND COMPLETED THE REQUIRED CE CREDITS PRIOR TO THE EXECUTION OF THE CONSENT ORDER. Summary: THE MINNESOTA DEPARTMENT OF COMMERCE ALLEGED THAT THE REGISTERED REPRESENTATIVE CLAIMED CREDIT FOR CE CREDIT HOURS THAT WERE NOT ACTUALLY COMPLETED IN ORDER TO CONTINUE INSURANCE PRODUCER LICENSURE WITH THE DEPARTMENT OF COMMERCE IN VIOLATION OF MINNESOTA STAT. SECTIONS 45.027, SUBD. 7(A)(1) & (2) AND 60K.56, SUBD.8A (2008).
Regulatory
as of Sep 27, 2024
Allegations: REGISTRANT ALLEGEDLY FAILED TO PROVIDE FULL AND FAIR DISCLOSURE REGARDING THE CONFLICTS ASSOCIATED WITH SHARE CLASSES WITH NO TRANSACTION FEES, OR NTF SHARES, IN WRAP ACCOUNTS, AND ALLEGEDLY DID NOT FULFILL ITS DUTY OF CARE AND OTHER OBLIGATIONS IN CONNECTION WITH THE CONFLICT. Status: Final Sanction Detail: CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 PROMULGATED THEREUNDER; CENSURED; PAY A CIVIL PENALTY OF $5,800,000, Summary: ON JULY 21, 2022, PURSUANT TO A SETTLEMENT, IN WHICH THE REGISTRANT NEITHER ADMITTED OR DENIED TO THE FINDINGS, THE SEC ISSUED AN ADMINISTRATIVE ORDER ("THE ORDER") THAT FOUND, AMONG OTHER THINGS, THE REGISTRANT FAILED TO PROVIDE FULL AND FAIR DISCLOSURE REGARDING THE CONFLICTS ASSOCIATED WITH SHARE CLASSES WITH NO TRANSACTION FEES, OR NTF SHARES, IN WRAP ACCOUNTS. THE ORDER FOUND THAT THE REGISTRANT DID NOT FULFILL ITS DUTY OF CARE AND OTHER OBLIGATIONS IN CONNECTION WITH THE CONFLICT. THE ORDER ALSO FOUND THAT THE REGISTRANT HAD NOT ADOPTED AND IMPLEMENTED WRITTEN COMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SELECTION PRACTICES IN ITS WRAP PROGRAM AND THE RELATED DISCLOSURES OF ITS ASSOCIATED CONFLICTS OF INTEREST. THE ORDER INCLUDES FINDINGS THAT REGISTRANT VIOLATED SECTION 206(2) OF THE ADVISERS ACT, AS WELL AS SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7 THEREUNDER. THESE ARE NOT SCIENTER-BASED VIOLATIONS. AS PART OF THE SETTLEMENT, THE REGISTRANT AGREED TO PAY A CIVIL PENALTY OF $5.8 MILLION, TO BE DISBURSED TO AFFECTED INVESTORS, ALONG WITH OTHER UNDERTAKINGS. AS FURTHER HIGHLIGHTED IN THE ORDER, IN 2017 THE REGISTRANT PROACTIVELY INSTITUTED A POLICY AS A REMEDIAL MEASURE THAT MITIGATED THE CONFLICT.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SOLICITOR/REFERRAL FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- LPL Financial $36.3B (82% of AUM) Jul 2026
- Fidelity Brokerage Services $4.7B (11% of AUM) Jul 2026
- Charles Schwab & Co. $4.0B (14% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 28, 2026.
View current Form ADV (SEC/IAPD) ↗