First Command Advisory Services
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 281958
· SEC file 801-56942
· Fort Worth, TX
· WWW.YOUTUBE.COM
☆ Save with Pro
ADV data as of Jul 21, 2026
- Regulatory AUM
- $24.4B
- Discretionary
- $24.4B
- Clients
- 113,591
- Avg AUM / client
- $215K
- Accounts
- 113,591
- Employees
- 1,787
AUM over time
$9.6B
$1.6T
Sep 2015
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 21, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 109,659 | $20.1B | 82.3% |
| High net worth individuals | 3,852 | $4.3B | 17.5% |
| Pension and profit sharing plans | 4 | $2.9M | 0.01% |
| Charitable organizations | 27 | $5.2M | 0.02% |
| Corporations and other businesses | 49 | $50.8M | 0.21% |
People (1,040)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mark Duane Steffe | President And Ceo | Dec 2015 (11y) | Less than 5% | |
| Tina Katherine Caddell | Vice President, Operations | Jul 2016 (10y) | Less than 5% | |
| Hammond, Veronica, Denise | Senior Vice President Chief Compliance Officer | Apr 2020 (6y) | Less than 5% | |
| Cerbone, Heidi, Elizabeth | Vice President And Treasurer | Oct 2020 (6y) | Less than 5% | |
| Smith, Frank, Dean | Senior Vice President Chief Information Security Officer & Chief Technology Officer | Apr 2024 (2y) | Less than 5% | |
| Chartan, Eric | Senior Vice President, Chief Legal Officer | Oct 2024 (2y) | Less than 5% | |
| Alan Dale Bisenieks | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Alan Edward Orr | Registered representative | Dec 2015 (11y) | ||
| Alisha Renee Muroni | Registered representative | CFP | Dec 2015 (11y) | |
| Anthony David Eickhoff | Registered representative | CFP | Dec 2015 (11y) | |
| Adam H Rowe | Registered representative | Dec 2015 (11y) | ||
| Alan John Wesenberg | Registered representative | Dec 2015 (11y) | ||
| Anthony Richard Smith | Registered representative | CFP | Dec 2015 (11y) | |
| Arnold Csan | Registered representative | Dec 2015 (11y) | ||
| Arthur Richard Porcelli | Registered representative | Dec 2015 (11y) | ||
| Ashley Kay Durbin | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Brady Wayne Hackfeld | Registered representative | Dec 2015 (11y) | ||
| Brandon Michael Massey | Registered representative | Dec 2015 (11y) | ||
| Brian Scott Fibiger | Registered representative | Dec 2015 (11y) | ||
| Bryan Frank Tuschen | Registered representative | Dec 2015 (11y) | ||
| Benjamin Neil Lievestro | Registered representative | CFP | Dec 2015 (11y) | |
| Bryce Scott Maxson | Registered representative | Dec 2015 (11y) | ||
| Byron L Rogers | Registered representative | Dec 2015 (11y) | ||
| Carolyn Michelle Elrod | Registered representative | Dec 2015 (11y) | ||
| Chester Francis Dymek | Registered representative | Dec 2015 (11y) | ||
| Christopher Scott Wilson | Registered representative | CFP | Dec 2015 (11y) | |
| Clifford Bradley Weddington | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Carl William Hess | Registered representative | Dec 2015 (11y) | ||
| Caroline Elizabeth Kramer | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Catina Marie Ruiz | Registered representative | CFP | Dec 2015 (11y) | |
| Chad Mc Clintock Holland | Registered representative | Dec 2015 (11y) | ||
| Charles Barfield Dixon | Registered representative | Dec 2015 (11y) | ||
| Charles Dennis Mc Gee | Registered representative | CFP | Dec 2015 (11y) | |
| Charlotte Joann Hillegas | Registered representative | Dec 2015 (11y) | ||
| Christian Garrett Snook | Registered representative | CFP | Dec 2015 (11y) | |
| Christine E Goates | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Christopher Gordon Bonham | Registered representative | CFP | Dec 2015 (11y) | |
| Christopher James Henn | Registered representative | Dec 2015 (11y) | ||
| Christopher John Young | Registered representative | Dec 2015 (11y) | ||
| Christopher Lee Moore | Registered representative | Dec 2015 (11y) | ||
| Christopher Scott Muller | Registered representative | Dec 2015 (11y) | ||
| Cindy Sue Crow | Registered representative | Dec 2015 (11y) | ||
| Claudia Salvato Ruoti | Registered representative | CFP | Dec 2015 (11y) | |
| Cristopher Lee Ettinger | Registered representative | Dec 2015 (11y) | ||
| Curtis Lynn Ross | Registered representative | Dec 2015 (11y) | ||
| Dana Janette Clay | Registered representative | Dec 2015 (11y) | ||
| Daniel Harrison Sciantarelli | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Daniel Richard Lippold | Registered representative | CFP | Dec 2015 (11y) | |
| David Baker Larsen | Registered representative | Dec 2015 (11y) | ||
| David Craig Bonney | Registered representative | CFP | Dec 2015 (11y) | |
| David Hugh Thompson | Registered representative | CFP | Dec 2015 (11y) | |
| Daniel Frederick Seemann | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Daniel W Tomlinson | Registered representative | CFP | Dec 2015 (11y) | |
| David Alan Hammond | Registered representative | Dec 2015 (11y) | ||
| Don Bradley Crane | Registered representative | Dec 2015 (11y) | ||
| Dustin Sterling Ferreiro | Registered representative | Dec 2015 (11y) | ||
| Eric Charles Keller | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Esteban Vergara | Registered representative | Dec 2015 (11y) | ||
| Edward John Daffron | Registered representative | CFP | Dec 2015 (11y) | |
| Eric Dean Brunken | Registered representative | Dec 2015 (11y) | ||
| Eric Karl Schuster | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Erik Jensen Bruce | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Frank Allen Painter | Registered representative | Dec 2015 (11y) | ||
| Frank Edward Wheeler | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| George Patrick Benish | Registered representative | CFP | Dec 2015 (11y) | |
| Gerardo Vincent Panetta | Registered representative | Dec 2015 (11y) | ||
| George R Harris | Registered representative | Dec 2015 (11y) | ||
| George Wesley Benter | Registered representative | Dec 2015 (11y) | ||
| Gretchen Oaksmith Butler | Registered representative | Dec 2015 (11y) | ||
| Harold James Roesch | Registered representative | Dec 2015 (11y) | ||
| Harvey Leroy Pullen | Registered representative | Dec 2015 (11y) | ||
| Heather Blaine Brock | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Henry Cotheal Evans | Registered representative | Dec 2015 (11y) | ||
| Jason Ronald Surya | Registered representative | Dec 2015 (11y) | ||
| Jeffrey Alan Wallace | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Jennifer Marie Heid | Registered representative | Dec 2015 (11y) | ||
| Joel M Dighans | Registered representative | Dec 2015 (11y) | ||
| John Carroll Ditmore | Registered representative | Dec 2015 (11y) | ||
| John Michael Albert | Registered representative | CFP | Dec 2015 (11y) | |
| Joseph Kent Spencer | Registered representative | Dec 2015 (11y) | ||
| Joseph Robert Mclaughlin | Registered representative | CFP | Dec 2015 (11y) | |
| Joshua Thomas Shirley | Registered representative | Dec 2015 (11y) | ||
| James Allen Leach | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| James Donald Mc Cullough | Registered representative | Dec 2015 (11y) | ||
| James M Harpin | Registered representative | Dec 2015 (11y) | ||
| James Michael Bade | Registered representative | Dec 2015 (11y) | ||
| James Nicholas Putnam | Registered representative | Dec 2015 (11y) | ||
| James Timothy Mc Nair | Registered representative | Dec 2015 (11y) | ||
| Jason Dean Schwartz | Registered representative | Dec 2015 (11y) | ||
| Jeffrey Alan Luther | Registered representative | CFP | Dec 2015 (11y) | |
| Jeffrey N Anderson | Registered representative | Dec 2015 (11y) | ||
| Jesse Allen Cameron | Registered representative | Dec 2015 (11y) | ||
| Jessica Anne Ziegelbauer | Registered representative | Dec 2015 (11y) | ||
| Jessica Elaine Blaisdell | Registered representative | Dec 2015 (11y) | ||
| Jill Suzette Pietrusinski | Registered representative | Dec 2015 (11y) | ||
| John David Cermak | Registered representative | CFP | Dec 2015 (11y) | |
| John De Busk | Registered representative | Dec 2015 (11y) | ||
| John H Kafer | Registered representative | Dec 2015 (11y) | ||
| John Harold Mason | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| John M Hess | Registered representative | CFP | Dec 2015 (11y) | |
| John Robert Grigsby | Registered representative | CFP | Dec 2015 (11y) | |
| John Russell Bennett | Registered representative | Dec 2015 (11y) | ||
| Jordan Keene Patterson | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Kyle Garrett Dawson | Registered representative | CFP | Dec 2015 (11y) | |
| Karen Marie Foley | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Kecia Ann Dilday | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Kendall Ann Matthews | Registered representative | Dec 2015 (11y) | ||
| Kenneth Roy Shook | Registered representative | Dec 2015 (11y) | ||
| Kevin David Hollis | Registered representative | CFP | Dec 2015 (11y) | |
| Kimberly Kelly Provo | Registered representative | Dec 2015 (11y) | ||
| Kurt Lee Langenwalter | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Luis Antonio Muniz | Registered representative | CFP | Dec 2015 (11y) | |
| Lilian Regina Mesquita | Registered representative | CFP | Dec 2015 (11y) | |
| Lloyd Patrick Prudent | Registered representative | Dec 2015 (11y) | ||
| Lucas Martin Draper | Registered representative | Dec 2015 (11y) | ||
| Michael Craig Rodgers | Registered representative | Dec 2015 (11y) | ||
| Michael Gentry Brown | Registered representative | Dec 2015 (11y) | ||
| Marco Luis Contreras | Registered representative | Dec 2015 (11y) | ||
| Marion Patrick Plemmons | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Mark Eugene Bergman | Registered representative | Dec 2015 (11y) | ||
| Mark Gyle Spitler | Registered representative | Dec 2015 (11y) | ||
| Mark Philip Swindell | Registered representative | Dec 2015 (11y) | ||
| Matthew Mc Kinley Hembree | Registered representative | CFP | Dec 2015 (11y) | |
| Matthew Wesley Wineriter | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Michael Adam Lyon | Registered representative | Dec 2015 (11y) | ||
| Michael Anthony Kucej | Registered representative | Dec 2015 (11y) | ||
| Michael David Bunting | Registered representative | Dec 2015 (11y) | ||
| Michael Eugene Daly | Registered representative | Dec 2015 (11y) | ||
| Michael Glen Becker | Registered representative | Dec 2015 (11y) | ||
| Michael Joseph Theres | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Michael Keith Parker | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Michael Patrick Amstutz | Registered representative | Dec 2015 (11y) | ||
| Michael Vaughn Hohenstein | Registered representative | CFP | Dec 2015 (11y) | |
| Nathan D Rachwitz | Registered representative | Dec 2015 (11y) | ||
| Nathan Deone Perschon | Registered representative | Dec 2015 (11y) | ||
| Nicholas William Campbell | Registered representative | Dec 2015 (11y) | ||
| Olivia Alysse Forde | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Paula Danielle Feret | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Peter Craig Carlo | Registered representative | Dec 2015 (11y) | ||
| Philip Edward Leopold | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Raymond Shawn Schwager | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Rebecca Lynn Cochran | Registered representative | Dec 2015 (11y) | ||
| Robert Ernest Bowman | Registered representative | Dec 2015 (11y) | ||
| Robert Jamon Wilson | Registered representative | Dec 2015 (11y) | ||
| Ronald Fred Scarborough | Registered representative | CFP | Dec 2015 (11y) | |
| Ronald Stanley Garner | Registered representative | Dec 2015 (11y) | ||
| Ryan James Gay | Registered representative | CFP | Dec 2015 (11y) | |
| Ralph Boeckmann | Registered representative | Dec 2015 (11y) | ||
| Randal Eugene Dorf | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Randall Warren Harris | Registered representative | Dec 2015 (11y) | ||
| Randy Thomas Outhouse | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Raquel Salas Bramasco | Registered representative | CFP | Dec 2015 (11y) | |
| Robert Andrew Silva | Registered representative | Dec 2015 (11y) | ||
| Robert Emil Jorgensen | Registered representative | Dec 2015 (11y) | ||
| Robert Shane Keaton | Registered representative | Dec 2015 (11y) | ||
| Robert Wayne Smith | Registered representative | CFP | Dec 2015 (11y) | |
| Russell Howard Clarke | Registered representative | CFP | Dec 2015 (11y) | |
| Scott Allen Bandy | Registered representative | Dec 2015 (11y) | ||
| Samantha Ann Hilliard | Registered representative | Dec 2015 (11y) | ||
| Sean Arthur Tuttle | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Sean Jacob Ferreiro | Registered representative | Dec 2015 (11y) | ||
| Stephen David Thaeler | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Stephen Eric Brown | Registered representative | Dec 2015 (11y) | ||
| Steven Ray Bione | Registered representative | CFP | Dec 2015 (11y) | |
| Suzanne Alexandra Winkelmann | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Thomas Wayne Wilkins | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Timothy Brian Meyers | Registered representative | Dec 2015 (11y) | ||
| Timothy Joseph | Registered representative | Dec 2015 (11y) | ||
| Tracy Lynn May | Registered representative | Dec 2015 (11y) | ||
| Thomas H Crittenden | Registered representative | Dec 2015 (11y) | ||
| Thomas Howard Rush | Registered representative | CFP Chartered Financial Consultant | Dec 2015 (11y) | |
| Timothy Alan Gray | Registered representative | Dec 2015 (11y) | ||
| Timothy Jackson Custer | Registered representative | CFP | Dec 2015 (11y) | |
| Timothy Ray Malinski | Registered representative | Dec 2015 (11y) | ||
| Tracy Ann Heichelbech | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| Vanita Louise Kibbe | Registered representative | Chartered Financial Consultant | Dec 2015 (11y) | |
| William James Perry | Registered representative | CFP | Dec 2015 (11y) | |
| William Joseph Reynolds | Registered representative | Dec 2015 (11y) | ||
| William Osler Kepley | Registered representative | Dec 2015 (11y) | ||
| William Robert Edmundson | Registered representative | Dec 2015 (11y) | ||
| Wesley Alan Mlcak | Registered representative | CFP | Dec 2015 (11y) | |
| William Conrad Reuter | Registered representative | CFP | Dec 2015 (11y) | |
| William John Nolan | Registered representative | CFP | Dec 2015 (11y) | |
| William John Stropp | Registered representative | Dec 2015 (11y) | ||
| William Lee Bartels | Registered representative | Dec 2015 (11y) | ||
| William Walter Cultice | Registered representative | CFP | Dec 2015 (11y) | |
| Yecal Sirrod Garrett | Registered representative | Dec 2015 (11y) | ||
| Zachary Ragan Walden | Registered representative | Dec 2015 (11y) | ||
| Eileen Fae Perrin | Registered representative | CFP | Jan 2016 (11y) | |
| Tamara Jo Trocha | Registered representative | Jan 2016 (11y) | ||
| Alexander John Rossi | Registered representative | Feb 2016 (10y) | ||
| Gregory Paul Larson | Registered representative | Feb 2016 (10y) | ||
| Ryan Kenneth Hunt | Registered representative | Mar 2016 (10y) | ||
| Gary Alan Sjurset | Registered representative | Mar 2016 (10y) | ||
| Matthew Henry Bowman | Registered representative | CFP | Mar 2016 (10y) | |
| Kathryn M Freeman | Registered representative | Apr 2016 (10y) | ||
| Katherine Becker Hansen | Registered representative | CFP Chartered Financial Consultant | May 2016 (10y) | |
| Edwin Evrard Vieux | Registered representative | Jun 2016 (10y) | ||
| James P Morris | Registered representative | Jul 2016 (10y) | ||
| Thomas J Gagnon | Registered representative | Jul 2016 (10y) | ||
| Bryan Blair Coleman | Registered representative | CFP | Aug 2016 (10y) | |
| Brianna M Felts | Registered representative | Sep 2016 (10y) | ||
| Bradlee Wayne Hilley | Registered representative | CFP | Oct 2016 (10y) | |
| Justin Ray Barrett | Registered representative | Oct 2016 (10y) | ||
| Chad Alec Cody | Registered representative | Oct 2016 (10y) | ||
| Andrew Willis Fitch | Registered representative | Nov 2016 (10y) | ||
| Shelby Chambers Barnetti | Registered representative | Jan 2017 (10y) | ||
| John Stephen Weitzer | Registered representative | CFA | Jan 2017 (10y) | |
| Phillip Wayne Hart | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Charles Bernard Still | Registered representative | Feb 2017 (9y) | ||
| Shannon Skubic Chain | Registered representative | Feb 2017 (9y) | ||
| James Christopher Geddie | Registered representative | Mar 2017 (9y) | ||
| John Hunter Gourley | Registered representative | Mar 2017 (9y) | ||
| Abigail Obrero Devera | Registered representative | Apr 2017 (9y) | ||
| Kevin Richard Knitter | Registered representative | Apr 2017 (9y) | ||
| Daniel Gonzalez | Registered representative | Chartered Financial Consultant | Apr 2017 (9y) | |
| Michael Brandon Siders | Registered representative | Apr 2017 (9y) | ||
| David W Belcher | Registered representative | Apr 2017 (9y) | ||
| Nidhi Talati | Registered representative | CFP | Apr 2017 (9y) | |
| Sarah Chanelle Wells | Registered representative | Apr 2017 (9y) | ||
| Melanie Constance Dorf | Registered representative | May 2017 (9y) | ||
| Christopher Ryan Chapa | Registered representative | CFP Chartered Financial Consultant | May 2017 (9y) | |
| Scott A Heevner | Registered representative | Jun 2017 (9y) | ||
| Kayley Elise Neri | Registered representative | Jun 2017 (9y) | ||
| Douglas Edward Overbey | Registered representative | Jun 2017 (9y) | ||
| Marcus Antonio Zapata | Registered representative | CFP | Jun 2017 (9y) | |
| Christopher Aaron Vause | Registered representative | Jun 2017 (9y) | ||
| Anthony Charles Bloink | Registered representative | Jun 2017 (9y) | ||
| Jeffrey Lane Merchant | Registered representative | Jul 2017 (9y) | ||
| Robert Lawrence Armstrong | Registered representative | Jul 2017 (9y) | ||
| Jason Kyle Jenkins | Registered representative | CFP Chartered Financial Consultant | Aug 2017 (9y) | |
| Robert Wayne Singleton | Registered representative | Aug 2017 (9y) | ||
| Victor Peter Sokul | Registered representative | CFP Chartered Financial Consultant | Aug 2017 (9y) | |
| Robert George Milmore | Registered representative | CFP Chartered Financial Consultant | Sep 2017 (9y) | |
| Luke Wilson Groninger | Registered representative | Sep 2017 (9y) | ||
| Corinne Melissa Mc Nair | Registered representative | Sep 2017 (9y) | ||
| Travis Edwin Sundvall | Registered representative | Sep 2017 (9y) | ||
| Kevin James Schmidt | Registered representative | Sep 2017 (9y) | ||
| Eric Jay Green | Registered representative | Oct 2017 (9y) | ||
| Heather Kay Mc Kinstry | Registered representative | Nov 2017 (9y) | ||
| Deborah Eileen Smith | Registered representative | Dec 2017 (9y) | ||
| Zachary C Loraine | Registered representative | Dec 2017 (9y) | ||
| Shawn Michael Broe | Registered representative | Jan 2018 (9y) | ||
| Angela E Stowell | Registered representative | Jan 2018 (9y) | ||
| Kimberly Kay Schwinler | Registered representative | Jan 2018 (9y) | ||
| Timothy John Anderson | Registered representative | Feb 2018 (8y) | ||
| Jordan Lee Nelson | Registered representative | Feb 2018 (8y) | ||
| Kyle Kruger | Registered representative | Feb 2018 (8y) | ||
| Kristy Jeanine Mc Cormick | Registered representative | Mar 2018 (8y) | ||
| William Cole Sager | Registered representative | CFA | Apr 2018 (8y) | |
| James J Lourentzos | Registered representative | Apr 2018 (8y) | ||
| Renee Lee Bauch | Registered representative | Apr 2018 (8y) | ||
| Shane Thomas Sandretto | Registered representative | Apr 2018 (8y) | ||
| Kristina Marie Patt | Registered representative | Apr 2018 (8y) | ||
| Ernesto Junior Hernandez | Registered representative | Apr 2018 (8y) | ||
| Leif Svendsen | Registered representative | May 2018 (8y) | ||
| Eric Coy Young | Registered representative | Jun 2018 (8y) | ||
| Jonathan Philip Hutson | Registered representative | CFP | Jun 2018 (8y) | |
| Shea Patrick Harvey | Registered representative | Jun 2018 (8y) | ||
| Keith Roger Thibodeau | Registered representative | Jul 2018 (8y) | ||
| Christopher Brian Churchill | Registered representative | Jul 2018 (8y) | ||
| Kevin Robert Shilling | Registered representative | Chartered Financial Consultant | Jul 2018 (8y) | |
| Castulo Chaparro Vera | Registered representative | Jul 2018 (8y) | ||
| Clifford Scott Mewborne | Registered representative | Jul 2018 (8y) | ||
| Nicholas Ray Wallace | Registered representative | Jul 2018 (8y) | ||
| Jeffrey David Richardson | Registered representative | Aug 2018 (8y) | ||
| David Henry Brooks | Registered representative | CFP Chartered Financial Consultant | Aug 2018 (8y) | |
| Dave Alexander Mendez | Registered representative | Aug 2018 (8y) | ||
| Jeremy Lowell Burrier | Registered representative | Sep 2018 (8y) | ||
| Brooke Rose Lazzarini | Registered representative | Sep 2018 (8y) | ||
| Gary Duane North | Registered representative | Sep 2018 (8y) | ||
| Brian Anthony Blas Pablo | Registered representative | Chartered Financial Consultant | Sep 2018 (8y) | |
| Annmarie K Trombino | Registered representative | Sep 2018 (8y) | ||
| Kori Bean | Registered representative | Sep 2018 (8y) | ||
| Charlene Margaret May | Registered representative | Oct 2018 (8y) | ||
| Holly Anne Heath | Registered representative | Oct 2018 (8y) | ||
| Bret Kelley | Registered representative | Oct 2018 (8y) | ||
| Heather Kay Panuco | Registered representative | Oct 2018 (8y) | ||
| David L Semonian | Registered representative | Oct 2018 (8y) | ||
| David Wayne Trammell | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Harry Alfred Jaeger | Registered representative | Nov 2018 (8y) | ||
| Kelly Gorreck | Registered representative | Nov 2018 (8y) | ||
| Valerie Hardaway Malley | Registered representative | CFP Chartered Financial Consultant | Nov 2018 (8y) | |
| Ann Marie B Cudzilo | Registered representative | Nov 2018 (8y) | ||
| Brad Michael Randall | Registered representative | Nov 2018 (8y) | ||
| Michele Renee Munson | Registered representative | Jan 2019 (8y) | ||
| Marcos Eduardo Colon | Registered representative | Jan 2019 (8y) | ||
| Daniel Ferris | Registered representative | Jan 2019 (8y) | ||
| Robert Geoffrey Concessio | Registered representative | Jan 2019 (8y) | ||
| Douglas John Keller | Registered representative | Jan 2019 (8y) | ||
| Douglas Boone Giddings | Registered representative | Jan 2019 (8y) | ||
| Jason C Gurney | Registered representative | Feb 2019 (7y) | ||
| Hannah Leigh Oakley Mcarthur | Registered representative | Feb 2019 (7y) | ||
| Jennifer Sue Berlin | Registered representative | Mar 2019 (7y) | ||
| Jamie Maria Carpenter | Registered representative | Mar 2019 (7y) | ||
| Alan Mitchell Butler | Registered representative | Apr 2019 (7y) | ||
| Kristal Dawn Dillon | Registered representative | Apr 2019 (7y) | ||
| Paul Clifford Brooker | Registered representative | Apr 2019 (7y) | ||
| Marc Tuschen | Registered representative | Apr 2019 (7y) | ||
| William Christopher Wilson | Registered representative | Apr 2019 (7y) | ||
| William Michael Lankford | Registered representative | Apr 2019 (7y) | ||
| Christine Lou Meitzler | Registered representative | May 2019 (7y) | ||
| Mark R Amman | Registered representative | Jun 2019 (7y) | ||
| Bradley Wayne Witham | Registered representative | Jun 2019 (7y) | ||
| Sandi Marie Bullock | Registered representative | Jun 2019 (7y) | ||
| Michael Thomas Mower | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Brann Garrett Calvetti | Registered representative | Jun 2019 (7y) | ||
| Ruben Garcia Camacho | Registered representative | Jun 2019 (7y) | ||
| Cally Dean Weight | Registered representative | Jun 2019 (7y) | ||
| Randy Adam Mills | Registered representative | CFP Chartered Financial Consultant | Jul 2019 (7y) | |
| Robert Lee Williamson | Registered representative | Jul 2019 (7y) | ||
| Steven Loos | Registered representative | Jul 2019 (7y) | ||
| Jamie Marie Bartels Giddings | Registered representative | Jul 2019 (7y) | ||
| Oscar Javier Romero | Registered representative | Jul 2019 (7y) | ||
| William Jason Goggin | Registered representative | Jul 2019 (7y) | ||
| Peter Andrew Whelan | Registered representative | CFP | Jul 2019 (7y) | |
| Rachel Lynne Faris | Registered representative | Jul 2019 (7y) | ||
| Susan Kristine Bolland | Registered representative | Jul 2019 (7y) | ||
| Walter Kester Eldridge | Registered representative | CFP Chartered Financial Consultant | Aug 2019 (7y) | |
| Alyssa Nicole Luchini | Registered representative | CFP | Aug 2019 (7y) | |
| Michael L Samsel | Registered representative | Aug 2019 (7y) | ||
| Perchuhy Kazhoyan Cummings | Registered representative | Aug 2019 (7y) | ||
| Joseph Ryan Bergman | Registered representative | Aug 2019 (7y) | ||
| Katherine Priscilla Holmes | Registered representative | CFP | Aug 2019 (7y) | |
| Shelton Stafford Daniels | Registered representative | Aug 2019 (7y) | ||
| Craig H Liguori | Registered representative | Sep 2019 (7y) | ||
| James Data Logan | Registered representative | Sep 2019 (7y) | ||
| Terence Lamont Graham | Registered representative | Sep 2019 (7y) | ||
| Anna Kay S Hamilton | Registered representative | Sep 2019 (7y) | ||
| Robert Joseph Landolfi | Registered representative | Oct 2019 (7y) | ||
| Rachel Jane Hallowell | Registered representative | Oct 2019 (7y) | ||
| Emili Kristine Robinault | Registered representative | Nov 2019 (7y) | ||
| Michael Carroll Fallert | Registered representative | Nov 2019 (7y) | ||
| David Gerard Lammert | Registered representative | CFP Chartered Financial Consultant | Nov 2019 (7y) | |
| Brandon Matthew Giefer | Registered representative | Nov 2019 (7y) | ||
| Gregory Michael Barnhart | Registered representative | Nov 2019 (7y) | ||
| Zackary Nelson | Registered representative | CFP | Nov 2019 (7y) | |
| Ralph Lester Kauzlarich | Registered representative | Nov 2019 (7y) | ||
| Carolyn A Engler | Registered representative | Jan 2020 (7y) | ||
| Araceli Hernandez | Registered representative | Jan 2020 (7y) | ||
| Devin Statham | Registered representative | Jan 2020 (7y) | ||
| Travis Sterling Williams | Registered representative | Jan 2020 (7y) | ||
| Raul Mathew Negron | Registered representative | Jan 2020 (7y) | ||
| David Alan Slater | Registered representative | CFP | Jan 2020 (7y) | |
| Christina Re Ennea Almazan Diaz | Registered representative | Jan 2020 (7y) | ||
| Elizabeth Gerhart Nicolette | Registered representative | Feb 2020 (6y) | ||
| Brent Christopher Eaton | Registered representative | Feb 2020 (6y) | ||
| Arthur Gibb | Registered representative | Feb 2020 (6y) | ||
| Garret Kensington Messner | Registered representative | Mar 2020 (6y) | ||
| Benjamin Eugene Stocum | Registered representative | Mar 2020 (6y) | ||
| Devlin Douglas Root | Registered representative | Mar 2020 (6y) | ||
| Humberto Martin Vasquez | Registered representative | May 2020 (6y) | ||
| William Dee Haynes | Registered representative | May 2020 (6y) | ||
| Dennis Bryan White | Registered representative | May 2020 (6y) | ||
| John Charles Osarczuk | Registered representative | May 2020 (6y) | ||
| Christien N Hughes | Registered representative | May 2020 (6y) | ||
| Kent Stewart Ralston | Registered representative | May 2020 (6y) | ||
| Michael Thomas Mcgurk | Registered representative | May 2020 (6y) | ||
| Scott Andrew Campbell | Registered representative | Jun 2020 (6y) | ||
| Lance Mike Penhale | Registered representative | Jun 2020 (6y) | ||
| Thomas Beuerman | Registered representative | Jun 2020 (6y) | ||
| Rebecca Diane Jones | Registered representative | Jun 2020 (6y) | ||
| Alexander Trey Tyler | Registered representative | CFP | Jun 2020 (6y) | |
| Aaron Albert Barranco | Registered representative | Jun 2020 (6y) | ||
| Hunter Reid Feraco | Registered representative | Jun 2020 (6y) | ||
| Joshua Michael Castaneda | Registered representative | Jun 2020 (6y) | ||
| Nicholas John Gilewitch | Registered representative | Jun 2020 (6y) | ||
| Nathan James Maynard | Registered representative | CFP Chartered Financial Consultant | Jul 2020 (6y) | |
| Jennifer Andrea Bishop | Registered representative | Jul 2020 (6y) | ||
| Monica Marie Mc Kenna | Registered representative | Jul 2020 (6y) | ||
| Billy Jack Ramsey | Registered representative | Aug 2020 (6y) | ||
| Peter D Schenck | Registered representative | CFP | Aug 2020 (6y) | |
| Shannon Michael Singleton | Registered representative | Aug 2020 (6y) | ||
| Andrew Michael Lawfield | Registered representative | Aug 2020 (6y) | ||
| Garrett Masterson | Registered representative | Sep 2020 (6y) | ||
| Austin J Beard | Registered representative | Sep 2020 (6y) | ||
| Jeremy Ira Ball | Registered representative | Sep 2020 (6y) | ||
| Jeremy Charles Peloquin | Registered representative | Sep 2020 (6y) | ||
| David Tyler Mainster | Registered representative | Sep 2020 (6y) | ||
| Patrick Gorham | Registered representative | CFP | Sep 2020 (6y) | |
| Sonny Alika Koahou | Registered representative | Sep 2020 (6y) | ||
| John N Oldham | Registered representative | Sep 2020 (6y) | ||
| Sonya Parker Duvall | Registered representative | Oct 2020 (6y) | ||
| William Jeremy Stewart | Registered representative | Oct 2020 (6y) | ||
| Travis Eugene Evans | Registered representative | Oct 2020 (6y) | ||
| Mario Leon Oliver | Registered representative | Oct 2020 (6y) | ||
| Ashley Butler | Registered representative | Oct 2020 (6y) | ||
| Sean Michael Morgan | Registered representative | Oct 2020 (6y) | ||
| Jason Dane Smith | Registered representative | Nov 2020 (6y) | ||
| Melissa Dawne Pyle | Registered representative | Nov 2020 (6y) | ||
| William Ronald Barr | Registered representative | Nov 2020 (6y) | ||
| Beth Ann Le Crone | Registered representative | Nov 2020 (6y) | ||
| Brandon Michael Whittaker | Registered representative | Nov 2020 (6y) | ||
| James Thomas Stevens | Registered representative | Nov 2020 (6y) | ||
| Timothy Vichaivattana | Registered representative | Nov 2020 (6y) | ||
| Jonathon Na | Registered representative | Nov 2020 (6y) | ||
| Blace Chandler Albert | Registered representative | Nov 2020 (6y) | ||
| Joshua Zachariah Sharp | Registered representative | Nov 2020 (6y) | ||
| Brendan Julian Cherasard | Registered representative | Dec 2020 (6y) | ||
| William Kelly Brewer | Registered representative | Chartered Financial Consultant | Jan 2021 (6y) | |
| Adriana Maria Jimenez | Registered representative | Jan 2021 (6y) | ||
| Matthew Lance Wiley | Registered representative | CFA | Jan 2021 (6y) | |
| Daniel Edward Lawrence | Registered representative | Jan 2021 (6y) | ||
| John Ethan Mears | Registered representative | Jan 2021 (6y) | ||
| Samuel Lee Mann | Registered representative | Jan 2021 (6y) | ||
| Matthew Wayne Childers | Registered representative | Jan 2021 (6y) | ||
| Terence Lonell Clay | Registered representative | Jan 2021 (6y) | ||
| Karen Wilson Twitty | Registered representative | Jan 2021 (6y) | ||
| Armine Chamasyan Graham | Registered representative | Jan 2021 (6y) | ||
| Rachel Marie Richardson | Registered representative | Jan 2021 (6y) | ||
| Timothy Wayne Trimmell | Registered representative | Jan 2021 (6y) | ||
| Tyler James Witzel | Registered representative | Feb 2021 (5y) | ||
| Michael Dean Hamer | Registered representative | Feb 2021 (5y) | ||
| Omar Eucline Nurse | Registered representative | Feb 2021 (5y) | ||
| Chad Mikel Roberts | Registered representative | Mar 2021 (5y) | ||
| Austin Taylor Chester | Registered representative | Mar 2021 (5y) | ||
| Nicholas Brandon Cavano | Registered representative | Mar 2021 (5y) | ||
| Zachary Eugene Pruitt | Registered representative | Mar 2021 (5y) | ||
| Nicole Brandon Wheelock | Registered representative | Mar 2021 (5y) | ||
| Joseph Vincent Kruszewski | Registered representative | Apr 2021 (5y) | ||
| Gerald Wayne Ketchum | Registered representative | Apr 2021 (5y) | ||
| Matthew Reid Anderson | Registered representative | Apr 2021 (5y) | ||
| Warren Jeffrey Russell | Registered representative | Apr 2021 (5y) | ||
| Scott Alan Carlson | Registered representative | Apr 2021 (5y) | ||
| Michael Adams Rouse | Registered representative | May 2021 (5y) | ||
| Michael Alan Cantu | Registered representative | May 2021 (5y) | ||
| Danielle M Sanchez | Registered representative | May 2021 (5y) | ||
| Kelly Chizek | Registered representative | Jun 2021 (5y) | ||
| Carolyn Baker Smith | Registered representative | Jun 2021 (5y) | ||
| Christopher Paul Aeillo | Registered representative | Jun 2021 (5y) | ||
| Alexandra Dee Olah | Registered representative | Jun 2021 (5y) | ||
| Shauna Lynn Mitchell | Registered representative | Jun 2021 (5y) | ||
| Mark Randall Goodrum | Registered representative | Jul 2021 (5y) | ||
| Jiahui Feng | Registered representative | Jul 2021 (5y) | ||
| Dylan Drake Ball | Registered representative | Jul 2021 (5y) | ||
| Juan Rafael Garcia | Registered representative | Jul 2021 (5y) | ||
| Aurora F Streeter | Registered representative | Jul 2021 (5y) | ||
| Jing Liu Lisanby | Registered representative | Jul 2021 (5y) | ||
| Allison Sierra Polk | Registered representative | Aug 2021 (5y) | ||
| Raul Torres | Registered representative | Aug 2021 (5y) | ||
| Charles Stratton | Registered representative | Aug 2021 (5y) | ||
| Eugene Joseph Lesinski | Registered representative | Aug 2021 (5y) | ||
| Frank Walter Sullivan | Registered representative | Aug 2021 (5y) | ||
| Jason Isaac Jukes | Registered representative | Sep 2021 (5y) | ||
| Travis Ray Bowen | Registered representative | Sep 2021 (5y) | ||
| Kimberley Michele Foisie | Registered representative | CFP | Sep 2021 (5y) | |
| Kristen Nicole Garcia | Registered representative | Sep 2021 (5y) | ||
| Jared Isaiah Griffith | Registered representative | Sep 2021 (5y) | ||
| Robert Bruce Hensley | Registered representative | Oct 2021 (5y) | ||
| Vanessa Chambers | Registered representative | Oct 2021 (5y) | ||
| Kadri Lindemann | Registered representative | CFP Chartered Financial Consultant | Oct 2021 (5y) | |
| Eric Ross Olson | Registered representative | Oct 2021 (5y) | ||
| Austin Reid Hulsey | Registered representative | Nov 2021 (5y) | ||
| Patrick Charles Marshall | Registered representative | Nov 2021 (5y) | ||
| Thomas Joseph Finneran | Registered representative | Nov 2021 (5y) | ||
| Timothy Francis Schroth | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Guadalupe Melissa Godoy | Registered representative | Nov 2021 (5y) | ||
| John Edward Taylor | Registered representative | Nov 2021 (5y) | ||
| Daniel Earl Rogers | Registered representative | Nov 2021 (5y) | ||
| Harriett Justine Dolan | Registered representative | Nov 2021 (5y) | ||
| J Audley Briggs Marzo | Registered representative | Nov 2021 (5y) | ||
| David A Strauss | Registered representative | Nov 2021 (5y) | ||
| Joseph Paul Metivier | Registered representative | Dec 2021 (5y) | ||
| Chrystie Marie Way | Registered representative | Dec 2021 (5y) | ||
| David Van Der Wekken | Registered representative | Dec 2021 (5y) | ||
| James Robert Hoefs | Registered representative | Dec 2021 (5y) | ||
| Thomas Austin Benavides | Registered representative | Dec 2021 (5y) | ||
| Corry Juedeman Prestidge | Registered representative | CFP Chartered Financial Consultant | Jan 2022 (5y) | |
| Katherine Anne Waters | Registered representative | Jan 2022 (5y) | ||
| Charles William Rymer | Registered representative | Jan 2022 (5y) | ||
| Ramon Jimenez | Registered representative | Jan 2022 (5y) | ||
| Daniel Steven Rendon | Registered representative | Jan 2022 (5y) | ||
| Denis Emilia Porter | Registered representative | Jan 2022 (5y) | ||
| Matthew David Conner | Registered representative | Jan 2022 (5y) | ||
| Jason Alan Perry | Registered representative | Jan 2022 (5y) | ||
| Laura Cermak Kumar | Registered representative | Jan 2022 (5y) | ||
| Kimberly Lee Fuchs | Registered representative | Jan 2022 (5y) | ||
| John Stewart Cranston | Registered representative | CFP Chartered Financial Consultant | Feb 2022 (4y) | |
| Christian Joseph Anderson | Registered representative | Feb 2022 (4y) | ||
| Kevin Douglas Heckle | Registered representative | Feb 2022 (4y) | ||
| Kelsey Elise Segawa | Registered representative | Mar 2022 (4y) | ||
| Christopher Aaron Mc Keen | Registered representative | Mar 2022 (4y) | ||
| Karen Teresa Loomis | Registered representative | Mar 2022 (4y) | ||
| Jane Marie Pettit Castor | Registered representative | Mar 2022 (4y) | ||
| Harli Danielle Smith | Registered representative | Mar 2022 (4y) | ||
| Jason Michael Dunn | Registered representative | Apr 2022 (4y) | ||
| Sherrie Lynn Keylon | Registered representative | Apr 2022 (4y) | ||
| Ellwood Alfred Tegtmeier | Registered representative | Apr 2022 (4y) | ||
| James Elijio Summers | Registered representative | Apr 2022 (4y) | ||
| Alexander Frank | Registered representative | Apr 2022 (4y) | ||
| Vaughn Badenhorst | Registered representative | Apr 2022 (4y) | ||
| Mark Anthony Llanes Claudio | Registered representative | Apr 2022 (4y) | ||
| Morgan Andregg | Registered representative | Apr 2022 (4y) | ||
| Dana Paul Thornton | Registered representative | Apr 2022 (4y) | ||
| Dan Delzingaro | Registered representative | Apr 2022 (4y) | ||
| Sherri Lenae Simpson Nichelson | Registered representative | May 2022 (4y) | ||
| Austin Michael Hill | Registered representative | Jun 2022 (4y) | ||
| Jamie Kerchief Wilson | Registered representative | Jun 2022 (4y) | ||
| Shea Marie Galvez Durian | Registered representative | Jun 2022 (4y) | ||
| Karyn Cordero Carbone | Registered representative | Jun 2022 (4y) | ||
| Dale Shaune Sanders | Registered representative | Jul 2022 (4y) | ||
| Angelina Maria Mc Lane | Registered representative | Jul 2022 (4y) | ||
| Cuicui Randolph | Registered representative | Jul 2022 (4y) | ||
| Teri Joyce Schweiger | Registered representative | Jul 2022 (4y) | ||
| Tristan Sanabria | Registered representative | Jul 2022 (4y) | ||
| Cecil Eugene Redmon | Registered representative | Jul 2022 (4y) | ||
| Jon Scribner Howard | Registered representative | Jul 2022 (4y) | ||
| Aaron Wesley Clark | Registered representative | CFP | Jul 2022 (4y) | |
| Alexander Terrell Stewart | Registered representative | Jul 2022 (4y) | ||
| Adam R Bartek | Registered representative | Aug 2022 (4y) | ||
| Charles Alexander Mclendon | Registered representative | Aug 2022 (4y) | ||
| Amy Marie Marsh | Registered representative | Aug 2022 (4y) | ||
| Brad Howard Braithwaite | Registered representative | Aug 2022 (4y) | ||
| Brian Malicha Kiefer | Registered representative | CFP | Aug 2022 (4y) | |
| Jay Allen Ringenbach | Registered representative | Aug 2022 (4y) | ||
| Aasha Jones | Registered representative | Aug 2022 (4y) | ||
| Corey Marlin Lessmann | Registered representative | Aug 2022 (4y) | ||
| Susan Raymundo Dixon | Registered representative | Aug 2022 (4y) | ||
| Garry Wade Dilday | Registered representative | Sep 2022 (4y) | ||
| Casper Joseph Nathe | Registered representative | Sep 2022 (4y) | ||
| Ivan Gregory Brown | Registered representative | Sep 2022 (4y) | ||
| George Edgar Robinson | Registered representative | Sep 2022 (4y) | ||
| Ryan Richard Risko | Registered representative | Sep 2022 (4y) | ||
| Robert P Wilson | Registered representative | CFP | Sep 2022 (4y) | |
| Denise C Moody | Registered representative | Sep 2022 (4y) | ||
| Jefferson R Disla | Registered representative | Oct 2022 (4y) | ||
| Kasey Linn Mitchell | Registered representative | Nov 2022 (4y) | ||
| Stephanie Arleene Caro | Registered representative | Nov 2022 (4y) | ||
| Jeffrey Wayne Harris | Registered representative | Dec 2022 (4y) | ||
| Amanda Jenkins | Registered representative | Dec 2022 (4y) | ||
| Erica Lynn Brown | Registered representative | CFP | Dec 2022 (4y) | |
| Scott Edward Anderson | Registered representative | Dec 2022 (4y) | ||
| Robert Alan Brogan | Registered representative | Dec 2022 (4y) | ||
| Timothy Carl Janz | Registered representative | Dec 2022 (4y) | ||
| John Taylor Haggerty | Registered representative | Jan 2023 (4y) | ||
| Abby Randall | Registered representative | Jan 2023 (4y) | ||
| Lael Beebe Formica | Registered representative | Jan 2023 (4y) | ||
| Jose Luis Feliz | Registered representative | Chartered Financial Consultant | Jan 2023 (4y) | |
| Angela Jean Remington | Registered representative | Jan 2023 (4y) | ||
| Lisa Anne Mullinax | Registered representative | Jan 2023 (4y) | ||
| Matthew Leon Moore | Registered representative | Jan 2023 (4y) | ||
| Howard Sandobal Amaya | Registered representative | Jan 2023 (4y) | ||
| Latorya Tanyell Brown Bailey | Registered representative | Jan 2023 (4y) | ||
| Abigail Marie Mc Daris Woods | Registered representative | Jan 2023 (4y) | ||
| Anna Marie Beasley | Registered representative | Jan 2023 (4y) | ||
| Holly Renee Beyer | Registered representative | Jan 2023 (4y) | ||
| Donald Jamieson Yeiter | Registered representative | Feb 2023 (3y) | ||
| Dakota Wibel | Registered representative | Feb 2023 (3y) | ||
| Jenny Don Carlos | Registered representative | Feb 2023 (3y) | ||
| Leif Vanhala | Registered representative | Feb 2023 (3y) | ||
| Wade Austin Myatt | Registered representative | Feb 2023 (3y) | ||
| Sherleen M Udasco | Registered representative | Feb 2023 (3y) | ||
| Casey Joseph Ash | Registered representative | Feb 2023 (3y) | ||
| Zachariah Anton Eubanks | Registered representative | Mar 2023 (3y) | ||
| Jason Michael Faras | Registered representative | Mar 2023 (3y) | ||
| Christopher Reid Shea | Registered representative | Mar 2023 (3y) | ||
| Meagan Nicole Crook | Registered representative | Mar 2023 (3y) | ||
| Valeria Valdez White | Registered representative | Mar 2023 (3y) | ||
| Elizabeth Mara Cosden | Registered representative | Mar 2023 (3y) | ||
| Sasha Jade Bollman | Registered representative | Apr 2023 (3y) | ||
| Sidney Sebern Frith | Registered representative | Apr 2023 (3y) | ||
| Jillian Dawn Echang | Registered representative | Apr 2023 (3y) | ||
| Ili Mansfield | Registered representative | May 2023 (3y) | ||
| Jaime Torres Mendoza | Registered representative | May 2023 (3y) | ||
| Kenneth J Michaud | Registered representative | CFP | May 2023 (3y) | |
| Bryson Thomas Spangler | Registered representative | May 2023 (3y) | ||
| Ethan Stanley Porter | Registered representative | Jun 2023 (3y) | ||
| Ana Paula Cumpa | Registered representative | Jun 2023 (3y) | ||
| Shannon Lee Tabor | Registered representative | Jun 2023 (3y) | ||
| William Shau Chien Shiang | Registered representative | Jun 2023 (3y) | ||
| David Conrady | Registered representative | Jun 2023 (3y) | ||
| John N Auger | Registered representative | Jun 2023 (3y) | ||
| Robert Wilcox Lane | Registered representative | Jul 2023 (3y) | ||
| Henry Dewey Olliff | Registered representative | Jul 2023 (3y) | ||
| Ruben Elias Artiga | Registered representative | Jul 2023 (3y) | ||
| Robert Brian Peat | Registered representative | Jul 2023 (3y) | ||
| Travis J Hooser | Registered representative | Jul 2023 (3y) | ||
| Lauren Rebecca Mitchell | Registered representative | Jul 2023 (3y) | ||
| Taylor Marie Gaudlitz | Registered representative | Jul 2023 (3y) | ||
| Scott Klaas | Registered representative | Jul 2023 (3y) | ||
| Robert Lee Brister | Registered representative | Jul 2023 (3y) | ||
| Bradley David Morrow | Registered representative | Jul 2023 (3y) | ||
| Jonathan Zermeno | Registered representative | Jul 2023 (3y) | ||
| Debra Olean Miethe | Registered representative | Aug 2023 (3y) | ||
| Libna Ruth Pineda Vega | Registered representative | Aug 2023 (3y) | ||
| Brittany Dee Suttie | Registered representative | Aug 2023 (3y) | ||
| Mark Tipmongkol | Registered representative | Aug 2023 (3y) | ||
| Elizabeth May Braman | Registered representative | Aug 2023 (3y) | ||
| Christopher T Kearns | Registered representative | Sep 2023 (3y) | ||
| Christina Leigh Rodriguez | Registered representative | CFP Chartered Financial Consultant | Sep 2023 (3y) | |
| Laura Ann Hyatt | Registered representative | Sep 2023 (3y) | ||
| Chalitda Hughes | Registered representative | Sep 2023 (3y) | ||
| Benjamin Michael Lowe | Registered representative | Sep 2023 (3y) | ||
| Gavin David Crowe | Registered representative | Oct 2023 (3y) | ||
| Jason Brant Kirk | Registered representative | Oct 2023 (3y) | ||
| Justin Rowe | Registered representative | Oct 2023 (3y) | ||
| Michael Kevin Coyle | Registered representative | Oct 2023 (3y) | ||
| Reeder Bradley Mengwasser | Registered representative | Nov 2023 (3y) | ||
| Christopher Ryan Reynolds | Registered representative | Nov 2023 (3y) | ||
| Bethany Brandt | Registered representative | Nov 2023 (3y) | ||
| Craig Richard Ames | Registered representative | Nov 2023 (3y) | ||
| Rebecca Anne Jarrell | Registered representative | Nov 2023 (3y) | ||
| Thomas Le Roy Booker | Registered representative | Nov 2023 (3y) | ||
| Stephen James Stasevich | Registered representative | Nov 2023 (3y) | ||
| Jill Noel Skelton | Registered representative | Nov 2023 (3y) | ||
| Gian Alberto Motta | Registered representative | Dec 2023 (3y) | ||
| Tom Andre Mitchell | Registered representative | Dec 2023 (3y) | ||
| Ellie Rose Fraga | Registered representative | Dec 2023 (3y) | ||
| Marshall Douglas Lane | Registered representative | CFP Chartered Financial Consultant | Dec 2023 (3y) | |
| Gary Lee Chitwood | Registered representative | Dec 2023 (3y) | ||
| Tymothy Jaye Mc Donell | Registered representative | Dec 2023 (3y) | ||
| Matthew A Stennis | Registered representative | Dec 2023 (3y) | ||
| Sophia Marie Nickelson | Registered representative | Dec 2023 (3y) | ||
| Catherine Atsumi | Registered representative | Jan 2024 (3y) | ||
| Richard Reynolds Devero | Registered representative | Jan 2024 (3y) | ||
| Jason Eric Carey | Registered representative | Jan 2024 (3y) | ||
| Mario Guillermo Coiradas | Registered representative | Jan 2024 (3y) | ||
| Bradley Joseph Buening | Registered representative | Jan 2024 (3y) | ||
| Melissa B Merem | Registered representative | Jan 2024 (3y) | ||
| John Lee Beraud | Registered representative | Jan 2024 (3y) | ||
| Kari Lynn Wolfe | Registered representative | Jan 2024 (3y) | ||
| Naomi Etsuko Files | Registered representative | Jan 2024 (3y) | ||
| Heatherann Sally Bozeman | Registered representative | Jan 2024 (3y) | ||
| Ma. Jessica Palmiano Bellota | Registered representative | Jan 2024 (3y) | ||
| Stacy Blue | Registered representative | CFP | Feb 2024 (2y) | |
| Itxel De Lucy | Registered representative | Feb 2024 (2y) | ||
| Anthony Duane Crawford | Registered representative | Feb 2024 (2y) | ||
| Freddy Santizo | Registered representative | Feb 2024 (2y) | ||
| Charles Spencer | Registered representative | Feb 2024 (2y) | ||
| Stephen Edward Dorsey | Registered representative | Feb 2024 (2y) | ||
| Christopher Richard Brockway | Registered representative | Mar 2024 (2y) | ||
| Thomas Foster | Registered representative | Mar 2024 (2y) | ||
| Christopher Peter Montz | Registered representative | Mar 2024 (2y) | ||
| Camuel Craig Buzan | Registered representative | Mar 2024 (2y) | ||
| Jesse Jeremiah Goertzen | Registered representative | Mar 2024 (2y) | ||
| Yareli Roudybush | Registered representative | Mar 2024 (2y) | ||
| Andrew Stipp | Registered representative | Mar 2024 (2y) | ||
| Scottie Murray Custer | Registered representative | Mar 2024 (2y) | ||
| Justin Scott Jerril Blauvelt | Registered representative | Mar 2024 (2y) | ||
| Michael Forrest Schwing | Registered representative | Mar 2024 (2y) | ||
| Gregory D Sloan | Registered representative | Apr 2024 (2y) | ||
| Jessica Lynn Wolford | Registered representative | Apr 2024 (2y) | ||
| Brent Wesley Anderson | Registered representative | Apr 2024 (2y) | ||
| Daniel Dean La Bar | Registered representative | Apr 2024 (2y) | ||
| Adam Seth Davis Creel | Registered representative | Apr 2024 (2y) | ||
| Andrew Jonathan Strause | Registered representative | Apr 2024 (2y) | ||
| Chris Park | Registered representative | Apr 2024 (2y) | ||
| Joshua Germeaux | Registered representative | Apr 2024 (2y) | ||
| Justin Lynn Beers | Registered representative | Apr 2024 (2y) | ||
| Kevin Lee Carey | Registered representative | Apr 2024 (2y) | ||
| Kimberly Lopez Cortez | Registered representative | Apr 2024 (2y) | ||
| Sheronne King | Registered representative | Apr 2024 (2y) | ||
| Mark Randall Arn | Registered representative | Apr 2024 (2y) | ||
| Matthew Turner | Registered representative | Apr 2024 (2y) | ||
| Brian Richard Baldus | Registered representative | Apr 2024 (2y) | ||
| Claudia Annmarie Allen | Registered representative | Apr 2024 (2y) | ||
| Marcus Aaron Little | Registered representative | Apr 2024 (2y) | ||
| Amanda Marie Jones | Registered representative | May 2024 (2y) | ||
| Amber Goetz | Registered representative | May 2024 (2y) | ||
| Sherri Jannise | Registered representative | May 2024 (2y) | ||
| Antonia L Proctor | Registered representative | May 2024 (2y) | ||
| Marnie Flynn | Registered representative | May 2024 (2y) | ||
| Erin Nicole Lammert | Registered representative | May 2024 (2y) | ||
| Claudio J Rodriguez | Registered representative | May 2024 (2y) | ||
| Elliot Harris | Registered representative | Jun 2024 (2y) | ||
| Lucas Garret Desautels | Registered representative | Jun 2024 (2y) | ||
| Savannah Renee Coltrain | Registered representative | Jun 2024 (2y) | ||
| Hazel Ann Farinas Le Page | Registered representative | Jun 2024 (2y) | ||
| Katherine Elizabeth Steifle | Registered representative | Jun 2024 (2y) | ||
| Maecyn Katherine Larson | Registered representative | Jul 2024 (2y) | ||
| Charles Leon York | Registered representative | Jul 2024 (2y) | ||
| Gregory William Glynn | Registered representative | Jul 2024 (2y) | ||
| Jason Alan Hopkins | Registered representative | Jul 2024 (2y) | ||
| William John Kenney | Registered representative | Jul 2024 (2y) | ||
| Kelly Adams Maston | Registered representative | Jul 2024 (2y) | ||
| Chelcie Sirvid | Registered representative | Jul 2024 (2y) | ||
| Tina Trinh Nguyen | Registered representative | Jul 2024 (2y) | ||
| James Andrew Amerman | Registered representative | CFP | Jul 2024 (2y) | |
| Holden Blake Kerns | Registered representative | Jul 2024 (2y) | ||
| Samantha Lynn Stidham | Registered representative | Jul 2024 (2y) | ||
| Nathan Michael Quinlan | Registered representative | Jul 2024 (2y) | ||
| Samuel Louis Furna | Registered representative | Jul 2024 (2y) | ||
| Mark Ernst | Registered representative | CFP | Jul 2024 (2y) | |
| Timothy Van Ryder | Registered representative | Jul 2024 (2y) | ||
| Perry David Price | Registered representative | Aug 2024 (2y) | ||
| Yukubu Asamel Carriker | Registered representative | Aug 2024 (2y) | ||
| Wyatt Lawrence Mc Gowan | Registered representative | Aug 2024 (2y) | ||
| Francis Gerald Desimone | Registered representative | Aug 2024 (2y) | ||
| Steven Michael Ziegler | Registered representative | Aug 2024 (2y) | ||
| Jacob L Miller | Registered representative | Aug 2024 (2y) | ||
| Troy Goss | Registered representative | Aug 2024 (2y) | ||
| Sara Nicole Wilson | Registered representative | Aug 2024 (2y) | ||
| Christopher John David Morris | Registered representative | Sep 2024 (2y) | ||
| Matthew Ryan Cade | Registered representative | Sep 2024 (2y) | ||
| Paul Neal Rhyne | Registered representative | Sep 2024 (2y) | ||
| Amy Lynn Szarenski | Registered representative | Sep 2024 (2y) | ||
| Gabrielle Phenix | Registered representative | Sep 2024 (2y) | ||
| Alan Bridges | Registered representative | CFP | Sep 2024 (2y) | |
| Ethan Lee Sanderson | Registered representative | Sep 2024 (2y) | ||
| John Dell Corridon | Registered representative | Sep 2024 (2y) | ||
| Angelo Joseph Corbo | Registered representative | Sep 2024 (2y) | ||
| Blake Stephen Manuel | Registered representative | Sep 2024 (2y) | ||
| Emmanuel Arinze Emekaekwue | Registered representative | Sep 2024 (2y) | ||
| Jerry Paul Bolster | Registered representative | Sep 2024 (2y) | ||
| Joanne Kelly Olson | Registered representative | Sep 2024 (2y) | ||
| Jonathon Richard Waechter | Registered representative | Sep 2024 (2y) | ||
| Randall Reese Austill | Registered representative | Sep 2024 (2y) | ||
| Santiago Jose Cruz | Registered representative | Sep 2024 (2y) | ||
| Shawn Marie Feliciano | Registered representative | Oct 2024 (2y) | ||
| Kelly A O'day | Registered representative | Oct 2024 (2y) | ||
| Landy Donnell Dunham | Registered representative | Oct 2024 (2y) | ||
| Joseph Samuel De Acosta | Registered representative | Oct 2024 (2y) | ||
| Anthony James Destefano | Registered representative | Nov 2024 (2y) | ||
| Alexander Stephen Frazier | Registered representative | Nov 2024 (2y) | ||
| Erika Lewis | Registered representative | Nov 2024 (2y) | ||
| Brennan Laird | Registered representative | Nov 2024 (2y) | ||
| Robyn Dean Messineo | Registered representative | Nov 2024 (2y) | ||
| Scott Svend Mann | Registered representative | Nov 2024 (2y) | ||
| David Morales | Registered representative | Nov 2024 (2y) | ||
| Michael Steven Hager | Registered representative | Nov 2024 (2y) | ||
| Canndice Capri Wooten | Registered representative | Nov 2024 (2y) | ||
| Austin Edmunds | Registered representative | Dec 2024 (2y) | ||
| Cherisse Reumont | Registered representative | Dec 2024 (2y) | ||
| Jerad Dean Houser | Registered representative | Dec 2024 (2y) | ||
| Brittany Ann Bradley | Registered representative | Jan 2025 (2y) | ||
| Christie Lee George | Registered representative | Jan 2025 (2y) | ||
| Christina Michelle Alford | Registered representative | Jan 2025 (2y) | ||
| Dionna Ann Cole | Registered representative | Jan 2025 (2y) | ||
| Elizabeth Sue Mc Kiernan | Registered representative | Jan 2025 (2y) | ||
| Jeffery Darryl Noe | Registered representative | Jan 2025 (2y) | ||
| Katrina Guerrero | Registered representative | Jan 2025 (2y) | ||
| Marissa Anne Cross | Registered representative | Jan 2025 (2y) | ||
| Meredith Schwab | Registered representative | Jan 2025 (2y) | ||
| Nicholas S Poe | Registered representative | Jan 2025 (2y) | ||
| Robert William Hansen | Registered representative | Jan 2025 (2y) | ||
| Ashley Nicole Denemark | Registered representative | Jan 2025 (2y) | ||
| Gerald Jason Day | Registered representative | Jan 2025 (2y) | ||
| David Belanger | Registered representative | Jan 2025 (2y) | ||
| Joseph Freiesleben | Registered representative | Jan 2025 (2y) | ||
| Sarah Eldridge Hargis | Registered representative | Jan 2025 (2y) | ||
| George Thomas Calbert | Registered representative | Jan 2025 (2y) | ||
| Jaylynn Lana Gibson | Registered representative | Jan 2025 (2y) | ||
| Liam Paul Augustine Godbold | Registered representative | Jan 2025 (2y) | ||
| Robert Dana Christiansen | Registered representative | Jan 2025 (2y) | ||
| Eric Paul Hoversten | Registered representative | Jan 2025 (2y) | ||
| Jackson Brett Lessmann | Registered representative | Jan 2025 (2y) | ||
| Terri Allison Reeder | Registered representative | Jan 2025 (2y) | ||
| Jerome Montoya | Registered representative | Jan 2025 (2y) | ||
| Weiguo Richard Xu | Registered representative | Jan 2025 (2y) | ||
| William Robert Dunlop | Registered representative | Jan 2025 (2y) | ||
| Kevin Aaron Wiley | Registered representative | Jan 2025 (2y) | ||
| Andrew Clay Helmich | Registered representative | Jan 2025 (2y) | ||
| John Geoffrey Weimer | Registered representative | Jan 2025 (2y) | ||
| Hannah Leigh Brady | Registered representative | Jan 2025 (2y) | ||
| Davon Calloway | Registered representative | Jan 2025 (2y) | ||
| Justin Nathaniel Kibler | Registered representative | Feb 2025 (1y) | ||
| Kadri Emini | Registered representative | Feb 2025 (1y) | ||
| Christopher David Ruggles | Registered representative | Feb 2025 (1y) | ||
| Connor Bryce Bashaw | Registered representative | Feb 2025 (1y) | ||
| Tamara Elizabeth Pizzeck | Registered representative | Feb 2025 (1y) | ||
| James Maples | Registered representative | Feb 2025 (1y) | ||
| Jose Nunez | Registered representative | Feb 2025 (1y) | ||
| Emily C Palmer | Registered representative | Feb 2025 (1y) | ||
| Brady Edward Lee Hood | Registered representative | Feb 2025 (1y) | ||
| Dorothy Grippin | Registered representative | Feb 2025 (1y) | ||
| Marcia Kathleen Pistner | Registered representative | Feb 2025 (1y) | ||
| Keri L Finkenbinder | Registered representative | Mar 2025 (1y) | ||
| Jessica Culbert | Registered representative | Mar 2025 (1y) | ||
| Kelley Margaret Conley | Registered representative | Mar 2025 (1y) | ||
| Sean Obrien | Registered representative | Mar 2025 (1y) | ||
| Courtney Mae Craig | Registered representative | Mar 2025 (1y) | ||
| Troy Franco Liddi | Registered representative | Mar 2025 (1y) | ||
| Alfred Mayes | Registered representative | Apr 2025 (1y) | ||
| Chandler Montague Dodge | Registered representative | Apr 2025 (1y) | ||
| Lincoln Muriithi | Registered representative | Apr 2025 (1y) | ||
| Miranda Chenoweth | Registered representative | Apr 2025 (1y) | ||
| Kenneth Selby | Registered representative | Apr 2025 (1y) | ||
| James Mc Adams West | Registered representative | Apr 2025 (1y) | ||
| Calli Danielle Mcbee | Registered representative | Apr 2025 (1y) | ||
| Trilok Subedi | Registered representative | Apr 2025 (1y) | ||
| Terrelle George | Registered representative | Apr 2025 (1y) | ||
| Michael Faulhaber | Registered representative | CFP Chartered Financial Consultant | Apr 2025 (1y) | |
| Matthew J Reed | Registered representative | Apr 2025 (1y) | ||
| Jennifer Aviles Shuttleworth | Registered representative | Apr 2025 (1y) | ||
| Kyle Hashimoto | Registered representative | Apr 2025 (1y) | ||
| Gavin Plowman | Registered representative | Apr 2025 (1y) | ||
| Devon Wigle | Registered representative | May 2025 (1y) | ||
| Anthony Chapkey | Registered representative | May 2025 (1y) | ||
| Nicole Lee Marie Guimonds | Registered representative | May 2025 (1y) | ||
| Samuel Caudill Trimble | Registered representative | May 2025 (1y) | ||
| George Howard Coleman | Registered representative | May 2025 (1y) | ||
| Loren Lepore | Registered representative | May 2025 (1y) | ||
| Charles Byron Cady | Registered representative | May 2025 (1y) | ||
| Brandon David Frost | Registered representative | Jun 2025 (1y) | ||
| Teresa Jean De Long | Registered representative | Jun 2025 (1y) | ||
| Cassandra Rose O'dea | Registered representative | Jun 2025 (1y) | ||
| Robert Watson Stevens | Registered representative | Jun 2025 (1y) | ||
| Emily Frances Reynolds | Registered representative | Jun 2025 (1y) | ||
| Steven Gregory Bauer | Registered representative | Jun 2025 (1y) | ||
| Andrew Rubem Alves | Registered representative | Jun 2025 (1y) | ||
| Michael Garland Alford | Registered representative | Jun 2025 (1y) | ||
| Alexx Franklin | Registered representative | Jun 2025 (1y) | ||
| Amy N Frizzell | Registered representative | Jul 2025 (1y) | ||
| Antoine Le Roy Burks | Registered representative | Jul 2025 (1y) | ||
| Angel Omar Nieves Alicea | Registered representative | Jul 2025 (1y) | ||
| Chenbing Dai | Registered representative | Jul 2025 (1y) | ||
| Michael Venning | Registered representative | Jul 2025 (1y) | ||
| Becky Jo Kruitbosch | Registered representative | Jul 2025 (1y) | ||
| David Jeffrey Hunkins | Registered representative | Jul 2025 (1y) | ||
| Daniel D Kleinmeyer | Registered representative | Jul 2025 (1y) | ||
| Nicholas Scott Lee | Registered representative | Jul 2025 (1y) | ||
| Grant Gotschall | Registered representative | Jul 2025 (1y) | ||
| William Scott Angerman | Registered representative | Jul 2025 (1y) | ||
| Brett Rogers | Registered representative | Jul 2025 (1y) | ||
| Carrie Jean Van Gundy | Registered representative | Aug 2025 (1y) | ||
| Alexander Anthony Aponte | Registered representative | Aug 2025 (1y) | ||
| Jeremy Steven Goodwin | Registered representative | Aug 2025 (1y) | ||
| Muhammad Faizan Ul Hassan Siddiqui | Registered representative | Aug 2025 (1y) | ||
| Gregory Curtin | Registered representative | Aug 2025 (1y) | ||
| Joshua Yenser | Registered representative | Aug 2025 (1y) | ||
| Kyle Anthony Phillips | Registered representative | Aug 2025 (1y) | ||
| David Wayne Campbell | Registered representative | Aug 2025 (1y) | ||
| Yvonne Rubillos | Registered representative | Aug 2025 (1y) | ||
| Chandler Dewayne Hall | Registered representative | Aug 2025 (1y) | ||
| Jonathan Arnold | Registered representative | Aug 2025 (1y) | ||
| Michael Charles Mays | Registered representative | Aug 2025 (1y) | ||
| Alana Rachelle Crouch | Registered representative | Aug 2025 (1y) | ||
| Gustavo Adolfo Corte | Registered representative | Aug 2025 (1y) | ||
| Minesh Prabodh Patel | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Kathryn Renee Jensen | Registered representative | Sep 2025 (1y) | ||
| Roin Z Nance | Registered representative | Sep 2025 (1y) | ||
| Stephanie George Schuller | Registered representative | Sep 2025 (1y) | ||
| Mark Stutz | Registered representative | Sep 2025 (1y) | ||
| Aaron Michael Smith | Registered representative | Sep 2025 (1y) | ||
| Scott Phillip Tompkins | Registered representative | Sep 2025 (1y) | ||
| Tierra Diouf | Registered representative | Sep 2025 (1y) | ||
| Peter J Cabezas | Registered representative | Sep 2025 (1y) | ||
| Kirk Gerritt Horton | Registered representative | Sep 2025 (1y) | ||
| Maria Victoria Burger | Registered representative | Sep 2025 (1y) | ||
| Violette Depagnier | Registered representative | Oct 2025 (1y) | ||
| Azure Lynn Bradger | Registered representative | CFP | Oct 2025 (1y) | |
| Christopher James Perea | Registered representative | Oct 2025 (1y) | ||
| Deshandra T Randle | Registered representative | Oct 2025 (1y) | ||
| Jennifer Jo Collin | Registered representative | Oct 2025 (1y) | ||
| Reynaldo Martinez | Registered representative | Oct 2025 (1y) | ||
| Samuel Altman | Registered representative | Oct 2025 (1y) | ||
| Sean Fisher | Registered representative | Oct 2025 (1y) | ||
| Seth Charles Frank | Registered representative | Oct 2025 (1y) | ||
| Brandon Persad | Registered representative | Oct 2025 (1y) | ||
| Dixon Lorenzo Christian | Registered representative | Oct 2025 (1y) | ||
| Elliott Wendell Crawford | Registered representative | Oct 2025 (1y) | ||
| Sarah Danielle Weinbaum | Registered representative | Oct 2025 (1y) | ||
| Christian Schad | Registered representative | Oct 2025 (1y) | ||
| Christopher Nichols | Registered representative | Oct 2025 (1y) | ||
| Eric James Soto | Registered representative | Oct 2025 (1y) | ||
| Sheryl Vause | Registered representative | Oct 2025 (1y) | ||
| Amy Elizabeth Warner | Registered representative | Oct 2025 (1y) | ||
| James Goble | Registered representative | Oct 2025 (1y) | ||
| Melina Clark | Registered representative | Oct 2025 (1y) | ||
| Michael Cooper | Registered representative | Nov 2025 (1y) | ||
| Casey James Griffin | Registered representative | Nov 2025 (1y) | ||
| Justin Turner Watson | Registered representative | Nov 2025 (1y) | ||
| Steven Morgan | Registered representative | Nov 2025 (1y) | ||
| Quiana Davis | Registered representative | Nov 2025 (1y) | ||
| Marcus Augustus Harrison | Registered representative | Nov 2025 (1y) | ||
| Matthew Thomas Fisher | Registered representative | Dec 2025 (1y) | ||
| Brittany Yvette Peebles | Registered representative | Dec 2025 (1y) | ||
| Dan Peebles | Registered representative | Dec 2025 (1y) | ||
| Edward Ross Mc Donald | Registered representative | Dec 2025 (1y) | ||
| Griffin Gardner | Registered representative | Dec 2025 (1y) | ||
| Alexis Lee Farabaugh | Registered representative | Dec 2025 (1y) | ||
| Jacinto Serna | Registered representative | Dec 2025 (1y) | ||
| Lance J Holtgeerts | Registered representative | Dec 2025 (1y) | ||
| Angela Simone Etheridge | Registered representative | Dec 2025 (1y) | ||
| Kevin William Olson | Registered representative | Dec 2025 (1y) | ||
| Kevin Michael Siclari | Registered representative | Dec 2025 (1y) | ||
| Kim Marcia Galbreath | Registered representative | Dec 2025 (1y) | ||
| Andrew Gerald Anastasia | Registered representative | Dec 2025 (1y) | ||
| Sarah E Hyde | Registered representative | Dec 2025 (1y) | ||
| Tyler Sherwood | Registered representative | Dec 2025 (1y) | ||
| Brandon Gabriel Dalton | Registered representative | Dec 2025 (1y) | ||
| Anthony James Carter | Registered representative | Dec 2025 (1y) | ||
| Carlos Hernan Torres Figueroa | Registered representative | Dec 2025 (1y) | ||
| Ieshia Beaver Landrum | Registered representative | Dec 2025 (1y) | ||
| Samantha Le Ann Carnahan | Registered representative | Dec 2025 (1y) | ||
| Scott Brandon Clark | Registered representative | Dec 2025 (1y) | ||
| Randall Ayers | Registered representative | Dec 2025 (1y) | ||
| Ulysses Anthony Chavez | Registered representative | Dec 2025 (1y) | ||
| Gavin Randal Johnson | Registered representative | Jan 2026 (1y) | ||
| James Meier | Registered representative | Jan 2026 (1y) | ||
| Joanna Biernacka Lievestro | Registered representative | Jan 2026 (1y) | ||
| Joshua Carruthers | Registered representative | Jan 2026 (1y) | ||
| Mark Verry | Registered representative | Jan 2026 (1y) | ||
| Andrew John Johnson | Registered representative | Jan 2026 (1y) | ||
| David Wyman | Registered representative | Jan 2026 (1y) | ||
| Giovanni Pasion Chau | Registered representative | Jan 2026 (1y) | ||
| Mark Wetherby | Registered representative | Jan 2026 (1y) | ||
| Andrew Colin Garlington | Registered representative | Jan 2026 (1y) | ||
| Dominique Nicole Murray | Registered representative | Jan 2026 (1y) | ||
| Isidro Gonzalez Hernandez | Registered representative | Jan 2026 (1y) | ||
| Dayton Daniel Schmalzried | Registered representative | CFP | Jan 2026 (1y) | |
| Elberta Mae Orr | Registered representative | Jan 2026 (1y) | ||
| Annette Medley | Registered representative | Jan 2026 (1y) | ||
| Brian Harris | Registered representative | Jan 2026 (1y) | ||
| William Walter Woodruff | Registered representative | Jan 2026 (1y) | ||
| Aaron Scott Phillips | Registered representative | Jan 2026 (1y) | ||
| Donald Burklew | Registered representative | Jan 2026 (1y) | ||
| Matthew Thomas Nilsen | Registered representative | Jan 2026 (1y) | ||
| Maurice Green | Registered representative | Jan 2026 (1y) | ||
| Ryan Michael Bogue | Registered representative | Jan 2026 (1y) | ||
| Alexander Ray Weaver | Registered representative | Jan 2026 (1y) | ||
| Laura Connair | Registered representative | Jan 2026 (1y) | ||
| Jenny Scaccia | Registered representative | Jan 2026 (1y) | ||
| Mark Thanh Nguyen | Registered representative | Jan 2026 (1y) | ||
| Kenneth Hopkins | Registered representative | Jan 2026 (1y) | ||
| Colin Benjamin Wright | Registered representative | Jan 2026 (1y) | ||
| Edwin Lee | Registered representative | Jan 2026 (1y) | ||
| Spencer Orr | Registered representative | Jan 2026 (1y) | ||
| Stephanie Renee Ames | Registered representative | Jan 2026 (1y) | ||
| Vincent Stigall | Registered representative | Jan 2026 (1y) | ||
| Alfonso Durazo | Registered representative | Jan 2026 (1y) | ||
| Elizabeth Anne Grausso | Registered representative | Jan 2026 (1y) | ||
| Alexander Scott Henderson | Registered representative | Jan 2026 (1y) | ||
| Jeffrey Paul Boysen | Registered representative | Jan 2026 (1y) | ||
| Malysses Monique Moy | Registered representative | Jan 2026 (1y) | ||
| Jeremy Flynn | Registered representative | Jan 2026 (1y) | ||
| Michael Ray Creed | Registered representative | Jan 2026 (1y) | ||
| Michael Tanner Ivey | Registered representative | Feb 2026 (0y) | ||
| John William Shafer | Registered representative | Feb 2026 (0y) | ||
| Lancer Hopkins | Registered representative | Feb 2026 (0y) | ||
| Jason Vaughn | Registered representative | Feb 2026 (0y) | ||
| William Merrill Conde | Registered representative | Feb 2026 (0y) | ||
| Bruno Barboza | Registered representative | Feb 2026 (0y) | ||
| Edwin Carl Brouse | Registered representative | Feb 2026 (0y) | ||
| Lakisha Brown | Registered representative | Feb 2026 (0y) | ||
| Ronald Joseph Deal | Registered representative | Feb 2026 (0y) | ||
| Wess Cal Choske | Registered representative | Feb 2026 (0y) | ||
| Joshua James Jalowiec | Registered representative | Feb 2026 (0y) | ||
| Zachary James Hess | Registered representative | Feb 2026 (0y) | ||
| Durukhshan Esmati | Registered representative | Feb 2026 (0y) | ||
| Jeremy Mathew Miller | Registered representative | Feb 2026 (0y) | ||
| Jae Yung Lee | Registered representative | Feb 2026 (0y) | ||
| Michelle Kahealani Surita | Registered representative | Mar 2026 (0y) | ||
| Mackenzie Niblack | Registered representative | Mar 2026 (0y) | ||
| Michael O'neal | Registered representative | Mar 2026 (0y) | ||
| Kari Anne Doorn | Registered representative | Mar 2026 (0y) | ||
| Robert Calvin Chinneth | Registered representative | Mar 2026 (0y) | ||
| Christine Cortes | Registered representative | CFP | Mar 2026 (0y) | |
| Ross Fredrick Nelson | Registered representative | Mar 2026 (0y) | ||
| Kenneth Laneaux | Registered representative | Mar 2026 (0y) | ||
| Peter Mars | Registered representative | Mar 2026 (0y) | ||
| Ryan Derek Holbert | Registered representative | Mar 2026 (0y) | ||
| Andrew Hamsher | Registered representative | Mar 2026 (0y) | ||
| Mary Louise Baxter | Registered representative | Mar 2026 (0y) | ||
| Judi Nadine Babbitt | Registered representative | Mar 2026 (0y) | ||
| Jesse Sodam | Registered representative | Apr 2026 (0y) | ||
| Connor Jonathan Wilson | Registered representative | Apr 2026 (0y) | ||
| Elisha Dawn Pope | Registered representative | Apr 2026 (0y) | ||
| Michael Cheng | Registered representative | Apr 2026 (0y) | ||
| Esteban Antonio Velez Rios | Registered representative | Apr 2026 (0y) | ||
| Christopher Elijah Patton | Registered representative | Apr 2026 (0y) | ||
| Daniel Gray Torrey | Registered representative | Apr 2026 (0y) | ||
| Donald Edward Peck | Registered representative | Apr 2026 (0y) | ||
| Eric Alexander Gonzalez | Registered representative | Apr 2026 (0y) | ||
| Todd Morin | Registered representative | Apr 2026 (0y) | ||
| Carrie Ann Driver | Registered representative | Apr 2026 (0y) | ||
| Jovan Davis | Registered representative | Apr 2026 (0y) | ||
| Lacey Lea Sarafin | Registered representative | Apr 2026 (0y) | ||
| Mitchell Thomas Glasser | Registered representative | Apr 2026 (0y) | ||
| William Robert Carter | Registered representative | Apr 2026 (0y) | ||
| Brianna Danielle Gholston | Registered representative | Apr 2026 (0y) | ||
| Dawson Spencer Dell | Registered representative | Apr 2026 (0y) | ||
| Jeremy J Newton | Registered representative | Apr 2026 (0y) | ||
| Douglas Alexander Harp | Registered representative | Apr 2026 (0y) | ||
| Jacob Warren Rayl | Registered representative | Apr 2026 (0y) | ||
| Diana Fernandez | Registered representative | Apr 2026 (0y) | ||
| Frederick Dais | Registered representative | Apr 2026 (0y) | ||
| Michael Mc Cann | Registered representative | May 2026 (0y) | ||
| Scott Matthew Hodges | Registered representative | May 2026 (0y) | ||
| Kelsey Brooke Graham | Registered representative | May 2026 (0y) | ||
| Jeremy Ross | Registered representative | May 2026 (0y) | ||
| Ancel Espinosa | Registered representative | May 2026 (0y) | ||
| Elisabeth Rachel Tatola | Registered representative | May 2026 (0y) | ||
| Eder Bracamontes Helguera | Registered representative | May 2026 (0y) | ||
| Robert Adam Cowser Bunker | Registered representative | May 2026 (0y) | ||
| Joshua Clayton Gray | Registered representative | May 2026 (0y) | ||
| Chad Wyrwicz | Registered representative | May 2026 (0y) | ||
| Kirstin Holland | Registered representative | May 2026 (0y) | ||
| Nathan Ringkamp | Registered representative | May 2026 (0y) | ||
| Edward Charles Berlin | Registered representative | May 2026 (0y) | ||
| Johnathan Robert Gaynor | Registered representative | May 2026 (0y) | ||
| Knalidi Hinkson Davies | Registered representative | May 2026 (0y) | ||
| Marcio Bartkevicius Cruz | Registered representative | May 2026 (0y) | ||
| Joseph Edwin Norris | Registered representative | May 2026 (0y) | ||
| Lyndsie Jade Slusher | Registered representative | May 2026 (0y) | ||
| Steven Quilantang Bentley | Registered representative | May 2026 (0y) | ||
| Cameron Barnes | Registered representative | Jun 2026 (0y) | ||
| Devon Vikuto Jensen | Registered representative | Jun 2026 (0y) | ||
| Erin Elizabeth Haynes | Registered representative | Jun 2026 (0y) | ||
| Gregory Mabra | Registered representative | Jun 2026 (0y) | ||
| Abby Marie Bierschbach | Registered representative | Jun 2026 (0y) | ||
| David Neate | Registered representative | Jun 2026 (0y) | ||
| Keith Henderson | Registered representative | Jun 2026 (0y) | ||
| Kevin Phillips | Registered representative | Jun 2026 (0y) | ||
| Olutayo Adenike Orbih | Registered representative | Jun 2026 (0y) | ||
| Richard William Hatton | Registered representative | Jun 2026 (0y) | ||
| David Varick Ready | Registered representative | Jun 2026 (0y) | ||
| Chase Gregory Messinger | Registered representative | Jun 2026 (0y) | ||
| Matthew Brendan Smith | Registered representative | Jun 2026 (0y) | ||
| Matthew Christopher Copley | Registered representative | Jun 2026 (0y) | ||
| David John Harrigan | Registered representative | Jun 2026 (0y) | ||
| Jordan Butz | Registered representative | Jun 2026 (0y) | ||
| Karyn Margaret Wejemark | Registered representative | Jun 2026 (0y) | ||
| Monique Amanda Bustamante | Registered representative | Jun 2026 (0y) | ||
| Paul Eduardo Jara | Registered representative | Jun 2026 (0y) | ||
| Savannah Isabella Van Slyke | Registered representative | Jun 2026 (0y) | ||
| Timothy Hyde | Registered representative | Jun 2026 (0y) | ||
| Brian Jason Clark | Registered representative | Jun 2026 (0y) | ||
| Christopher D Smith | Registered representative | Jun 2026 (0y) | ||
| John Ratchford | Registered representative | CFP | Jun 2026 (0y) | |
| Rodney Edward Gatton | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Neal Miller | Registered representative | Jun 2026 (0y) | ||
| Keya Danyale Ranay Erving | Registered representative | Jun 2026 (0y) | ||
| Charles Ryland Drennan | Registered representative | Jul 2026 (0y) | ||
| Janelle L Aldridge | Registered representative | Jul 2026 (0y) | ||
| Jonah Richard Deist | Registered representative | Jul 2026 (0y) | ||
| Erin Elizabeth Doherty | Registered representative | Jul 2026 (0y) | ||
| Jerald Rushing | Registered representative | Jul 2026 (0y) | ||
| Mary Amber Morrison | Registered representative | Jul 2026 (0y) | ||
| Steven Schlegel | Registered representative | Jul 2026 (0y) | ||
| Richard Lee Baldwin | Registered representative | Jul 2026 (0y) | ||
| Benjamin Blake Frasier | Registered representative | Jul 2026 (0y) | ||
| Adrian Daniel Moon | Registered representative | Jul 2026 (0y) | ||
| Max Bailey Ferrel | Registered representative | Jul 2026 (0y) | ||
| Stephanie Braden | Registered representative | Jul 2026 (0y) | ||
| Dustin Michael Bordelon | Registered representative | Jul 2026 (0y) | ||
| Jonathan Silvino Soriano | Registered representative | Jul 2026 (0y) | ||
| Kameron Zane Snow | Registered representative | Jul 2026 (0y) | ||
| Mason Bryant Martin | Registered representative | Jul 2026 (0y) | ||
| Trent Heiss | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| First Command Financial Services, Inc. | Stockholder/Owner | Dec 2000 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/24/2026 | 1.83 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Criminal · Item 11.A(2)
as of Oct 30, 2024
Event Detail: DUI WITH CHILD NEGLECT WITHOUT BODILY HARM Status: Final Disposition: DISMISSED AND REDUCED TO A MISDEMEANOR. CASE FORWARDED TO VETERAN COURT.
Regulatory · Item 11.E(2), 11.E(4)
as of Oct 30, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, JOSEPH CONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT HE ELECTRONICALLY AFFIXED CUSTOMER SIGNATURES TO IRA DISTRIBUTION FORMS, AUTOMATED CLEARING HOUSE (ACH) AUTHORIZATION AGREEMENTS AND ADVISORY ACCOUNT OPENING DOCUMENTS THAT HE SUBMITTED TO THE FIRM, WITHOUT PRIOR AUTHORIZATION. THE FINDINGS STATED THAT JOSEPH MET WITH A CUSTOMER REGARDING OPENING ACCOUNTS WITH THE FIRM'S INVESTMENT ADVISOR AFFILIATE. AFTER MEETING WITH THE CUSTOMER AGAIN, JOSEPH ELECTRONICALLY AFFIXED THE CUSTOMER'S SIGNATURE TO THE ACCOUNT OPENING DOCUMENTS, CAUSING ASSETS TO BE TRANSFERRED FROM HER FIRM ACCOUNT TO THE NEW ADVISORY ACCOUNTS. WHEN THE CUSTOMER LEARNED THAT THE ADVISORY ACCOUNTS WERE OPENED, SHE IMMEDIATELY INSTRUCTED JOSEPH TO REVERSE THE TRANSACTIONS. JOSEPH REPORTED THE CUSTOMER'S COMPLAINT TO THE FIRM, AND THE FIRM REVERSED THE TRANSACTIONS. JOSEPH ALSO ELECTRONICALLY AFFIXED THE SIGNATURES OF OTHER FIRM CUSTOMERS TO ADVISORY ACCOUNT OPENING DOCUMENTS, A FIRM CUSTOMER'S SIGNATURE TO IRA DISTRIBUTION FORMS, AND FIRM CUSTOMERS' SIGNATURES TO ACH AUTHORIZATION AGREEMENTS. THE FIRM USED THE DOCUMENTS TO AUTHORIZE AND RECORD THE SALE, TRANSFER, OR DISBURSEMENT OF CASH OR SECURITIES FROM THE CUSTOMERS' ACCOUNTS. ALTHOUGH THESE CUSTOMERS DID NOT INITIALLY AUTHORIZE JOSEPH TO ELECTRONICALLY AFFIX THEIR SIGNATURES, THEY SUBSEQUENTLY APPROVED THE TRANSACTIONS. WHEN THE FIRM DISCOVERED JOSEPH'S CONDUCT, IT DISCIPLINED HIM BY, AMONG OTHER THINGS, FINING HIM $10,000 AND ASSIGNING HIM ADDITIONAL TRAINING. THE FINDINGS ALSO STATED THAT, BY ENGAGING IN HIS CONDUCT, JOSEPH ALSO CAUSED THE FIRM TO MAINTAIN INACCURATE BOOKS AND RECORDS. Status: Final Sanction Detail: SUSPENDED IN ALL CAPACITIES FOR 45 DAYS, EFFECTIVE 2/1/2021 TO 4/6/2021. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, JOSEPH CONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT HE ELECTRONICALLY AFFIXED CUSTOMER SIGNATURES TO IRA DISTRIBUTION FORMS, AUTOMATED CLEARING HOUSE (ACH) AUTHORIZATION AGREEMENTS AND ADVISORY ACCOUNT OPENING DOCUMENTS THAT HE SUBMITTED TO THE FIRM, WITHOUT PRIOR AUTHORIZATION. THE FINDINGS STATED THAT JOSEPH MET WITH A CUSTOMER REGARDING OPENING ACCOUNTS WITH THE FIRM'S INVESTMENT ADVISOR AFFILIATE. AFTER MEETING WITH THE CUSTOMER AGAIN, JOSEPH ELECTRONICALLY AFFIXED THE CUSTOMER'S SIGNATURE TO THE ACCOUNT OPENING DOCUMENTS, CAUSING ASSETS TO BE TRANSFERRED FROM HER FIRM ACCOUNT TO THE NEW ADVISORY ACCOUNTS. WHEN THE CUSTOMER LEARNED THAT THE ADVISORY ACCOUNTS WERE OPENED, SHE IMMEDIATELY INSTRUCTED JOSEPH TO REVERSE THE TRANSACTIONS. JOSEPH REPORTED THE CUSTOMER'S COMPLAINT TO THE FIRM, AND THE FIRM REVERSED THE TRANSACTIONS. JOSEPH ALSO ELECTRONICALLY AFFIXED THE SIGNATURES OF OTHER FIRM CUSTOMERS TO ADVISORY ACCOUNT OPENING DOCUMENTS, A FIRM CUSTOMER'S SIGNATURE TO IRA DISTRIBUTION FORMS, AND FIRM CUSTOMERS' SIGNATURES TO ACH AUTHORIZATION AGREEMENTS. THE FIRM USED THE DOCUMENTS TO AUTHORIZE AND RECORD THE SALE, TRANSFER, OR DISBURSEMENT OF CASH OR SECURITIES FROM THE CUSTOMERS' ACCOUNTS. ALTHOUGH THESE CUSTOMERS DID NOT INITIALLY AUTHORIZE JOSEPH TO ELECTRONICALLY AFFIX THEIR SIGNATURES, THEY SUBSEQUENTLY APPROVED THE TRANSACTIONS. WHEN THE FIRM DISCOVERED JOSEPH'S CONDUCT, IT DISCIPLINED HIM BY, AMONG OTHER THINGS, FINING HIM $10,000 AND ASSIGNING HIM ADDITIONAL TRAINING. THE FINDINGS ALSO STATED THAT, BY ENGAGING IN HIS CONDUCT, JOSEPH ALSO CAUSED THE FIRM TO MAINTAIN INACCURATE BOOKS AND RECORDS.
Regulatory · Item 11.D(2)
as of Oct 30, 2024
Allegations: THE DIVISION ALLEGED FIRST COMMAND VIOLATED §13.1-504A(II) OF THE VIRGINIA SECURITIES ACT BY EMPLOYING AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA WHO WAS NOT REGISTERED WITH THE DIVISION FROM OCTOBER 2019 TO PRESENT. Status: Final Sanction Detail: PAID $20,000 IN MONETARY PENALITIES AND $500 TO DEFRAY THE COST OF THE INVESTIGATION Summary: WITHOUT ADMITTING OR DENYING TO THE ALLEGATIONS MADE, FIRST COMMAND AGREED TO ENTER INTO A SETTLEMENT ORDER, PAID $20,000 IN MONETARY PENALITIES AND $500 TO DEFRAY THE COST OF THE INVESTIGATION, AND TO BE PERMENTANTLY ENJOINED FROM VIOLATING THE VIRGINIA SECURITIES ACT IN THE FUTURE.
Regulatory · Item 11.D(2)
as of Oct 30, 2024
Allegations: THE STATE ALLEGES THAT FIRST COMMAND VIOLATED§ 11-51-401(2), C.R.S. WHICH PROHIBITS A BROKER-DEALER FROM EMPLOYING OR ENGAGING A PERSON TO ACT AS A SALES REPRESENTATIVE UNLESS SUCH PERSON HAS A LICENSE. Status: Final Sanction Detail: $63232, 6/13/2022 Summary: THE FIRM AGREED TO ENTER INTO A STIPULATION FOR CONSENT ORDER WITH THE COLORADO DIVISION OF SECURITIES RELATED TO ITS FAILURE TO LICENSE SALES REPRESENTATIVES WHO PROVIDE SECURITIES SERVICES IN THE STATE OF COLORADO. THE CONSENT ORDER, DATED JUNE 13, 2022, REQUIRES THE FIRM TO: (1) PERMANENTLY CEASE AND DESIST FROM CONDUCT IN VIOLATION OF THE COLORADO SECURITIES ACT (THE "ACT") AND THE RULES UNDER THE ACT; (2) MAINTAIN CURRENT SALES REPRESENTATIVE LICENSES FOR ALL INDIVIDUALS WHO PROVIDE SECURITIES SERVICES IN THE STATE OF COLORADO AS LONG AS FIRST COMMAND MAINTAINS A LICENSE AND CONTINUES TO OPERATE AS A BROKER-DEALER IN THE STATE OF COLORADO; AND PAY A SANCTION OF $63,232.00.
Regulatory · Item 11.D(2), 11.D(4)
as of Oct 30, 2024
Allegations: FROM THE TIME PERIOD OF OCTOBER 2006 THROUGH MAY 2012, BETWEEN ONE AND THREE ADVISORS CONDUCTED BUSINESS REQUIRING ADVISORY REGISTRATION; HOWEVER, DUE TO AN ADMINSTRATIVE ERROR, THE ADVISORS' MARYLAND STATE ADVISORY REGISTRATION LAPSED. ALL OF THE ADVISORS HAD PASSED THE QUALIFIYING EXAMINATIONS, BUT THE FEES WERE NOT PAID TO THE STATE. NO HARM CAME TO CUSTOMERS IN THESE INSTANCES. Status: Final Sanction Detail: N/A Summary: FROM THE TIME PERIOD OF OCTOBER 2006 THROUGH MAY 2012, BETWEEN ONE AND THREE ADVISORS CONDUCTED BUSINESS REQUIRING ADVISORY REGISTRATION; HOWEVER, DUE TO AN ADMINSTRATIVE ERROR, THE ADVISORS' MARYLAND STATE ADVISORY REGISTRATION LAPSED. ALL OF THE ADVISORS HAD PASSED THE QUALIFIYING EXAMINATIONS, BUT THE FEES WERE NOT PAID TO THE STATE. NO HARM CAME TO CUSTOMERS IN THESE INSTANCES. THE FIRM RE-REGISTERED TEH INDIVIDUAL IN THE STATE THAT ARE STILL WITH TEH COMPANY, AND CREATED AN ALERT IN AN ELECTRONIC MONITORING SYSTEM THAT WILL NOTIFY THE FIRM IF AN INCIDENT SUCH AS THIS OCCURS AGAIN.
Regulatory · Item 11.D(1)
as of Oct 30, 2024
Allegations: THE REPRESENTATIVE PROVIDED MATERIALLY INCOMPLETE INFORMATION RELATED TO A 1985 MISDEMEANOR CONVICTION ON A INSURANCE LICENSING APPLICATIONS SUBMITTED TO THE STATE OF NEW YORK. SHE WAS FINED $750. THE 1985 MISDEMEANOR WAS UNRELATED TO SECURITIES, INSURANCE, OR BANKING, AND DID NOT INVOLVE FRAUD, FALSE STATEMENTS OR OMISSIONS, WRONGFUL TAKING OF PROPERTY, BRIBERY, PERJURY, FORGERY, COUNTERFEITING, EXTORTION, OR CONSPIRACY. Status: Final Sanction Detail: ON 02/02/2016 MS. CIMINO PAID AN ADMINISTRATIVE FINE IN THE AMOUNT OF $750.00 Summary: THE REPRESENTATIVE PROVIDED MATERIALLY INCOMPLETE INFORMATION RELATED TO A 1985 MISDEMEANOR CONVICTION ON A INSURANCE LICENSING APPLICATIONS SUBMITTED TO THE STATE OF NEW YORK. SHE WAS FINED $750. THE 1985 MISDEMEANOR WAS UNRELATED TO SECURITIES, INSURANCE, OR BANKING, AND DID NOT INVOLVE FRAUD, FALSE STATEMENTS OR OMISSIONS, WRONGFUL TAKING OF PROPERTY, BRIBERY, PERJURY, FORGERY, COUNTERFEITING, EXTORTION, OR CONSPIRACY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 21, 2026.
View current Form ADV (SEC/IAPD) ↗