Tiaa Cref Individual & Institutional Services, Llc
SEC-registered
Broker-Dealer (Dually Registered) · Large ($10B–$100B)
CRD 20472
· SEC file 801-63550
· New York, NY
· WWW.INSTAGRAM.COM
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ADV data as of Jul 06, 2026
- Regulatory AUM
- $37.9B
- Discretionary
- $37.9B
- Clients
- 72,503
- Avg AUM / client
- $523K
- Accounts
- 72,503
- Employees
- 1,293
AUM over time
$4.6B
$39.3B
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 06, 2026
Asset allocation (SMA assets by investment type)
as of Jul 06, 2026
Registered investment companies (funds/ETFs)
$37.5B
99%
Cash & equivalents
$379M
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 — 702 positions, $26,005,228,668)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Core Msci Eafe Etf | Exchange Traded Fund | $1,749,625,601 | 19,326,473 | 6.73% | 4.61% |
| 2 | Vanguard Growth Etf | Exchange Traded Fund | $1,503,426,630 | 3,441,990 | 5.78% | 3.96% |
| 3 | Vanguard Value Etf | Exchange Traded Fund | $1,308,297,749 | 6,668,184 | 5.03% | 3.45% |
| 4 | Vanguard Ftse Developed Etf | Exchange Traded Fund | $1,280,146,217 | 19,977,313 | 4.92% | 3.38% |
| 5 | Ishares Russell Top 200 Grow | Exchange Traded Fund | $1,262,568,141 | 5,073,815 | 4.86% | 3.33% |
| 6 | Ishares Russell Top 200 Valu | Exchange Traded Fund | $949,016,859 | 10,240,821 | 3.65% | 2.5% |
| 7 | Ishares Core Msci Emerging | Exchange Traded Fund | $889,447,467 | 12,751,935 | 3.42% | 2.35% |
| 8 | Ishares Mbs Etf | Exchange Traded Fund | $710,204,256 | 7,479,771 | 2.73% | 1.87% |
| 9 | Vanguard Tax Exempt Bond Etf | Exchange Traded Fund | $633,945,595 | 12,706,867 | 2.44% | 1.67% |
| 10 | Ishares Core U.S. Aggregate | Exchange Traded Fund | $623,880,773 | 6,284,686 | 2.4% | 1.64% |
| 11 | Vanguard Russell 1000 Growth | Exchange Traded Fund | $620,768,378 | 5,659,298 | 2.39% | 1.64% |
| 12 | Ishares National Muni Bond E | Exchange Traded Fund | $603,703,499 | 5,687,268 | 2.32% | 1.59% |
| 13 | Ste Str Spdr Pt Dw Eu Etf | Exchange Traded Fund | $561,116,927 | 12,291,718 | 2.16% | 1.48% |
| 14 | Vanguard Russell 1000 Value | Exchange Traded Fund | $542,271,692 | 5,784,848 | 2.09% | 1.43% |
| 15 | Ishares Broad Usd Investment | Exchange Traded Fund | $468,206,493 | 9,139,303 | 1.8% | 1.23% |
| 16 | Ishares Russell 1000 Growth | Exchange Traded Fund | $438,406,145 | 1,028,157 | 1.69% | 1.16% |
| 17 | Vanguard Ftse Emerging Marke | Exchange Traded Fund | $420,533,539 | 7,780,454 | 1.62% | 1.11% |
| 18 | Vanguard Mid Cap Etf | Exchange Traded Fund | $394,832,008 | 1,374,859 | 1.52% | 1.04% |
| 19 | Ishares Russell Mid Cap Valu | Exchange Traded Fund | $389,624,085 | 2,673,419 | 1.5% | 1.03% |
| 20 | Vanguard S&P 500 Etf | Exchange Traded Fund | $360,187,604 | 602,774 | 1.39% | 0.95% |
| 21 | Ishares Core S&P 500 Etf | Exchange Traded Fund | $351,235,589 | 537,707 | 1.35% | 0.93% |
| 22 | Ishares Msci Eafe Small Cap | Exchange Traded Fund | $341,225,579 | 4,351,812 | 1.31% | 0.9% |
| 23 | Ishares Us Treasury Bond Etf | Exchange Traded Fund | $314,594,209 | 13,731,742 | 1.21% | 0.83% |
| 24 | Vanguard Mid Cap Value Etf | Exchange Traded Fund | $299,758,878 | 1,626,649 | 1.15% | 0.79% |
| 25 | Ishares Russell Mid Cap Etf | Exchange Traded Fund | $273,352,811 | 2,811,404 | 1.05% | 0.72% |
Top 25 of 702 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) | 25,667 | $8.4B | 22.0% |
| High net worth individuals | 46,802 | $29.6B | 77.9% |
| Charitable organizations | 14 | $6.2M | 0.02% |
| Corporations and other businesses | 20 | $10.7M | 0.03% |
People (1,644)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Badwe, Rashmi Dilip | Elected Manager | May 2016 (10y) | Less than 5% | |
| Ross Hamlet Abbott | Chief Operating Officer | Jul 2017 (9y) | Less than 5% | |
| Kahrmann, Angela, Marie | President, Chief Executive Officer, Elected Manager | Jun 2019 (7y) | Less than 5% | |
| Raymond John Bellucci | Elected Manager | Mar 2020 (6y) | Less than 5% | |
| Derek James Heaslip | Board Member | Dec 2020 (6y) | Less than 5% | |
| Barnhill, Helen Gwyn | Chief Legal Officer | Aug 2022 (4y) | Less than 5% | |
| Christopher Eugene Stickrod | Board Member | Jun 2023 (3y) | Less than 5% | |
| Lewis, Benjamin Herbert | Board Member | Jun 2023 (3y) | Less than 5% | |
| Niladri Mukherjee | Board Member | Jun 2023 (3y) | Less than 5% | |
| Intihar, Jeremy Ross | Chief Compliance Officer Registered Investment Adviser | Jul 2023 (3y) | Less than 5% | |
| Mangano, Jennifer Lynn | Chief Financial Officer | Nov 2023 (3y) | Less than 5% | |
| Weinstein, Scott William | Chief Compliance Officer Broker Dealer | Sep 2024 (2y) | Less than 5% | |
| Colman Thomas Pierzchala | Registered representative | Oct 2004 (22y) | ||
| Molly Melanson Perry | Registered representative | Jan 2005 (22y) | ||
| William Kenneth Leak | Registered representative | Jan 2005 (22y) | ||
| Roger William Judy | Registered representative | Jan 2005 (22y) | ||
| Shannon Trae Lambert | Registered representative | Jan 2005 (22y) | ||
| Lisa Prairie Mcgrath | Registered representative | Feb 2005 (21y) | ||
| Mark Thomas Erickson | Registered representative | Feb 2005 (21y) | ||
| Dwight Anthony Clark | Registered representative | Mar 2005 (21y) | ||
| Edward Alan Hurley | Registered representative | Mar 2005 (21y) | ||
| James Robert Schlag | Registered representative | Mar 2005 (21y) | ||
| Geoffrey Michael Rowland | Registered representative | Mar 2005 (21y) | ||
| Ryan Lee Mathis | Registered representative | Jun 2005 (21y) | ||
| Reginald James | Registered representative | Jul 2005 (21y) | ||
| Stephen James Genkinger | Registered representative | Jul 2005 (21y) | ||
| Gregory Mark Switzer | Registered representative | Jul 2005 (21y) | ||
| Peter Matthew Imhof | Registered representative | Jul 2005 (21y) | ||
| Stacey Ann Glaub | Registered representative | Aug 2005 (21y) | ||
| Susan Renee Jenkins | Registered representative | Aug 2005 (21y) | ||
| Jarrod Glenn Fowler | Registered representative | Sep 2005 (21y) | ||
| Andrew Carlysle Bain | Registered representative | Sep 2005 (21y) | ||
| Mark Christopher Golden | Registered representative | Oct 2005 (21y) | ||
| Lisa Annette Robinson | Registered representative | Nov 2005 (21y) | ||
| Natasha Jamila Crowell | Registered representative | Nov 2005 (21y) | ||
| William Mcallister Brandenburg | Registered representative | Nov 2005 (21y) | ||
| Stuart Scott Hansen | Registered representative | Jan 2006 (21y) | ||
| Jens Carsten Mueller | Registered representative | Feb 2006 (20y) | ||
| Christopher Wayne Eller | Registered representative | Mar 2006 (20y) | ||
| Konstantine Giannoutsos | Registered representative | Apr 2006 (20y) | ||
| Matthew Redfern Neils | Registered representative | May 2006 (20y) | ||
| Benjamin John Siersma | Registered representative | Jul 2006 (20y) | ||
| Molly Patricia Mccormack | Registered representative | Jul 2006 (20y) | ||
| William Leonard London | Registered representative | Jul 2006 (20y) | ||
| Casey James Fleisch | Registered representative | Jul 2006 (20y) | ||
| Keri Anne Cordova | Registered representative | Aug 2006 (20y) | ||
| Benjamin Robert Perego | Registered representative | Sep 2006 (20y) | ||
| John Paul Seifried | Registered representative | Sep 2006 (20y) | ||
| Timothy Pedrero | Registered representative | Sep 2006 (20y) | ||
| Zareen Grace Church | Registered representative | Oct 2006 (20y) | ||
| Jason Charles Foytack | Registered representative | Nov 2006 (20y) | ||
| Jamison Alexander Holt | Registered representative | Nov 2006 (20y) | ||
| Leonid Aron Kvitnitsky | Registered representative | Dec 2006 (20y) | ||
| John Alexander Clement | Registered representative | Dec 2006 (20y) | ||
| Jamie Brian Lapish | Registered representative | Dec 2006 (20y) | ||
| Stephen Paul Hogan | Registered representative | Dec 2006 (20y) | ||
| Jeffrey Winfield Arwood | Registered representative | Feb 2007 (19y) | ||
| Anthony Pailun Shiao | Registered representative | Feb 2007 (19y) | ||
| Peter Joseph Purcell | Registered representative | Feb 2007 (19y) | ||
| Jerry Roger Pettus | Registered representative | Feb 2007 (19y) | ||
| David Andrew Wilder | Registered representative | Mar 2007 (19y) | ||
| Michael Robert De Spirito | Registered representative | Mar 2007 (19y) | ||
| Christopher John Harris | Registered representative | Mar 2007 (19y) | ||
| Jessica H Miller | Registered representative | Mar 2007 (19y) | ||
| Chad Alan Firmstone | Registered representative | Mar 2007 (19y) | ||
| Colin Michael Pierce | Registered representative | Apr 2007 (19y) | ||
| Sean G. Coggin | Registered representative | Apr 2007 (19y) | ||
| Joanne W. Danckwerth | Registered representative | Apr 2007 (19y) | ||
| Shawn Marie Ford | Registered representative | Apr 2007 (19y) | ||
| Deon Palmer Wallace | Registered representative | May 2007 (19y) | ||
| Brian James Wood | Registered representative | May 2007 (19y) | ||
| William Todd Swenson | Registered representative | Jun 2007 (19y) | ||
| Donald Joseph Gregory | Registered representative | Jul 2007 (19y) | ||
| Matthew Aaron Haas | Registered representative | Aug 2007 (19y) | ||
| Samuel Jervis Hyatt | Registered representative | Aug 2007 (19y) | ||
| Darlene Anne Young | Registered representative | Aug 2007 (19y) | ||
| Paul Thomas Floriani | Registered representative | Sep 2007 (19y) | ||
| Christine A Dixon | Registered representative | Sep 2007 (19y) | ||
| John Lance Bogert | Registered representative | Sep 2007 (19y) | ||
| Robert L. Ladislao | Registered representative | Oct 2007 (19y) | ||
| David Jason Bernstein | Registered representative | Oct 2007 (19y) | ||
| Michelene C Taylor | Registered representative | Oct 2007 (19y) | ||
| Daniel Sean Flory | Registered representative | Nov 2007 (19y) | ||
| Mitchell Stuart Schor | Registered representative | Dec 2007 (19y) | ||
| Garnett Lee Riddle | Registered representative | Dec 2007 (19y) | ||
| April La'shawn Foulks | Registered representative | Dec 2007 (19y) | ||
| Kyle Pope | Registered representative | Dec 2007 (19y) | ||
| Charles Edward Kuketz | Registered representative | Dec 2007 (19y) | ||
| Patrick Joseph Conlon | Registered representative | Jan 2008 (19y) | ||
| Troy Lee Campbell | Registered representative | Jan 2008 (19y) | ||
| Richard Francis Jones | Registered representative | Mar 2008 (18y) | ||
| Carine Fischer Smith | Registered representative | Mar 2008 (18y) | ||
| Chad Michael Stein | Registered representative | Mar 2008 (18y) | ||
| Mark Joseph Hagen | Registered representative | Mar 2008 (18y) | ||
| Peter John Contini | Registered representative | Mar 2008 (18y) | ||
| Peter Stankovich | Registered representative | Mar 2008 (18y) | ||
| Hakyun O. Morrissey | Registered representative | Mar 2008 (18y) | ||
| Jason Rufus Creel | Registered representative | Apr 2008 (18y) | ||
| Robert Chadwick Stevens | Registered representative | May 2008 (18y) | ||
| Susan Ellen Plunkett | Registered representative | May 2008 (18y) | ||
| Jason Edward Duponte | Registered representative | May 2008 (18y) | ||
| Brett A Sexton | Registered representative | May 2008 (18y) | ||
| Wendy Marie Anderson | Registered representative | May 2008 (18y) | ||
| Scott Eric Wubbena | Registered representative | May 2008 (18y) | ||
| Christopher Kelsey Mcclure | Registered representative | Jul 2008 (18y) | ||
| Simon Dale Stokes | Registered representative | Jul 2008 (18y) | ||
| James Barron Meek | Registered representative | Aug 2008 (18y) | ||
| Jahleel Kayann Gordon | Registered representative | Oct 2008 (18y) | ||
| Patricia Mary Long | Registered representative | Oct 2008 (18y) | ||
| Allen Richard Schiff | Registered representative | Nov 2008 (18y) | ||
| Ronald Gary Neems | Registered representative | Dec 2008 (18y) | ||
| Melissa Ballard Haley | Registered representative | Apr 2009 (17y) | ||
| Sherry Lee Keating | Registered representative | Jun 2009 (17y) | ||
| Paul Edmond Short | Registered representative | Jul 2009 (17y) | ||
| Makeda Elizabeth Smith | Registered representative | Aug 2009 (17y) | ||
| Ralph Wayne Romanello | Registered representative | Apr 2010 (16y) | ||
| Richard Franklyn O'brien | Registered representative | Apr 2010 (16y) | ||
| Michael John Correale | Registered representative | May 2010 (16y) | ||
| Lucie Hoai Dung Mcgowan | Registered representative | Jul 2010 (16y) | ||
| Charles Patrick Cronin | Registered representative | Sep 2010 (16y) | ||
| Stephen Michael Honea | Registered representative | Oct 2010 (16y) | ||
| Eric David Porsch | Registered representative | Oct 2010 (16y) | ||
| Jessica Prunty | Registered representative | Feb 2011 (15y) | ||
| Edward Mario Kiss | Registered representative | Feb 2011 (15y) | ||
| William Howard Dotterer | Registered representative | Jun 2011 (15y) | ||
| Stacy Ann Trejo | Registered representative | Sep 2011 (15y) | ||
| Robert Michael Treff | Registered representative | Sep 2011 (15y) | ||
| Theresa Sharon Serafimovski | Registered representative | Sep 2011 (15y) | ||
| Elisabeth Olson Moore | Registered representative | Sep 2011 (15y) | ||
| Joah R Yeoman | Registered representative | Sep 2011 (15y) | ||
| Kevin Joseph Shamy | Registered representative | Oct 2011 (15y) | ||
| George Davis Morgan | Registered representative | Nov 2011 (15y) | ||
| Jerry Walter Stowers | Registered representative | Nov 2011 (15y) | ||
| Christopher Michael Rehberg | Registered representative | Nov 2011 (15y) | ||
| Jeffrey Lane Grizzard | Registered representative | Dec 2011 (15y) | ||
| Christopher Patrick Oneill | Registered representative | Dec 2011 (15y) | ||
| Joseph C Siarzynski | Registered representative | Dec 2011 (15y) | ||
| John William Vandersloot | Registered representative | Jan 2012 (15y) | ||
| Robert Gordon Murdock | Registered representative | Jan 2012 (15y) | ||
| Eliot Dean Mote | Registered representative | Jan 2012 (15y) | ||
| Willie Tyrone Ferguson | Registered representative | Mar 2012 (14y) | ||
| Patrick James Mcneese | Registered representative | Mar 2012 (14y) | ||
| Edward Michael Berra | Registered representative | Mar 2012 (14y) | ||
| Marc Andrew Chapman | Registered representative | Apr 2012 (14y) | ||
| Gilbert Christopher Crews | Registered representative | Apr 2012 (14y) | ||
| Bryan Scott Stevenson | Registered representative | Apr 2012 (14y) | ||
| Carolyn Frate Robin | Registered representative | Apr 2012 (14y) | ||
| Kyle Edward Schmahl | Registered representative | Apr 2012 (14y) | ||
| Sharon Genise Darjean | Registered representative | Apr 2012 (14y) | ||
| Christal Lynn Thomas | Registered representative | Apr 2012 (14y) | ||
| Robert John Koen | Registered representative | Apr 2012 (14y) | ||
| Juan Angel Cardenas | Registered representative | May 2012 (14y) | ||
| Alon Albert Argov | Registered representative | May 2012 (14y) | ||
| Amy Sue Scarborough | Registered representative | May 2012 (14y) | ||
| Ryan John Miller | Registered representative | May 2012 (14y) | ||
| Kristi Leanne Shumate | Registered representative | Jun 2012 (14y) | ||
| Sheila Ross | Registered representative | Jun 2012 (14y) | ||
| Andargachew Z Tadesse | Registered representative | Jul 2012 (14y) | ||
| Ariel Gustavo Crespo | Registered representative | Jul 2012 (14y) | ||
| Daniel David Samson | Registered representative | Jul 2012 (14y) | ||
| Chad Matthew Weber | Registered representative | Jul 2012 (14y) | ||
| Jonathan Randall Miller | Registered representative | Aug 2012 (14y) | ||
| Kevin James Callaghan | Registered representative | Aug 2012 (14y) | ||
| John Luther Henifin | Registered representative | Aug 2012 (14y) | ||
| Robert John Curth | Registered representative | Aug 2012 (14y) | ||
| Luke Anthony Tansy | Registered representative | Aug 2012 (14y) | ||
| Thomas Michael Kenney | Registered representative | Sep 2012 (14y) | ||
| Arlene Eason Searle | Registered representative | Sep 2012 (14y) | ||
| Leonedas Panagiotis Kalamaras | Registered representative | Sep 2012 (14y) | ||
| Angela N Bellamy | Registered representative | Sep 2012 (14y) | ||
| Kandi Brezette Rudolph | Registered representative | Sep 2012 (14y) | ||
| John Glorioso | Registered representative | Sep 2012 (14y) | ||
| Surai Basanow Quimby | Registered representative | Sep 2012 (14y) | ||
| Ernesto Donquis Cowley | Registered representative | Oct 2012 (14y) | ||
| Kyle Christian Ohnstad | Registered representative | Oct 2012 (14y) | ||
| Richard Neil Diodosio | Registered representative | Oct 2012 (14y) | ||
| Rashaan Othello Robertson | Registered representative | Oct 2012 (14y) | ||
| Michael Kloss | Registered representative | Oct 2012 (14y) | ||
| John Phillip Arredondo | Registered representative | Nov 2012 (14y) | ||
| Peter Louis Mureddu | Registered representative | Nov 2012 (14y) | ||
| Tamara Lynn Ristau | Registered representative | Nov 2012 (14y) | ||
| Clacy T Hysong | Registered representative | Dec 2012 (14y) | ||
| Armando Gustavo Hernandez | Registered representative | Dec 2012 (14y) | ||
| Jessica Lynn Burmeister | Registered representative | Jan 2013 (14y) | ||
| Shane Charles Roghaar | Registered representative | Jan 2013 (14y) | ||
| Adam Keith Dawson | Registered representative | Jan 2013 (14y) | ||
| Katherine Hovey Fox | Registered representative | Jan 2013 (14y) | ||
| Thomas M Delaney | Registered representative | Mar 2013 (13y) | ||
| Craig William Massicotte | Registered representative | Mar 2013 (13y) | ||
| Kevin Marcel Battle | Registered representative | Mar 2013 (13y) | ||
| Adam Daniel Werther | Registered representative | Mar 2013 (13y) | ||
| Mark David Rau | Registered representative | Mar 2013 (13y) | ||
| Sharon Shara Mohan | Registered representative | Apr 2013 (13y) | ||
| Michael Nicholas Nigro | Registered representative | Apr 2013 (13y) | ||
| William Kyle Gibson | Registered representative | Apr 2013 (13y) | ||
| Brian Richard Senatore | Registered representative | May 2013 (13y) | ||
| Robert B Cole | Registered representative | May 2013 (13y) | ||
| Cary T Doerr | Registered representative | May 2013 (13y) | ||
| Scott Christopher Heise | Registered representative | May 2013 (13y) | ||
| Thomas Brian Trisch | Registered representative | May 2013 (13y) | ||
| William Patrick Connors | Registered representative | May 2013 (13y) | ||
| Thomas Edward Green | Registered representative | May 2013 (13y) | ||
| Laura Kate Schutte | Registered representative | May 2013 (13y) | ||
| James Joseph Simone | Registered representative | May 2013 (13y) | ||
| Russell Darin Greer | Registered representative | Jun 2013 (13y) | ||
| Barbara Ann Vaught | Registered representative | Jul 2013 (13y) | ||
| Travis Dale Taylor | Registered representative | Jul 2013 (13y) | ||
| Edward D Springer | Registered representative | Jul 2013 (13y) | ||
| Frank Herman Braswell | Registered representative | Aug 2013 (13y) | ||
| Thomas Townsend Wolf | Registered representative | Aug 2013 (13y) | ||
| Gregory Dennis Burd | Registered representative | Aug 2013 (13y) | ||
| Patrick Sterling Rowe | Registered representative | Aug 2013 (13y) | ||
| Alexander Earle Thompson | Registered representative | Aug 2013 (13y) | ||
| Luiza Aleksandra Shepherd | Registered representative | Sep 2013 (13y) | ||
| Michael Edward Neil | Registered representative | Sep 2013 (13y) | ||
| Elvia Galicia | Registered representative | Sep 2013 (13y) | ||
| Edmund O'brien Greenidge | Registered representative | Sep 2013 (13y) | ||
| Matthew Steven Myers | Registered representative | Sep 2013 (13y) | ||
| Sean D Mcalister | Registered representative | Sep 2013 (13y) | ||
| Stacey K Martinez | Registered representative | Sep 2013 (13y) | ||
| Christopher Thomas Paoletti | Registered representative | Sep 2013 (13y) | ||
| Brandon Wesley Walker | Registered representative | Oct 2013 (13y) | ||
| Peter Joseph Tappon | Registered representative | Oct 2013 (13y) | ||
| Cornelius James Snyder | Registered representative | Oct 2013 (13y) | ||
| Desmond T Wesley | Registered representative | Oct 2013 (13y) | ||
| Jeffrey Norris Taylor | Registered representative | Nov 2013 (13y) | ||
| Matthew Thomas Orf | Registered representative | Nov 2013 (13y) | ||
| Seth Edward Jefferies | Registered representative | Nov 2013 (13y) | ||
| Gaetano M Defazio | Registered representative | Dec 2013 (13y) | ||
| Joel Frasor | Registered representative | Dec 2013 (13y) | ||
| Jeremy Daniel Robinson | Registered representative | Dec 2013 (13y) | ||
| Atif Mohammed Sakrani | Registered representative | Dec 2013 (13y) | ||
| Ivana Stanisic | Registered representative | Dec 2013 (13y) | ||
| Janika T Rodgers | Registered representative | Jan 2014 (13y) | ||
| Samaria Elaine Frazier | Registered representative | Jan 2014 (13y) | ||
| Jason Joseph Frizzell | Registered representative | Jan 2014 (13y) | ||
| Amanda S Barthelemy | Registered representative | Jan 2014 (13y) | ||
| Kyle Stephen Casella | Registered representative | Jan 2014 (13y) | ||
| Beverly Lynn Briggs Caldwell | Registered representative | Jan 2014 (13y) | ||
| David William Heck | Registered representative | Jan 2014 (13y) | ||
| Michael Craig Foster | Registered representative | Jan 2014 (13y) | ||
| Brandon Fredrick Wright | Registered representative | Jan 2014 (13y) | ||
| Catherine Stallings Nevels | Registered representative | Jan 2014 (13y) | ||
| Jonquil Monique Renee Funderburk | Registered representative | Jan 2014 (13y) | ||
| Marc James Defeo | Registered representative | Jan 2014 (13y) | ||
| Louis Malvin Bryant | Registered representative | Jan 2014 (13y) | ||
| Moses Francis Maine | Registered representative | Jan 2014 (13y) | ||
| Gregory Gordon Marks | Registered representative | Feb 2014 (12y) | ||
| Karin Ann Frieden | Registered representative | Feb 2014 (12y) | ||
| Scott Nicholas Baltuska | Registered representative | Feb 2014 (12y) | ||
| Chali Cher Hachtel | Registered representative | Feb 2014 (12y) | ||
| Jarred T Johnson | Registered representative | Feb 2014 (12y) | ||
| Juan Alfonso Loureiro | Registered representative | Feb 2014 (12y) | ||
| John Francis Robb | Registered representative | Feb 2014 (12y) | ||
| William R Vigor | Registered representative | Feb 2014 (12y) | ||
| Giuseppe S Fiducia | Registered representative | Feb 2014 (12y) | ||
| Michelle Hussett Floris | Registered representative | Mar 2014 (12y) | ||
| Louis William Bundy | Registered representative | Mar 2014 (12y) | ||
| Nicole Marie Kettenbrink | Registered representative | Mar 2014 (12y) | ||
| Sungwon Ma | Registered representative | Mar 2014 (12y) | ||
| Eric Todd Handelsman | Registered representative | Apr 2014 (12y) | ||
| Yanelys Garcia Benham | Registered representative | Apr 2014 (12y) | ||
| Lisa Michelle Miranda | Registered representative | May 2014 (12y) | ||
| Michael Paul Gouliamis | Registered representative | May 2014 (12y) | ||
| David Matthew Sullivan | Registered representative | May 2014 (12y) | ||
| Michael Warren Powers | Registered representative | May 2014 (12y) | ||
| Suzanne Dundon Alexander Doncel | Registered representative | May 2014 (12y) | ||
| Joseph Craig Valenti | Registered representative | May 2014 (12y) | ||
| Vivian Masayo Tsai | Registered representative | May 2014 (12y) | ||
| Todd Randall Smith | Registered representative | May 2014 (12y) | ||
| James Christopher Dashner | Registered representative | May 2014 (12y) | ||
| Aida Corinne Gonzalez | Registered representative | May 2014 (12y) | ||
| Benjamin Aaron Tyson | Registered representative | May 2014 (12y) | ||
| Eric Thomas Michaud | Registered representative | May 2014 (12y) | ||
| Marcola Lonsiera Dreyton Bennett | Registered representative | May 2014 (12y) | ||
| Christopher James Holden | Registered representative | Jun 2014 (12y) | ||
| Jeffrey Michael Thompson | Registered representative | Jun 2014 (12y) | ||
| Justin J Catalano | Registered representative | Jun 2014 (12y) | ||
| Clinton Joel Robinson | Registered representative | Jun 2014 (12y) | ||
| Michael John George | Registered representative | Jun 2014 (12y) | ||
| Joshua Keith Scott | Registered representative | Jun 2014 (12y) | ||
| Kim Tammy Durham | Registered representative | Jun 2014 (12y) | ||
| Kristin Margret Klein | Registered representative | Jun 2014 (12y) | ||
| Roberto Pasquale Casale | Registered representative | Jul 2014 (12y) | ||
| Evan Daniel Ho | Registered representative | Jul 2014 (12y) | ||
| Jeffrey Dale Channell | Registered representative | Jul 2014 (12y) | ||
| Barbara Montgomery Selig | Registered representative | Jul 2014 (12y) | ||
| Michael Ray Smith | Registered representative | Jul 2014 (12y) | ||
| Taylor Aubrey Brown | Registered representative | Aug 2014 (12y) | ||
| Shannon William Harrington | Registered representative | Aug 2014 (12y) | ||
| Matthew John Fleming | Registered representative | Aug 2014 (12y) | ||
| Michael Edward Stokvis | Registered representative | Aug 2014 (12y) | ||
| Michael Rollin Smith | Registered representative | Aug 2014 (12y) | ||
| William Fletcher Davis | Registered representative | Aug 2014 (12y) | ||
| Frank Paul Bartolini | Registered representative | Aug 2014 (12y) | ||
| William Gary Creson | Registered representative | Aug 2014 (12y) | ||
| Jennifer Ann Herzog | Registered representative | Aug 2014 (12y) | ||
| Elena Maria Irimia | Registered representative | Aug 2014 (12y) | ||
| Matthew Paul Diehl | Registered representative | Aug 2014 (12y) | ||
| Gregg William Marsh | Registered representative | Aug 2014 (12y) | ||
| Jerrod Miles Smith | Registered representative | Sep 2014 (12y) | ||
| Ginto Mathew | Registered representative | Sep 2014 (12y) | ||
| James Christopher Geary | Registered representative | Sep 2014 (12y) | ||
| Kristen Renee Horvath | Registered representative | Sep 2014 (12y) | ||
| Heidi Martha Duckworth | Registered representative | Sep 2014 (12y) | ||
| Michelle Pinner Patello | Registered representative | Sep 2014 (12y) | ||
| Juleby Anthony Hirsch | Registered representative | Sep 2014 (12y) | ||
| Adam Micah Seidman | Registered representative | Sep 2014 (12y) | ||
| Robert Lee Cousar | Registered representative | Sep 2014 (12y) | ||
| Jared Michael Hopkins | Registered representative | Oct 2014 (12y) | ||
| Scott D Mickey | Registered representative | Oct 2014 (12y) | ||
| Dedrick Elliott Harris | Registered representative | Oct 2014 (12y) | ||
| Michael Andrew Kutzleb | Registered representative | Oct 2014 (12y) | ||
| Adam John Reutzel | Registered representative | Oct 2014 (12y) | ||
| Thomas Graham Davis | Registered representative | Oct 2014 (12y) | ||
| Ani Nya Inyang | Registered representative | Nov 2014 (12y) | ||
| Cory L Meckler | Registered representative | Nov 2014 (12y) | ||
| Susan Joy Winklebleck | Registered representative | Nov 2014 (12y) | ||
| Richella Byrone Vincent Lee | Registered representative | Dec 2014 (12y) | ||
| Eric Armand Britt | Registered representative | Dec 2014 (12y) | ||
| Jason Scott Rees | Registered representative | Dec 2014 (12y) | ||
| Chad Michael Beaver | Registered representative | Jan 2015 (12y) | ||
| Philip Andrew Baxley | Registered representative | Jan 2015 (12y) | ||
| Matthew Dean Johansen | Registered representative | Jan 2015 (12y) | ||
| Michael Evan Berkley | Registered representative | Jan 2015 (12y) | ||
| Jon David Landvatter | Registered representative | Jan 2015 (12y) | ||
| Michael James Rabbitt | Registered representative | Jan 2015 (12y) | ||
| Jilly Dearaza | Registered representative | Feb 2015 (11y) | ||
| William Earl Brown | Registered representative | Mar 2015 (11y) | ||
| Keval Amin | Registered representative | Mar 2015 (11y) | ||
| David Alan Richard Toms | Registered representative | Mar 2015 (11y) | ||
| Ivor William Mills | Registered representative | Mar 2015 (11y) | ||
| Kelsey Rae Summers | Registered representative | Mar 2015 (11y) | ||
| Tammie Yvette Mceachin | Registered representative | Mar 2015 (11y) | ||
| Rachelle Lynn Hassan | Registered representative | Apr 2015 (11y) | ||
| Addison Ryan Colgrove | Registered representative | Apr 2015 (11y) | ||
| Casey Allen Gray | Registered representative | Apr 2015 (11y) | ||
| Stuart Andrew Mcgeough | Registered representative | Apr 2015 (11y) | ||
| Todd Michael Toro | Registered representative | Apr 2015 (11y) | ||
| Fritz Maximillian Dlabik | Registered representative | May 2015 (11y) | ||
| Patricia Lee | Registered representative | May 2015 (11y) | ||
| Frederick August Schaefer | Registered representative | Jun 2015 (11y) | ||
| James Andrew Grindo | Registered representative | Jun 2015 (11y) | ||
| Kale Prescott Hensel | Registered representative | Jun 2015 (11y) | ||
| Tyrell Jason Siler | Registered representative | Jun 2015 (11y) | ||
| Michael Christopher Dipenta | Registered representative | Jun 2015 (11y) | ||
| Nicole Ann Toro | Registered representative | Jun 2015 (11y) | ||
| Eric Lee Roberts | Registered representative | Jun 2015 (11y) | ||
| Lauren Aliza Ellberger | Registered representative | Jul 2015 (11y) | ||
| Todd Michael Myatt | Registered representative | Jul 2015 (11y) | ||
| Joseph Sanders Shore | Registered representative | Jul 2015 (11y) | ||
| Roberto Andres Groag | Registered representative | Jul 2015 (11y) | ||
| Michelle Bianca Huggins | Registered representative | Jul 2015 (11y) | ||
| Evan Richard Jonas | Registered representative | Jul 2015 (11y) | ||
| Katherine Eunmi Lee | Registered representative | Jul 2015 (11y) | ||
| Erik Bendix Ibsen | Registered representative | Jul 2015 (11y) | ||
| Margaret Blakely Daniels | Registered representative | Jul 2015 (11y) | ||
| Jonathan Crane Boldebuck | Registered representative | Aug 2015 (11y) | ||
| Matthew Thomas Schmidt | Registered representative | Aug 2015 (11y) | ||
| Veronica C Aldred | Registered representative | Aug 2015 (11y) | ||
| Cameron E Perry | Registered representative | Aug 2015 (11y) | ||
| Marques Harland Brewer | Registered representative | Aug 2015 (11y) | ||
| Nicholas Mark Wasielewski | Registered representative | Aug 2015 (11y) | ||
| Justin Christopher Kimmer | Registered representative | Sep 2015 (11y) | ||
| Richard Murray Held | Registered representative | Sep 2015 (11y) | ||
| Chirag Bhasker Choksey | Registered representative | Sep 2015 (11y) | ||
| Chrisjon Michelle Smith | Registered representative | Sep 2015 (11y) | ||
| Paul Christopher Eiting | Registered representative | Sep 2015 (11y) | ||
| Daniel D Parent | Registered representative | Sep 2015 (11y) | ||
| Navin Jayasekar | Registered representative | Sep 2015 (11y) | ||
| Lindsey Anne Prokay | Registered representative | Sep 2015 (11y) | ||
| Michael David Honold | Registered representative | Sep 2015 (11y) | ||
| Luander William Mccaskill | Registered representative | Sep 2015 (11y) | ||
| Kyle B Watt | Registered representative | Oct 2015 (11y) | ||
| James John Karalis | Registered representative | Oct 2015 (11y) | ||
| Robert Ellis Mitchell | Registered representative | Oct 2015 (11y) | ||
| Courtney Elizabeth Miller Findley | Registered representative | Oct 2015 (11y) | ||
| Jason John Salter | Registered representative | Oct 2015 (11y) | ||
| Eric Michael Farley | Registered representative | Oct 2015 (11y) | ||
| Robert Wallace Stauder | Registered representative | Oct 2015 (11y) | ||
| Brittney Sade Ruth Johnson | Registered representative | Oct 2015 (11y) | ||
| Alyssa Rae White | Registered representative | Oct 2015 (11y) | ||
| Brian Paul Ford | Registered representative | Oct 2015 (11y) | ||
| Charles Gideon Anthony | Registered representative | Nov 2015 (11y) | ||
| James Alexander Rushton | Registered representative | Nov 2015 (11y) | ||
| Ross William Miller | Registered representative | Nov 2015 (11y) | ||
| Brian Robert Rapacki | Registered representative | Nov 2015 (11y) | ||
| Victor John Roach | Registered representative | Nov 2015 (11y) | ||
| Richard Rutledge Evans | Registered representative | Dec 2015 (11y) | ||
| Randall Charles Cohen | Registered representative | Dec 2015 (11y) | ||
| Brooke Randall Smith | Registered representative | Dec 2015 (11y) | ||
| Julio Murga | Registered representative | Dec 2015 (11y) | ||
| Valery Volkau | Registered representative | Dec 2015 (11y) | ||
| William Robert Day | Registered representative | Dec 2015 (11y) | ||
| Brent Roy Mckellar | Registered representative | Jan 2016 (11y) | ||
| Martin Damon Cecire | Registered representative | Jan 2016 (11y) | ||
| Ted Charles Prosser | Registered representative | Jan 2016 (11y) | ||
| Patrick Ryan Dennis | Registered representative | Jan 2016 (11y) | ||
| Gregory Peter Giannibas | Registered representative | Jan 2016 (11y) | ||
| Brett William Boudreaux | Registered representative | Jan 2016 (11y) | ||
| Jennifer Michelle Tontillo | Registered representative | Jan 2016 (11y) | ||
| Patrick James Oconnor | Registered representative | Feb 2016 (10y) | ||
| John Eric Poe | Registered representative | Feb 2016 (10y) | ||
| Bryan P Sechrist | Registered representative | Feb 2016 (10y) | ||
| Jordan Hyde Sayler | Registered representative | Feb 2016 (10y) | ||
| Charles Manuel Burdette | Registered representative | Feb 2016 (10y) | ||
| Ryan Stanley Jordan | Registered representative | Feb 2016 (10y) | ||
| Edilberto Cancel | Registered representative | Mar 2016 (10y) | ||
| Peter Hungru Chen | Registered representative | Mar 2016 (10y) | ||
| Brent Kyle Stevens | Registered representative | Mar 2016 (10y) | ||
| Jared Michael Wall | Registered representative | Mar 2016 (10y) | ||
| Scott Paul Thomas | Registered representative | Apr 2016 (10y) | ||
| Slava S Davidoff | Registered representative | Apr 2016 (10y) | ||
| Rodger Adam Hoofnagle | Registered representative | Apr 2016 (10y) | ||
| Raymond Peter Prendergast | Registered representative | Apr 2016 (10y) | ||
| Stephen Michael Lucero | Registered representative | May 2016 (10y) | ||
| Eric Brandon Stephen | Registered representative | May 2016 (10y) | ||
| Jonathan Kim Nakamoto | Registered representative | May 2016 (10y) | ||
| Joshua Carl Kenyon | Registered representative | May 2016 (10y) | ||
| Jacob John Litzau | Registered representative | Jun 2016 (10y) | ||
| Jeffery Scott Begovatz | Registered representative | Jun 2016 (10y) | ||
| Alan Merritt Ross | Registered representative | Jun 2016 (10y) | ||
| Susan Marie Lenz | Registered representative | Jun 2016 (10y) | ||
| Douglas Pollinger Ornstein | Registered representative | Jun 2016 (10y) | ||
| Ryan James Thompson | Registered representative | Jul 2016 (10y) | ||
| Robert K Young | Registered representative | Jul 2016 (10y) | ||
| Townsend Jeremiah Gray Williams | Registered representative | Jul 2016 (10y) | ||
| Gary Clinton Jones | Registered representative | Jul 2016 (10y) | ||
| Bradlee Alexis Berk | Registered representative | Aug 2016 (10y) | ||
| Jason Saul Caplan | Registered representative | Aug 2016 (10y) | ||
| Robert D Mc Minn | Registered representative | Aug 2016 (10y) | ||
| Shawn Michael Buys | Registered representative | Aug 2016 (10y) | ||
| Michael Scott Fitzgerald | Registered representative | Aug 2016 (10y) | ||
| Diana Enid Urichich | Registered representative | Aug 2016 (10y) | ||
| Gwen Borowicz Dadoly | Registered representative | Aug 2016 (10y) | ||
| Christopher Daron Deshotel | Registered representative | Aug 2016 (10y) | ||
| Kelly Marie Zemaites | Registered representative | Aug 2016 (10y) | ||
| William Thomas Marshall | Registered representative | Sep 2016 (10y) | ||
| David Alan Ratzker | Registered representative | Sep 2016 (10y) | ||
| Phillip Henry Bettis | Registered representative | Sep 2016 (10y) | ||
| Michael James Lanigan | Registered representative | Oct 2016 (10y) | ||
| William Edward Mathers | Registered representative | Oct 2016 (10y) | ||
| Nicholas Christopher Cappadora | Registered representative | Oct 2016 (10y) | ||
| Jordan Pablo Pavlides | Registered representative | Oct 2016 (10y) | ||
| Peter Tremain Stratton | Registered representative | Oct 2016 (10y) | ||
| Andrew Alexander Haftek | Registered representative | Oct 2016 (10y) | ||
| Stephen Robert Wiper | Registered representative | Oct 2016 (10y) | ||
| Zaki Elias Saoud | Registered representative | Oct 2016 (10y) | ||
| Robert Vincient Nicolosi | Registered representative | Nov 2016 (10y) | ||
| Amber Watkins Nelson | Registered representative | Nov 2016 (10y) | ||
| Joseph Michael Niederee | Registered representative | Nov 2016 (10y) | ||
| Justtini Dirceu Aliaga | Registered representative | Dec 2016 (10y) | ||
| Robert Albert Lee | Registered representative | Dec 2016 (10y) | ||
| Clayton Odell Borders | Registered representative | Dec 2016 (10y) | ||
| Timothy Montillano Salunga | Registered representative | Dec 2016 (10y) | ||
| Lance Kenneth Olson | Registered representative | Jan 2017 (10y) | ||
| Joseph William Sladek | Registered representative | Jan 2017 (10y) | ||
| Justin Travis Eslick | Registered representative | Jan 2017 (10y) | ||
| Kevin Patrick Higgins | Registered representative | Jan 2017 (10y) | ||
| Kristen Alicia Wright | Registered representative | Feb 2017 (9y) | ||
| Kathleen Gregory | Registered representative | Mar 2017 (9y) | ||
| Timothy Evan Headings | Registered representative | Mar 2017 (9y) | ||
| Jeffrey Michael Causey | Registered representative | Mar 2017 (9y) | ||
| Kelli Nicole Plumb | Registered representative | Mar 2017 (9y) | ||
| James Robert White | Registered representative | Mar 2017 (9y) | ||
| Kenith Douglas Causey | Registered representative | Mar 2017 (9y) | ||
| Bridgette Elise Sweeney | Registered representative | Mar 2017 (9y) | ||
| Angela Sayler Killingsworth | Registered representative | Apr 2017 (9y) | ||
| Kent Bevan Shuford | Registered representative | Apr 2017 (9y) | ||
| Ashleigh Ann Kurzweil | Registered representative | Apr 2017 (9y) | ||
| Jessica Christine Manard | Registered representative | Apr 2017 (9y) | ||
| Janet Barrios Marchand | Registered representative | May 2017 (9y) | ||
| Melissa Ann Vian | Registered representative | May 2017 (9y) | ||
| Fernando Martin Camacho | Registered representative | Jun 2017 (9y) | ||
| Robert Charles Bacon | Registered representative | Jun 2017 (9y) | ||
| Thomas John Damato | Registered representative | Jun 2017 (9y) | ||
| Frank William Armitage | Registered representative | Jun 2017 (9y) | ||
| Desmond Perry | Registered representative | Jul 2017 (9y) | ||
| Stephen Charles Janak | Registered representative | Jul 2017 (9y) | ||
| Justin Michelle Roundtree | Registered representative | Aug 2017 (9y) | ||
| Jonathan David Abbuehl | Registered representative | Aug 2017 (9y) | ||
| Thomas D Farrell | Registered representative | Aug 2017 (9y) | ||
| Luis Enrique Gurrusquieta | Registered representative | Aug 2017 (9y) | ||
| Rori Denene Godsey | Registered representative | Sep 2017 (9y) | ||
| Joy Noel Massimi | Registered representative | Sep 2017 (9y) | ||
| Neal Acharya | Registered representative | Sep 2017 (9y) | ||
| Simon Lu | Registered representative | Sep 2017 (9y) | ||
| Antonio Sosa | Registered representative | Sep 2017 (9y) | ||
| John Hillmon Hinds | Registered representative | Sep 2017 (9y) | ||
| Jared Cole Gilbert | Registered representative | Oct 2017 (9y) | ||
| Michael Paul Bowser | Registered representative | Oct 2017 (9y) | ||
| Hugo Azpeitia Pedroza | Registered representative | Oct 2017 (9y) | ||
| Hallie Houston Eads | Registered representative | Oct 2017 (9y) | ||
| Robert Edward Garofoli | Registered representative | Oct 2017 (9y) | ||
| Chad Edwin Greenway | Registered representative | Oct 2017 (9y) | ||
| Viet Nguyen | Registered representative | Oct 2017 (9y) | ||
| Travis Philip Lecture | Registered representative | Nov 2017 (9y) | ||
| Todd Andrew Howard | Registered representative | Nov 2017 (9y) | ||
| John Joseph Walzer | Registered representative | Nov 2017 (9y) | ||
| Bradford Mc Gregor Newitt | Registered representative | Nov 2017 (9y) | ||
| Kristen Margaret Roldan | Registered representative | Dec 2017 (9y) | ||
| Matthew Wagner Grygiel | Registered representative | Dec 2017 (9y) | ||
| James Edward Wood | Registered representative | Dec 2017 (9y) | ||
| Janet Irene Burnett | Registered representative | Dec 2017 (9y) | ||
| Melissa Denise Shaw | Registered representative | Dec 2017 (9y) | ||
| Evan Jared Potash | Registered representative | Jan 2018 (9y) | ||
| Andrew Albert Fahner | Registered representative | Jan 2018 (9y) | ||
| Richard Andrew Stamps | Registered representative | Jan 2018 (9y) | ||
| Kenneth Neal Gerlach | Registered representative | Jan 2018 (9y) | ||
| Casey Newsom Brighton | Registered representative | Jan 2018 (9y) | ||
| Ryan J Hallowell | Registered representative | Jan 2018 (9y) | ||
| Brian Michael Nanney | Registered representative | Feb 2018 (9y) | ||
| Michael Bernstein | Registered representative | Feb 2018 (9y) | ||
| Leslie Saye Busch | Registered representative | Feb 2018 (8y) | ||
| Brandon Leon Dyson | Registered representative | Feb 2018 (8y) | ||
| Bryton Richard Lewis | Registered representative | Feb 2018 (8y) | ||
| Joseph William Widmaier | Registered representative | Feb 2018 (8y) | ||
| Alexandros Timotheos Mavrellis | Registered representative | Mar 2018 (8y) | ||
| Derek Neil Barnes | Registered representative | Mar 2018 (8y) | ||
| Andrew Austin Roitz | Registered representative | Mar 2018 (8y) | ||
| Juan Manuel Guerra | Registered representative | Mar 2018 (8y) | ||
| Eleanor Dellinger Sloop | Registered representative | Mar 2018 (8y) | ||
| Christopher Nathan Hendryx | Registered representative | Mar 2018 (8y) | ||
| Marilyn Eleanor Anstey | Registered representative | Mar 2018 (8y) | ||
| Intaek Oh | Registered representative | Apr 2018 (8y) | ||
| Kellen Thomas Quackenbush | Registered representative | Apr 2018 (8y) | ||
| Mark Robert Westermeier | Registered representative | Apr 2018 (8y) | ||
| Brandon Kent Parsons | Registered representative | Apr 2018 (8y) | ||
| Robert A Keith | Registered representative | Apr 2018 (8y) | ||
| Matthew Thomas Marquez | Registered representative | Apr 2018 (8y) | ||
| Jacob Tyler Sawyer | Registered representative | Apr 2018 (8y) | ||
| Lance Ingram Dunlap | Registered representative | Apr 2018 (8y) | ||
| Braden Glen Danielson | Registered representative | Apr 2018 (8y) | ||
| Jesse Brandon Melville | Registered representative | May 2018 (8y) | ||
| Carl Steven Rankin | Registered representative | May 2018 (8y) | ||
| Jesus Olmedo | Registered representative | May 2018 (8y) | ||
| Richard Morgan Fiest | Registered representative | May 2018 (8y) | ||
| Dana Dorian Richman | Registered representative | May 2018 (8y) | ||
| Joseph Franklin Kaniatobe | Registered representative | May 2018 (8y) | ||
| Thomas Byron Ziegler | Registered representative | Jun 2018 (8y) | ||
| Eric Joseph Vacca | Registered representative | Jun 2018 (8y) | ||
| Brian Richard Benacci | Registered representative | Jun 2018 (8y) | ||
| Stephanie Angelina Casey | Registered representative | Jun 2018 (8y) | ||
| Brian Nicholas Berryman | Registered representative | Jun 2018 (8y) | ||
| Jason Harris Katz | Registered representative | Jun 2018 (8y) | ||
| Marcio Martins | Registered representative | Jul 2018 (8y) | ||
| Zachary T Evans | Registered representative | Jul 2018 (8y) | ||
| Lura Kelsey Walton | Registered representative | Jul 2018 (8y) | ||
| Binbin Feng | Registered representative | Jul 2018 (8y) | ||
| Trevor Lee Gilman | Registered representative | Jul 2018 (8y) | ||
| Robert Francis Fisher | Registered representative | Jul 2018 (8y) | ||
| Herman Scriven | Registered representative | Aug 2018 (8y) | ||
| Brett Darren Beavers | Registered representative | Aug 2018 (8y) | ||
| Vincent John Bona | Registered representative | Aug 2018 (8y) | ||
| Eric Nolan Tharp | Registered representative | Aug 2018 (8y) | ||
| Matthew Ellison Hatfield | Registered representative | Aug 2018 (8y) | ||
| Benjamin Wesley Keith | Registered representative | Aug 2018 (8y) | ||
| Matthew Fredric Robertson | Registered representative | Aug 2018 (8y) | ||
| Anthony Joseph Inzero | Registered representative | Aug 2018 (8y) | ||
| Dennis Piccone | Registered representative | Sep 2018 (8y) | ||
| Eileen Cauley Brunken | Registered representative | Sep 2018 (8y) | ||
| Matthew Daniel Gagnon | Registered representative | Sep 2018 (8y) | ||
| Laura Anne Zoucha | Registered representative | Sep 2018 (8y) | ||
| Nicholas Balmer | Registered representative | Sep 2018 (8y) | ||
| Amy Julia Wong Pawa | Registered representative | Sep 2018 (8y) | ||
| Gregory James Lahoda | Registered representative | Sep 2018 (8y) | ||
| Kayla Chambers Stern | Registered representative | Sep 2018 (8y) | ||
| Cameron Van Cleve Hinshaw | Registered representative | Oct 2018 (8y) | ||
| Timmothy Erwin Nootz | Registered representative | Oct 2018 (8y) | ||
| Mazin Ali Hakim | Registered representative | Oct 2018 (8y) | ||
| Kyle Weitekamp | Registered representative | Oct 2018 (8y) | ||
| Sharon Ann Lolk | Registered representative | Oct 2018 (8y) | ||
| Aaron Joseph Kucmerowski | Registered representative | Oct 2018 (8y) | ||
| James George Davis | Registered representative | Oct 2018 (8y) | ||
| Ross Coble Kirkman | Registered representative | Nov 2018 (8y) | ||
| Melissa Ann Trask | Registered representative | Nov 2018 (8y) | ||
| James Matthew Myczek | Registered representative | Nov 2018 (8y) | ||
| Jonathan Robert Strong | Registered representative | Nov 2018 (8y) | ||
| Joshua Raymond Bilodeau | Registered representative | Nov 2018 (8y) | ||
| Elizabeth Anderson Munday | Registered representative | Nov 2018 (8y) | ||
| Tina Shaniece Jackson | Registered representative | Nov 2018 (8y) | ||
| Robert Clayton Thomas | Registered representative | Nov 2018 (8y) | ||
| Marta Ewa Jankowski | Registered representative | Nov 2018 (8y) | ||
| Brian Gerard Donoghue | Registered representative | Dec 2018 (8y) | ||
| Douglas Kyle Miller | Registered representative | Dec 2018 (8y) | ||
| John Lopez | Registered representative | Dec 2018 (8y) | ||
| Michelle Ann Swiger | Registered representative | Dec 2018 (8y) | ||
| Steven Michael Segura | Registered representative | Dec 2018 (8y) | ||
| Thomas Lawrence Reid | Registered representative | Dec 2018 (8y) | ||
| Toby Nolan Brown | Registered representative | Dec 2018 (8y) | ||
| James Lee Park | Registered representative | Jan 2019 (8y) | ||
| Justin Evan Braman | Registered representative | Jan 2019 (8y) | ||
| Norah T Evans | Registered representative | Jan 2019 (8y) | ||
| Cameron Christopher Druffel | Registered representative | Jan 2019 (8y) | ||
| Patrick Joseph Di Staso | Registered representative | Jan 2019 (8y) | ||
| Rebeca Sandoval Melendez | Registered representative | Jan 2019 (8y) | ||
| Joni Lynn Campos | Registered representative | Jan 2019 (8y) | ||
| Jason Wojciechowski | Registered representative | Jan 2019 (8y) | ||
| Svetlana Zuyeva | Registered representative | Jan 2019 (8y) | ||
| Jesse Fritche Strawn | Registered representative | Feb 2019 (7y) | ||
| Matthew James Toepfer | Registered representative | Mar 2019 (7y) | ||
| Jeffrey Bernard Larson | Registered representative | Mar 2019 (7y) | ||
| Kate Wright | Registered representative | Mar 2019 (7y) | ||
| Kenneth Holt | Registered representative | Apr 2019 (7y) | ||
| Kenneth James Williams | Registered representative | Apr 2019 (7y) | ||
| Samuel Thomas Henderson | Registered representative | Apr 2019 (7y) | ||
| Sara Kay Thomas | Registered representative | Apr 2019 (7y) | ||
| Luigia Massaro | Registered representative | Apr 2019 (7y) | ||
| Angelena Nicole Armstrong | Registered representative | May 2019 (7y) | ||
| Natalie Grace Collins | Registered representative | May 2019 (7y) | ||
| Melissa Ann Seitchek | Registered representative | Jul 2019 (7y) | ||
| Mark Steven Fraser | Registered representative | Aug 2019 (7y) | ||
| Gary Thomas Merlette | Registered representative | Aug 2019 (7y) | ||
| Jessica Marie Semones | Registered representative | Aug 2019 (7y) | ||
| Kunal D Vyas | Registered representative | Aug 2019 (7y) | ||
| Geoffrey Alan Curry | Registered representative | Sep 2019 (7y) | ||
| William Holland Sadler | Registered representative | Sep 2019 (7y) | ||
| Pamela Alexandria Nicole Barnett | Registered representative | Oct 2019 (7y) | ||
| Ellina Cheney | Registered representative | Oct 2019 (7y) | ||
| James Alex Dawes | Registered representative | Oct 2019 (7y) | ||
| Mary Frances Sanderson | Registered representative | Oct 2019 (7y) | ||
| Alex Sackett Humphreville | Registered representative | Oct 2019 (7y) | ||
| Carlos Joshua Arteaga | Registered representative | Oct 2019 (7y) | ||
| Collin William Main | Registered representative | Oct 2019 (7y) | ||
| John Robert Dorothy | Registered representative | Nov 2019 (7y) | ||
| Christopher Scott Hance | Registered representative | Nov 2019 (7y) | ||
| Kristy Ann Green | Registered representative | Dec 2019 (7y) | ||
| Steven Jarrett Rogers | Registered representative | Dec 2019 (7y) | ||
| Rodney Martin Hager | Registered representative | Jan 2020 (7y) | ||
| Stephen Joseph Bonjour | Registered representative | Feb 2020 (6y) | ||
| David Jeffrey Arndt | Registered representative | Feb 2020 (6y) | ||
| Nora Lynn Knox | Registered representative | Feb 2020 (6y) | ||
| Casimir Michael Seweryn | Registered representative | Feb 2020 (6y) | ||
| Elliot Elan Martin Otelsberg | Registered representative | Feb 2020 (6y) | ||
| Stuart Clivie Donovan | Registered representative | Apr 2020 (6y) | ||
| Leke Vala | Registered representative | May 2020 (6y) | ||
| Elizabeth Marianne Gonzales | Registered representative | Aug 2020 (6y) | ||
| Scott Jason Gershon | Registered representative | Aug 2020 (6y) | ||
| Marc Eric Schneider | Registered representative | Sep 2020 (6y) | ||
| Zahria Nicole Brown | Registered representative | Sep 2020 (6y) | ||
| Thomas Anthony Garcia Meitin | Registered representative | Oct 2020 (6y) | ||
| Lindsay Mae Hartman | Registered representative | Nov 2020 (6y) | ||
| Rob Ervin Snyder | Registered representative | Nov 2020 (6y) | ||
| James Vincent Maniscalco | Registered representative | Nov 2020 (6y) | ||
| Blake Gustave Earl | Registered representative | Nov 2020 (6y) | ||
| Megan Anne Freedman | Registered representative | Dec 2020 (6y) | ||
| Donna Lynette King | Registered representative | Dec 2020 (6y) | ||
| Kent Darren Booke | Registered representative | Dec 2020 (6y) | ||
| Andrew J Martinez | Registered representative | Dec 2020 (6y) | ||
| Christian Sherman Wathen | Registered representative | Dec 2020 (6y) | ||
| Devin Mark Murray | Registered representative | Dec 2020 (6y) | ||
| Jorge Albano Alban Palacios | Registered representative | Dec 2020 (6y) | ||
| Jennifer M Kotzian | Registered representative | Dec 2020 (6y) | ||
| Scott Michael Marshall | Registered representative | Dec 2020 (6y) | ||
| Saul Renteria | Registered representative | Jan 2021 (6y) | ||
| Nicki Lee Beatty | Registered representative | Jan 2021 (6y) | ||
| Justin Scott | Registered representative | Jan 2021 (6y) | ||
| Elizabeth Joya Dawson | Registered representative | Jan 2021 (6y) | ||
| Nathanael Mark Southard | Registered representative | Feb 2021 (5y) | ||
| Craig Gerard Desimone | Registered representative | Feb 2021 (5y) | ||
| Marc Andrew Anstrom | Registered representative | Feb 2021 (5y) | ||
| Brittany Fallon Winkelman | Registered representative | Feb 2021 (5y) | ||
| Janice Racine Hopkins | Registered representative | Feb 2021 (5y) | ||
| Mathew Richard Morgan | Registered representative | Feb 2021 (5y) | ||
| Amira Abou Quintanilla Issa | Registered representative | Mar 2021 (5y) | ||
| Agnes Littmann | Registered representative | Mar 2021 (5y) | ||
| Christopher Lawrence Horne | Registered representative | Mar 2021 (5y) | ||
| Jennifer Rebecca Kremer | Registered representative | Mar 2021 (5y) | ||
| Gina Hughes Lowery | Registered representative | Mar 2021 (5y) | ||
| Catherine Mary Keane | Registered representative | Mar 2021 (5y) | ||
| Donna Felan Allardice | Registered representative | May 2021 (5y) | ||
| Steven Michael Kosta | Registered representative | May 2021 (5y) | ||
| Alex Paul Smith | Registered representative | May 2021 (5y) | ||
| Alex Stuart Hamill | Registered representative | May 2021 (5y) | ||
| Alexander Peter Newman | Registered representative | May 2021 (5y) | ||
| Allan J Lallier | Registered representative | May 2021 (5y) | ||
| Andrew Michael Black | Registered representative | May 2021 (5y) | ||
| Andrew Louis Pressman | Registered representative | May 2021 (5y) | ||
| Andrew R Morales | Registered representative | May 2021 (5y) | ||
| Annette Costa | Registered representative | May 2021 (5y) | ||
| Bernadette Lai Mui Lee | Registered representative | May 2021 (5y) | ||
| Brad Alexander Sloan | Registered representative | May 2021 (5y) | ||
| Brandon Wayne Siebert | Registered representative | May 2021 (5y) | ||
| Brian David Gabel | Registered representative | May 2021 (5y) | ||
| Brian Matthew Mcdonald | Registered representative | May 2021 (5y) | ||
| Cara Patricia Turano | Registered representative | May 2021 (5y) | ||
| Christine Marie Eriksen | Registered representative | May 2021 (5y) | ||
| Christopher Wilson | Registered representative | May 2021 (5y) | ||
| Craig N Warner | Registered representative | May 2021 (5y) | ||
| Daniel K Soo | Registered representative | May 2021 (5y) | ||
| Darryl Peter Fiasconaro | Registered representative | May 2021 (5y) | ||
| David Victor Kleeman | Registered representative | May 2021 (5y) | ||
| Fred Ardito | Registered representative | May 2021 (5y) | ||
| Gregory Robert Kayel | Registered representative | May 2021 (5y) | ||
| Gregory Todd Mcgraime | Registered representative | May 2021 (5y) | ||
| Gary Edward Mc Hugh | Registered representative | May 2021 (5y) | ||
| Jeffrey David Weygant | Registered representative | May 2021 (5y) | ||
| Jeffrey Mellone | Registered representative | May 2021 (5y) | ||
| Jeremy George Young | Registered representative | May 2021 (5y) | ||
| Jill M Popovich | Registered representative | May 2021 (5y) | ||
| Jimmy T Huang | Registered representative | May 2021 (5y) | ||
| John Christopher Aldebot | Registered representative | May 2021 (5y) | ||
| Jonathan Phillip Moyer | Registered representative | May 2021 (5y) | ||
| Jose Adrian Sanchez | Registered representative | May 2021 (5y) | ||
| Joseph Chaim Goldgrab | Registered representative | May 2021 (5y) | ||
| Joseph Thomas Di Vico | Registered representative | May 2021 (5y) | ||
| Jamie V Sawicki | Registered representative | May 2021 (5y) | ||
| Jessica Gabrielle Kopf | Registered representative | May 2021 (5y) | ||
| Keith Wayne Leece | Registered representative | May 2021 (5y) | ||
| Kelly E Michalek | Registered representative | May 2021 (5y) | ||
| Kevin Patric Donaghue | Registered representative | May 2021 (5y) | ||
| Kristen Dwyer O'connor Perkins | Registered representative | May 2021 (5y) | ||
| Lewis Alan Wexler | Registered representative | May 2021 (5y) | ||
| Linda Ann Marschke | Registered representative | May 2021 (5y) | ||
| Maya A Reda | Registered representative | May 2021 (5y) | ||
| Michael Joseph Mcguire | Registered representative | May 2021 (5y) | ||
| Michael David Roorda | Registered representative | May 2021 (5y) | ||
| Michele Christine Waite | Registered representative | May 2021 (5y) | ||
| Patrick J Mcelhatton | Registered representative | May 2021 (5y) | ||
| Paul Brian Cowie | Registered representative | May 2021 (5y) | ||
| Paul Charles Jacobson | Registered representative | May 2021 (5y) | ||
| Paul Philip Anderson | Registered representative | May 2021 (5y) | ||
| Paul Angelo Bello | Registered representative | May 2021 (5y) | ||
| Richard Lee Brewer | Registered representative | May 2021 (5y) | ||
| Robert Charles Carlone | Registered representative | May 2021 (5y) | ||
| Robert Mckelvey Campbell | Registered representative | May 2021 (5y) | ||
| Robert Michael Polak | Registered representative | May 2021 (5y) | ||
| Robert Nicholas Casolaro | Registered representative | May 2021 (5y) | ||
| Robert William Gallo | Registered representative | May 2021 (5y) | ||
| Ronald Joseph Kelly | Registered representative | May 2021 (5y) | ||
| Ryan Joseph Thauvette | Registered representative | May 2021 (5y) | ||
| Rasheed Hasan Defense | Registered representative | May 2021 (5y) | ||
| Sandra Raye Bennett | Registered representative | May 2021 (5y) | ||
| Stacy Jean Caraccio | Registered representative | May 2021 (5y) | ||
| Stephen Baumeister | Registered representative | May 2021 (5y) | ||
| Stephen Cornell Dileo | Registered representative | May 2021 (5y) | ||
| Stephen Thomas Smith | Registered representative | May 2021 (5y) | ||
| Sayed Farhad Mirzada | Registered representative | May 2021 (5y) | ||
| Stanislav Nedzhetskiy | Registered representative | May 2021 (5y) | ||
| Tracy Ellen Rashford | Registered representative | May 2021 (5y) | ||
| William Gerald Nelkin | Registered representative | May 2021 (5y) | ||
| Michael Beltre | Registered representative | Jun 2021 (5y) | ||
| Joshua Paul Helms | Registered representative | Jun 2021 (5y) | ||
| Dustin James Anewalt | Registered representative | Jun 2021 (5y) | ||
| James Herbert Milleville | Registered representative | Jun 2021 (5y) | ||
| Verna Lisa Dottin Maitland | Registered representative | Jun 2021 (5y) | ||
| Marco Enrique Tejada | Registered representative | Jun 2021 (5y) | ||
| James Ian Scroggs | Registered representative | Jun 2021 (5y) | ||
| Donald Ray Stouffer | Registered representative | Jul 2021 (5y) | ||
| Julho Jitesh Kara | Registered representative | Aug 2021 (5y) | ||
| Tahuna Bea Kidd | Registered representative | Aug 2021 (5y) | ||
| Arnold Jeffrey Bassett | Registered representative | Aug 2021 (5y) | ||
| Ciaran John Murphy | Registered representative | Sep 2021 (5y) | ||
| Richard Eastwood Page | Registered representative | Sep 2021 (5y) | ||
| Abby Ann Lord | Registered representative | Sep 2021 (5y) | ||
| Khadijah Dambreville Randall | Registered representative | Sep 2021 (5y) | ||
| Nicolas Jeremiah Heywood | Registered representative | Sep 2021 (5y) | ||
| Emily Kate Brandt | Registered representative | Sep 2021 (5y) | ||
| Justin Robert Stojetz | Registered representative | Sep 2021 (5y) | ||
| Sydney Grace Hansen | Registered representative | Sep 2021 (5y) | ||
| Jared Michael Fossler | Registered representative | Sep 2021 (5y) | ||
| Joseph Anson Nichols | Registered representative | Oct 2021 (5y) | ||
| Rebecca Fuentes Jones | Registered representative | Oct 2021 (5y) | ||
| Michael Stephen Doody | Registered representative | Oct 2021 (5y) | ||
| Ron Michael Koren | Registered representative | Oct 2021 (5y) | ||
| Scott Michael Williams | Registered representative | Oct 2021 (5y) | ||
| John Benjamin Spooner | Registered representative | Oct 2021 (5y) | ||
| Leslie Marie Johnson | Registered representative | Nov 2021 (5y) | ||
| Christopher Robert Lane | Registered representative | Nov 2021 (5y) | ||
| Brice Thomas Talley | Registered representative | Nov 2021 (5y) | ||
| Bradley David Stojetz | Registered representative | Nov 2021 (5y) | ||
| Lisa Marie Petronio | Registered representative | Dec 2021 (5y) | ||
| Alexandra Grace Madsen | Registered representative | Jan 2022 (5y) | ||
| Kyle Joseph Durkin | Registered representative | Jan 2022 (5y) | ||
| Chun Yin Lau | Registered representative | Jan 2022 (5y) | ||
| Jeffrey Nelson Daniels | Registered representative | Jan 2022 (5y) | ||
| Kim Yvette Richards | Registered representative | Jan 2022 (5y) | ||
| Kip Thomas Siedling | Registered representative | Jan 2022 (5y) | ||
| Meghan Mc Kelvey Clark | Registered representative | Jan 2022 (5y) | ||
| Janet Mccabe | Registered representative | Jan 2022 (5y) | ||
| Andrew William Pryde | Registered representative | Jan 2022 (5y) | ||
| Wesley Jarrett Clark | Registered representative | Jan 2022 (5y) | ||
| Rick Ashton Uribe | Registered representative | Jan 2022 (5y) | ||
| Joron Leban Howey | Registered representative | Jan 2022 (5y) | ||
| Nicholas Martin Blackner | Registered representative | Jan 2022 (5y) | ||
| Prakriti Chadha | Registered representative | Feb 2022 (4y) | ||
| Todd Preston Saunders | Registered representative | Feb 2022 (4y) | ||
| Daniel Louis Janusek | Registered representative | Feb 2022 (4y) | ||
| Tara Alyssia Gurr | Registered representative | Feb 2022 (4y) | ||
| Debra Rae Martin | Registered representative | Feb 2022 (4y) | ||
| Shannon Marie O'neil | Registered representative | Feb 2022 (4y) | ||
| Michael Francois Lavelanet | Registered representative | Feb 2022 (4y) | ||
| Nicholas Camel | Registered representative | Feb 2022 (4y) | ||
| Tristan Robert Latzel | Registered representative | Feb 2022 (4y) | ||
| Eliahou Selim Haroun | Registered representative | Feb 2022 (4y) | ||
| Johan Arturo Rubio | Registered representative | Feb 2022 (4y) | ||
| William Scott Crampton | Registered representative | Feb 2022 (4y) | ||
| Erika Mary Maynard | Registered representative | Feb 2022 (4y) | ||
| Courtenay Yvonne Lavigne | Registered representative | Mar 2022 (4y) | ||
| Michael Romanov | Registered representative | Mar 2022 (4y) | ||
| Nicholas Walter Rouillard | Registered representative | Mar 2022 (4y) | ||
| Brandon Maurice Heaven | Registered representative | Mar 2022 (4y) | ||
| George Guest Haydock | Registered representative | Mar 2022 (4y) | ||
| Haley Marie Clanton | Registered representative | Mar 2022 (4y) | ||
| Jeffrey Alan Querido | Registered representative | Mar 2022 (4y) | ||
| Nigel William Stearns | Registered representative | Mar 2022 (4y) | ||
| Daniel Roy Vinton | Registered representative | Mar 2022 (4y) | ||
| Jonathan Edward Dell | Registered representative | Mar 2022 (4y) | ||
| Philine Weahdi Darwin Kennedy | Registered representative | Mar 2022 (4y) | ||
| Malaika Hamid | Registered representative | Mar 2022 (4y) | ||
| Ronan Pheonix Duggan | Registered representative | Mar 2022 (4y) | ||
| Kristina Anne Wicks | Registered representative | Mar 2022 (4y) | ||
| Andrea Mati | Registered representative | Apr 2022 (4y) | ||
| Todd Anthony Lowery | Registered representative | Apr 2022 (4y) | ||
| Liliana Lisseth Zwart | Registered representative | Apr 2022 (4y) | ||
| Randi Lynn Vonnahme | Registered representative | Apr 2022 (4y) | ||
| Carly Meadows | Registered representative | May 2022 (4y) | ||
| Katlyne Marie Bartolo | Registered representative | May 2022 (4y) | ||
| Collette Susan Mitchell | Registered representative | May 2022 (4y) | ||
| Kimya Kamran | Registered representative | May 2022 (4y) | ||
| Olayinka Wisdom Olawoyin | Registered representative | May 2022 (4y) | ||
| Richmond Agyekum | Registered representative | May 2022 (4y) | ||
| John O Nauss | Registered representative | Jun 2022 (4y) | ||
| Joesette Faith Schmitz | Registered representative | Jun 2022 (4y) | ||
| Michael James Bradford | Registered representative | Jun 2022 (4y) | ||
| Matthew Cleon Baker | Registered representative | Jun 2022 (4y) | ||
| Vincent Talbot Bishop | Registered representative | Jun 2022 (4y) | ||
| Steven Ferdinand Fattorini | Registered representative | Jun 2022 (4y) | ||
| Christina Minh Tu Ngo | Registered representative | Jul 2022 (4y) | ||
| George Erick Bell | Registered representative | Jul 2022 (4y) | ||
| Heath Andrew Polzer | Registered representative | Jul 2022 (4y) | ||
| James E Schatz | Registered representative | Jul 2022 (4y) | ||
| Ashlyn Elizabeth Shalati | Registered representative | Jul 2022 (4y) | ||
| Daniel Phillip Cherrin | Registered representative | Jul 2022 (4y) | ||
| Jakub Marek Kulenty | Registered representative | Jul 2022 (4y) | ||
| Nathan Eugene Dufresne | Registered representative | Jul 2022 (4y) | ||
| Lara Christine Mayhew | Registered representative | Jul 2022 (4y) | ||
| Sergio Jesus Badillo | Registered representative | Jul 2022 (4y) | ||
| Michael Thomas Bartocci | Registered representative | Aug 2022 (4y) | ||
| Dominic Michael Scassera | Registered representative | Aug 2022 (4y) | ||
| Heather M. Martin | Registered representative | Aug 2022 (4y) | ||
| Ryan Alfred Mc Cartney | Registered representative | Aug 2022 (4y) | ||
| Mario Antonio Gonzalez Ayon | Registered representative | Aug 2022 (4y) | ||
| Peter Thomas Berkery | Registered representative | Aug 2022 (4y) | ||
| Adam Neil Rayburg | Registered representative | Aug 2022 (4y) | ||
| Scott Timothy Hueber | Registered representative | Aug 2022 (4y) | ||
| Isamar Enriquez Aguilar | Registered representative | Aug 2022 (4y) | ||
| Christine Alecia Carter | Registered representative | Aug 2022 (4y) | ||
| Lee Alan Abbey | Registered representative | Aug 2022 (4y) | ||
| Monica Jenilyn Keith | Registered representative | Aug 2022 (4y) | ||
| Shondra Janeil Williams | Registered representative | Aug 2022 (4y) | ||
| Sean Donald Wilson | Registered representative | Sep 2022 (4y) | ||
| David Peter Vogt | Registered representative | Sep 2022 (4y) | ||
| Lucas Matthew Hartman | Registered representative | Sep 2022 (4y) | ||
| Andrew Paul Gradus | Registered representative | Sep 2022 (4y) | ||
| John Michael Schuler | Registered representative | Sep 2022 (4y) | ||
| Khalil Domonique Morgan | Registered representative | Sep 2022 (4y) | ||
| Bryson Leah Hawks | Registered representative | Sep 2022 (4y) | ||
| Eric Sykes Hill | Registered representative | Sep 2022 (4y) | ||
| John Luke Longtine | Registered representative | Sep 2022 (4y) | ||
| Joseph Robert Smith | Registered representative | Sep 2022 (4y) | ||
| Robert Michael Hahn | Registered representative | Sep 2022 (4y) | ||
| Johnny Mojica | Registered representative | Sep 2022 (4y) | ||
| Jaine'coann Le Febvre Barton | Registered representative | Sep 2022 (4y) | ||
| Julio Maico Castillo | Registered representative | Oct 2022 (4y) | ||
| Maulik Rajesh Mankad | Registered representative | Oct 2022 (4y) | ||
| Elvia Hostiguin Vargas | Registered representative | Oct 2022 (4y) | ||
| Nicholas Alexander Webb | Registered representative | Oct 2022 (4y) | ||
| Daniel Ayenew | Registered representative | Oct 2022 (4y) | ||
| Theodore Jose Velasquez | Registered representative | Oct 2022 (4y) | ||
| Erin Lyn Alves | Registered representative | Oct 2022 (4y) | ||
| Kristopher Michael Hyland | Registered representative | Nov 2022 (4y) | ||
| Anthony John Roselli | Registered representative | Nov 2022 (4y) | ||
| Heidi B Parkhill | Registered representative | Nov 2022 (4y) | ||
| Ana Maria Laura Harding | Registered representative | Nov 2022 (4y) | ||
| Joseph Lynch | Registered representative | Nov 2022 (4y) | ||
| Nicholas Jones Harris | Registered representative | Nov 2022 (4y) | ||
| Farah Rahim Khalfan | Registered representative | Nov 2022 (4y) | ||
| Mackenzie Huish Casey | Registered representative | Nov 2022 (4y) | ||
| Peter Evan Kohn | Registered representative | Nov 2022 (4y) | ||
| Travis John Mayberry | Registered representative | Nov 2022 (4y) | ||
| Sasha Cesen | Registered representative | Nov 2022 (4y) | ||
| Elizabeth Marie Carlson | Registered representative | Nov 2022 (4y) | ||
| Brendan Michael Pilaar | Registered representative | Dec 2022 (4y) | ||
| Jordan Ash Jones | Registered representative | Dec 2022 (4y) | ||
| Paul E Kubasiak | Registered representative | Dec 2022 (4y) | ||
| Sharqueece Kanisha Banks | Registered representative | Dec 2022 (4y) | ||
| Anthony Nigro | Registered representative | Dec 2022 (4y) | ||
| Nisha Musani | Registered representative | Dec 2022 (4y) | ||
| James Daniel Griffith | Registered representative | Dec 2022 (4y) | ||
| Luba Romanov | Registered representative | Dec 2022 (4y) | ||
| Deny Delgadillo | Registered representative | Dec 2022 (4y) | ||
| Tanya Marie Forsythe | Registered representative | Dec 2022 (4y) | ||
| Joseph Bryan Manci | Registered representative | Dec 2022 (4y) | ||
| Geoffrey Jay Finkel | Registered representative | Jan 2023 (4y) | ||
| Jennifer Michele Stover | Registered representative | Jan 2023 (4y) | ||
| Brandon Alessondro Younger | Registered representative | Jan 2023 (4y) | ||
| Reagan Byrne Blissard | Registered representative | Jan 2023 (4y) | ||
| Robin Denise Davis | Registered representative | Jan 2023 (4y) | ||
| Dyedy Yol | Registered representative | Jan 2023 (4y) | ||
| Gayatri Mathur Ramesh | Registered representative | Jan 2023 (4y) | ||
| Jack Freeman Reetz | Registered representative | Jan 2023 (4y) | ||
| Matthew James Bunch | Registered representative | Jan 2023 (4y) | ||
| Martin Gaspar Arslanian Torre | Registered representative | Jan 2023 (4y) | ||
| Bryce Grafton Blanton | Registered representative | Jan 2023 (4y) | ||
| Denise Annemarie Crispino | Registered representative | Jan 2023 (4y) | ||
| Susan Leslie Soderberg | Registered representative | Jan 2023 (4y) | ||
| Adam C House | Registered representative | Feb 2023 (3y) | ||
| Seth Andrew Bennett | Registered representative | Feb 2023 (3y) | ||
| Spencer Christian Oliver | Registered representative | Feb 2023 (3y) | ||
| Charles Jon Strlekar | Registered representative | Feb 2023 (3y) | ||
| Michael Anthony Specht | Registered representative | Feb 2023 (3y) | ||
| Rhea Nerissa Foster | Registered representative | Feb 2023 (3y) | ||
| Ronald Mark Flagg | Registered representative | Feb 2023 (3y) | ||
| Frederick Le Mont Freeman | Registered representative | Mar 2023 (3y) | ||
| Robert O'connor Louis | Registered representative | Mar 2023 (3y) | ||
| Ryan Omar Johnson | Registered representative | Mar 2023 (3y) | ||
| Bridget Dyan Keefer | Registered representative | Mar 2023 (3y) | ||
| Rosaline Rogers Banks | Registered representative | Mar 2023 (3y) | ||
| Jonathan W Mc Lean | Registered representative | Mar 2023 (3y) | ||
| Christopher Matthew Wittekind | Registered representative | Mar 2023 (3y) | ||
| Ashley Nicole Montesdeoca | Registered representative | Mar 2023 (3y) | ||
| James Robert Marronaro | Registered representative | Mar 2023 (3y) | ||
| Jonathan Jerry Arayata Lucas | Registered representative | Apr 2023 (3y) | ||
| Jose M Raposo | Registered representative | Apr 2023 (3y) | ||
| Reginald James Wheeler | Registered representative | Apr 2023 (3y) | ||
| Eric Niklas Mcdowell | Registered representative | Apr 2023 (3y) | ||
| Giancarlo Dorazio | Registered representative | Apr 2023 (3y) | ||
| Dillon Paul Frame | Registered representative | May 2023 (3y) | ||
| Donna Marie Cobb | Registered representative | May 2023 (3y) | ||
| Khalif Elliot Croom | Registered representative | May 2023 (3y) | ||
| Timothy Landon Shugrue | Registered representative | May 2023 (3y) | ||
| Brian Leo Mc Cullough | Registered representative | May 2023 (3y) | ||
| Geoffrey David Southwell | Registered representative | May 2023 (3y) | ||
| Alexandria Maria Haden | Registered representative | May 2023 (3y) | ||
| Scott Joseph Jimison | Registered representative | May 2023 (3y) | ||
| Daniel Micah Lauffer | Registered representative | May 2023 (3y) | ||
| Zaviera Wilson Miller | Registered representative | May 2023 (3y) | ||
| Jordan Anthony Leonard | Registered representative | May 2023 (3y) | ||
| Mark Leonard Di Gangi | Registered representative | May 2023 (3y) | ||
| Kara Nicole Bimston | Registered representative | May 2023 (3y) | ||
| Thornton Joseph Fay | Registered representative | May 2023 (3y) | ||
| Kevin James Burton | Registered representative | May 2023 (3y) | ||
| Jonathan Edward Lutin | Registered representative | May 2023 (3y) | ||
| Pierce Henry Wessel | Registered representative | May 2023 (3y) | ||
| Breila Maureen O Halloran | Registered representative | Jun 2023 (3y) | ||
| Jonathon Scott Friend | Registered representative | Jun 2023 (3y) | ||
| Matthew Charles Melia | Registered representative | Jun 2023 (3y) | ||
| Coty Michael Consic | Registered representative | Jun 2023 (3y) | ||
| Joseph Matthew Fortino | Registered representative | Jun 2023 (3y) | ||
| James Howard Beard | Registered representative | Jun 2023 (3y) | ||
| Gregory Stuart Swindling | Registered representative | Jun 2023 (3y) | ||
| William Kyle Hunicke | Registered representative | Jun 2023 (3y) | ||
| David James Harris | Registered representative | Jun 2023 (3y) | ||
| Kathryn Ann Constantakis | Registered representative | Jun 2023 (3y) | ||
| Shari Jeanne Rahmlow | Registered representative | Jun 2023 (3y) | ||
| George Michael Kontos | Registered representative | Jul 2023 (3y) | ||
| Cindi Lynelle Williams | Registered representative | Jul 2023 (3y) | ||
| Craig Jeffery Theile | Registered representative | Jul 2023 (3y) | ||
| Kevin Paul Mertz | Registered representative | Jul 2023 (3y) | ||
| Michael Christopher Hitch | Registered representative | Jul 2023 (3y) | ||
| Jeremiah Lee Neptune | Registered representative | Jul 2023 (3y) | ||
| Dragana Petrovic | Registered representative | Jul 2023 (3y) | ||
| James Edward Matol | Registered representative | Jul 2023 (3y) | ||
| Trudy Mae Blanton | Registered representative | Jul 2023 (3y) | ||
| Jacob Hunter Brown | Registered representative | Jul 2023 (3y) | ||
| Christopher Adam Allen Perry | Registered representative | Jul 2023 (3y) | ||
| Won Heo | Registered representative | Jul 2023 (3y) | ||
| Christopher Thomas Bonnington | Registered representative | Jul 2023 (3y) | ||
| Daniel Scott Worley | Registered representative | Jul 2023 (3y) | ||
| Daniel Vincent Quinn | Registered representative | Jul 2023 (3y) | ||
| Garen Kalender | Registered representative | Jul 2023 (3y) | ||
| Robert Nathan Borham | Registered representative | Aug 2023 (3y) | ||
| Victor Anthony Carbone | Registered representative | Aug 2023 (3y) | ||
| William Joseph Ciemny | Registered representative | Aug 2023 (3y) | ||
| Jabari Omar Butler | Registered representative | Aug 2023 (3y) | ||
| Steven Albert Leon | Registered representative | Aug 2023 (3y) | ||
| Francisco Javier Medina | Registered representative | Aug 2023 (3y) | ||
| Clifford Robert Hitt | Registered representative | Aug 2023 (3y) | ||
| Matthew Alan Motelson | Registered representative | Aug 2023 (3y) | ||
| Andreja Dugacki | Registered representative | Aug 2023 (3y) | ||
| James Michael Moore | Registered representative | Aug 2023 (3y) | ||
| Liam Samuel Hudler | Registered representative | Aug 2023 (3y) | ||
| Maximiliano Agosta | Registered representative | Aug 2023 (3y) | ||
| Karen Ann Donofrio | Registered representative | Aug 2023 (3y) | ||
| Lloyd Ward Johnson | Registered representative | Aug 2023 (3y) | ||
| Nicholas Paul Brady | Registered representative | Aug 2023 (3y) | ||
| Saahil Kumar Jain | Registered representative | Aug 2023 (3y) | ||
| Matthew Michael Maher | Registered representative | Aug 2023 (3y) | ||
| Derek M Shaffer | Registered representative | Aug 2023 (3y) | ||
| Ryan R Prokay | Registered representative | Aug 2023 (3y) | ||
| Christopher Paul Reda | Registered representative | Aug 2023 (3y) | ||
| Jason Daniel May | Registered representative | Aug 2023 (3y) | ||
| Michael Wilfort Chavez | Registered representative | Aug 2023 (3y) | ||
| Trajko Papuckoski | Registered representative | Aug 2023 (3y) | ||
| Harry Clinton Thompson | Registered representative | Aug 2023 (3y) | ||
| David Llewellyn Smith | Registered representative | Aug 2023 (3y) | ||
| Gregory John Grasso | Registered representative | Aug 2023 (3y) | ||
| Troy Marshall Rozich | Registered representative | Aug 2023 (3y) | ||
| Alexander James Herman | Registered representative | Sep 2023 (3y) | ||
| Afi Ashley Douhadji | Registered representative | Sep 2023 (3y) | ||
| Changa Oronde Ellison | Registered representative | Sep 2023 (3y) | ||
| Evander Douglas Thompson | Registered representative | Sep 2023 (3y) | ||
| Nicole Aisha Jackson | Registered representative | Sep 2023 (3y) | ||
| Rachel Elizabeth Carmony | Registered representative | Sep 2023 (3y) | ||
| Edward Orlando Bautista | Registered representative | Sep 2023 (3y) | ||
| Gehang Schwartz | Registered representative | Sep 2023 (3y) | ||
| Joel Chery | Registered representative | Sep 2023 (3y) | ||
| Aleksey Joseph Palumbo | Registered representative | Sep 2023 (3y) | ||
| Syamphone Jane Graham | Registered representative | Sep 2023 (3y) | ||
| Sumakar Medikayala | Registered representative | Sep 2023 (3y) | ||
| Benjamin Myers | Registered representative | Sep 2023 (3y) | ||
| Francisco Antonio Galan | Registered representative | Sep 2023 (3y) | ||
| Christopher James Connor | Registered representative | Sep 2023 (3y) | ||
| Peggy Kimrick Maravilla | Registered representative | Sep 2023 (3y) | ||
| Tracy Keith Kennard | Registered representative | Sep 2023 (3y) | ||
| William Peter Luster | Registered representative | Sep 2023 (3y) | ||
| Sasha Whyte | Registered representative | Sep 2023 (3y) | ||
| Scott Matthew Mulvaney | Registered representative | Sep 2023 (3y) | ||
| Dana Katherine Marlowe | Registered representative | Sep 2023 (3y) | ||
| James Richard Clark | Registered representative | Sep 2023 (3y) | ||
| Sachika Motamarri | Registered representative | Sep 2023 (3y) | ||
| Tucker Lee Parrish | Registered representative | Sep 2023 (3y) | ||
| Gabriel Ross Blancarte | Registered representative | Sep 2023 (3y) | ||
| Grant Michael Mink | Registered representative | Sep 2023 (3y) | ||
| Nikola Mirko Palincas | Registered representative | Sep 2023 (3y) | ||
| Alec H Strause | Registered representative | Sep 2023 (3y) | ||
| Jacob Daniel Simon | Registered representative | Sep 2023 (3y) | ||
| John Lydon Kuhn | Registered representative | Sep 2023 (3y) | ||
| Kevin Patrick Hill | Registered representative | Sep 2023 (3y) | ||
| Dean M Cushing | Registered representative | Oct 2023 (3y) | ||
| Joel A Dillis | Registered representative | Oct 2023 (3y) | ||
| Rama Jamal Elasmar | Registered representative | Oct 2023 (3y) | ||
| Tate Edward Johnson | Registered representative | Oct 2023 (3y) | ||
| Heather Brooks Peters | Registered representative | Oct 2023 (3y) | ||
| Nina Jeanne Rose | Registered representative | Oct 2023 (3y) | ||
| Priya Darshanie Davie Jagdeo | Registered representative | Oct 2023 (3y) | ||
| Caillen Lasyrus Fort | Registered representative | Oct 2023 (3y) | ||
| Jeanine Marie Buceti | Registered representative | Oct 2023 (3y) | ||
| Linda Dolan Farquhar | Registered representative | Oct 2023 (3y) | ||
| Reanna Marie Wenham | Registered representative | Oct 2023 (3y) | ||
| Anthony James Stapleton | Registered representative | Oct 2023 (3y) | ||
| Julie E Warren | Registered representative | Oct 2023 (3y) | ||
| Michael David Krawczyk | Registered representative | Oct 2023 (3y) | ||
| Kevin Michael Doyle | Registered representative | Oct 2023 (3y) | ||
| Robin Rodriguez | Registered representative | Oct 2023 (3y) | ||
| Sandra Jane Cullen | Registered representative | Oct 2023 (3y) | ||
| Albert Lance Lim | Registered representative | Oct 2023 (3y) | ||
| Anna Elizabeth Carson | Registered representative | Oct 2023 (3y) | ||
| James Edwin Aughtry | Registered representative | Oct 2023 (3y) | ||
| Patricia Ann Ellerby | Registered representative | Oct 2023 (3y) | ||
| Andrew Thomas Boone | Registered representative | Oct 2023 (3y) | ||
| Brady Lee Nolan | Registered representative | Oct 2023 (3y) | ||
| Ian Mershon Ellis | Registered representative | Oct 2023 (3y) | ||
| Rahul Kashyap | Registered representative | Oct 2023 (3y) | ||
| Ruth Ann Dimmett | Registered representative | Oct 2023 (3y) | ||
| William Christian Bayles | Registered representative | Oct 2023 (3y) | ||
| Bobby Lee Slate | Registered representative | Oct 2023 (3y) | ||
| Cassandra Atieno Bonyo | Registered representative | Oct 2023 (3y) | ||
| Michael David Johansson | Registered representative | Oct 2023 (3y) | ||
| Cameron Ann Loomis | Registered representative | Nov 2023 (3y) | ||
| Paul Michael Anderson | Registered representative | Nov 2023 (3y) | ||
| Tenesha Ronnette Barron | Registered representative | Nov 2023 (3y) | ||
| Roberto Luis Perdomo | Registered representative | Nov 2023 (3y) | ||
| Kelton Henderson Lawson | Registered representative | Nov 2023 (3y) | ||
| Kate Mac Arthur Lawson | Registered representative | Nov 2023 (3y) | ||
| Kristen Nicole Duncan | Registered representative | Nov 2023 (3y) | ||
| Derek Michael Burry | Registered representative | Nov 2023 (3y) | ||
| Jennifer Nicole Overhoff | Registered representative | Nov 2023 (3y) | ||
| Benjamin Daniel Crofford | Registered representative | Nov 2023 (3y) | ||
| Lane Douglas Sires | Registered representative | Nov 2023 (3y) | ||
| Grant Thomas Trisch | Registered representative | Nov 2023 (3y) | ||
| Mary Dyer Landsfield | Registered representative | Nov 2023 (3y) | ||
| Micah Lee White | Registered representative | Nov 2023 (3y) | ||
| James J Deats | Registered representative | Nov 2023 (3y) | ||
| Mejico Borjas | Registered representative | Nov 2023 (3y) | ||
| Eric Rodney Mcintyre | Registered representative | Nov 2023 (3y) | ||
| Liana Jean Oneil | Registered representative | Nov 2023 (3y) | ||
| Steven Dominguez Paredes | Registered representative | Nov 2023 (3y) | ||
| Turner Joseph Schroll | Registered representative | Dec 2023 (3y) | ||
| Jacob Ryan Thiede | Registered representative | Dec 2023 (3y) | ||
| Timothy Walter Balkin | Registered representative | Dec 2023 (3y) | ||
| David Bryan Leigh | Registered representative | Dec 2023 (3y) | ||
| Jaclyn Marine Lifsey | Registered representative | Dec 2023 (3y) | ||
| Lonnie Rodriguez | Registered representative | Dec 2023 (3y) | ||
| Garrett James Dunlap | Registered representative | Dec 2023 (3y) | ||
| Jason Michael Mertz | Registered representative | Dec 2023 (3y) | ||
| Rafael Antonio Alfaro | Registered representative | Dec 2023 (3y) | ||
| Douglas Chad Mc Duffie | Registered representative | Jan 2024 (3y) | ||
| Joseph Patrick Timmerman | Registered representative | Jan 2024 (3y) | ||
| Jan Lee Getto | Registered representative | Jan 2024 (3y) | ||
| Michael Paul Prentice | Registered representative | Jan 2024 (3y) | ||
| Gavin Grant Reber | Registered representative | Jan 2024 (3y) | ||
| Jared J Kuzma | Registered representative | Jan 2024 (3y) | ||
| Michael Sorvillo | Registered representative | Jan 2024 (3y) | ||
| David Collin Johnston | Registered representative | Jan 2024 (3y) | ||
| Deanna Ilena Moss | Registered representative | Jan 2024 (3y) | ||
| Michael Christopher Lowder | Registered representative | Jan 2024 (3y) | ||
| Nichole Santoro Brown | Registered representative | Jan 2024 (3y) | ||
| Kimberly March | Registered representative | Jan 2024 (3y) | ||
| Jeffrey Navarra Tomaneng | Registered representative | Jan 2024 (3y) | ||
| Joseph Alfred Langella | Registered representative | Jan 2024 (3y) | ||
| Stacy Lynn Salvatore | Registered representative | Jan 2024 (3y) | ||
| Brett Allen Wood | Registered representative | Jan 2024 (3y) | ||
| Guy Alexander Tomasky | Registered representative | Jan 2024 (3y) | ||
| Levi Joshua David Perry | Registered representative | Jan 2024 (3y) | ||
| Susan Margaret Chevalier | Registered representative | Jan 2024 (3y) | ||
| Elizabeth Espinal | Registered representative | Feb 2024 (3y) | ||
| Kevin L Antol | Registered representative | Feb 2024 (3y) | ||
| Thanh Huynh Dan Le | Registered representative | Feb 2024 (2y) | ||
| Antonios Giakoumis | Registered representative | Feb 2024 (2y) | ||
| Erik Blaine Tarpley | Registered representative | Feb 2024 (2y) | ||
| Annette Badui Baltes | Registered representative | Feb 2024 (2y) | ||
| Craig Tramaiel Miller | Registered representative | Feb 2024 (2y) | ||
| Tiffany Amber Gomez | Registered representative | Feb 2024 (2y) | ||
| Antwan Lambert | Registered representative | Feb 2024 (2y) | ||
| Jun Young Park | Registered representative | Feb 2024 (2y) | ||
| Laura Elizabeth Kendall Zacharczyp | Registered representative | Feb 2024 (2y) | ||
| Bryan Scott Brooks | Registered representative | Feb 2024 (2y) | ||
| Terrence Anthony Teele | Registered representative | Feb 2024 (2y) | ||
| Luis Felipe Castillo | Registered representative | Feb 2024 (2y) | ||
| Brandon Paul Reeves | Registered representative | Feb 2024 (2y) | ||
| Christina Takako Bauer Dobias | Registered representative | Feb 2024 (2y) | ||
| James Daniel Campbell | Registered representative | Mar 2024 (2y) | ||
| William Brelsford Killhour | Registered representative | Mar 2024 (2y) | ||
| Blakely Aaron Buhler | Registered representative | Mar 2024 (2y) | ||
| Blake Anthony Snider | Registered representative | Mar 2024 (2y) | ||
| Angela Lestrade | Registered representative | Mar 2024 (2y) | ||
| Thomas James Gordon | Registered representative | Mar 2024 (2y) | ||
| Brian Christopher Mclinden | Registered representative | Mar 2024 (2y) | ||
| Joseph Travis Bergen | Registered representative | Mar 2024 (2y) | ||
| Tyler Gregory Johnson | Registered representative | Mar 2024 (2y) | ||
| Cem Sevinc | Registered representative | Mar 2024 (2y) | ||
| Matthew Spencer Long | Registered representative | Mar 2024 (2y) | ||
| Michael Jordan Margolis | Registered representative | Mar 2024 (2y) | ||
| Patrick Ryan Fleming | Registered representative | Mar 2024 (2y) | ||
| Rhett Cochran Belcher | Registered representative | Mar 2024 (2y) | ||
| Alex Dupree Davidson | Registered representative | Mar 2024 (2y) | ||
| Catherine Lee Chamberlin | Registered representative | Mar 2024 (2y) | ||
| Krystian M Suber | Registered representative | Mar 2024 (2y) | ||
| Scott Eric Stein | Registered representative | Mar 2024 (2y) | ||
| Robin Frederick Oles | Registered representative | Apr 2024 (2y) | ||
| Daniel James Elmlinger | Registered representative | Apr 2024 (2y) | ||
| Freeman Buckner Irby | Registered representative | Apr 2024 (2y) | ||
| Austin Tyler Nielson | Registered representative | Apr 2024 (2y) | ||
| Daniel Abram Koven | Registered representative | Apr 2024 (2y) | ||
| Yuxian Elva Macaluso | Registered representative | Apr 2024 (2y) | ||
| Max Gabriel Bozymski | Registered representative | Apr 2024 (2y) | ||
| Patrick Michael Kilcoyne | Registered representative | Apr 2024 (2y) | ||
| Robert John Willis | Registered representative | Apr 2024 (2y) | ||
| Anne Marie Perley | Registered representative | Apr 2024 (2y) | ||
| Joseph Michael Tieber | Registered representative | Apr 2024 (2y) | ||
| Myla Emmeline Cho | Registered representative | Apr 2024 (2y) | ||
| Daniel John Catalano | Registered representative | Apr 2024 (2y) | ||
| Marc John Coppotelli | Registered representative | Apr 2024 (2y) | ||
| Aaron Jonathan Frazier | Registered representative | Apr 2024 (2y) | ||
| Amandeep Kaur Somal | Registered representative | Apr 2024 (2y) | ||
| Ee Yang | Registered representative | Apr 2024 (2y) | ||
| Kaitlyn Charnese Powell | Registered representative | Apr 2024 (2y) | ||
| Mark Daniel Mentasti | Registered representative | Apr 2024 (2y) | ||
| Susan Barsnica | Registered representative | Apr 2024 (2y) | ||
| Lori Ellen Corriveau | Registered representative | Apr 2024 (2y) | ||
| Nicholas Michael Levy | Registered representative | Apr 2024 (2y) | ||
| John Clayton Stewart | Registered representative | Apr 2024 (2y) | ||
| Tricia Lee Jones | Registered representative | Apr 2024 (2y) | ||
| Anthony Jules Theodore | Registered representative | Apr 2024 (2y) | ||
| Jon Nicholas Scott | Registered representative | Apr 2024 (2y) | ||
| Colleen Renee Knight | Registered representative | Apr 2024 (2y) | ||
| Catherine Alexandra Vigen | Registered representative | Apr 2024 (2y) | ||
| Christopher Michael Perry | Registered representative | Apr 2024 (2y) | ||
| Robert Brice Meek | Registered representative | Apr 2024 (2y) | ||
| Michael Joseph Lo Conte | Registered representative | May 2024 (2y) | ||
| Morgan Taylor Callahan | Registered representative | May 2024 (2y) | ||
| William Anderson Harig | Registered representative | May 2024 (2y) | ||
| Carolina Paramo Aguilera | Registered representative | May 2024 (2y) | ||
| Mitchell Juda | Registered representative | May 2024 (2y) | ||
| Brian Rodriguez Arredondo | Registered representative | May 2024 (2y) | ||
| Conor Joseph Lydon | Registered representative | May 2024 (2y) | ||
| Jacob Conner Whitaker | Registered representative | May 2024 (2y) | ||
| Mohammad Naved Rahimi | Registered representative | May 2024 (2y) | ||
| Shaila Nicole Maloney | Registered representative | May 2024 (2y) | ||
| Annateresa Semeraro | Registered representative | May 2024 (2y) | ||
| Stacy Ann Talarico | Registered representative | May 2024 (2y) | ||
| Stephen Atiapah Tettey | Registered representative | May 2024 (2y) | ||
| Anne Elizabeth Riley | Registered representative | May 2024 (2y) | ||
| Zachary Li Morse | Registered representative | May 2024 (2y) | ||
| Justin Edward Balmer | Registered representative | May 2024 (2y) | ||
| William Albert Ferguson | Registered representative | May 2024 (2y) | ||
| Louis Jude Delorenzo | Registered representative | May 2024 (2y) | ||
| Juan Sebastian Amador | Registered representative | May 2024 (2y) | ||
| Reginald Malik Arris | Registered representative | May 2024 (2y) | ||
| Gregory Stephen Ryan | Registered representative | Jun 2024 (2y) | ||
| Asahia Normica Smith | Registered representative | Jun 2024 (2y) | ||
| Connor Matthew Baldwin | Registered representative | Jun 2024 (2y) | ||
| Margaret Mc Cann Kantrowitz | Registered representative | Jun 2024 (2y) | ||
| Michael William Mangino | Registered representative | Jun 2024 (2y) | ||
| Benjamin Joseph Ashby | Registered representative | Jun 2024 (2y) | ||
| Christian Quinn Long | Registered representative | Jun 2024 (2y) | ||
| Jessica Guthrie Gay | Registered representative | Jun 2024 (2y) | ||
| Oscar Rolondo Barillas | Registered representative | Jun 2024 (2y) | ||
| Tristan Papouyan | Registered representative | Jun 2024 (2y) | ||
| Brian Michael Odonoghue | Registered representative | Jun 2024 (2y) | ||
| Molly Louisa Phelps | Registered representative | Jun 2024 (2y) | ||
| Sean Scott Mossman | Registered representative | Jun 2024 (2y) | ||
| Angela R Cutler | Registered representative | Jun 2024 (2y) | ||
| Gregory Austin Morris | Registered representative | Jun 2024 (2y) | ||
| Daniel Alejandro Serrano Torres | Registered representative | Jun 2024 (2y) | ||
| Taylor Lauren O'neill | Registered representative | Jun 2024 (2y) | ||
| Alexis Nichole Szathmary | Registered representative | Jun 2024 (2y) | ||
| Daveona Janeice Harris | Registered representative | Jun 2024 (2y) | ||
| Alberto Favalli Ragusini | Registered representative | Jun 2024 (2y) | ||
| Cindy Ann Ryan | Registered representative | Jun 2024 (2y) | ||
| Niall Robert Lepper | Registered representative | Jun 2024 (2y) | ||
| Scott Franklin Mc Cullah | Registered representative | Jul 2024 (2y) | ||
| Umair Zaman | Registered representative | Jul 2024 (2y) | ||
| Kay Lessie Parker | Registered representative | Jul 2024 (2y) | ||
| Guglielmo Tullio | Registered representative | Jul 2024 (2y) | ||
| Brandon Lynn French | Registered representative | Jul 2024 (2y) | ||
| Grady Douglas Robbins | Registered representative | Jul 2024 (2y) | ||
| Jakob Allen Bogojevich | Registered representative | Jul 2024 (2y) | ||
| Caroline Elizabeth Bennett | Registered representative | Jul 2024 (2y) | ||
| Jeffery Albert Ready | Registered representative | Jul 2024 (2y) | ||
| Elyse Marie Long | Registered representative | Jul 2024 (2y) | ||
| Michael Gobbato | Registered representative | Jul 2024 (2y) | ||
| Andrew Robert Green | Registered representative | Jul 2024 (2y) | ||
| Nicholas Levon Orange | Registered representative | Aug 2024 (2y) | ||
| Patrick Lynch | Registered representative | Aug 2024 (2y) | ||
| William Warren Lowry | Registered representative | Aug 2024 (2y) | ||
| Alexandra Suzanne Shanafelt | Registered representative | Aug 2024 (2y) | ||
| Brian Patrick Harpur | Registered representative | Aug 2024 (2y) | ||
| Nicholas James Ferguson | Registered representative | Aug 2024 (2y) | ||
| Shaun Gabriel Samuels | Registered representative | Aug 2024 (2y) | ||
| Kayla Nocella Kunde | Registered representative | Aug 2024 (2y) | ||
| Cody James Catron | Registered representative | Aug 2024 (2y) | ||
| John Francis Heisterkamp | Registered representative | Aug 2024 (2y) | ||
| Kenny Nhu Truong | Registered representative | Aug 2024 (2y) | ||
| Raphael Tshikala | Registered representative | Sep 2024 (2y) | ||
| Liam Michael Timoney | Registered representative | Sep 2024 (2y) | ||
| Alejandro Andrade | Registered representative | Sep 2024 (2y) | ||
| Kaitlin Belle Hord | Registered representative | Sep 2024 (2y) | ||
| Ian Flores | Registered representative | Sep 2024 (2y) | ||
| Joseph Russel Simoncelli | Registered representative | Sep 2024 (2y) | ||
| Sarah Lynn Koth | Registered representative | Sep 2024 (2y) | ||
| David Robert Herron | Registered representative | Sep 2024 (2y) | ||
| Paige Merideth Assa | Registered representative | Sep 2024 (2y) | ||
| Ashleigh Marie Frohberg | Registered representative | Sep 2024 (2y) | ||
| Mark Edward Tyszkiewicz | Registered representative | Sep 2024 (2y) | ||
| Yu Que Wang | Registered representative | Sep 2024 (2y) | ||
| Mallory Shepard Burgess | Registered representative | Oct 2024 (2y) | ||
| Lisa Ann Cruser | Registered representative | Oct 2024 (2y) | ||
| Jillian Kimberly Lucas | Registered representative | Oct 2024 (2y) | ||
| Richard Stanley Carroll | Registered representative | Oct 2024 (2y) | ||
| Michael Bradford Ketchum | Registered representative | Oct 2024 (2y) | ||
| Richard Kevin Zachary | Registered representative | Oct 2024 (2y) | ||
| Tyler Hope Carfora | Registered representative | Oct 2024 (2y) | ||
| Zachary Robert Michael | Registered representative | Oct 2024 (2y) | ||
| Olivia Rai Newsome | Registered representative | Oct 2024 (2y) | ||
| Ramon Vargas | Registered representative | Nov 2024 (2y) | ||
| Clinton Eric Wolfe | Registered representative | Nov 2024 (2y) | ||
| Niki April Kae Mumpower | Registered representative | Nov 2024 (2y) | ||
| Kristopher Fulwood Davis | Registered representative | Nov 2024 (2y) | ||
| Ingrid Dalicia Clay | Registered representative | Nov 2024 (2y) | ||
| Nicholas Daniel Prelosky | Registered representative | Nov 2024 (2y) | ||
| Sean Miguel Able | Registered representative | Nov 2024 (2y) | ||
| George Charles Grant | Registered representative | Dec 2024 (2y) | ||
| Kimberly Ann Weber | Registered representative | Dec 2024 (2y) | ||
| Kristine Marie Moore | Registered representative | Dec 2024 (2y) | ||
| Scott Michael Paul | Registered representative | Dec 2024 (2y) | ||
| Khalif Rameek Mink | Registered representative | Jan 2025 (2y) | ||
| Melisa Maria Portillo Leonardi | Registered representative | Jan 2025 (2y) | ||
| Shehroze Tarique Zubair | Registered representative | Jan 2025 (2y) | ||
| Ulysses Cervantes | Registered representative | Jan 2025 (2y) | ||
| Matthew John Mc Kenna | Registered representative | Jan 2025 (2y) | ||
| April Dawn Rose | Registered representative | Jan 2025 (2y) | ||
| Joshua Aaron Tanner | Registered representative | Jan 2025 (2y) | ||
| William Richard Hall | Registered representative | Jan 2025 (2y) | ||
| Kathryn Ellen Revels | Registered representative | Jan 2025 (2y) | ||
| Dean Robert Skinner | Registered representative | Jan 2025 (2y) | ||
| Jeremy Benjamin Kohn | Registered representative | Feb 2025 (1y) | ||
| Jonathan Richard Kimble | Registered representative | Feb 2025 (1y) | ||
| Carly Marie Burress | Registered representative | Feb 2025 (1y) | ||
| Travis John Steinacher | Registered representative | Mar 2025 (1y) | ||
| Jeffrey Brian Huston | Registered representative | Mar 2025 (1y) | ||
| Efrain Torres | Registered representative | Mar 2025 (1y) | ||
| Hanna Foster Rockwell | Registered representative | Mar 2025 (1y) | ||
| Mario Dewayne Mc Gee | Registered representative | Apr 2025 (1y) | ||
| Natalie Nicole Nesbit | Registered representative | Apr 2025 (1y) | ||
| Katherine Grace Mazzucco | Registered representative | Apr 2025 (1y) | ||
| James Andrew O'brien | Registered representative | Apr 2025 (1y) | ||
| Lauren Chelsea Cantillo | Registered representative | Apr 2025 (1y) | ||
| Gabriel Trey Devoto | Registered representative | Apr 2025 (1y) | ||
| Ronald Fitzgerald Myers | Registered representative | Apr 2025 (1y) | ||
| Sean Michael Newman | Registered representative | Apr 2025 (1y) | ||
| Lisa Claire Miller | Registered representative | May 2025 (1y) | ||
| Taylor Newman Ridgeway | Registered representative | May 2025 (1y) | ||
| Monica Ie Tan | Registered representative | May 2025 (1y) | ||
| Elmer Michael Heard | Registered representative | May 2025 (1y) | ||
| Jesse Antonio Faggioli | Registered representative | May 2025 (1y) | ||
| Scott William Lautz | Registered representative | May 2025 (1y) | ||
| Jaime Lynn Myers | Registered representative | May 2025 (1y) | ||
| Wesley Wright Gregory | Registered representative | May 2025 (1y) | ||
| Hermann Ismael Cruz | Registered representative | Jun 2025 (1y) | ||
| Mark Alan Libner | Registered representative | Jun 2025 (1y) | ||
| Kathryn Lynn Delk | Registered representative | Jun 2025 (1y) | ||
| Aaron Benjamin Bowling | Registered representative | Jun 2025 (1y) | ||
| Jordan Kyle Mc Elmurry | Registered representative | Jun 2025 (1y) | ||
| Andrea Marie Ward | Registered representative | Jun 2025 (1y) | ||
| Christopher L Tedford | Registered representative | Jun 2025 (1y) | ||
| Andrew Jonathan Mc Arthur | Registered representative | Jun 2025 (1y) | ||
| Andrew R Madden | Registered representative | CFP | Jun 2025 (1y) | |
| Dawn Marie Schmidt | Registered representative | Jun 2025 (1y) | ||
| Matthew David Makowski | Registered representative | CFP CFA | Jun 2025 (1y) | |
| Jamie Stewart Caudill | Registered representative | CFP | Jun 2025 (1y) | |
| Raphael Orighomisan Olomajeye | Registered representative | Jun 2025 (1y) | ||
| Scott Russell Abernethy | Registered representative | CFA | Jun 2025 (1y) | |
| Stacy Marie Linneman | Registered representative | CFP | Jun 2025 (1y) | |
| Travis Gallton | Registered representative | CFA | Jun 2025 (1y) | |
| Adhithya Rajagopalan | Registered representative | Jun 2025 (1y) | ||
| David J Burns | Registered representative | CFA | Jun 2025 (1y) | |
| William Laughon Bryant | Registered representative | CFP | Jun 2025 (1y) | |
| John M Hlywiak | Registered representative | CFA | Jun 2025 (1y) | |
| Matthew James Mulholland | Registered representative | CFP CFA | Jun 2025 (1y) | |
| Steven Lawrence Worrel | Registered representative | CFP | Jun 2025 (1y) | |
| David Harley Jones | Registered representative | CFA | Jun 2025 (1y) | |
| Chukwu Emeka Matthew Onyia | Registered representative | Jun 2025 (1y) | ||
| Anthony Joseph Markusz | Registered representative | CFP | Jul 2025 (1y) | |
| Michael Charles Pisani | Registered representative | Jul 2025 (1y) | ||
| Carla Deniese Sims | Registered representative | Jul 2025 (1y) | ||
| Peyton Elizabeth Krueger | Registered representative | Jul 2025 (1y) | ||
| Cameron Spencer Browning | Registered representative | CFP | Jul 2025 (1y) | |
| Cory Shannon Saylor | Registered representative | CFP | Jul 2025 (1y) | |
| Donald W Adam | Registered representative | CFA | Jul 2025 (1y) | |
| Jason Daniel Lee | Registered representative | CFA | Jul 2025 (1y) | |
| Kevin Randy James | Registered representative | CFA | Jul 2025 (1y) | |
| Steven Lee Ouellette | Registered representative | CFP | Jul 2025 (1y) | |
| Brandalyn Leanne Harvey | Registered representative | Jul 2025 (1y) | ||
| Richard Lee Ware | Registered representative | CFA | Jul 2025 (1y) | |
| Charles William Hill | Registered representative | CFP | Jul 2025 (1y) | |
| Eric Neufeld | Registered representative | CFA | Jul 2025 (1y) | |
| Sean Chase French | Registered representative | CFP | Jul 2025 (1y) | |
| Whitney Pickering Bullard | Registered representative | CFP | Jul 2025 (1y) | |
| Alexander John Leugers | Registered representative | CFA | Jul 2025 (1y) | |
| Carolyn Lee Sharp | Registered representative | Jul 2025 (1y) | ||
| Edi Crow | Registered representative | Jul 2025 (1y) | ||
| Lorna Hallenbeck Barham | Registered representative | Jul 2025 (1y) | ||
| Rahul Niranjan Tumkur | Registered representative | Jul 2025 (1y) | ||
| Christopher William Sauser | Registered representative | Jul 2025 (1y) | ||
| Michael John Lozano | Registered representative | CFA | Jul 2025 (1y) | |
| Kyle Ryan Lane | Registered representative | Jul 2025 (1y) | ||
| Alhamisi Juni Simms | Registered representative | CFP | Jul 2025 (1y) | |
| Curt Michael Busenburg | Registered representative | CFP CFA | Jul 2025 (1y) | |
| Lance Christopher Dobler | Registered representative | CFP | Jul 2025 (1y) | |
| Matthew Carle Chandler | Registered representative | Jul 2025 (1y) | ||
| Brian Eric Berlan | Registered representative | CFP | Jul 2025 (1y) | |
| Jennie Irene Sanders | Registered representative | CFA | Jul 2025 (1y) | |
| Thayer Procyson Hyland | Registered representative | CFP | Jul 2025 (1y) | |
| Daniel Allen Ford | Registered representative | CFP | Jul 2025 (1y) | |
| William Peter Fritz | Registered representative | CFA | Jul 2025 (1y) | |
| Daniel Charles Hepp | Registered representative | Jul 2025 (1y) | ||
| James Raymond Peters | Registered representative | CFP CFA | Jul 2025 (1y) | |
| Brian Francis Gallagher | Registered representative | CFP | Jul 2025 (1y) | |
| Patricia Ann Lampe | Registered representative | Jul 2025 (1y) | ||
| Samuel Njuguna Ndonga | Registered representative | Jul 2025 (1y) | ||
| David Zhi Chen Yang | Registered representative | Jul 2025 (1y) | ||
| Caroline Elizabeth Weis | Registered representative | CFP CFA | Aug 2025 (1y) | |
| Christopher A Scheper | Registered representative | Aug 2025 (1y) | ||
| Nicholas Michael Curcio | Registered representative | CFA | Aug 2025 (1y) | |
| Steven Christopher Humm | Registered representative | CFA | Aug 2025 (1y) | |
| Alexander Paluzelli | Registered representative | Aug 2025 (1y) | ||
| Yosyas Fasil Assefa | Registered representative | Aug 2025 (1y) | ||
| Cigdem Sonmez | Registered representative | Aug 2025 (1y) | ||
| John Angelo Pagliuca | Registered representative | Aug 2025 (1y) | ||
| Thomas Joseph Fahey | Registered representative | CFA | Aug 2025 (1y) | |
| John Andrew Gulino | Registered representative | CFA | Aug 2025 (1y) | |
| Matthew Steven Donahoe | Registered representative | Aug 2025 (1y) | ||
| Selmir Avdic | Registered representative | Aug 2025 (1y) | ||
| Amber Nicole Mc Neill | Registered representative | Aug 2025 (1y) | ||
| Pamela Mary Cappelli | Registered representative | Aug 2025 (1y) | ||
| William John Craig | Registered representative | CFP | Aug 2025 (1y) | |
| Courtney Lynn Petkovich | Registered representative | Aug 2025 (1y) | ||
| Derrick James Catherman | Registered representative | Aug 2025 (1y) | ||
| Nathan Ames Williams | Registered representative | CFP | Aug 2025 (1y) | |
| Jean Pierre Charles David Prusack | Registered representative | Aug 2025 (1y) | ||
| Philip Anthony Hoffnagle | Registered representative | Aug 2025 (1y) | ||
| Kevin John Salvatore | Registered representative | Aug 2025 (1y) | ||
| Lisa Corra Gallo | Registered representative | CFA | Aug 2025 (1y) | |
| Ronnie Reed | Registered representative | Aug 2025 (1y) | ||
| Paul Thomas Gordon | Registered representative | CFP Chartered Financial Consultant | Aug 2025 (1y) | |
| Edward Thomas Dziedzic | Registered representative | CFA | Aug 2025 (1y) | |
| Carlon Duane Parks | Registered representative | CFP | Aug 2025 (1y) | |
| Freddie Ray Rodgers | Registered representative | Aug 2025 (1y) | ||
| Jessica Akemi Flynn | Registered representative | Aug 2025 (1y) | ||
| Yulia Dmitrievna Aiden | Registered representative | Aug 2025 (1y) | ||
| Brett J Leonard | Registered representative | Aug 2025 (1y) | ||
| Cynthia Lynn Frick | Registered representative | Aug 2025 (1y) | ||
| Kevin William Iobbi | Registered representative | Sep 2025 (1y) | ||
| John Bayiha | Registered representative | Sep 2025 (1y) | ||
| Christian Johan Hawkinson | Registered representative | Sep 2025 (1y) | ||
| Thomas James Emberger | Registered representative | Sep 2025 (1y) | ||
| Shaundrea Michelle Cordier | Registered representative | Sep 2025 (1y) | ||
| Jeffrey Scott Grizer | Registered representative | CFP CFA | Sep 2025 (1y) | |
| Sarina Dominique Campbell | Registered representative | Sep 2025 (1y) | ||
| Jedediah Matthew Koenigsberg | Registered representative | Sep 2025 (1y) | ||
| Brandon Scott Handy | Registered representative | Sep 2025 (1y) | ||
| Stacy Lynn Johnson | Registered representative | CFA | Sep 2025 (1y) | |
| Hadley Remy Joseph | Registered representative | Sep 2025 (1y) | ||
| Matthew Blair Burk | Registered representative | Sep 2025 (1y) | ||
| Jared Michael Jones Crosby | Registered representative | Sep 2025 (1y) | ||
| Nicholas Richard Wernli | Registered representative | Sep 2025 (1y) | ||
| Noah Thomas Di Biase | Registered representative | Sep 2025 (1y) | ||
| Arden Lynn Pegelow | Registered representative | Sep 2025 (1y) | ||
| Arjun Anand Swarup | Registered representative | Sep 2025 (1y) | ||
| Christine Rhea William | Registered representative | Sep 2025 (1y) | ||
| Gavin Charles Masa | Registered representative | Sep 2025 (1y) | ||
| Jeffrey A Petroske | Registered representative | Sep 2025 (1y) | ||
| Joseph Walter Doyle | Registered representative | Sep 2025 (1y) | ||
| Sarah Trang Le | Registered representative | Sep 2025 (1y) | ||
| Sophie Maureen Springs | Registered representative | Sep 2025 (1y) | ||
| Juan Armando Valdez | Registered representative | Sep 2025 (1y) | ||
| Mason Antonio Matos | Registered representative | Sep 2025 (1y) | ||
| Samip Kaushik Thaker | Registered representative | Oct 2025 (1y) | ||
| Jose Antonio Martinez Rincon | Registered representative | Oct 2025 (1y) | ||
| Samuel Hartford Askew | Registered representative | Oct 2025 (1y) | ||
| Chrysanthe Maria Karayannis | Registered representative | Oct 2025 (1y) | ||
| Cameron James Brockhoff | Registered representative | Oct 2025 (1y) | ||
| Marcus David Jefferson | Registered representative | Oct 2025 (1y) | ||
| Brooklyn Grace De Shazo Griffin | Registered representative | Oct 2025 (1y) | ||
| Ethan Joel Cummings | Registered representative | Oct 2025 (1y) | ||
| Amer Marwan Alzoubi | Registered representative | Oct 2025 (1y) | ||
| Craig Alan Hurley | Registered representative | Oct 2025 (1y) | ||
| Grant Austin Williams | Registered representative | Oct 2025 (1y) | ||
| Sylvia Sriniwass | Registered representative | Oct 2025 (1y) | ||
| Amy Jacqueline Au | Registered representative | Oct 2025 (1y) | ||
| Anastasia Frances Sullivan | Registered representative | CFP | Oct 2025 (1y) | |
| Axelle Anya Rivot | Registered representative | Oct 2025 (1y) | ||
| Dominic Joseph Gullo | Registered representative | Oct 2025 (1y) | ||
| Jacob Edward Daubenmire | Registered representative | Oct 2025 (1y) | ||
| Elexys Mika Ferreira | Registered representative | Oct 2025 (1y) | ||
| Grant Conway | Registered representative | Oct 2025 (1y) | ||
| Joshua Daniel Bekele | Registered representative | Oct 2025 (1y) | ||
| Nicholas Joseph Dolce | Registered representative | Oct 2025 (1y) | ||
| Noel Spencer Lagneaux | Registered representative | Nov 2025 (1y) | ||
| Firestar Gomez | Registered representative | Nov 2025 (1y) | ||
| Scott Marshall Steele | Registered representative | Nov 2025 (1y) | ||
| John Calvin Shaw | Registered representative | Nov 2025 (1y) | ||
| Michael Thomas Zarlengo | Registered representative | Nov 2025 (1y) | ||
| Brandon Michael White | Registered representative | Nov 2025 (1y) | ||
| Paola Manganiello | Registered representative | Nov 2025 (1y) | ||
| Andersen Taylor Crowder | Registered representative | Nov 2025 (1y) | ||
| Mitchell Gerald Tanis | Registered representative | Nov 2025 (1y) | ||
| Saul Ruiz | Registered representative | Nov 2025 (1y) | ||
| Wilson Gregory Mc Kinney | Registered representative | Nov 2025 (1y) | ||
| Raymundo Alejandro Castorena | Registered representative | Nov 2025 (1y) | ||
| Tonya Marie Rollman | Registered representative | Nov 2025 (1y) | ||
| Benzion A Jaffe | Registered representative | Nov 2025 (1y) | ||
| Ryan Matthew Adler | Registered representative | Nov 2025 (1y) | ||
| Sarah Anna Jones | Registered representative | Nov 2025 (1y) | ||
| Abdulla Mirpur | Registered representative | Dec 2025 (1y) | ||
| Alexander Valerio | Registered representative | Dec 2025 (1y) | ||
| Kenneth Shayne Edge | Registered representative | Dec 2025 (1y) | ||
| Tyler James Somodi | Registered representative | Dec 2025 (1y) | ||
| Aidan Jesse Mabunga | Registered representative | Dec 2025 (1y) | ||
| Erica Victoria Damato | Registered representative | Dec 2025 (1y) | ||
| Elliott Back | Registered representative | Dec 2025 (1y) | ||
| Lucas Daniel Griffith | Registered representative | Dec 2025 (1y) | ||
| Albert Frank Donofrio | Registered representative | Dec 2025 (1y) | ||
| Angela Faye Berry | Registered representative | Dec 2025 (1y) | ||
| William Francis Andrews | Registered representative | Dec 2025 (1y) | ||
| Justin Robert Sweet | Registered representative | Dec 2025 (1y) | ||
| Rebecca Jane Shelton | Registered representative | Dec 2025 (1y) | ||
| Neil Christopher Guarniere | Registered representative | Dec 2025 (1y) | ||
| Komal Gopal Motwani | Registered representative | CFP | Dec 2025 (1y) | |
| Miyanda Cathrine Hamakando | Registered representative | Jan 2026 (1y) | ||
| Monica Angelica Duran | Registered representative | Jan 2026 (1y) | ||
| Rashund Abella Green | Registered representative | Jan 2026 (1y) | ||
| Matthew John Lavin | Registered representative | Jan 2026 (1y) | ||
| Mariah Marie Maines | Registered representative | Jan 2026 (1y) | ||
| Angel Yael Vargas | Registered representative | Jan 2026 (1y) | ||
| Karina Bianca Bayani Dahilig | Registered representative | CFA | Jan 2026 (1y) | |
| Robert William Crothers | Registered representative | Jan 2026 (1y) | ||
| Julian Mauro D Ambrosi | Registered representative | Jan 2026 (1y) | ||
| Sage Austin Murphy | Registered representative | Jan 2026 (1y) | ||
| Elizabeth De Latorre | Registered representative | Jan 2026 (1y) | ||
| Jasmine Letriese Smalls | Registered representative | Jan 2026 (1y) | ||
| Adara Amelinda Johnson | Registered representative | Jan 2026 (1y) | ||
| Radha Moffitt | Registered representative | Jan 2026 (1y) | ||
| Matthew Brian Haman | Registered representative | Jan 2026 (1y) | ||
| Salvatore Thomas Buffa | Registered representative | Jan 2026 (1y) | ||
| Luke Richards | Registered representative | Jan 2026 (1y) | ||
| Ted Richard Vickerman | Registered representative | Jan 2026 (1y) | ||
| Mark Elliott Hargrove | Registered representative | Jan 2026 (1y) | ||
| Yug Milinic | Registered representative | Jan 2026 (1y) | ||
| Steven Lee Warner | Registered representative | Jan 2026 (1y) | ||
| Sha'ron Davon Clark | Registered representative | Jan 2026 (1y) | ||
| Micah Robert Anthony Parks | Registered representative | Jan 2026 (1y) | ||
| Albert Leonard Waisanen | Registered representative | Jan 2026 (1y) | ||
| Daniel Steven York | Registered representative | Jan 2026 (1y) | ||
| Michael Joseph Caulfield | Registered representative | Feb 2026 (0y) | ||
| Brandon Michael James | Registered representative | Feb 2026 (0y) | ||
| Alfredo Negrete Abreu | Registered representative | Feb 2026 (0y) | ||
| Steffon Peter Cumberbatch | Registered representative | Feb 2026 (0y) | ||
| Rose Ann Thompson | Registered representative | Feb 2026 (0y) | ||
| Alexandra Beach | Registered representative | Feb 2026 (0y) | ||
| Brian Wayne Herman | Registered representative | Feb 2026 (0y) | ||
| Dasha Renee Coleman | Registered representative | Feb 2026 (0y) | ||
| Ishan Ashish Chitale | Registered representative | Feb 2026 (0y) | ||
| Joel Christopher Vincent | Registered representative | Feb 2026 (0y) | ||
| John Raymond Vaughn | Registered representative | Feb 2026 (0y) | ||
| Matthew Patrick Miehe | Registered representative | Feb 2026 (0y) | ||
| Tyler James Brubaker | Registered representative | Feb 2026 (0y) | ||
| Angelica Nicole Trumer | Registered representative | Feb 2026 (0y) | ||
| Shavar K Lazarus | Registered representative | Feb 2026 (0y) | ||
| Jaylen Andrew Gentry | Registered representative | Feb 2026 (0y) | ||
| Kelly Barnes Sewell | Registered representative | Feb 2026 (0y) | ||
| Marcus Antawn Royal | Registered representative | Feb 2026 (0y) | ||
| Zachary Robert Goreczny | Registered representative | Feb 2026 (0y) | ||
| Kenneth James Rathke | Registered representative | Mar 2026 (0y) | ||
| Phyllis Marjorie Lowe | Registered representative | Mar 2026 (0y) | ||
| Justin Thomas Conkling | Registered representative | Mar 2026 (0y) | ||
| Wen Bin Wang | Registered representative | Mar 2026 (0y) | ||
| Daniel Mckinley Yancy | Registered representative | Mar 2026 (0y) | ||
| Trevor Scott Hickman | Registered representative | CFP | Mar 2026 (0y) | |
| Prabhvinder Kaur | Registered representative | Mar 2026 (0y) | ||
| Kellen Suzuki Hirayama | Registered representative | Mar 2026 (0y) | ||
| Madhuri Vasant Bendale | Registered representative | Mar 2026 (0y) | ||
| Taylor Charles Tomlin | Registered representative | Mar 2026 (0y) | ||
| William F Kelsey | Registered representative | Mar 2026 (0y) | ||
| Ethan Alexander Strickland | Registered representative | Mar 2026 (0y) | ||
| Shafqat Manir | Registered representative | Mar 2026 (0y) | ||
| Jasmine Olivia Thomas | Registered representative | Mar 2026 (0y) | ||
| Tien Thanh Nguyen | Registered representative | Mar 2026 (0y) | ||
| Dillon Tate Pollack | Registered representative | Mar 2026 (0y) | ||
| Charles Ray Anderson | Registered representative | Mar 2026 (0y) | ||
| Josephine Tran | Registered representative | Mar 2026 (0y) | ||
| Nicolas Valles | Registered representative | Mar 2026 (0y) | ||
| Joseph John Schleicher | Registered representative | Mar 2026 (0y) | ||
| Kevonte Clay | Registered representative | Mar 2026 (0y) | ||
| Nicolas Sage Gallo | Registered representative | Mar 2026 (0y) | ||
| Christopher Robert Hendricks | Registered representative | Mar 2026 (0y) | ||
| Jacob B Israel | Registered representative | Mar 2026 (0y) | ||
| Zachary Scott Ford | Registered representative | Mar 2026 (0y) | ||
| Christopher Leonard Knight | Registered representative | Mar 2026 (0y) | ||
| Imran Olamide Akinteye | Registered representative | Mar 2026 (0y) | ||
| Traci Allysan Carrion | Registered representative | Mar 2026 (0y) | ||
| Joshua David Selvey | Registered representative | Apr 2026 (0y) | ||
| David Victor Gates | Registered representative | Apr 2026 (0y) | ||
| Jason Alan Braswell | Registered representative | Apr 2026 (0y) | ||
| Ross Arthur Campbell | Registered representative | Apr 2026 (0y) | ||
| Itallo Roiz Fernandes Pereira | Registered representative | Apr 2026 (0y) | ||
| Lindsey Anne Adams | Registered representative | Apr 2026 (0y) | ||
| Alfonso Aguilar | Registered representative | Apr 2026 (0y) | ||
| Darrien Jamahn Deese | Registered representative | Apr 2026 (0y) | ||
| Hanna Ali Alyafai | Registered representative | Apr 2026 (0y) | ||
| Le Eric Daye | Registered representative | Apr 2026 (0y) | ||
| Charles Mitchel Guittari | Registered representative | Apr 2026 (0y) | ||
| Kathy Thornton | Registered representative | Apr 2026 (0y) | ||
| Thomas James Sampson | Registered representative | Apr 2026 (0y) | ||
| Avertis Anthony Willis | Registered representative | Apr 2026 (0y) | ||
| Camille Rhiann Lubic | Registered representative | Apr 2026 (0y) | ||
| David Earl Blassingame | Registered representative | Apr 2026 (0y) | ||
| Jessie Louise Cervantes | Registered representative | Apr 2026 (0y) | ||
| Daniel James Bubbico | Registered representative | Apr 2026 (0y) | ||
| Kellen Rashad Lipscomb | Registered representative | Apr 2026 (0y) | ||
| Matthew Laanan Aquino | Registered representative | Apr 2026 (0y) | ||
| Patrick Muaba Kapiamba | Registered representative | Apr 2026 (0y) | ||
| Anthony Lopez | Registered representative | Apr 2026 (0y) | ||
| Nancy Yimeng Zhai | Registered representative | Apr 2026 (0y) | ||
| Casey Alan Pickett | Registered representative | Apr 2026 (0y) | ||
| Dionne Loney | Registered representative | Apr 2026 (0y) | ||
| Jada Rain Cardwell | Registered representative | Apr 2026 (0y) | ||
| Jaclyn Kate Johnson | Registered representative | Apr 2026 (0y) | ||
| Samuel Stephen Calles | Registered representative | Apr 2026 (0y) | ||
| Douglas Alan Juda | Registered representative | Apr 2026 (0y) | ||
| Nathan Andrew Floyd | Registered representative | Apr 2026 (0y) | ||
| Sean Markoe Rivinus | Registered representative | Apr 2026 (0y) | ||
| Daniel Jeremiah Wijaya | Registered representative | Apr 2026 (0y) | ||
| Genesis Meave | Registered representative | May 2026 (0y) | ||
| Charles Nathan Milian | Registered representative | May 2026 (0y) | ||
| Jason Douglas Kahle | Registered representative | May 2026 (0y) | ||
| Michael Joseph Baker | Registered representative | May 2026 (0y) | ||
| Rachel Anne Fiedler | Registered representative | May 2026 (0y) | ||
| Chase Dion Nelson | Registered representative | May 2026 (0y) | ||
| Colin Andrew Perrin | Registered representative | May 2026 (0y) | ||
| Harris Stone Pugh | Registered representative | May 2026 (0y) | ||
| Aziza Norbaeva | Registered representative | May 2026 (0y) | ||
| Ivan Alejandro Landeros | Registered representative | May 2026 (0y) | ||
| Julio Roberto Dolorico | Registered representative | May 2026 (0y) | ||
| Mohammad Sheroz Arien | Registered representative | May 2026 (0y) | ||
| Brasco Van Niekerk | Registered representative | May 2026 (0y) | ||
| Vincent Martorello | Registered representative | May 2026 (0y) | ||
| Grant Alexander Rasmussen | Registered representative | May 2026 (0y) | ||
| Benjamin David Voss | Registered representative | May 2026 (0y) | ||
| Jasmin Marie Watkins | Registered representative | May 2026 (0y) | ||
| Zaineb Subhe | Registered representative | May 2026 (0y) | ||
| Candice L Fleischood | Registered representative | May 2026 (0y) | ||
| Carolyn Janeth Menjivar | Registered representative | May 2026 (0y) | ||
| Georgia Martin Adams | Registered representative | May 2026 (0y) | ||
| Mark Alan Schrader | Registered representative | May 2026 (0y) | ||
| Jeffrey Tyler Shadd | Registered representative | Jun 2026 (0y) | ||
| Kamesha Cook | Registered representative | Jun 2026 (0y) | ||
| Andrew Thomas Payton | Registered representative | Jun 2026 (0y) | ||
| Craig Christopher Officer | Registered representative | Jun 2026 (0y) | ||
| Christian Maracinaru | Registered representative | Jun 2026 (0y) | ||
| Annie Pankaj Shah | Registered representative | Jun 2026 (0y) | ||
| Peter Michael Garvey | Registered representative | Jun 2026 (0y) | ||
| Joia Camille Allen | Registered representative | Jun 2026 (0y) | ||
| Greyson Hunter Finch | Registered representative | Jun 2026 (0y) | ||
| Sameer Ferrell | Registered representative | Jun 2026 (0y) | ||
| Sarah Conroy Hickey | Registered representative | Jun 2026 (0y) | ||
| James Sullivan Scully | Registered representative | Jun 2026 (0y) | ||
| Lynn Douglas Snyder | Registered representative | CFA | Jun 2026 (0y) | |
| Dharmik Nirupam Vasavada | Registered representative | Jun 2026 (0y) | ||
| Brian Kyle Berlin | Registered representative | Jun 2026 (0y) | ||
| Amy Lue Henthorn Powell | Registered representative | Jun 2026 (0y) | ||
| Anita Suzanne Pring | Registered representative | Jun 2026 (0y) | ||
| Jonathan Paul Larue | Registered representative | Jun 2026 (0y) | ||
| Jesse Ray Pawlowski | Registered representative | Jun 2026 (0y) | ||
| Stephen Alan Marshall | Registered representative | Jun 2026 (0y) | ||
| Brian William Robb | Registered representative | Jun 2026 (0y) | ||
| Ethan Thomas Mechling | Registered representative | Jun 2026 (0y) | ||
| Keegan Andrew Justice | Registered representative | Jun 2026 (0y) | ||
| Pamela Denise Montgomery | Registered representative | Jun 2026 (0y) | ||
| Jackson Edward Petefish | Registered representative | Jun 2026 (0y) | ||
| Matthew John Stork | Registered representative | Jun 2026 (0y) | ||
| Anthony Miguel Goeke | Registered representative | Jun 2026 (0y) | ||
| Crystal Latorial Roseman | Registered representative | Jun 2026 (0y) | ||
| Ty Lawrence Grogan | Registered representative | Jun 2026 (0y) | ||
| Daniel Alfred Butterly | Registered representative | CFA | Jun 2026 (0y) | |
| Robert David Church | Registered representative | Jun 2026 (0y) | ||
| Amos Randall | Registered representative | Jul 2026 (0y) | ||
| Reiss Nye Holt | Registered representative | Jul 2026 (0y) | ||
| William Michael Satkevich | Registered representative | Jul 2026 (0y) | ||
| Jaylon Tyrae Payne Mc Clinton | Registered representative | Jul 2026 (0y) | ||
| Jonathan Richard Pearn | Registered representative | Jul 2026 (0y) | ||
| Mathew Ruben Valentin | Registered representative | Jul 2026 (0y) | ||
| Shaun Curtis Aycock | Registered representative | Jul 2026 (0y) | ||
| Christopher Alan Robins | Registered representative | Jul 2026 (0y) | ||
| John Bayard Trask | Registered representative | Jul 2026 (0y) | ||
| John Vincent Coyle | Registered representative | Jul 2026 (0y) | ||
| Juan Eliseo Cordova | Registered representative | Jul 2026 (0y) | ||
| Daniel Danilovich Lewis | Registered representative | Jul 2026 (0y) | ||
| Stuart Fontaine Thomas | Registered representative | Jul 2026 (0y) | ||
| Timur Nikita Stanton | Registered representative | Jul 2026 (0y) | ||
| Cindy Jo Webb | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Teachers Insurance And Annuity Association Of America | Sole Owner Of Applicant | Sep 1990 | A | 75% or more |
| Tiaa Board Of Governors | Sole Owner | Sep 1990 | B | ≈ 56.25% – 100% via Teachers Insurance And Annuity Association Of America |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Tiaa Board Of Governors: 75% – 100% of Teachers Insurance And Annuity Association Of America × 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/06/2026 | 3.09 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Oct 07, 2024
Allegations: (1) FAILURE TO QUARTERLY REPORT TO FINRA REQUIRED INFORMATION FOR CUSTOMER COMPLAINTS RECEIVED BETWEEN 7/1/06 AND 6/30/07 IN VIOLATION OF NASD RULES 2110 (JUST AND EQUITABLE PRINCIPALS OF TRADE) AND 3070(C) (COMPLAINT REPORTING); AND (2) INSUFFICIENT SUPERVISORY SYSTEM FOR REPORTING COMPLAINTS IN VIOLATION OF NASD RULES 2110 AND 3010(A) (SUPERVISION). Status: Final Sanction Detail: $100,000 FINE PAID 12/9/2009. Summary: AWC WAS ACCEPTED BY FINRA ON 11/24/2009 AND REGISTRANT CONSENT TO SANCTIONS AND PAID A FINE AS DESCRIBED IN ITEM 12 ABOVE.
Regulatory · Item 11.D(2)
as of Oct 07, 2024
Allegations: ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF CONNECTICUT INSURANCE LAWS Status: Final Sanction Detail: IN 2014, THE CONNECTICUT INSURANCE DEPARTMENT (CID) REVIEWED TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA (TIAA) RECORDS OF LICENSED /APPOINTED PRODUCERS AND INSURANCE DEPARTMENT RECORDS AND IDENTIFIED ONE (1) INDIVIDUAL EMPLOYEE WHO DID NOT HAVE AN APPOINTMENT WITH TIAA IN ACCORDANCE WITH CONNECTICUT STATE REQUIREMENTS. THE CID CONCLUDED THAT THE CONDUCT VIOLATED SECTION 38A-702M OF THE CONNECTICUT GENERAL STATUTES AND IMPOSED A FINE OR ADMINISTRATIVE FINE ON TIAA FOR THE VIOLATION IN THE AMOUNT OF $1,500 PURSUANT TO SECTIONS 38A-2, 38A-41 AND 38A-817 FOR THE CONNECTICUT GENERAL STATUTES.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 07, 2024
Allegations: THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: (I) FAILURE TO OBTAIN THE APPLICANT'S WRITTEN CONSENT FOR ALTERATIONS ON AN ANNUITY POLICY; (II) FAILURE TO NOTIFY AN EXISTING INSURER OF A PROPOSED REPLACEMENT WITHIN FIVE BUSINESS DAYS OF RECEIPT OF THE COMPLETED APPLICATION INDICATING A REPLACEMENT; (III) FAILURE TO PROVIDE EVIDENCE THAT THE FIRM PROVIDED OWNERS OF ANNUITY CONTRACTS A NOTICE OF THE RIGHT TO RETURN THE ANNUITY CONTRACT WITHIN 30 DAYS AFTER DELIVERY OF THE ANNUITY CONTRACT, WHEN A REPLACEMENT WAS INVOLVED IN THE TRANSACTION; AND (IV) FAILURE TO INCLUDE INFORMATION OF THE FIRM'S LIABILITIES AND RESERVES IN ITS ADVERTISEMENTS. Status: Final Sanction Detail: IN 2013, THE MARYLAND INSURANCE ADMINISTRATION (MDIA) PERFORMED A SUITABILITY EXAMINATION OF TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA'S (TIAA) INDIVIDUAL IRA AND ATRA ANNUITY BUSINESS. THE MDIA CONCLUDED FROM THE EXAMINATION THAT THE CONDUCT VIOLATED MARYLAND INSURANCE ARTICLE SECTION 12-206(C)(1) AND THE CODE OF MARYLAND REGULATION SECTION 31. THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: (I) FAILURE TO OBTAIN THE APPLICANT'S WRITTEN CONSENT FOR ALTERATIONS ON AN ANNUITY POLICY; (II) FAILURE TO NOTIFY AN EXISTING INSURER OF A PROPOSED REPLACEMENT WITHIN FIVE BUSINESS DAYS OF RECEIPT OF THE COMPLETED APPLICATION INDICATING A REPLACEMENT; (III) FAILURE TO PROVIDE EVIDENCE THAT THE FIRM PROVIDED OWNERS OF ANNUITY CONTRACTS A NOTICE OF THE RIGHT TO RETURN THE ANNUITY CONTRACT WITHIN 30 DAYS AFTER DELIVERY OF THE ANNUITY CONTRACT, WHEN A REPLACEMENT WAS INVOLVED IN THE TRANSACTION; AND (IV) FAILURE TO INCLUDE INFORMATION OF THE FIRM'S LIABILITIES AND RESERVES IN ITS ADVERTISEMENTS. THE MDIA IMPOSED AN ADMINISTRATIVE PENALTY IN THE AMOUNT OF $4,000 FOR TIAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 07, 2024
Allegations: THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: (I) FAILURE TO PROVIDE A NOTICE OF ENACTMENT OF NONFORFEITURE OPTIONS, AS REQUIRED BY SECTION 5/234.1; AND (II) FAILURE TO PROVIDE THE INSURED WITH THE NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE ON THE 45 DELAY LETTER, AS REQUIRED BY SECTION 919.70(A)(2). Status: Final Sanction Detail: IN 2013, THE ILLINOIS DEPARTMENT OF INSURANCE (IDI) CONDUCTED AN EXAMINATION OF TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA(TIAA)AND CONCLUDED FROM THE EXAMINATION THAT THE CONDUCT VIOLATED SECTIONS 234 AND 919 OF THE ILLINOIS ADMINISTRATIVE CODE. THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: (I) FAILURE TO PROVIDE A NOTICE OF ENACTMENT OF NONFORFEITURE OPTIONS, AS REQUIRED BY SECTION 5/234.1; AND (II) FAILURE TO PROVIDE THE INSURED WITH THE NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE ON THE 45 DELAY LETTER, AS REQUIRED BY SECTION 919.70(A)(2). THE IDI IMPOSED AN ADMINISTRATIVE FINE IN THE AMOUNT OF $10,000 FOR TIAA.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 07, 2024
Allegations: ALLEGED FAILURE TO TIMELY FILE THE REQUIRED SLAVERY ERA INSURANCE POLICY REPORT BY OCTOBER 1, 2011, PURSUANT TO THE MARYLAND CODE, INSURANCE ARTICLE SECTION 30-102. Status: Final Sanction Detail: IN 2012, THE MARYLAND INSURANCE ADMINISTRATION (MDIA)ENTERED AN ORDER TAKING DISCIPLINARY ACTION AGAINST TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA (TIAA)BY IMPOSING AN ADMINISTRATIVE FINE IN THE AMOUNT OF $5,000 FOR FAILING TO TIMELY FILE THE REQUIRED SLAVERY ERA INSURANCE POLICY REPORT BY OCTOBER 1, 2011, PURSUANT TO THE MARYLAND CODE, INSURANCE ARTICLE SECTION 30-102. TIAA MUST ALSO SUBMIT THE REPORT WITHIN 30 DAYS OF ORDER.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 07, 2024
Allegations: ALLEGED VIOLATION OF VIRGINIA UNFAIR TRADE PRACTICE LAW, § 38.2-503 OF THE VIRGINIA CODE, BASED ON A COMPLAINT ALLEGING MISLEADING ADVERTISING MATERIAL, AND VIOLATION OF 14 VAC 5-30-40 E AND 14 VAC 5-30-60 E RULES GOVERNING LIFE INSURANCE AND ANNUITY REPLACEMENTS FOR TWO CASES WHERE TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA (TIAA) FAILED TO RETAIN EVIDENCE RELATED TO MARKETING COMMUNICATIONS. Status: Final Sanction Detail: IN 2012, THE VIRGINIA BUREAU OF INSURANCE (VBI) ENTERED AN ORDER TAKING DISCIPLINARY ACTION AGAINST TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA (TIAA)FOR ALLEGED VIOLATION OF VIRGINIA UNFAIR TRADE PRACTICE LAW, § 38.2-503 OF THE VIRGINIA CODE, BASED ON A COMPLAINT ALLEGING MISLEADING ADVERTISING MATERIAL, AND VIOLATION OF 14 VAC 5-30-40 E AND 14 VAC 5-30-60 E RULES GOVERNING LIFE INSURANCE AND ANNUITY REPLACEMENTS FOR TWO CASES WHERE TIAA FAILED TO RETAIN EVIDENCE RELATED TO MARKETING COMMUNICATIONS. THE VBI IMPOSED AN ADMINISTRATIVE FINE ON TIAA OF $3,500.
Regulatory · Item 11.D(1), 11.D(2), 11.D(4), 11.D(5)
as of Oct 07, 2024
Allegations: TC SERVICES RESOLVED COORDINATED SEC AND NY AG INVESTIGATIONS ADDRESSING THE SAME UNDERLYING FACTS WITH: 1) AN SEC CEASE-AND-DESIST ORDER FINDING WILLFUL VIOLATIONS OF INVESTMENT ADVISERS ACT SECTIONS 206(2) AND 206(4), ADVISERS ACT RULE 206(4)-7, AND SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT; ORDERING APPROXIMATELY $74 MILLION IN DISGORGE, $14 MILLION IN PREJUDGMENT INTEREST, AND $9 MILLION IN CIVIL MONETARY PENALTY; AND REQUIRING SPECIFIED UNDERTAKINGS; AND 2) A NY AG AOD FINDING VIOLATIONS OF THE NY MARTIN ACT, NY EXEC. LAW 63(12), AND NY COMMON LAW; REQUIRING THE PAYMENT OF RESTITUTION AS SET FORTH IN THE SEC ORDER; AND REQUIRING SPECIFIED UNDERTAKINGS. THERE WERE NO FINDINGS OF SCIENTER AND TC SERVICES NEITHER ADMITTED NOR DENIED THE FINDINGS. Status: Final Sanction Detail: $97 MILLION BROKEN DOWN AS FOLLOWS: $73,985,572 IN DISGORGEMENT, PRE-JUDGEMENT INTEREST OF $14,014,428 AND $9 MILLION PENALTY LEVIED AGAINST THE APPLICANT. THE RESTITUTION WILL BE PAID OVER SEVERAL MONTHS TO AFFECTED CLIENTS ELIGIBLE BASED ON THE TERMS OF THE SETTLEMENT. NO PORTION OF THE PENALTY WAS WAIVED. Summary: TC SERVICES RESOLVED COORDINATED SEC AND NY AG INVESTIGATIONS ADDRESSING THE SAME UNDERLYING FACTS WITH: 1) AN SEC CEASE-AND-DESIST ORDER FINDING WILLFUL VIOLATIONS OF INVESTMENT ADVISERS ACT SECTIONS 206(2) AND 206(4), ADVISERS ACT RULE 206(4)-7, AND SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT; ORDERING APPROXIMATELY $74 MILLION IN DISGORGE, $14 MILLION IN PREJUDGMENT INTEREST, AND $9 MILLION IN CIVIL MONETARY PENALTY; AND REQUIRING SPECIFIED UNDERTAKINGS; AND 2) A NY AG AOD FINDING VIOLATIONS OF THE NY MARTIN ACT, NY EXEC. LAW 63(12), AND NY COMMON LAW; REQUIRING THE PAYMENT OF RESTITUTION AS SET FORTH IN THE SEC ORDER; AND REQUIRING SPECIFIED UNDERTAKINGS. THERE WERE NO FINDINGS OF SCIENTER AND TC SERVICES NEITHER ADMITTED NOR DENIED THE FINDINGS.
Regulatory
as of Oct 07, 2024
Allegations: IA RELEASE 40-5129, MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S OFFER, THE COMMISSION FINDS THAT THESE PROCEEDINGS ARISE OUT OF BREACHES OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURES BY THE RESPONDENT IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE FEES IT RECEIVED. AT TIMES DURING THE RELEVANT PERIOD, RESPONDENT PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. RESPONDENT RECEIVED 12B-1 FEES IN CONNECTION WITH THESE INVESTMENTS. RESPONDENT FAILED TO DISCLOSE IN ITS FORM ADV OR OTHERWISE THE CONFLICTS OF INTEREST RELATED TO (A) ITS RECEIPT OF 12B-1 FEES, AND/OR (B) ITS SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. DURING THE RELEVANT PERIOD, RESPONDENT RECEIVED 12B-1 FEES FOR ADVISING CLIENTS TO INVEST IN OR HOLD SUCH MUTUAL FUND SHARE CLASSES. AS A RESULT OF THE CONDUCT, RESPONDENT WILLFULLY VIOLATED SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. Status: Final Sanction Detail: THE RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. RESPONDENT IS CENSURED, SHALL PAY DISGORGEMENT OF $2,102,380.21 AND PREJUDGMENT INTEREST OF $293,342.08, AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: ON MARCH 11, 2019, THE SEC ISSUED AN ORDER REGARDING CONDUCT TC SERVICES HAD SELF-REPORTED TO THE SEC IN CONNECTION WITH THE SHARE CLASS SELECTION DISCLOSURE INITIATIVE (THE "INITIATIVE"). WITHOUT ADMITTING OR DENYING THE FINDINGS, TC SERVICES CONSENTED TO THE ENTRY OF AN ORDER (THE "SETTLEMENT ORDER") FINDING THAT IT VIOLATED SECTIONS 206(2) AND 207 OF THE ADVISERS ACT BY NOT ADEQUATELY DISCLOSING TO CLIENTS ENROLLED IN THE PORTFOLIO ADVISOR AND PORTFOLIO MANAGER PROGRAMS CERTAIN CONFLICTS OF INTEREST RELATED TO THE RECEIPT OF RULE 12B-1 FEES AND SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. PURSUANT TO THE SETTLEMENT ORDER, TC SERVICES CONSENTED TO A CENSURE AND WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING FURTHER VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. TC SERVICES ALSO WAS ORDERED TO DISGORGE A TOTAL OF $2,102,280.21 IN RULE 12B-1 FEES RECEIVED, PLUS $293,342.08 IN PREJUDGMENT INTEREST, TO AFFECTED INVESTORS AND TO NOTIFY AFFECTED INVESTORS OF THE SETTLEMENT ORDER'S TERMS, INCLUDING FOLLOWING UNDERTAKINGS: (1) REVIEW AND CORRECT AS NECESSARY ALL RELEVANT DISCLOSURE DOCUMENTS CONCERNING MUTUAL FUND SHARE CLASS SELECTION AND RULE 12B-1 FEES; (2) EVALUATE WHETHER EXISTING CLIENTS SHOULD BE MOVED TO A LOWER-COST SHARE CLASS AND TO MOVE CLIENTS AS NECESSARY; AND (3) EVALUATE, UPDATE AND REVIEW FOR THE EFFECTIVENESS OF THEIR IMPLEMENTATION, TC SERVICES POLICIES AND PROCEDURES TO ASSURE THAT THEY ARE REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT IN CONNECTION WITH DISCLOSURES REGARDING MUTUAL FUND SHARE CLASS SELECTION. THE SEC DID NOT IMPOSE A CIVIL PENALTY ON TC SERVICES BASED ON TC SERVICES SELF-REPORTING THROUGH THE INITIATIVE.
Regulatory
as of Oct 07, 2024
Allegations: TC SERVICES RESOLVED COORDINATED SEC AND NY AG INVESTIGATIONS ADDRESSING THE SAME UNDERLYING FACTS WITH: 1) AN SEC CEASE-AND-DESIST ORDER FINDING WILLFUL VIOLATIONS OF INVESTMENT ADVISERS ACT SECTIONS 206(2) AND 206(4), ADVISERS ACT RULE 206(4)-7, AND SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT; ORDERING APPROXIMATELY $74 MILLION IN DISGORGE, $14 MILLION IN PREJUDGMENT INTEREST, AND $9 MILLION IN CIVIL MONETARY PENALTY; AND REQUIRING SPECIFIED UNDERTAKINGS; AND 2) A NY AG AOD FINDING VIOLATIONS OF THE NY MARTIN ACT, NY EXEC. LAW 63(12), AND NY COMMON LAW; REQUIRING THE PAYMENT OF RESTITUTION AS SET FORTH IN THE SEC ORDER; AND REQUIRING SPECIFIED UNDERTAKINGS. THERE WERE NO FINDINGS OF SCIENTER AND TC SERVICES NEITHER ADMITTED NOR DENIED THE FINDINGS. Status: Final Sanction Detail: $97 MILLION BROKEN DOWN AS FOLLOWS: $73,985,572 IN DISGORGEMENT, PRE-JUDGEMENT INTEREST OF $14,014,428 AND $9 MILLION PENALTY LEVIED AGAINST THE APPLICANT. THE RESTITUTION WILL BE PAID OVER SEVERAL MONTHS TO AFFECTED CLIENTS ELIGIBLE BASED ON THE TERMS OF THE SETTLEMENT. NO PORTION OF THE PENALTY WAS WAIVED. Summary: TC SERVICES RESOLVED COORDINATED SEC AND NY AG INVESTIGATIONS ADDRESSING THE SAME UNDERLYING FACTS WITH: 1) AN SEC CEASE-AND-DESIST ORDER FINDING WILLFUL VIOLATIONS OF INVESTMENT ADVISERS ACT SECTIONS 206(2) AND 206(4), ADVISERS ACT RULE 206(4)-7, AND SECTIONS 17(A)(2) AND 17(A)(3) OF THE SECURITIES ACT; ORDERING APPROXIMATELY $74 MILLION IN DISGORGE, $14 MILLION IN PREJUDGMENT INTEREST, AND $9 MILLION IN CIVIL MONETARY PENALTY; AND REQUIRING SPECIFIED UNDERTAKINGS; AND 2) A NY AG AOD FINDING VIOLATIONS OF THE NY MARTIN ACT, NY EXEC. LAW 63(12), AND NY COMMON LAW; REQUIRING THE PAYMENT OF RESTITUTION AS SET FORTH IN THE SEC ORDER; AND REQUIRING SPECIFIED UNDERTAKINGS. THERE WERE NO FINDINGS OF SCIENTER AND TC SERVICES NEITHER ADMITTED NOR DENIED THE FINDINGS.
Regulatory
as of Oct 07, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, BETWEEN JUNE 30, 2020 AND NOVEMBER 1, 2021, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC ("TCS") VIOLATED RULES 15L-1(A)(1) AND (2) UNDER THE EXCHANGE ACT (REGULATION BEST INTEREST) WHEN MAKING RECOMMENDATIONS TO CUSTOMERS TO OPEN TIAA AND IS IRA ACCOUNTS. THE SETTLEMENT ORDER FOUND THAT THE IRA ACCOUNTS CONTAINED A CORE MENU OF AFFILIATED MUTUAL FUNDS, AND THAT TC SERVICES DID NOT ADEQUATELY DISCLOSE OR CONSIDER THE AVAILABILITY OF LOWER COST SHARE CLASSES OF THOSE AFFILIATED MUTUAL FUNDS WITHIN OPTIONAL BROKERAGE WINDOW ACCOUNTS AVAILABLE TO TIAA AND IS IRA ACCOUNTHOLDERS. Status: Final Sanction Detail: PURSUANT TO THE SETTLEMENT ORDER, TCS CONSENTED TO A CENSURE AND WAS ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING FURTHER VIOLATIONS OF RULES 15L-1(A)(1) AND (2) UNDER THE EXCHANGE ACT. TCS ALSO WAS ORDERED TO PAY DISGORGEMENT OF $936,714 AND PREJUDGMENT INTEREST OF $103,424.91, AND A CIVIL PENALTY OF $1.25 MILLION. ALL RESTITUTION WAS PAID ON 7/12/2024. THE SETTLEMENT ORDER NOTES VARIOUS PROMPT EFFORTS UNDERTAKEN BY TC SERVICES IN 2021 TO SELF-REPORT, DISCLOSE AND REMEDIATE THE ISSUES.
Regulatory · Item 11.E(2)
as of Oct 07, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT AS A RESULT OF TECHNOLOGICAL ERRORS AND IN ONE CASE AN AMBIGUOUS CLAUSE IN A VENDOR AGREEMENT, THE FIRM DID NOT MAKE TIMELY DELIVERY OF CUSTOMER CONFIRMATIONS FOR CERTAIN TYPES OF TRANSACTIONS. THE FINDINGS STATED THAT THE FIRM FAILED TO DELIVER IMMEDIATE CONFIRMATIONS TO CUSTOMERS IN CONNECTION WITH 17 TRANSACTION TYPES. THESE DELIVERY FAILURES RESULTED FROM A COMPUTER CODING ERROR BY WHICH THE FIRM'S SYSTEM WAS NOT PROPERLY PROGRAMMED TO GENERATE IMMEDIATE CONFIRMATIONS FOR THESE UNIQUE TRANSACTION TYPES. DESPITE THE ABSENCE OF IMMEDIATE CONFIRMATIONS, CUSTOMERS SEPARATELY RECEIVED NOTICE OF THE RELEVANT TRANSACTIONS THROUGH OTHER MEANS, INCLUDING QUARTERLY STATEMENTS. THE FINDINGS ALSO STATED THAT DURING A TWO-WEEK PERIOD IN DECEMBER 2013, THE FIRM NEGLECTED TO SEND EMAIL NOTIFICATIONS TO CERTAIN CUSTOMERS ALERTING THEM WHEN AN ELECTRONIC CONFIRMATION WAS GENERATED AND MADE AVAILABLE FOR ONLINE VIEWING. THE FINDINGS ALSO INCLUDED THAT FOLLOWING THE IMPLEMENTATION OF A NEW AUTOMATED SYSTEM AND WHILE REPLACING VENDORS FOR PAPER CONFIRMATION PRODUCTION AND DELIVERY, THE FIRM DISCOVERED THAT ITS ORIGINAL VENDOR HAD SENT PAPER CONFIRMATIONS FOR CERTAIN TRANSACTIONS TWO DAYS OR MORE AFTER THE TRANSACTION RATHER THAN ONE DAY AFTER THE TRANSACTION. THIS DELAY RESULTED FROM AN AMBIGUITY CREATED BY THE LANGUAGE IN THE AGREEMENT BETWEEN THE FIRM AND THE VENDOR. THE FINDINGS ALSO STATED THAT THE FIRM DELIVERED CONFIRMATIONS FOR CERTAIN TRANSACTIONS THAT DID NOT EXPLICITLY DENOTE THE FIRM'S CAPACITY AS AGENT. ALTHOUGH THE AFFECTED TRANSACTIONS REPRESENTED A VERY SMALL PERCENTAGE OF THE FIRM'S OVERALL TRANSACTIONS DURING THE RELEVANT PERIOD, IN THE AGGREGATE THEY NUMBERED IN THE MILLIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $275,000. IN RESOLVING THIS MATTER, FINRA RECOGNIZED THAT THE FIRM: (1) TIMELY SELF-REPORTED THE FOREGOING CONFIRMATION ISSUES TO FINRA; (2) PRIOR TO DETECTION OR INTERVENTION BY A REGULATOR, ENGAGED OUTSIDE COUNSEL AND AN INDEPENDENT CONSULTANT TO CONDUCT AN INTERNAL FORENSIC INVESTIGATION OF THE RELEVANT ISSUES; (3) PROMPTLY TOOK CORRECTIVE ACTION AND REVISED ITS POLICIES AND PROCEDURES REGARDING CONFIRMATION PRODUCTION AND DELIVERY; (4) HIRED ADDITIONAL STAFF DEDICATED TO ENSURING PROPER CONFIRMATION PRODUCTION AND DELIVERY; AND (5) PROVIDED SUBSTANTIAL ASSISTANCE TO FINRA BY SHARING THE RESULTS OF ITS INTERNAL INVESTIGATION AND VOLUNTARILY AND PROMPTLY PROVIDING UPDATES REGARDING ADDITIONAL CONFIRMATION DELIVERY ISSUES DISCOVERED DURING ITS INTERNAL INVESTIGATION. Summary: THE AWC WAS ACCEPTED BY FINRA ON 11/22/2016 AND THE FIRM CONSENTED TO A CENSURE AND HAS PAID A FINE AS DESCRIBED IN ITEM 12 ABOVE.
Regulatory · Item 11.D(2)
as of Oct 07, 2024
Allegations: STATE OF MAINE ALLEGES THAT BY FAILING TO CONDUCT ON-SITE BRANCH OFFICE INSPECTIONS OF ALL FIRM MAINE BRANCH OFFICES FOR THE 2022 CALENDAR YEAR, THE FIRM WAS IN VIOLATION OF MAINE OFFICE OF SECURITIES RULE CH. 504(7)(4)(B). DURING THE RELEVANT PERIOD, THE FIRM CONDUCTED VIRTUAL INSPECTIONS OF THEIR MAINE BRANCH OFFICES. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THAT THE FIRM'S CONDUCT VIOLATED THE MAINE UNIFORM SECURITIES ACT, THE FIRM AGREED TO COMPLY WITH ALL RULES UNDER THE MAINE UNIFORM SECURITIES ACT AND MAKE A PAYMENT, IN LIEU OF A CIVIL FINE, IN THE SUM OF $2,500. Summary: DURING THE RELEVANT PERIOD, THE FIRM CONDUCTED VIRTUAL INSPECTIONS OF THEIR MAINE BRANCH OFFICES. THE CONSENT AGREEMENT WAS ACCEPTED ON 09/25/2023 AND PAYMENT WAS MADE AS DESCRIBED IN ITEM 12.
Regulatory · Item 11.D(2)
as of Oct 07, 2024
Allegations: TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA ("TIAA") AND TIAA-CREF LIFE INSURANCE COMPANY ("TC LIFE") ACCEPTED A CONSENT ORDER FOR FAILING TO PROVIDE A TIMELY CYBERSECURITY EVENT NOTIFICATION TO THE MIA IN VIOLATION OF §33-105(A) WHICH REQUIRES CARRIERS TO GIVE NOTICE TO THE MIA WITHIN THREE BUSINESS DAYS OF DETERMINING A CYBERSECURITY EVENT HAS OCCURRED. Status: Final Sanction Detail: TIAA AND TC LIFE WERE EACH FINED $1,250 FOR A TOTAL FINE OF $2,500.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 07, 2024
Allegations: ALLEGED VIOLATIONS OF VARIOUS PROVISIONS OF NEW YORK INSURANCE LAWS Status: Final Sanction Detail: ON MARCH 17, 2016, TIAA ENTERED INTO A STIPULATION WITH THE NEW YORK DEPARTMENT OF FINANCIAL SERVICES ("NYDFS") TO, AMONG OTHER THINGS, FINDINGS BY NYDFS THAT TIAA VIOLATED VARIOUS PROVISIONS OF NEW YORK INSURANCE LAW. THE STIPULATION CITED VIOLATIONS OF NYDFS REGULATION 60 AND REGULATION 152 RELATED TO REPLACEMENT AND RECORDKEEPING REQUIREMENTS. TIAA PAID A CIVIL PENALTY IN THE AMOUNT OF $18,112 ON 3/17/2016. THE STIPULATION COVERED THE EXAM PERIOD 01/2005 THROUGH 12/2008. NYDFS HAS ASSESSED THE REMEDIATION PLAN DURING THE SUBSEQUENT EXAMINATION IN 2013 WITH NO FINDINGS OR VIOLATIONS IDENTIFIED RELATED TO REPLACEMENT, ILLUSTRATION, DISCLOSURE AND RECORDKEEPING REQUIREMENTS. Summary: THIS SETTLEMENT DOES NOT INVOLVE TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC. HOWEVER,TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC IS A WHOLLY OWNED SUBSIDIARY OF TIAA. ON MARCH 17, 2016, TIAA STIPULATED TO, AMONG OTHER THINGS, FINDINGS BY THE NYDFS THAT TIAA VIOLATED VARIOUS PROVISIONS OF NEW YORK INSURANCE LAW AND PAID A CIVIL PENALTY OF $18,112.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 07, 2024
Allegations: THE ALLEGED VIOLATIONS INCLUDED THE FOLLOWING: FAILURE TO PROVIDE THE "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FAILURE TO PROVIDE BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS, AS REQUIRED BY SECTION 50 ILL. ADM. CODE 919.70(A)(2); AND FAILURE TO NOTIFY BENEFICIARIES OF THE AVAILABILITY OF INTEREST AT THE TIME OF CLAIM SUBMISSION, AS REQUIRED BY 215 ILCS 5/224(1)(I). Status: Final Sanction Detail: ON MARCH 2, 2020, THE ILLINOIS DEPARTMENT OF INSURANCE (IDI) ISSUED A MARKET CONDUCT EXAMINATION VERIFIED REPORT AND STIPULATION AND CONSENT ORDER IN CONNECTION WITH A MARKET CONDUCT EXAMINATION OF TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA ("TIAA"). WITHOUT ADMITTING FAULT, LIABILITY, OR WRONGDOING, TIAA AGREED TO A STIPULATION AND CONSENT ORDER (THE "CONSENT ORDER") FINDING THAT IT VIOLATED SECTIONS 50 ILL. ADM. CODE 919.70(A)(2) FOR NOT PROVIDING A "NOTICE OF AVAILABILITY OF THE DEPARTMENT OF INSURANCE" AND FOR NOT PROVIDING BENEFICIARIES WITH A REASONABLE WRITTEN EXPLANATION OF DELAY OF CLAIM PAYMENT BEYOND 45 DAYS; AND VIOLATED 215 ILCS 5/224(1)(I) FOR NOT NOTIFYING BENEFICIARIES OF THE AVAILABILITY OF INTEREST AT THE TIME OF CLAIM SUBMISSION. THE IDI IMPOSED A CIVIL FORFEITURE OF $18,000 FOR TIAA. Summary: THIS MATTER DOES NOT INVOLVE ADVICE & PLANNING SERVICES.
Regulatory
as of Oct 07, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDING, ON OR ABOUT NOVEMBER 30, 2023, THE FIRM ENTERED INTO A SETTLEMENT WITH FINRA FOR FAILING TO REPORT PROMPTLY WRITTEN CUSTOMER COMPLAINTS INVOLVING ALLEGATIONS OF THEFT OR MISAPPROPRIATION OF FUNDS OR SECURITIES FROM AUGUST 2018 TO SEPTEMBER 2022. DURING THE SAME PERIOD, THE FIRM ALSO FAILED TO REPORT SETTLED MATTERS WHERE THE FIRM WAS THE SUBJECT OF A CLAIM FOR DAMAGES BY A CUSTOMER RELATING TO THE PROVISION OF FINANCIAL SERVICES OR A FINANCIAL TRANSACTION AND THE SETTLEMENT AMOUNT EXCEEDED $25,000. THE FIRM ALSO FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, THAT WERE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA REPORTING RULES. AS A RESULT, THE FIRM VIOLATED FINRA RULES 4530(A)(1)(B) AND (G), 3110 AND 2010 AND WAS CENSURED AND FINED $125,000. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $125,000
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Other fees
- • COMPENSATION FROM AFFILIATES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Pershing $37.9B (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 06, 2026.
View current Form ADV (SEC/IAPD) ↗