Kestra Advisory Services, Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 283330
· SEC file 801-56126
· Austin, TX
· www.youtube.com
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ADV data as of Jul 20, 2026
- Regulatory AUM
- $79.8B
- Discretionary
- $62.1B
- Clients
- 117,403
- Avg AUM / client
- $680K
- Accounts
- 192,439
- Employees
- 1,359
AUM over time
$12.3B
$79.8B
Dec 2015
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 89,162 | $24.5B | 30.7% |
| High net worth individuals | 26,123 | $46.8B | 58.7% |
| Banking or thrift institutions | 0 | $0 | — |
| Pension and profit sharing plans | 785 | $6.3B | 7.94% |
| Charitable organizations | 248 | $292M | 0.37% |
| State or municipal government entities | 0 | — | — |
| Other investment advisers | 0 | — | — |
| Insurance companies | 23 | $66.3M | 0.08% |
| Sovereign wealth funds and foreign official institutions | 0 | — | — |
| Corporations and other businesses | 1,062 | $1.8B | 2.2% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C. Showing first 100 of 383.
People (1,435)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Yin Yin | Controller | Sep 2007 (19y) | Less than 5% | |
| Michael Ross Pedlow | Evp, Chief Compliance Officer | Apr 2015 (11y) | Less than 5% | |
| Norwood, Robert, Bredt | Evp, General Counsel | Apr 2016 (10y) | Less than 5% | |
| Mark Paul Schoenbeck | Evp, National Sales Director | CFP | Apr 2016 (10y) | Less than 5% |
| Bennett, Joel, Van | Svp, Chief Financial Officer | Oct 2016 (10y) | Less than 5% | |
| Chester, Kristen, Lawless | Chief Operating Officer | Mar 2018 (8y) | Less than 5% | |
| John Vincent Amore | Evp, Wealth Management | Oct 2019 (7y) | Less than 5% | |
| Langlois, Stephen, Russell | President | Mar 2021 (5y) | Less than 5% | |
| Dupont, Jean Luc | Vp, Chief Information Security Officer | Jul 2023 (3y) | Less than 5% | |
| Kant, Vinay | Evp, Chief Digital Technology Officer | Aug 2024 (2y) | Less than 5% | |
| Akram M Ibrahim | Registered representative | Apr 2016 (10y) | ||
| Andrew Hall Prevost | Registered representative | Apr 2016 (10y) | ||
| Anthony Edward Greene | Registered representative | Apr 2016 (10y) | ||
| Anthony John Corea | Registered representative | Apr 2016 (10y) | ||
| Benjamin Arthur Brajtbord | Registered representative | Apr 2016 (10y) | ||
| Blair David Applegate | Registered representative | Apr 2016 (10y) | ||
| Brandi Tenille Palermo | Registered representative | Apr 2016 (10y) | ||
| Brett Randall Jacobs | Registered representative | Apr 2016 (10y) | ||
| Craig Anton Eilers | Registered representative | Apr 2016 (10y) | ||
| Daniel Alan Garfin | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| David Scott Asher | Registered representative | Personal Financial Specialist | Apr 2016 (10y) | |
| Deborah Faith Graver | Registered representative | CFP | Apr 2016 (10y) | |
| Douglas Owen Ackerman | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Frank Joseph Evangelist | Registered representative | Apr 2016 (10y) | ||
| George David Alexander | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| James Lynn Poer | Registered representative | Apr 2016 (10y) | ||
| John Andrew Hohman | Registered representative | Apr 2016 (10y) | ||
| John Keith Palladino | Registered representative | Apr 2016 (10y) | ||
| Kelly Lynn Edwards | Registered representative | Apr 2016 (10y) | ||
| Kenneth Dale Anderson | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Kris Richard Geary | Registered representative | Apr 2016 (10y) | ||
| Marty Lee Pereira | Registered representative | CFP | Apr 2016 (10y) | |
| Marty Louis Nanne | Registered representative | Apr 2016 (10y) | ||
| Mei Ling Au | Registered representative | CFP | Apr 2016 (10y) | |
| Michael Davis Arp | Registered representative | Apr 2016 (10y) | ||
| Michael Orleans | Registered representative | Apr 2016 (10y) | ||
| Patrick Morrissey | Registered representative | Apr 2016 (10y) | ||
| Rebecca Charlotte Craig | Registered representative | Apr 2016 (10y) | ||
| Richard Dennis Geib | Registered representative | CFP | Apr 2016 (10y) | |
| Robert A Bensman | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Rollin Gilbert Schuster | Registered representative | Apr 2016 (10y) | ||
| Ronald Christopher Lottridge | Registered representative | CFP | Apr 2016 (10y) | |
| Ronald E Mortellaro | Registered representative | Apr 2016 (10y) | ||
| Scott Dittmar Oehrle | Registered representative | CFP | Apr 2016 (10y) | |
| Shawn Takao Okumura | Registered representative | CFP | Apr 2016 (10y) | |
| Stephen Andre Varley | Registered representative | Apr 2016 (10y) | ||
| Stephen Mark Muro | Registered representative | Apr 2016 (10y) | ||
| Thomas Green Prothro | Registered representative | Apr 2016 (10y) | ||
| Todd Joseph Guerin | Registered representative | Apr 2016 (10y) | ||
| Troy Kevin Ahrens | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| William Gallegos | Registered representative | Apr 2016 (10y) | ||
| William Robert Gese | Registered representative | Apr 2016 (10y) | ||
| Aaron A Leaman | Registered representative | CFA | Apr 2016 (10y) | |
| Alan Michael Roseman | Registered representative | CFP | Apr 2016 (10y) | |
| Bart Jonathan Bryant | Registered representative | Apr 2016 (10y) | ||
| Benjamin Samuel Dobson | Registered representative | Apr 2016 (10y) | ||
| Benjamin Stephen Shaddox | Registered representative | CFP | Apr 2016 (10y) | |
| Billy Lynn Clark | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Bradley Wayne Books | Registered representative | Apr 2016 (10y) | ||
| Brandon A Kee | Registered representative | Apr 2016 (10y) | ||
| Brett David Cole | Registered representative | CFP | Apr 2016 (10y) | |
| Brian Anthony Donofry | Registered representative | Apr 2016 (10y) | ||
| Brian Paul Jarosinski | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Carol A Lanes | Registered representative | Apr 2016 (10y) | ||
| Charles Thorn Campbell | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Clay Thomas Johnson | Registered representative | Apr 2016 (10y) | ||
| Daniel J Sommers | Registered representative | CFP | Apr 2016 (10y) | |
| Daniel Lee Halle | Registered representative | Apr 2016 (10y) | ||
| Daniel Lee Swanson | Registered representative | Apr 2016 (10y) | ||
| Darwin Eugene Dekruif | Registered representative | CFP | Apr 2016 (10y) | |
| David Fredric Berdow | Registered representative | CFP | Apr 2016 (10y) | |
| David I Bunin | Registered representative | CFP | Apr 2016 (10y) | |
| David Lynn Coonrod | Registered representative | Apr 2016 (10y) | ||
| David Osthaus Brown | Registered representative | Apr 2016 (10y) | ||
| Edward Andrew Rusowicz | Registered representative | CFP | Apr 2016 (10y) | |
| Eric David Brotman | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Geoffrey Werner Smith | Registered representative | Apr 2016 (10y) | ||
| J Timothy Corle | Registered representative | CFP | Apr 2016 (10y) | |
| Jacqueline Stirling | Registered representative | CFP | Apr 2016 (10y) | |
| James Thomas Beverley | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Jamie A. Stone | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Jason Colin Patrick | Registered representative | Apr 2016 (10y) | ||
| Jason Nicholas Clayton | Registered representative | CFP | Apr 2016 (10y) | |
| Jay Hale Cavanagh | Registered representative | Apr 2016 (10y) | ||
| Jeffrey Alan Brown | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Jeffrey Arthur Stensland | Registered representative | Personal Financial Specialist | Apr 2016 (10y) | |
| Jennifer Margaret Ritz | Registered representative | Apr 2016 (10y) | ||
| Jerry George Korchak | Registered representative | Apr 2016 (10y) | ||
| Johanna Lynne Bathurst | Registered representative | Apr 2016 (10y) | ||
| John Christopher Langford | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| John David Ross | Registered representative | Apr 2016 (10y) | ||
| John Francis Dodds | Registered representative | Apr 2016 (10y) | ||
| John Franklin Roberts | Registered representative | Apr 2016 (10y) | ||
| Joseph Kane Bragdon | Registered representative | CFA | Apr 2016 (10y) | |
| Joshua Matthew Holden | Registered representative | Apr 2016 (10y) | ||
| Judith Lee Dicenzo | Registered representative | CFA | Apr 2016 (10y) | |
| Keegan Gage Johnson | Registered representative | Apr 2016 (10y) | ||
| Kip Andrew Hoover | Registered representative | Apr 2016 (10y) | ||
| Kyle Walker Deatherage | Registered representative | CFP | Apr 2016 (10y) | |
| Marc Lee Tannenbaum | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Marc Vincent Fragola | Registered representative | CFP | Apr 2016 (10y) | |
| Marissa Ellerbe Beth Griebel | Registered representative | Apr 2016 (10y) | ||
| Mark Clarence Becker | Registered representative | Apr 2016 (10y) | ||
| Mark Francis Breen | Registered representative | Apr 2016 (10y) | ||
| Matthew A Hetrick | Registered representative | CFP CFA | Apr 2016 (10y) | |
| Matthew Gene Swanson | Registered representative | Apr 2016 (10y) | ||
| Matthew Joseph Acheson | Registered representative | Apr 2016 (10y) | ||
| Matthew R Carbray | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Michael Samuel Steinhardt | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Peter Seehwan Chung | Registered representative | Apr 2016 (10y) | ||
| Philip Carl Henry | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Philip Joseph Amos | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Robert A Roseman | Registered representative | Apr 2016 (10y) | ||
| Robert D Donnelly | Registered representative | Apr 2016 (10y) | ||
| Robert Joseph Kania | Registered representative | CFP | Apr 2016 (10y) | |
| Roger John David | Registered representative | Apr 2016 (10y) | ||
| Scott Ryan Cohen | Registered representative | CFP | Apr 2016 (10y) | |
| Seth C Dresbold | Registered representative | CFP | Apr 2016 (10y) | |
| Shawn Forres Thompson | Registered representative | Apr 2016 (10y) | ||
| Stephen Fergus Curry | Registered representative | CFP | Apr 2016 (10y) | |
| Steven Zachary Heifetz | Registered representative | CFP | Apr 2016 (10y) | |
| Taylor Anne Willox | Registered representative | CFP | Apr 2016 (10y) | |
| Thomas C Besselman | Registered representative | Apr 2016 (10y) | ||
| Thomas Joseph Desiderio | Registered representative | CFP | Apr 2016 (10y) | |
| Thomas M Jones | Registered representative | Apr 2016 (10y) | ||
| Thomas P Keller | Registered representative | CFP | Apr 2016 (10y) | |
| Thomas Randolph Campbell | Registered representative | Apr 2016 (10y) | ||
| Timothy James Caldwell | Registered representative | Apr 2016 (10y) | ||
| Timothy Ross Armentor | Registered representative | Apr 2016 (10y) | ||
| Todd Kent Hamerlinck | Registered representative | Apr 2016 (10y) | ||
| Todd Robert Kreitzman | Registered representative | Apr 2016 (10y) | ||
| Trevor Neil Coe | Registered representative | CFP | Apr 2016 (10y) | |
| William Brian King | Registered representative | CFP | Apr 2016 (10y) | |
| William John Cronin | Registered representative | Apr 2016 (10y) | ||
| Wilson Frederick Rosebraugh | Registered representative | Apr 2016 (10y) | ||
| Altair Miro Gobo | Registered representative | CFP | Apr 2016 (10y) | |
| Amy Jennifer Mahon | Registered representative | Apr 2016 (10y) | ||
| Angela Marie Treff | Registered representative | CFP | Apr 2016 (10y) | |
| Brian David Siano | Registered representative | Apr 2016 (10y) | ||
| Chance M Trafton | Registered representative | Apr 2016 (10y) | ||
| Christopher Earl Wasson | Registered representative | CFP | Apr 2016 (10y) | |
| Clinton Keith Van Linder | Registered representative | Apr 2016 (10y) | ||
| Cris R Mcbride | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Darrell Charles Haytaian | Registered representative | Apr 2016 (10y) | ||
| David Keith Sebastian | Registered representative | Apr 2016 (10y) | ||
| Denise Lee Garten | Registered representative | Apr 2016 (10y) | ||
| Dennis Joseph Amico | Registered representative | Apr 2016 (10y) | ||
| Dennis Stuart Whyte | Registered representative | CFP | Apr 2016 (10y) | |
| Don Franklin White | Registered representative | Apr 2016 (10y) | ||
| Douglas E Walter | Registered representative | Apr 2016 (10y) | ||
| Elizabeth Jane Blanchard | Registered representative | Apr 2016 (10y) | ||
| Emily Anne Burr | Registered representative | Apr 2016 (10y) | ||
| Gerald Russell Wolsfelt | Registered representative | Apr 2016 (10y) | ||
| Gerard Thomas Papetti | Registered representative | CFP | Apr 2016 (10y) | |
| Gregory Eugene Bennington | Registered representative | Apr 2016 (10y) | ||
| Gregory Jay Chebuske | Registered representative | Apr 2016 (10y) | ||
| Jacob Robert Rinvelt | Registered representative | CFP | Apr 2016 (10y) | |
| Jason Robert Mcdonald | Registered representative | Apr 2016 (10y) | ||
| John Alan Anderson | Registered representative | Apr 2016 (10y) | ||
| John Damon Wilhoit | Registered representative | Apr 2016 (10y) | ||
| John Timothy Servin | Registered representative | Apr 2016 (10y) | ||
| Jonathan Scott Peters | Registered representative | Apr 2016 (10y) | ||
| Joseph Stone | Registered representative | Apr 2016 (10y) | ||
| Kevin G Thompson | Registered representative | Apr 2016 (10y) | ||
| Kevin Michael Murphy | Registered representative | CFP | Apr 2016 (10y) | |
| Kevin Webb | Registered representative | CFP | Apr 2016 (10y) | |
| Mark Gordon Stegink | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Michael Henry Milarski | Registered representative | CFP | Apr 2016 (10y) | |
| Michael Louis Hoch | Registered representative | Apr 2016 (10y) | ||
| Miriam Lopez | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Nicholas Spenser Messer | Registered representative | CFP | Apr 2016 (10y) | |
| Paula Plaia Mcmanus | Registered representative | Apr 2016 (10y) | ||
| Philip Stone Morgan | Registered representative | Apr 2016 (10y) | ||
| Richard Mckaig Webb | Registered representative | Apr 2016 (10y) | ||
| Robert Frederick Campbell | Registered representative | CFP | Apr 2016 (10y) | |
| Ronald Bernard Wiser | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Scott Eric Tobe | Registered representative | Apr 2016 (10y) | ||
| Scott Lam | Registered representative | Apr 2016 (10y) | ||
| Sean Francis Obrien | Registered representative | Apr 2016 (10y) | ||
| Steven M Gehl | Registered representative | Apr 2016 (10y) | ||
| Wesley Graham Lentz | Registered representative | CFP | Apr 2016 (10y) | |
| Arthur Joseph Lavallie | Registered representative | Apr 2016 (10y) | ||
| August David Consiglio | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Beth Ann Richardson | Registered representative | CFP | Apr 2016 (10y) | |
| Billy Joe Braly | Registered representative | CFP | Apr 2016 (10y) | |
| Brian Hugh Grant | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Christopher James Rouse | Registered representative | Apr 2016 (10y) | ||
| D. Bruce Keefe | Registered representative | Apr 2016 (10y) | ||
| David Allan Marcus | Registered representative | CFP | Apr 2016 (10y) | |
| David Mark Drake | Registered representative | Apr 2016 (10y) | ||
| Donald W Jenkins | Registered representative | Apr 2016 (10y) | ||
| Earl Eugene Bain | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Frank Thomas Macgowan | Registered representative | Apr 2016 (10y) | ||
| Gary Franklin Madvin | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Gregory Ward Day | Registered representative | Apr 2016 (10y) | ||
| J.A.Tyler Browning Ii | Registered representative | Apr 2016 (10y) | ||
| Jacob Mitrani Leon | Registered representative | CFP Personal Financial Specialist | Apr 2016 (10y) | |
| James Robert Winters | Registered representative | Apr 2016 (10y) | ||
| Jayavardhan Reddy Kota | Registered representative | CFA | Apr 2016 (10y) | |
| Jeffrey William Tegeler | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| John Adam Sokol | Registered representative | CFA | Apr 2016 (10y) | |
| John Curtis Jacks | Registered representative | CFP | Apr 2016 (10y) | |
| John Edward Freiburger | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Jon Robert Holden | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Joseph Sarnecki | Registered representative | CFP | Apr 2016 (10y) | |
| Kenneth William Graber | Registered representative | CFP | Apr 2016 (10y) | |
| Kevin Lee Held | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Kurt William Wiegert | Registered representative | CFP | Apr 2016 (10y) | |
| Lorraine Ann Flowers | Registered representative | CFP | Apr 2016 (10y) | |
| Mark D Aridgides | Registered representative | CFP | Apr 2016 (10y) | |
| Mark Sindrich | Registered representative | CFP | Apr 2016 (10y) | |
| Mary Denise Quinn | Registered representative | CFP | Apr 2016 (10y) | |
| Matthew John Larmann | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Michael Ian Tievy | Registered representative | CFP | Apr 2016 (10y) | |
| Michael John Levy | Registered representative | CFP | Apr 2016 (10y) | |
| Michael John Velin | Registered representative | CFP | Apr 2016 (10y) | |
| Nathan Donald Sealey | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Paul Stanley Devore | Registered representative | CFP | Apr 2016 (10y) | |
| Robert Lawrence Pessell | Registered representative | CFP | Apr 2016 (10y) | |
| Stephen Douglas Evans | Registered representative | CFP | Apr 2016 (10y) | |
| Ted Delaney Snow | Registered representative | CFP | Apr 2016 (10y) | |
| Tim Waterworth | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Timothy Robert Norris Buzzini | Registered representative | Apr 2016 (10y) | ||
| Tom Howard Cates | Registered representative | Apr 2016 (10y) | ||
| William John Bernhardt | Registered representative | CFA | Apr 2016 (10y) | |
| Christy Renee Trudeau | Registered representative | Apr 2016 (10y) | ||
| Corrinne Janelle Kaucher | Registered representative | Apr 2016 (10y) | ||
| David Aaron Bleznak | Registered representative | Apr 2016 (10y) | ||
| Leigh Sandra Harter | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Matthew David Heinz | Registered representative | Apr 2016 (10y) | ||
| Matthew Philip Douglas | Registered representative | Apr 2016 (10y) | ||
| Thomas Edward Nickol | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| William Joseph Tadio | Registered representative | Apr 2016 (10y) | ||
| Yanni M Niebuhr | Registered representative | CFP | Apr 2016 (10y) | |
| Andrew Louis Dropkin | Registered representative | CFP | Apr 2016 (10y) | |
| Chris Michael Vanderwaal | Registered representative | Apr 2016 (10y) | ||
| Howard Brian Adcock | Registered representative | Apr 2016 (10y) | ||
| Karen Shaw Cunningham | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Kathleen Fish | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Kimberley Ann Holcomb | Registered representative | CFA | Apr 2016 (10y) | |
| Laurie Hope Gottlieb | Registered representative | Apr 2016 (10y) | ||
| Michelle Cowles Gonzalez Vigil | Registered representative | CFP | Apr 2016 (10y) | |
| Richard Mark Tsoumas | Registered representative | CFP Personal Financial Specialist | Apr 2016 (10y) | |
| Rod Anthony Locricchio | Registered representative | Apr 2016 (10y) | ||
| Roger Dale Walton | Registered representative | Apr 2016 (10y) | ||
| Thomas B. Lamb | Registered representative | Apr 2016 (10y) | ||
| Carolyn Lloyd Turbett | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| David Lawrence Scher | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Dolores Ann White | Registered representative | Apr 2016 (10y) | ||
| Dominic Todarello | Registered representative | Apr 2016 (10y) | ||
| James John Cronin | Registered representative | CFA | Apr 2016 (10y) | |
| Kerry Anne Jackson | Registered representative | CFP | Apr 2016 (10y) | |
| Kristian Heinz Lehner | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Matthew Defelice | Registered representative | CFP | Apr 2016 (10y) | |
| Michael Andrew Vitkansas | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Michael John Levine | Registered representative | Apr 2016 (10y) | ||
| Paul David Miller | Registered representative | Apr 2016 (10y) | ||
| Richard Alan Krim | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Richard Michael Harrison | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Robert L Bush | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Robert Whittington Davis | Registered representative | CFP | Apr 2016 (10y) | |
| Steven Paul Gallo | Registered representative | Personal Financial Specialist | Apr 2016 (10y) | |
| Susan Joan Forman | Registered representative | CFP | Apr 2016 (10y) | |
| Willliam M. Mcnair | Registered representative | CFP CFA | Apr 2016 (10y) | |
| Brandon P Hayes | Registered representative | CFP | Apr 2016 (10y) | |
| Clayton Drew Pond | Registered representative | Apr 2016 (10y) | ||
| Edmund Alan Fortier | Registered representative | CFP | Apr 2016 (10y) | |
| Eric Donato Pucciarelli | Registered representative | Apr 2016 (10y) | ||
| Kile Eugene Lewis | Registered representative | Apr 2016 (10y) | ||
| Michael Ronald Moleski | Registered representative | Apr 2016 (10y) | ||
| Ryan Patrick Evans | Registered representative | CFP | Apr 2016 (10y) | |
| Steven B Goldstein | Registered representative | CFP | Apr 2016 (10y) | |
| Terry P Ford | Registered representative | CFP | Apr 2016 (10y) | |
| Timothy Leonard Good | Registered representative | Apr 2016 (10y) | ||
| William J. Thompson | Registered representative | Apr 2016 (10y) | ||
| Anthony Paul Locascio | Registered representative | CFP | Apr 2016 (10y) | |
| Jeffrey Jason Scott | Registered representative | Apr 2016 (10y) | ||
| John Thornton Cash | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Kenneth George Trinklein | Registered representative | Apr 2016 (10y) | ||
| Kristi Ann Moore | Registered representative | Apr 2016 (10y) | ||
| Samuel Brantz Gentry | Registered representative | CFP | Apr 2016 (10y) | |
| James Joseph Mahoney | Registered representative | CFP | Apr 2016 (10y) | |
| Kevin Donald Grant | Registered representative | CFP Chartered Financial Consultant | Apr 2016 (10y) | |
| Mark Ray Small | Registered representative | Apr 2016 (10y) | ||
| Mitchell Carter Laughton | Registered representative | Chartered Financial Consultant | Apr 2016 (10y) | |
| Pamela Marie Vanone | Registered representative | Apr 2016 (10y) | ||
| Roy Sherwood Greer | Registered representative | CFP | Apr 2016 (10y) | |
| Barry David Flagg | Registered representative | CFP Chartered Financial Consultant | May 2016 (10y) | |
| Kevin Douglass Ellman | Registered representative | CFP | May 2016 (10y) | |
| Matthew Allen Childs | Registered representative | CFP | May 2016 (10y) | |
| Robert Andrew Henry | Registered representative | CFP | May 2016 (10y) | |
| Mitchell Brian Walk | Registered representative | May 2016 (10y) | ||
| Rebecca Lynn Hartnett | Registered representative | May 2016 (10y) | ||
| Samuel Francis Wishon | Registered representative | Chartered Financial Consultant | May 2016 (10y) | |
| Ashby Woody Price | Registered representative | CFA | May 2016 (10y) | |
| Craig Steven Dean | Registered representative | May 2016 (10y) | ||
| Frederick James Block | Registered representative | May 2016 (10y) | ||
| Joshua J Monk | Registered representative | May 2016 (10y) | ||
| Mark Heath Woodward | Registered representative | May 2016 (10y) | ||
| Todd E Eichman | Registered representative | CFP | May 2016 (10y) | |
| James Brian Hebets | Registered representative | May 2016 (10y) | ||
| Erin Powell Mccain | Registered representative | May 2016 (10y) | ||
| Jeffrey Alan Turnipseed | Registered representative | May 2016 (10y) | ||
| Jennette Struthers Schlinke | Registered representative | May 2016 (10y) | ||
| Jesse B Bateman | Registered representative | May 2016 (10y) | ||
| John Fikes Hill | Registered representative | CFP | May 2016 (10y) | |
| John Patrick Liptak | Registered representative | Personal Financial Specialist | May 2016 (10y) | |
| Maury Brickell Breazeale | Registered representative | May 2016 (10y) | ||
| Moira Moynihan Manoog | Registered representative | CFP | May 2016 (10y) | |
| Owen David Freeman Daniels | Registered representative | CFP Chartered Financial Consultant CFA | May 2016 (10y) | |
| Pamela Ann Naymie Basse | Registered representative | CFP | May 2016 (10y) | |
| Robert Parsons Burns | Registered representative | Chartered Financial Consultant | May 2016 (10y) | |
| Steven Christopher Massey | Registered representative | CFP | May 2016 (10y) | |
| James Paul Studinger | Registered representative | Chartered Financial Consultant | May 2016 (10y) | |
| Donald Gregory Baker | Registered representative | May 2016 (10y) | ||
| Thomas Eric Reich | Registered representative | CFP Chartered Financial Consultant | May 2016 (10y) | |
| Kathleen Elizabeth Collins | Registered representative | May 2016 (10y) | ||
| Stephen Dudley Jans | Registered representative | May 2016 (10y) | ||
| Jeffrey Herbert Irle | Registered representative | May 2016 (10y) | ||
| Paisley Ann Jones | Registered representative | May 2016 (10y) | ||
| Ilona Friedman | Registered representative | CFP | May 2016 (10y) | |
| Trevor Douglas Harkness | Registered representative | CFP | May 2016 (10y) | |
| Neil Henry Gendreau | Registered representative | CFP Chartered Financial Consultant | Jun 2016 (10y) | |
| James Thomas Mcmanus | Registered representative | Chartered Financial Consultant | Jun 2016 (10y) | |
| Franklin Jeffrey Mcelroy | Registered representative | Jun 2016 (10y) | ||
| Joseph Robert Vartanian | Registered representative | Jun 2016 (10y) | ||
| Scott Martin Lomes | Registered representative | Jun 2016 (10y) | ||
| Tracie Anne Fitzgerald | Registered representative | Jun 2016 (10y) | ||
| Michael Gary Rudelson | Registered representative | Jun 2016 (10y) | ||
| David James Bugos | Registered representative | CFP | Jul 2016 (10y) | |
| Ray Ryan Olson | Registered representative | Jul 2016 (10y) | ||
| Joseph James Fishella | Registered representative | Jul 2016 (10y) | ||
| Salvatore N Labarbera | Registered representative | Jul 2016 (10y) | ||
| Dennis Leroy Page | Registered representative | Chartered Financial Consultant | Aug 2016 (10y) | |
| Alexander Nikko Hachiya | Registered representative | Aug 2016 (10y) | ||
| Robert K Hassmann | Registered representative | Aug 2016 (10y) | ||
| Michael Edward Hanley | Registered representative | Aug 2016 (10y) | ||
| Julie Rae Weekley | Registered representative | Aug 2016 (10y) | ||
| Timothy Michael Mc Gee | Registered representative | Aug 2016 (10y) | ||
| Joseph William Moyer | Registered representative | Aug 2016 (10y) | ||
| Anna M. Sohm | Registered representative | Sep 2016 (10y) | ||
| Meri Carolyn Mora | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| John Michael Koester | Registered representative | CFP | Sep 2016 (10y) | |
| Donald Grant | Registered representative | CFP | Oct 2016 (10y) | |
| Elizabeth Jeanne Moeller | Registered representative | Oct 2016 (10y) | ||
| Jeremy Arnold Pomer | Registered representative | CFP | Oct 2016 (10y) | |
| Jeffrey Allen Breault | Registered representative | Oct 2016 (10y) | ||
| Peter George Cohlmia | Registered representative | Oct 2016 (10y) | ||
| Joseph Erving Ryan | Registered representative | Oct 2016 (10y) | ||
| Isabelle Ann Alexander | Registered representative | CFP | Nov 2016 (10y) | |
| Jason John Dudum | Registered representative | Nov 2016 (10y) | ||
| Selena Krampota | Registered representative | Nov 2016 (10y) | ||
| Allison Kaye Baines | Registered representative | CFP | Nov 2016 (10y) | |
| Christopher Thomas Connelly | Registered representative | Nov 2016 (10y) | ||
| Jason Kenneth Diaz | Registered representative | Dec 2016 (10y) | ||
| Gregory White Anderson | Registered representative | Dec 2016 (10y) | ||
| Sara Zappani | Registered representative | Dec 2016 (10y) | ||
| Roger Lee Mabe | Registered representative | Jan 2017 (10y) | ||
| Brian Anthony Donofry | Registered representative | Jan 2017 (10y) | ||
| Thomas C. Paron | Registered representative | Jan 2017 (10y) | ||
| Diane Lynne Boen | Registered representative | Jan 2017 (10y) | ||
| Mitchell Stanton Everett | Registered representative | Feb 2017 (9y) | ||
| Michael Stanton Renner | Registered representative | Feb 2017 (9y) | ||
| Richard Dean Banziger | Registered representative | Feb 2017 (9y) | ||
| Porter Bradley Cunningham | Registered representative | CFP | Feb 2017 (9y) | |
| Daniel Kenneth Graber | Registered representative | Feb 2017 (9y) | ||
| Edward Paul Oxford | Registered representative | Mar 2017 (9y) | ||
| Roberto Epigmenio Guzman | Registered representative | Mar 2017 (9y) | ||
| Christopher Brian Szem | Registered representative | Mar 2017 (9y) | ||
| Alexander John Wallerich | Registered representative | Mar 2017 (9y) | ||
| Brenda Kay Engro | Registered representative | Apr 2017 (9y) | ||
| Joshua Paul Roberts | Registered representative | CFP | Apr 2017 (9y) | |
| Holly Elizabeth Lovell | Registered representative | Apr 2017 (9y) | ||
| Todd Wayne Reno | Registered representative | Apr 2017 (9y) | ||
| Walter Newton Allen | Registered representative | Apr 2017 (9y) | ||
| Brian Wayne Eckeberger | Registered representative | Apr 2017 (9y) | ||
| Dustin J Giannangelo | Registered representative | May 2017 (9y) | ||
| Keith Andrew Borgfeldt | Registered representative | May 2017 (9y) | ||
| Samuel John Arnott | Registered representative | Jun 2017 (9y) | ||
| Colleen M Mcnulty | Registered representative | Jun 2017 (9y) | ||
| James Richard Lagrone | Registered representative | Jun 2017 (9y) | ||
| Steven Anthony Miller | Registered representative | Jun 2017 (9y) | ||
| David Eaton Rathgeb | Registered representative | CFP | Jun 2017 (9y) | |
| Cheryl L. Casey | Registered representative | CFP | Jul 2017 (9y) | |
| Rocio Morales Derodriguez | Registered representative | Jul 2017 (9y) | ||
| Thomas Francis Shumosic | Registered representative | CFP | Jul 2017 (9y) | |
| Todd William Anderson | Registered representative | Jul 2017 (9y) | ||
| Brent Raymond Graham | Registered representative | CFP | Aug 2017 (9y) | |
| David Keith Propes | Registered representative | Aug 2017 (9y) | ||
| Timothy James Congleton | Registered representative | Aug 2017 (9y) | ||
| Daniel Jacob Eichinger | Registered representative | Aug 2017 (9y) | ||
| Eric Stanton Hauser | Registered representative | Aug 2017 (9y) | ||
| Todd J Reuber | Registered representative | Aug 2017 (9y) | ||
| William Elliott King | Registered representative | Aug 2017 (9y) | ||
| Max K Aten | Registered representative | Aug 2017 (9y) | ||
| Robert Thomas Armstrong | Registered representative | Aug 2017 (9y) | ||
| Robert James Miller | Registered representative | Aug 2017 (9y) | ||
| William Robert Kitchel | Registered representative | Aug 2017 (9y) | ||
| Bruce Emery Carlson | Registered representative | CFP | Aug 2017 (9y) | |
| Stephen Nye Bouslog | Registered representative | Sep 2017 (9y) | ||
| Travis Lee White | Registered representative | Sep 2017 (9y) | ||
| Brian Patrick Kinney | Registered representative | CFP | Sep 2017 (9y) | |
| Erik Toby Huff | Registered representative | Sep 2017 (9y) | ||
| Andrew F Williams | Registered representative | Sep 2017 (9y) | ||
| Svante Rocabado | Registered representative | Oct 2017 (9y) | ||
| Elizabeth Marie Kampmeinert | Registered representative | Oct 2017 (9y) | ||
| Lucas Carl Johnson | Registered representative | Oct 2017 (9y) | ||
| Robert Joseph Lang | Registered representative | Chartered Financial Consultant | Oct 2017 (9y) | |
| Jeffrey Michael Zufall | Registered representative | Oct 2017 (9y) | ||
| William Marc Ozburn | Registered representative | CFP Chartered Financial Consultant | Oct 2017 (9y) | |
| Robert Iola | Registered representative | Chartered Financial Consultant | Oct 2017 (9y) | |
| Tyler Ewen | Registered representative | CFP | Oct 2017 (9y) | |
| Gary Rene Sagarnaga | Registered representative | Oct 2017 (9y) | ||
| Pamela Sue Espinosa | Registered representative | Nov 2017 (9y) | ||
| Herbert Carl Smith | Registered representative | CFP Chartered Financial Consultant | Nov 2017 (9y) | |
| William Chris Davis | Registered representative | Chartered Financial Consultant | Nov 2017 (9y) | |
| Steven Matthew Broughton | Registered representative | CFP | Nov 2017 (9y) | |
| Robert Lee Roberts | Registered representative | Nov 2017 (9y) | ||
| Michelle Lynn Bender | Registered representative | CFP | Nov 2017 (9y) | |
| Jarret Weston Carter | Registered representative | CFP | Dec 2017 (9y) | |
| James Parker Gerard | Registered representative | CFA | Dec 2017 (9y) | |
| Sara Allison Monahan Norell | Registered representative | CFP | Dec 2017 (9y) | |
| Kittredge Lee Griffin | Registered representative | Jan 2018 (9y) | ||
| Carl Pultz Flanagan | Registered representative | Jan 2018 (9y) | ||
| James Donald Stehr | Registered representative | Jan 2018 (9y) | ||
| Lena Marian Nebel | Registered representative | CFP | Jan 2018 (9y) | |
| William Travis Atkins | Registered representative | Jan 2018 (9y) | ||
| Bradford Stewart Fitts | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Daniel Charles Singer | Registered representative | CFP | Feb 2018 (8y) | |
| Brennan James Moore | Registered representative | CFA | Feb 2018 (8y) | |
| Eric Karl Rosenberger | Registered representative | CFP | Feb 2018 (8y) | |
| Christopher Michael Romano | Registered representative | Mar 2018 (8y) | ||
| Paul William Holjes | Registered representative | Mar 2018 (8y) | ||
| Rw Barnes | Registered representative | Mar 2018 (8y) | ||
| Alfredo Dipinto | Registered representative | Mar 2018 (8y) | ||
| Steven Charles Dengler | Registered representative | CFP | Apr 2018 (8y) | |
| Beverly Kaib Tedstone | Registered representative | Apr 2018 (8y) | ||
| Robert Taylor Hammons | Registered representative | Apr 2018 (8y) | ||
| Mason Jay Howard | Registered representative | CFA | Apr 2018 (8y) | |
| Todd Henry Beckmann | Registered representative | CFP | Apr 2018 (8y) | |
| Mahalene Reginaldo Dulay | Registered representative | May 2018 (8y) | ||
| Yesenia Covarrubias Beckmann | Registered representative | CFP | May 2018 (8y) | |
| Joanna Bryant Smith | Registered representative | CFP | May 2018 (8y) | |
| Patrick Stephen Williams | Registered representative | May 2018 (8y) | ||
| Jason Ramarr White | Registered representative | May 2018 (8y) | ||
| Dane Michael Winter | Registered representative | CFP | Jun 2018 (8y) | |
| Christopher James Gurnee | Registered representative | Jun 2018 (8y) | ||
| Martin Lynn Ferguson | Registered representative | Jun 2018 (8y) | ||
| Erin Marie Savage Weaver | Registered representative | CFP | Jul 2018 (8y) | |
| George W Threadgill | Registered representative | Jul 2018 (8y) | ||
| Natale Ann Haworth | Registered representative | Aug 2018 (8y) | ||
| Nicolas S Grant | Registered representative | Aug 2018 (8y) | ||
| Jason Thomas Hoover | Registered representative | CFP | Aug 2018 (8y) | |
| Grant Edward Brown | Registered representative | CFP | Aug 2018 (8y) | |
| Eric Stephen Matthew Kee | Registered representative | Aug 2018 (8y) | ||
| Larry Ronald Blair | Registered representative | CFP | Aug 2018 (8y) | |
| Melissa Jane Constant | Registered representative | Aug 2018 (8y) | ||
| Sharla Dae Rountree | Registered representative | CFP | Aug 2018 (8y) | |
| Frederick Charles Latcham | Registered representative | Sep 2018 (8y) | ||
| Kate D Morstad | Registered representative | Sep 2018 (8y) | ||
| Scott R Miller | Registered representative | Sep 2018 (8y) | ||
| Michael C Pemberton | Registered representative | CFP | Oct 2018 (8y) | |
| Miles Bruce Kessler | Registered representative | CFP | Oct 2018 (8y) | |
| Daniel Emmett Malone | Registered representative | CFP | Oct 2018 (8y) | |
| David Jason Dugger | Registered representative | CFP | Oct 2018 (8y) | |
| Michael Hampton Westbrooks | Registered representative | Oct 2018 (8y) | ||
| Stephen Ira Falk | Registered representative | CFP | Oct 2018 (8y) | |
| Robert Ray Bennie | Registered representative | CFP | Nov 2018 (8y) | |
| Brian Michael Danelian | Registered representative | Nov 2018 (8y) | ||
| Steven Alan Schertel | Registered representative | Nov 2018 (8y) | ||
| Frank Phillip Hill | Registered representative | CFP | Nov 2018 (8y) | |
| Marcia Johnson Cammack | Registered representative | Nov 2018 (8y) | ||
| Nathaniel David Mcnulty | Registered representative | CFP | Nov 2018 (8y) | |
| Thomas Patrick Furlong | Registered representative | Nov 2018 (8y) | ||
| Brent E Carlson | Registered representative | CFP | Nov 2018 (8y) | |
| Davis Winston Green | Registered representative | Nov 2018 (8y) | ||
| Mack Patrick Shaughnessy Farley | Registered representative | CFP | Nov 2018 (8y) | |
| John F. Beers | Registered representative | CFP | Dec 2018 (8y) | |
| Michael Irwin Wapner | Registered representative | Dec 2018 (8y) | ||
| Warren Mcguire | Registered representative | Dec 2018 (8y) | ||
| Elizabeth Marie Roche | Registered representative | CFP | Dec 2018 (8y) | |
| Peter Lloyd Robinson | Registered representative | Dec 2018 (8y) | ||
| Philip A Marchese | Registered representative | CFP CFA | Dec 2018 (8y) | |
| Debra Lynn Popovich | Registered representative | Jan 2019 (8y) | ||
| Samuel King Hulse | Registered representative | Feb 2019 (7y) | ||
| Pauline Wong | Registered representative | Feb 2019 (7y) | ||
| Michael Reitman Friedlander | Registered representative | CFP | Feb 2019 (7y) | |
| Gregory Steven Ochinero | Registered representative | Mar 2019 (7y) | ||
| Marcus John Hernandez | Registered representative | Mar 2019 (7y) | ||
| Arvinder Kaur Kochar | Registered representative | Mar 2019 (7y) | ||
| Rian Morrissey | Registered representative | CFP | Apr 2019 (7y) | |
| Michelle M Merkel | Registered representative | CFP | May 2019 (7y) | |
| Paul Sanford Faidley | Registered representative | Chartered Financial Consultant | May 2019 (7y) | |
| Richard Rydzik | Registered representative | May 2019 (7y) | ||
| Rosemarie Roth Robinson | Registered representative | May 2019 (7y) | ||
| Arlene Lara Dimitian | Registered representative | CFP | May 2019 (7y) | |
| Claudia Andreina Herrera | Registered representative | May 2019 (7y) | ||
| Nicolaas Pieter Doelman | Registered representative | May 2019 (7y) | ||
| Joshua Floyd Black | Registered representative | May 2019 (7y) | ||
| Konstantina Castro | Registered representative | Jun 2019 (7y) | ||
| Alexander Castro | Registered representative | Jun 2019 (7y) | ||
| Daniel Alexander Cornwell | Registered representative | Jun 2019 (7y) | ||
| Daniel Robert Taylor | Registered representative | Jun 2019 (7y) | ||
| Kevin James Bates | Registered representative | Chartered Financial Consultant | Jun 2019 (7y) | |
| Timothy Biagio Fazzini | Registered representative | Jun 2019 (7y) | ||
| Daniel Bradford Barry | Registered representative | Jun 2019 (7y) | ||
| Alexander Michael Panas | Registered representative | CFP | Jul 2019 (7y) | |
| Andrew Evans Harrell | Registered representative | CFP | Jul 2019 (7y) | |
| Atricia Jernell Roberts | Registered representative | CFP | Jul 2019 (7y) | |
| Clinton David Helmuth Miller | Registered representative | CFP | Jul 2019 (7y) | |
| Elizabeth Kate Hand | Registered representative | CFP | Jul 2019 (7y) | |
| John Robert Mullett | Registered representative | Jul 2019 (7y) | ||
| Susan Clayton Moore | Registered representative | Aug 2019 (7y) | ||
| Christopher Scott Stallings | Registered representative | Aug 2019 (7y) | ||
| Jeremiah Charles Lorenz | Registered representative | Aug 2019 (7y) | ||
| Rickey Charles Ernzen | Registered representative | CFP | Sep 2019 (7y) | |
| Cameron Major Kennedy | Registered representative | Sep 2019 (7y) | ||
| Jonathan Marshall Pope | Registered representative | Sep 2019 (7y) | ||
| Shawn Travette Bostic | Registered representative | Sep 2019 (7y) | ||
| Philip Eric Johnson | Registered representative | Sep 2019 (7y) | ||
| Michael John Csedrik | Registered representative | Sep 2019 (7y) | ||
| Jacqueline Suzanne Debenedictis | Registered representative | Oct 2019 (7y) | ||
| Charles William Daniels | Registered representative | Nov 2019 (7y) | ||
| Michael Francis Wiercinski | Registered representative | Dec 2019 (7y) | ||
| Emily Noel Tonti | Registered representative | Dec 2019 (7y) | ||
| Pamela Ann Tracey | Registered representative | Dec 2019 (7y) | ||
| Howard Timothy Hudson | Registered representative | CFP Chartered Financial Consultant | Dec 2019 (7y) | |
| John George Kallis | Registered representative | Dec 2019 (7y) | ||
| Shawn Patrick Gallagher | Registered representative | Dec 2019 (7y) | ||
| Jeremy Michael Soboleski | Registered representative | Jan 2020 (7y) | ||
| Quentin Douglas Elliott | Registered representative | Jan 2020 (7y) | ||
| Tiffany Marie Knoop | Registered representative | Jan 2020 (7y) | ||
| Charles B Crilly | Registered representative | Jan 2020 (7y) | ||
| Brian Eugene Campos | Registered representative | Jan 2020 (7y) | ||
| Grayson Brooks Palmer | Registered representative | CFP | Jan 2020 (7y) | |
| Jennifer Ann Pena | Registered representative | CFP | Jan 2020 (7y) | |
| Stephen Garrett Smith | Registered representative | Jan 2020 (7y) | ||
| Jennifer J Nelson | Registered representative | Jan 2020 (7y) | ||
| Paul Scott Nadell | Registered representative | Feb 2020 (6y) | ||
| Brian Douglas Waiz | Registered representative | Feb 2020 (6y) | ||
| John Malcomb Massey | Registered representative | Feb 2020 (6y) | ||
| Hunter Phelps Massey | Registered representative | Feb 2020 (6y) | ||
| Austin Gerald Somers | Registered representative | Mar 2020 (6y) | ||
| Amy Lee Hong | Registered representative | CFP | Mar 2020 (6y) | |
| Kyle Ian Mc Clure | Registered representative | Mar 2020 (6y) | ||
| James Hunter Flack | Registered representative | Apr 2020 (6y) | ||
| Brian Christopher Perkins | Registered representative | CFA | Apr 2020 (6y) | |
| Jacqueline Rene Harvey | Registered representative | May 2020 (6y) | ||
| Kim Suzanne Luthy | Registered representative | CFP | May 2020 (6y) | |
| Richard Carey Lynch | Registered representative | May 2020 (6y) | ||
| William Mottley Levine | Registered representative | Jun 2020 (6y) | ||
| Michael John Labos | Registered representative | CFP | Jun 2020 (6y) | |
| Cherie E Laiche | Registered representative | Jul 2020 (6y) | ||
| Laura Michelle Steinbeck | Registered representative | CFP Chartered Financial Consultant | Jul 2020 (6y) | |
| Dakota D Niedermeier | Registered representative | CFP | Jul 2020 (6y) | |
| Michael Frederick Walstrom | Registered representative | CFP | Jul 2020 (6y) | |
| Yehuda Zalman Gross | Registered representative | CFP | Jul 2020 (6y) | |
| Justin Samuel Duncombe | Registered representative | Jul 2020 (6y) | ||
| James Clemens Duncombe | Registered representative | Chartered Financial Consultant | Jul 2020 (6y) | |
| Brittany Jamon Scherer | Registered representative | Aug 2020 (6y) | ||
| Kathleen Meagher Hinman | Registered representative | Aug 2020 (6y) | ||
| Joshua Daniel Donofry | Registered representative | Sep 2020 (6y) | ||
| Melinda L Schrum | Registered representative | Sep 2020 (6y) | ||
| Morgan Alexandra Kelly | Registered representative | CFP | Sep 2020 (6y) | |
| Susan A Clime | Registered representative | Sep 2020 (6y) | ||
| Derrick Randolph Jackson | Registered representative | Sep 2020 (6y) | ||
| Mark Andrew Mayer | Registered representative | CFP | Sep 2020 (6y) | |
| Paul James Mcarthur | Registered representative | Sep 2020 (6y) | ||
| Shawn Dewayne Worman | Registered representative | Sep 2020 (6y) | ||
| William Michael Coffey | Registered representative | CFP | Sep 2020 (6y) | |
| Daniel Dolgin | Registered representative | Sep 2020 (6y) | ||
| Jamal Ali Thompson | Registered representative | Sep 2020 (6y) | ||
| Robert Francis Hollmann | Registered representative | CFP | Sep 2020 (6y) | |
| Larry Robert Krmpotich | Registered representative | Sep 2020 (6y) | ||
| Vincent Paul Sturm | Registered representative | Oct 2020 (6y) | ||
| John Daniel O'keeffe | Registered representative | Oct 2020 (6y) | ||
| Kristin Angela Merrick | Registered representative | Oct 2020 (6y) | ||
| Frank Anthony Jarboe | Registered representative | CFP | Oct 2020 (6y) | |
| Joan Katherine Alexandre | Registered representative | Oct 2020 (6y) | ||
| John Charles O'keeffe | Registered representative | Nov 2020 (6y) | ||
| Jennifer Lynne Hope | Registered representative | Nov 2020 (6y) | ||
| William Blake Nelson | Registered representative | Nov 2020 (6y) | ||
| Michael Winter Spinks | Registered representative | Nov 2020 (6y) | ||
| Phoenix E Suskin | Registered representative | Nov 2020 (6y) | ||
| James Steven De Kruif | Registered representative | Nov 2020 (6y) | ||
| Lauren Mckenzie Richardson | Registered representative | CFP | Nov 2020 (6y) | |
| Tara Marissa Schutz | Registered representative | CFP | Dec 2020 (6y) | |
| Juli Hofmockel Rahill | Registered representative | Dec 2020 (6y) | ||
| Mary Elise Flanigan | Registered representative | CFP | Dec 2020 (6y) | |
| Joseph John Kamon | Registered representative | Jan 2021 (6y) | ||
| Jonathan William Lonske | Registered representative | Jan 2021 (6y) | ||
| James Michael Kozik | Registered representative | Jan 2021 (6y) | ||
| Margaret Lea Myers | Registered representative | Jan 2021 (6y) | ||
| James F Mc Gill | Registered representative | CFP | Feb 2021 (5y) | |
| Neil Westerduin | Registered representative | Feb 2021 (5y) | ||
| Marc David Goldstein | Registered representative | Feb 2021 (5y) | ||
| Jaclyn Nicole Harvey | Registered representative | CFP | Feb 2021 (5y) | |
| Kyle Ashley Mendelsohn | Registered representative | Feb 2021 (5y) | ||
| Jacob Brian Richter | Registered representative | Mar 2021 (5y) | ||
| Deborah Julie Trouw | Registered representative | CFP | Mar 2021 (5y) | |
| Natalie Joanne Trouw | Registered representative | CFP | Mar 2021 (5y) | |
| Emmanuel U Essien | Registered representative | CFP | Mar 2021 (5y) | |
| Blayne Cameron Worman | Registered representative | Mar 2021 (5y) | ||
| Joshua Michael Quail | Registered representative | Mar 2021 (5y) | ||
| Jennifer Lynn Kane | Registered representative | Apr 2021 (5y) | ||
| Ian Connor Eversull | Registered representative | Apr 2021 (5y) | ||
| Mark Chester Franczyk | Registered representative | CFP | May 2021 (5y) | |
| Daniel Paul Cavaretta | Registered representative | May 2021 (5y) | ||
| Joseph Martin Ervolina | Registered representative | May 2021 (5y) | ||
| Robert C Meissner | Registered representative | May 2021 (5y) | ||
| Brooke Marchelle Moore | Registered representative | May 2021 (5y) | ||
| Jay C. Moore | Registered representative | May 2021 (5y) | ||
| Nathan Williams | Registered representative | May 2021 (5y) | ||
| Vincent Napolitano | Registered representative | May 2021 (5y) | ||
| Anne Day Mccabe | Registered representative | CFP | Jun 2021 (5y) | |
| Bennett Albert Gagliano | Registered representative | Jun 2021 (5y) | ||
| Melanie Jane Gagliano | Registered representative | Jun 2021 (5y) | ||
| Steven Mark Sinclair | Registered representative | Jun 2021 (5y) | ||
| Brian David Schmidt | Registered representative | CFP | Jun 2021 (5y) | |
| Christina Stephanie Dziadzio | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Christopher P Ferrara | Registered representative | Jun 2021 (5y) | ||
| David Joseph Mammina | Registered representative | CFP | Jun 2021 (5y) | |
| Garrett Patrick Taylor | Registered representative | Jun 2021 (5y) | ||
| Jonathan Barnette Leis | Registered representative | Jun 2021 (5y) | ||
| Joseph Burton Hall | Registered representative | Jun 2021 (5y) | ||
| Mark Brian Grosky | Registered representative | Jun 2021 (5y) | ||
| Maxwell James Loeb | Registered representative | CFP | Jun 2021 (5y) | |
| Philip Giammarino | Registered representative | Jun 2021 (5y) | ||
| Patrick Michael Mc Donald | Registered representative | Jun 2021 (5y) | ||
| Richard David Swanson | Registered representative | Jun 2021 (5y) | ||
| Richard Evan Zacharoff | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Robert Steven Kline | Registered representative | CFP | Jun 2021 (5y) | |
| Sean Michael Russell | Registered representative | Jun 2021 (5y) | ||
| Shiraz Syed Zaidi | Registered representative | Jun 2021 (5y) | ||
| Steven E Bender | Registered representative | CFP | Jun 2021 (5y) | |
| Todd Christopher Bellistri | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Matthew Lee Biggs | Registered representative | Jun 2021 (5y) | ||
| Scott Clayton Crawford | Registered representative | Jun 2021 (5y) | ||
| Sarah Marie Mulcahy | Registered representative | Jun 2021 (5y) | ||
| Stacy A Hollender | Registered representative | Jun 2021 (5y) | ||
| James A. Boller | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Peter Stuart Edelstein | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Richard Willdon Barnes | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Thomas Eric Dunn | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Christopher Scott Opper | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Erin Kolleen Arnett | Registered representative | Jun 2021 (5y) | ||
| George Steven Sinnott | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Jennifer Austin Hatch | Registered representative | CFP | Jun 2021 (5y) | |
| John William Pink | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Robert Stephen Loeb | Registered representative | CFP | Jun 2021 (5y) | |
| Ben Kronish | Registered representative | Jun 2021 (5y) | ||
| Robert Sack | Registered representative | CFP | Jun 2021 (5y) | |
| Alan Jay Schantz | Registered representative | Jun 2021 (5y) | ||
| Charles William Thela | Registered representative | Jun 2021 (5y) | ||
| Daniel Joseph Ferrara | Registered representative | Jun 2021 (5y) | ||
| Dylan Christopher Kolarcik | Registered representative | Jun 2021 (5y) | ||
| Eric Steven Blumencranz | Registered representative | Jun 2021 (5y) | ||
| Gregg C Stamler | Registered representative | Jun 2021 (5y) | ||
| James Lance Weimar | Registered representative | Jun 2021 (5y) | ||
| Jason Henry Lehrer | Registered representative | Jun 2021 (5y) | ||
| Jason Matthew Heller | Registered representative | Jun 2021 (5y) | ||
| John Gary Gustafson | Registered representative | Jun 2021 (5y) | ||
| Matthew Harrison Brown | Registered representative | Jun 2021 (5y) | ||
| Michael A Wertheim | Registered representative | Jun 2021 (5y) | ||
| Philip Ryan Ashe | Registered representative | Jun 2021 (5y) | ||
| Russel Joseph Sands | Registered representative | Jun 2021 (5y) | ||
| Shane Maer | Registered representative | Jun 2021 (5y) | ||
| Stephen Joseph Mincone | Registered representative | CFP | Jun 2021 (5y) | |
| Thomas Jonathan Crane | Registered representative | Jun 2021 (5y) | ||
| Thomas Michael Surowka | Registered representative | Jun 2021 (5y) | ||
| Kristine Regina Anile | Registered representative | CFP | Jun 2021 (5y) | |
| Brian Daniel Trent | Registered representative | Jul 2021 (5y) | ||
| Michael James Klorer | Registered representative | Jul 2021 (5y) | ||
| Jayne Waida Di Vincenzo | Registered representative | CFP Chartered Financial Consultant | Jul 2021 (5y) | |
| Shannon Lea Clark | Registered representative | CFP | Jul 2021 (5y) | |
| Nicholas Easby Smith | Registered representative | Aug 2021 (5y) | ||
| Laura A Wassell | Registered representative | Aug 2021 (5y) | ||
| Dustin Joe Lee Engle | Registered representative | Aug 2021 (5y) | ||
| Brad Eugene Baker | Registered representative | CFP | Aug 2021 (5y) | |
| Henry Benjamin Coker | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Henry Raymond Conkle | Registered representative | Aug 2021 (5y) | ||
| Kevin Alan Thomas | Registered representative | Aug 2021 (5y) | ||
| Kevin Michael Adleman | Registered representative | Aug 2021 (5y) | ||
| Jared Krim | Registered representative | CFP | Sep 2021 (5y) | |
| Brendan Doyle Duggan | Registered representative | Sep 2021 (5y) | ||
| Daniel Lee Greer | Registered representative | Sep 2021 (5y) | ||
| Jeremy Chad Patin | Registered representative | Sep 2021 (5y) | ||
| Betty Jane Schuster | Registered representative | CFP | Sep 2021 (5y) | |
| Leah Lynn Flaspohler | Registered representative | Sep 2021 (5y) | ||
| Consuelo Elizabeth Lopez | Registered representative | Sep 2021 (5y) | ||
| Daniel O'connor | Registered representative | CFA | Sep 2021 (5y) | |
| Thomas Clay Sowers | Registered representative | CFP | Oct 2021 (5y) | |
| Grant William De Vries | Registered representative | CFP | Oct 2021 (5y) | |
| Anne Kim Trinh | Registered representative | CFP | Oct 2021 (5y) | |
| Adam David Paoli | Registered representative | Oct 2021 (5y) | ||
| Judith Sheble Garber | Registered representative | Oct 2021 (5y) | ||
| Lewis A Affetto | Registered representative | Oct 2021 (5y) | ||
| Michael Christopher Dipiero | Registered representative | Oct 2021 (5y) | ||
| Shane Ellis Pruitt | Registered representative | Oct 2021 (5y) | ||
| Noah A Gear | Registered representative | CFP | Oct 2021 (5y) | |
| Harry David Goolsby | Registered representative | Nov 2021 (5y) | ||
| Ronald Chad Bagley | Registered representative | Nov 2021 (5y) | ||
| Christopher James Bradshaw | Registered representative | Nov 2021 (5y) | ||
| Mark William Mann | Registered representative | Nov 2021 (5y) | ||
| Andrew Sheridan Wyble | Registered representative | Nov 2021 (5y) | ||
| Kathleen Wyble Graham | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Gary Dean Ryberg | Registered representative | CFP | Nov 2021 (5y) | |
| Kirby Lane Kinney | Registered representative | Nov 2021 (5y) | ||
| Gary Steven Melnick | Registered representative | Chartered Financial Consultant | Nov 2021 (5y) | |
| Brian Thomas Rosenbaum | Registered representative | CFP | Nov 2021 (5y) | |
| Jessica L Thompson | Registered representative | CFP | Nov 2021 (5y) | |
| Thomas J Biadas | Registered representative | Nov 2021 (5y) | ||
| Timothy Michael Mclaughlin | Registered representative | CFP | Nov 2021 (5y) | |
| Brooke Erin Reichwald | Registered representative | CFP | Nov 2021 (5y) | |
| Christopher Patrick Battle | Registered representative | Nov 2021 (5y) | ||
| Kristina Brauchle Summers | Registered representative | CFP Chartered Financial Consultant | Dec 2021 (5y) | |
| Robert Idol | Registered representative | Dec 2021 (5y) | ||
| Bernard Gerard Van Eperen | Registered representative | CFP | Dec 2021 (5y) | |
| Dana Lauren Mazzarella | Registered representative | Dec 2021 (5y) | ||
| Lori Jean Siro | Registered representative | Dec 2021 (5y) | ||
| Skylar Wright | Registered representative | CFP | Dec 2021 (5y) | |
| Saranto Calamas | Registered representative | Jan 2022 (5y) | ||
| Matthew D Waldman | Registered representative | Chartered Financial Consultant | Jan 2022 (5y) | |
| David Paul Allen | Registered representative | CFP | Jan 2022 (5y) | |
| Charles Stanly Cunningham | Registered representative | Chartered Financial Consultant | Feb 2022 (5y) | |
| Jason Stanly Cunningham | Registered representative | Feb 2022 (5y) | ||
| Jeffrey Paul Fogle | Registered representative | Feb 2022 (5y) | ||
| Brent J Ramsey | Registered representative | Feb 2022 (4y) | ||
| Frank Salvatore Lovaglio | Registered representative | Feb 2022 (4y) | ||
| Mitchell William Allen | Registered representative | Feb 2022 (4y) | ||
| Suzanne Maureen Stopa | Registered representative | Feb 2022 (4y) | ||
| Charles Winfield Allen | Registered representative | Feb 2022 (4y) | ||
| John Thomas Keeney | Registered representative | Feb 2022 (4y) | ||
| Garrett Frey | Registered representative | CFP | Feb 2022 (4y) | |
| Michael Anthony Dinardo | Registered representative | Feb 2022 (4y) | ||
| Rainey Steven Rogers | Registered representative | Feb 2022 (4y) | ||
| Rainey Steven Rogers | Registered representative | Feb 2022 (4y) | ||
| Austen Andrew Phillip Jacks | Registered representative | CFP | Feb 2022 (4y) | |
| Daniel Alan Courson | Registered representative | Feb 2022 (4y) | ||
| Michael Douglas Allen | Registered representative | CFP | Feb 2022 (4y) | |
| Cindy Elaine Fowler | Registered representative | Feb 2022 (4y) | ||
| Keith Alan Moore | Registered representative | Feb 2022 (4y) | ||
| Stephen Lugo Young | Registered representative | Feb 2022 (4y) | ||
| Daniel Scott La Forest | Registered representative | Feb 2022 (4y) | ||
| Andrew Rickert Hinnant | Registered representative | Feb 2022 (4y) | ||
| Robert Byron Williams | Registered representative | Feb 2022 (4y) | ||
| Sylvia Marcela Linares Williams | Registered representative | CFP | Feb 2022 (4y) | |
| Alexander B Sturm | Registered representative | Mar 2022 (4y) | ||
| Gina Francis Hughes | Registered representative | Mar 2022 (4y) | ||
| Beth Noelle Nori | Registered representative | CFP | Mar 2022 (4y) | |
| Paul Jacob Rogers | Registered representative | Mar 2022 (4y) | ||
| Kevin Joseph Hilbert | Registered representative | Mar 2022 (4y) | ||
| Ryan Cooper | Registered representative | Mar 2022 (4y) | ||
| Elizabeth Haynes | Registered representative | Mar 2022 (4y) | ||
| Susanne Davis Reseland | Registered representative | Apr 2022 (4y) | ||
| Lindsey Miles | Registered representative | Apr 2022 (4y) | ||
| Antoinette Yock | Registered representative | Apr 2022 (4y) | ||
| Alec Showen | Registered representative | Apr 2022 (4y) | ||
| James Horace Davis | Registered representative | Apr 2022 (4y) | ||
| Justin Alan Bundza | Registered representative | Apr 2022 (4y) | ||
| Eric Lee Bartel | Registered representative | Apr 2022 (4y) | ||
| John Robert Stockton | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Karel Annette Story | Registered representative | Apr 2022 (4y) | ||
| Colin Randolph Mcculley | Registered representative | May 2022 (4y) | ||
| Dannielle B Maldonado | Registered representative | May 2022 (4y) | ||
| David Todd Hamlin | Registered representative | May 2022 (4y) | ||
| William R Clifton | Registered representative | CFP | May 2022 (4y) | |
| Brandon Lee Morris | Registered representative | CFP | May 2022 (4y) | |
| Kenneth Craig Morris | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Zachary Isaac Slabotsky | Registered representative | CFP | May 2022 (4y) | |
| Jonathan Shenkman | Registered representative | May 2022 (4y) | ||
| Nina Sue Preston | Registered representative | CFP | May 2022 (4y) | |
| Thomas Michael Dolan | Registered representative | May 2022 (4y) | ||
| Wendy Anne Potter | Registered representative | May 2022 (4y) | ||
| James Francis Congema | Registered representative | May 2022 (4y) | ||
| Curtis Wayne Swenson | Registered representative | May 2022 (4y) | ||
| Shane Hollenbeck | Registered representative | May 2022 (4y) | ||
| Sanger Destin Smith | Registered representative | May 2022 (4y) | ||
| Christopher Thomas Cannon | Registered representative | CFP | May 2022 (4y) | |
| Kathryn Luffy Clark | Registered representative | May 2022 (4y) | ||
| Donald Jay Settina | Registered representative | CFP | May 2022 (4y) | |
| Kobe Bolanos | Registered representative | CFP | Jun 2022 (4y) | |
| Caleb Pryor | Registered representative | Jun 2022 (4y) | ||
| Joseph Salvatore Guercio | Registered representative | Jun 2022 (4y) | ||
| Steven Levi Meyer | Registered representative | Jun 2022 (4y) | ||
| Oscar Rene Salgado | Registered representative | Jun 2022 (4y) | ||
| Andrew James Beltz | Registered representative | Jun 2022 (4y) | ||
| Jeffrey Barry Lown | Registered representative | Jun 2022 (4y) | ||
| Robert William Johnson | Registered representative | Jun 2022 (4y) | ||
| Tyler Herndon | Registered representative | CFP | Jun 2022 (4y) | |
| Daniel Robert Moruzzi | Registered representative | Jun 2022 (4y) | ||
| Joseph Robert Maleszyk | Registered representative | Jun 2022 (4y) | ||
| Steven Wilson | Registered representative | CFP | Jul 2022 (4y) | |
| Claudia Maria Glover | Registered representative | CFP | Jul 2022 (4y) | |
| Ernest Kwok Wai Hui | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Connie M Hertzler | Registered representative | Jul 2022 (4y) | ||
| James David Hertzler | Registered representative | Jul 2022 (4y) | ||
| Nicholas Schwarzenberg | Registered representative | Jul 2022 (4y) | ||
| John Cheung | Registered representative | CFP | Aug 2022 (4y) | |
| Sarah Nicole Hillis | Registered representative | Aug 2022 (4y) | ||
| April Anekboon | Registered representative | Aug 2022 (4y) | ||
| Robert Everett Calabretta | Registered representative | Sep 2022 (4y) | ||
| Zachariah Curry | Registered representative | Sep 2022 (4y) | ||
| Donald Francis Pawluk | Registered representative | Sep 2022 (4y) | ||
| John Pomeroy | Registered representative | Sep 2022 (4y) | ||
| Kyle Rocklyn Girard | Registered representative | Sep 2022 (4y) | ||
| Steffan Hagendorf | Registered representative | Sep 2022 (4y) | ||
| Steven Don Long | Registered representative | Sep 2022 (4y) | ||
| Jarrod Levi Moreau | Registered representative | Sep 2022 (4y) | ||
| Reetika Agarwal | Registered representative | Sep 2022 (4y) | ||
| Denis Patrick O'leary | Registered representative | Oct 2022 (4y) | ||
| Concetta Jean Botie | Registered representative | Oct 2022 (4y) | ||
| Ronald Harris Mcneese | Registered representative | Oct 2022 (4y) | ||
| Eric Paul Crawford | Registered representative | Oct 2022 (4y) | ||
| Keith Mcgough | Registered representative | Nov 2022 (4y) | ||
| Kurt James Skvarla | Registered representative | CFP | Nov 2022 (4y) | |
| William Robert Becker | Registered representative | Nov 2022 (4y) | ||
| Eric Dylan Cownie | Registered representative | Nov 2022 (4y) | ||
| Wen Qin Luisi | Registered representative | Nov 2022 (4y) | ||
| Shannon Elizabeth Hughes | Registered representative | Nov 2022 (4y) | ||
| James Havell | Registered representative | Nov 2022 (4y) | ||
| Eric James Bergenn | Registered representative | Dec 2022 (4y) | ||
| Jonelle Allen | Registered representative | Dec 2022 (4y) | ||
| Catherine Elizabeth Stieber | Registered representative | Dec 2022 (4y) | ||
| Jason Duffaut | Registered representative | CFP | Jan 2023 (4y) | |
| Kenneth L Hamilton | Registered representative | CFP | Jan 2023 (4y) | |
| Matthew Thomas Donaghue | Registered representative | CFP | Jan 2023 (4y) | |
| Robert Cozart | Registered representative | Jan 2023 (4y) | ||
| Turner H Schuster | Registered representative | CFP | Jan 2023 (4y) | |
| Joseph David Battaglini | Registered representative | CFP | Jan 2023 (4y) | |
| Kathleen Sweeney | Registered representative | Jan 2023 (4y) | ||
| Kyle William Vaughan | Registered representative | Jan 2023 (4y) | ||
| John Wilson Arnold | Registered representative | Jan 2023 (4y) | ||
| James Patrick Sinnott | Registered representative | CFP | Jan 2023 (4y) | |
| Ryan Christopher Weise | Registered representative | CFP | Jan 2023 (4y) | |
| Javier Agustin Trevino | Registered representative | CFP | Jan 2023 (4y) | |
| Ian Legner | Registered representative | CFP | Jan 2023 (4y) | |
| Casey Justin Fry | Registered representative | Feb 2023 (3y) | ||
| Patricia L Smagin | Registered representative | Feb 2023 (3y) | ||
| Seana Rasor | Registered representative | Feb 2023 (3y) | ||
| William Dax Symonds | Registered representative | Feb 2023 (3y) | ||
| Charles Nelson Bracht | Registered representative | Chartered Financial Consultant | Mar 2023 (3y) | |
| Sam Kaplan | Registered representative | Mar 2023 (3y) | ||
| Louise Felicetti Albert | Registered representative | CFP Chartered Financial Consultant | Mar 2023 (3y) | |
| Roxanne Malvina Kirk | Registered representative | Mar 2023 (3y) | ||
| Turner Dax Symonds | Registered representative | Mar 2023 (3y) | ||
| Jennifer T Barrett | Registered representative | Mar 2023 (3y) | ||
| Elwis Johnson | Registered representative | Mar 2023 (3y) | ||
| Jeffrey Donald Hackman | Registered representative | Mar 2023 (3y) | ||
| Andre V Kostylev | Registered representative | Mar 2023 (3y) | ||
| Andrew Joseph Ellermann | Registered representative | CFP | Mar 2023 (3y) | |
| Sandra Kaye Burg | Registered representative | Mar 2023 (3y) | ||
| Ann Ravenel Dickerson | Registered representative | Mar 2023 (3y) | ||
| Todd Mitman | Registered representative | Mar 2023 (3y) | ||
| Jeremy Paul Reese | Registered representative | Mar 2023 (3y) | ||
| Susan Ellen Trass | Registered representative | Mar 2023 (3y) | ||
| Brent Franklin Arnold | Registered representative | CFP | Apr 2023 (3y) | |
| Megan Teresa Caulfield | Registered representative | CFP | Apr 2023 (3y) | |
| Rody Medardo Nunez | Registered representative | Apr 2023 (3y) | ||
| Alicia Margarita Rivera | Registered representative | Apr 2023 (3y) | ||
| Jacob Morales Pais | Registered representative | Apr 2023 (3y) | ||
| Noah Daniel Gonzalez | Registered representative | CFP | Apr 2023 (3y) | |
| Alexander Cochran | Registered representative | Apr 2023 (3y) | ||
| Thomas Richard Delaney | Registered representative | Apr 2023 (3y) | ||
| Collin Robert Deysher | Registered representative | Apr 2023 (3y) | ||
| Kathryn D Medeiros | Registered representative | CFP | Apr 2023 (3y) | |
| Morgan Marie Smith | Registered representative | Apr 2023 (3y) | ||
| Greg Adam Guardiano | Registered representative | Apr 2023 (3y) | ||
| Paul Andrew Caylor | Registered representative | CFP | Apr 2023 (3y) | |
| Christopher Lawrence Ganim | Registered representative | CFP Chartered Financial Consultant | May 2023 (3y) | |
| James Michael Hill | Registered representative | May 2023 (3y) | ||
| Lawrence John Ganim | Registered representative | May 2023 (3y) | ||
| Randall Alan Fisher | Registered representative | May 2023 (3y) | ||
| Christopher Paul Romo | Registered representative | CFP Chartered Financial Consultant | May 2023 (3y) | |
| Jacob B Paoletti | Registered representative | May 2023 (3y) | ||
| Lawrance Malone Johnson | Registered representative | May 2023 (3y) | ||
| Liza Christian Firmin | Registered representative | CFP | May 2023 (3y) | |
| Joshua Hallmark | Registered representative | May 2023 (3y) | ||
| Jonathan Allen Shimer | Registered representative | Jun 2023 (3y) | ||
| Joseph Mills | Registered representative | CFP | Jun 2023 (3y) | |
| Carrie Dawn Cocanour | Registered representative | Jun 2023 (3y) | ||
| Jacob Michael Forschein | Registered representative | Jun 2023 (3y) | ||
| John Harvey Doney | Registered representative | Jun 2023 (3y) | ||
| Jon Christopher Vinge | Registered representative | Jun 2023 (3y) | ||
| Monisha Leigh Potter | Registered representative | CFP | Jun 2023 (3y) | |
| William August Zimmer | Registered representative | CFP | Jun 2023 (3y) | |
| Vance Carrier Brown | Registered representative | Jun 2023 (3y) | ||
| Jennifer Erin San Fillippo | Registered representative | Jun 2023 (3y) | ||
| Joseph Todd Carpenter | Registered representative | Jun 2023 (3y) | ||
| Chelsea Paddock | Registered representative | Jun 2023 (3y) | ||
| Shaun Dumaine | Registered representative | Jul 2023 (3y) | ||
| Keith Levy Traffican | Registered representative | Jul 2023 (3y) | ||
| Douglas E Kish | Registered representative | Jul 2023 (3y) | ||
| Elliott Massey Jordan | Registered representative | Jul 2023 (3y) | ||
| Joshua Samuel Bartholomew | Registered representative | Aug 2023 (3y) | ||
| Thomas Russell Cromer | Registered representative | Aug 2023 (3y) | ||
| George Edwin Cromer | Registered representative | Aug 2023 (3y) | ||
| Diego Alejandro Velasquez | Registered representative | Aug 2023 (3y) | ||
| Mitchell Mailloux | Registered representative | Aug 2023 (3y) | ||
| Dustin Michael Willing | Registered representative | Aug 2023 (3y) | ||
| Lesley Colleen Grannum | Registered representative | CFP | Sep 2023 (3y) | |
| Jackson Sharp | Registered representative | CFP | Sep 2023 (3y) | |
| Susan Caroline Cevette | Registered representative | Sep 2023 (3y) | ||
| Alexander Paslay | Registered representative | CFP | Sep 2023 (3y) | |
| Timothy Lee Cope | Registered representative | Sep 2023 (3y) | ||
| Clifford Louis Giles | Registered representative | Sep 2023 (3y) | ||
| James Steven Tumminelli | Registered representative | Sep 2023 (3y) | ||
| Kyle William Faszholz | Registered representative | Sep 2023 (3y) | ||
| Charles Matthew Fetner | Registered representative | CFP | Sep 2023 (3y) | |
| Hunter Jacob Smith | Registered representative | CFP | Sep 2023 (3y) | |
| Michael Elbert Mullis | Registered representative | Personal Financial Specialist | Sep 2023 (3y) | |
| Derek Wayne Welch | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Aleksandar Krakovic | Registered representative | Oct 2023 (3y) | ||
| Edward Ira Albrecht | Registered representative | Oct 2023 (3y) | ||
| Elad Gad Goren | Registered representative | CFP | Oct 2023 (3y) | |
| Gregory F Lamp | Registered representative | Oct 2023 (3y) | ||
| Jack Dvir | Registered representative | Oct 2023 (3y) | ||
| Kenneth Alan Benedict | Registered representative | CFP | Oct 2023 (3y) | |
| Kevin Michael Tolsma | Registered representative | CFP | Oct 2023 (3y) | |
| Mark Edward Roncoroni | Registered representative | Oct 2023 (3y) | ||
| Richard Alan Norkin | Registered representative | Oct 2023 (3y) | ||
| Shawn Joseph Corkery | Registered representative | CFP | Oct 2023 (3y) | |
| Stephen Cutler Arnold | Registered representative | Oct 2023 (3y) | ||
| Stephen Renden Thomas | Registered representative | CFP | Oct 2023 (3y) | |
| Thomas Earl Wilson | Registered representative | Oct 2023 (3y) | ||
| Daniel Todd Roth | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Joshua Roche | Registered representative | Oct 2023 (3y) | ||
| Christopher Allan Clark | Registered representative | Oct 2023 (3y) | ||
| Hance Stanley Evans | Registered representative | CFP | Oct 2023 (3y) | |
| Ryan Salah | Registered representative | CFP | Oct 2023 (3y) | |
| Todd Harrison Evans | Registered representative | Oct 2023 (3y) | ||
| Anthony Lam | Registered representative | Oct 2023 (3y) | ||
| Preston Charles Hart | Registered representative | Oct 2023 (3y) | ||
| Steven Roy Cox | Registered representative | Oct 2023 (3y) | ||
| Keith Edward Roberts | Registered representative | CFP | Oct 2023 (3y) | |
| Christopher J Maurer | Registered representative | CFP | Oct 2023 (3y) | |
| Malcolm Blake Pfenninger | Registered representative | CFP Chartered Financial Consultant | Oct 2023 (3y) | |
| Debra Lynn Clark | Registered representative | CFP | Oct 2023 (3y) | |
| Lawrence Elie Borger | Registered representative | Oct 2023 (3y) | ||
| Lisa Marie Troutman | Registered representative | Oct 2023 (3y) | ||
| Michael Isaac Cooper | Registered representative | CFP | Oct 2023 (3y) | |
| Keith John Burgess | Registered representative | Nov 2023 (3y) | ||
| David Allen Roper | Registered representative | Personal Financial Specialist | Nov 2023 (3y) | |
| Benjamin James Tutschulte | Registered representative | CFP | Nov 2023 (3y) | |
| Brian Lee Nieuwlandt | Registered representative | Nov 2023 (3y) | ||
| Jason E White | Registered representative | Nov 2023 (3y) | ||
| Jeffrey A Shelton | Registered representative | Nov 2023 (3y) | ||
| Mark Richard Dormire | Registered representative | Nov 2023 (3y) | ||
| Matthew Ellis Marting | Registered representative | Nov 2023 (3y) | ||
| Matthew Eric Fry | Registered representative | CFP | Nov 2023 (3y) | |
| Nathan Allan Shelton | Registered representative | CFP | Nov 2023 (3y) | |
| Piercen Harnish | Registered representative | CFP | Nov 2023 (3y) | |
| Jodie Michelle Booth | Registered representative | Nov 2023 (3y) | ||
| Shamiah Shalette Evans | Registered representative | CFP | Dec 2023 (3y) | |
| Kevin John Mcphee | Registered representative | Jan 2024 (3y) | ||
| Alexander Stanley Les | Registered representative | CFP | Jan 2024 (3y) | |
| Traci C Eisner | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Ross S Layton | Registered representative | Jan 2024 (3y) | ||
| David Paul Rottschafer | Registered representative | CFP | Jan 2024 (3y) | |
| Kathryn Leigh Blake | Registered representative | Feb 2024 (2y) | ||
| Thomas Michael Charon | Registered representative | Feb 2024 (2y) | ||
| Michael Lance Phillips | Registered representative | Feb 2024 (2y) | ||
| Wilson Bartell Wise | Registered representative | Feb 2024 (2y) | ||
| Andrew Zoll | Registered representative | Feb 2024 (2y) | ||
| Joseph Cassese | Registered representative | Mar 2024 (2y) | ||
| Sharyl Suzanne Morris | Registered representative | CFP | Mar 2024 (2y) | |
| James Moyer Mills | Registered representative | Mar 2024 (2y) | ||
| Davis Michael Long | Registered representative | Apr 2024 (2y) | ||
| Dean J Dipierro | Registered representative | Apr 2024 (2y) | ||
| Emilia Bailey | Registered representative | Apr 2024 (2y) | ||
| Scott Anthony Lopresti | Registered representative | Apr 2024 (2y) | ||
| Jeffrey Gerald Thiede | Registered representative | Apr 2024 (2y) | ||
| Charlotte D Campbell | Registered representative | Apr 2024 (2y) | ||
| Stephanie Lee | Registered representative | Apr 2024 (2y) | ||
| Deborah Sharp | Registered representative | Apr 2024 (2y) | ||
| Trevor Austin Bell | Registered representative | CFP | Apr 2024 (2y) | |
| Brendan M Loflin | Registered representative | Apr 2024 (2y) | ||
| Eric Leon Galloway | Registered representative | Apr 2024 (2y) | ||
| David Leslie Weinstock | Registered representative | CFP | Apr 2024 (2y) | |
| Diane M Greer | Registered representative | May 2024 (2y) | ||
| Heidi Lee Oakley | Registered representative | May 2024 (2y) | ||
| Shane Eli Keith | Registered representative | CFP | May 2024 (2y) | |
| Amber Eldorrado | Registered representative | May 2024 (2y) | ||
| Carrie Jane Dick | Registered representative | May 2024 (2y) | ||
| Kevin Michael Dick | Registered representative | May 2024 (2y) | ||
| Robert Anthony Pryhocki | Registered representative | May 2024 (2y) | ||
| Ryan Fanizza | Registered representative | May 2024 (2y) | ||
| David Ryan Shober | Registered representative | May 2024 (2y) | ||
| Steven Collins | Registered representative | May 2024 (2y) | ||
| Caleb Aaron Faulk | Registered representative | May 2024 (2y) | ||
| Rachel Jean Kim | Registered representative | May 2024 (2y) | ||
| Dylan Justice | Registered representative | May 2024 (2y) | ||
| Paul Richard Garwood | Registered representative | May 2024 (2y) | ||
| Anastasia Shadow Martino | Registered representative | May 2024 (2y) | ||
| Michael T Crump | Registered representative | CFP Chartered Financial Consultant | May 2024 (2y) | |
| Kelsey Daugherty | Registered representative | Jun 2024 (2y) | ||
| William E Goff | Registered representative | Jun 2024 (2y) | ||
| Wyatt M Sharpe | Registered representative | CFP | Jun 2024 (2y) | |
| Andrew Pollack | Registered representative | Jun 2024 (2y) | ||
| Auguste Hanna | Registered representative | Jun 2024 (2y) | ||
| Charlie Nicholas Hasel | Registered representative | CFP | Jun 2024 (2y) | |
| Darlene Giz | Registered representative | Jun 2024 (2y) | ||
| Eric Ryan Allen | Registered representative | Jun 2024 (2y) | ||
| Demian Wolters | Registered representative | Jun 2024 (2y) | ||
| Mason Andrew Christmas | Registered representative | Jun 2024 (2y) | ||
| Kenneth Alan Matney | Registered representative | Jul 2024 (2y) | ||
| Joshua Mason Lavigueure | Registered representative | Jul 2024 (2y) | ||
| Scott Gregory Thompson | Registered representative | Jul 2024 (2y) | ||
| Allen N Horak | Registered representative | Jul 2024 (2y) | ||
| Brandyn Dean Shetler | Registered representative | CFP | Jul 2024 (2y) | |
| Edward Alan Davies | Registered representative | Jul 2024 (2y) | ||
| Sean B Halling | Registered representative | Jul 2024 (2y) | ||
| Duncan Graham Campbell | Registered representative | Jul 2024 (2y) | ||
| Stephen Zelcer | Registered representative | Jul 2024 (2y) | ||
| Kevin Michael Filosa | Registered representative | Aug 2024 (2y) | ||
| Luke Hertzler | Registered representative | Aug 2024 (2y) | ||
| Tyler Trombetta | Registered representative | Aug 2024 (2y) | ||
| Michael Trombetta | Registered representative | Aug 2024 (2y) | ||
| Nicole Marie Gatlin | Registered representative | Aug 2024 (2y) | ||
| Gavin Richard Gomsak | Registered representative | Aug 2024 (2y) | ||
| Scott Michael Gomsak | Registered representative | Aug 2024 (2y) | ||
| Daniel Faett | Registered representative | CFP | Aug 2024 (2y) | |
| Scott David Raab | Registered representative | Aug 2024 (2y) | ||
| Michael J Hatch | Registered representative | Aug 2024 (2y) | ||
| Bret L Whiteley | Registered representative | Aug 2024 (2y) | ||
| Cory James Mccune | Registered representative | Aug 2024 (2y) | ||
| Richard Zachary Gannett | Registered representative | Aug 2024 (2y) | ||
| Ashley Marie King | Registered representative | Sep 2024 (2y) | ||
| Chad Alan Keim | Registered representative | Sep 2024 (2y) | ||
| Samuel Rik Yarian | Registered representative | Sep 2024 (2y) | ||
| Sandra Christine Sampias | Registered representative | Sep 2024 (2y) | ||
| Grant Earl Sharkey | Registered representative | Sep 2024 (2y) | ||
| Julie Ann Nored | Registered representative | Sep 2024 (2y) | ||
| Kathryn Marie Cook | Registered representative | Sep 2024 (2y) | ||
| David Joseph Schnall | Registered representative | Sep 2024 (2y) | ||
| William Edward Wagner | Registered representative | Sep 2024 (2y) | ||
| Samuel Legamaro | Registered representative | Sep 2024 (2y) | ||
| Cynthia Luna | Registered representative | Sep 2024 (2y) | ||
| Timothy Vincent Longo | Registered representative | Sep 2024 (2y) | ||
| Changsheng Zhao | Registered representative | CFA | Oct 2024 (2y) | |
| Eric Lee Lyon | Registered representative | Oct 2024 (2y) | ||
| John Thomas Holly | Registered representative | Oct 2024 (2y) | ||
| Kerry L Hoffman | Registered representative | Oct 2024 (2y) | ||
| Matthew Scott Harris | Registered representative | Oct 2024 (2y) | ||
| Myles Scott | Registered representative | Oct 2024 (2y) | ||
| Sean Justin Caplen | Registered representative | Oct 2024 (2y) | ||
| Steven Jay Maurer | Registered representative | Oct 2024 (2y) | ||
| Willard Louis Pugh | Registered representative | Oct 2024 (2y) | ||
| William Thomas Johnson | Registered representative | Oct 2024 (2y) | ||
| Yanbin Zhu | Registered representative | CFP | Oct 2024 (2y) | |
| Russell Edwin Herman | Registered representative | Oct 2024 (2y) | ||
| William John Braun | Registered representative | Oct 2024 (2y) | ||
| Ryan Patrick Griswold | Registered representative | Oct 2024 (2y) | ||
| Abbey Elizabeth Ledoux | Registered representative | Oct 2024 (2y) | ||
| Edward John Grimpe | Registered representative | Oct 2024 (2y) | ||
| Keith Thomas Zdrowak | Registered representative | Oct 2024 (2y) | ||
| Gustavo Aldolfo Chaves | Registered representative | Oct 2024 (2y) | ||
| Eric R Cohen | Registered representative | Oct 2024 (2y) | ||
| Mark William Hamelmann | Registered representative | Oct 2024 (2y) | ||
| Andrew C Craft | Registered representative | CFP Chartered Financial Consultant | Oct 2024 (2y) | |
| Corey Alan Akins | Registered representative | Oct 2024 (2y) | ||
| Jeffrey Bronner | Registered representative | Oct 2024 (2y) | ||
| Jeffrey Paul Artherholt | Registered representative | CFP | Oct 2024 (2y) | |
| Steven Thomas Curry | Registered representative | CFP | Oct 2024 (2y) | |
| William John Berg | Registered representative | CFP | Oct 2024 (2y) | |
| Michael Karl Pankaskie | Registered representative | Oct 2024 (2y) | ||
| Dalton Becker | Registered representative | Nov 2024 (2y) | ||
| Giulio Cannatello | Registered representative | CFP | Nov 2024 (2y) | |
| Justin Peter Winchell | Registered representative | Nov 2024 (2y) | ||
| Andrew Blake Janni | Registered representative | Nov 2024 (2y) | ||
| Barron T Branch | Registered representative | Nov 2024 (2y) | ||
| Eric Michael Johnson | Registered representative | Nov 2024 (2y) | ||
| Lori Mezzetti | Registered representative | Nov 2024 (2y) | ||
| Luis A Neely | Registered representative | Nov 2024 (2y) | ||
| Lynae Douthit | Registered representative | Nov 2024 (2y) | ||
| Vitale Christy | Registered representative | Nov 2024 (2y) | ||
| Christopher J E Carver | Registered representative | Nov 2024 (2y) | ||
| Jonathan Dale Stein | Registered representative | Nov 2024 (2y) | ||
| John G Wesley | Registered representative | Dec 2024 (2y) | ||
| Jason Scott Alicea | Registered representative | Dec 2024 (2y) | ||
| Gary Joseph Delorenzo | Registered representative | CFP | Dec 2024 (2y) | |
| Jonathan Edward Bartholomew | Registered representative | Dec 2024 (2y) | ||
| Konstantinos Kostakis | Registered representative | CFP Chartered Financial Consultant | Dec 2024 (2y) | |
| Matthew Laurence | Registered representative | Dec 2024 (2y) | ||
| Connor John Hall | Registered representative | Dec 2024 (2y) | ||
| Juan Camilo Santamaria | Registered representative | Dec 2024 (2y) | ||
| Richard Shepard Simms | Registered representative | Personal Financial Specialist | Jan 2025 (2y) | |
| Jude Guerin | Registered representative | Jan 2025 (2y) | ||
| Tyler Jordan Weir | Registered representative | Jan 2025 (2y) | ||
| Summer Anne Sawdey | Registered representative | Jan 2025 (2y) | ||
| Rebecca Leigh Jones | Registered representative | Jan 2025 (2y) | ||
| Christopher Lee Milligan | Registered representative | CFA | Jan 2025 (2y) | |
| Scott Charles Fanatico | Registered representative | Jan 2025 (2y) | ||
| Hugo Alberto Marrero | Registered representative | Jan 2025 (2y) | ||
| Alfred C Varano | Registered representative | Jan 2025 (2y) | ||
| Keith E. Long | Registered representative | CFP | Jan 2025 (2y) | |
| Steven Lynn Spong | Registered representative | CFP Chartered Financial Consultant | Jan 2025 (2y) | |
| Christian Frey | Registered representative | Jan 2025 (2y) | ||
| Ryan Jamison Silk | Registered representative | CFP | Jan 2025 (2y) | |
| Chelsey Wahlman | Registered representative | Jan 2025 (2y) | ||
| Daniel Avnaim | Registered representative | Feb 2025 (1y) | ||
| Philip Jordan Olstein | Registered representative | Chartered Financial Consultant | Feb 2025 (1y) | |
| Tristan Boyd | Registered representative | Feb 2025 (1y) | ||
| Jeffrey Michael Lewis | Registered representative | Feb 2025 (1y) | ||
| Nicholas Mark Ellis | Registered representative | Feb 2025 (1y) | ||
| Nicholas Randall Ellis | Registered representative | Feb 2025 (1y) | ||
| Shaun Harold Kimball | Registered representative | Feb 2025 (1y) | ||
| Nathan J De Vaux | Registered representative | Feb 2025 (1y) | ||
| Tara Dempsey Carlson | Registered representative | CFP | Feb 2025 (1y) | |
| Anthony Dennis Cellucci | Registered representative | Mar 2025 (1y) | ||
| Brian Michael Menickella | Registered representative | Mar 2025 (1y) | ||
| Deborah Rochelle Yurchak | Registered representative | Mar 2025 (1y) | ||
| Dixon Andrew Speaker | Registered representative | CFP | Mar 2025 (1y) | |
| John Raymond Kugel | Registered representative | Mar 2025 (1y) | ||
| Sean Francis Menickella | Registered representative | Mar 2025 (1y) | ||
| Wayne Griffith Thompson | Registered representative | Mar 2025 (1y) | ||
| James E La Brecque | Registered representative | CFP | Mar 2025 (1y) | |
| Robert Apple | Registered representative | Mar 2025 (1y) | ||
| Michael Paul Mc Means | Registered representative | CFP | Mar 2025 (1y) | |
| Seth Rivers | Registered representative | CFP Chartered Financial Consultant | Mar 2025 (1y) | |
| Melanie Kay Jacobsen | Registered representative | Mar 2025 (1y) | ||
| Yasmine Brooks | Registered representative | Mar 2025 (1y) | ||
| Todd Forrest Summers | Registered representative | Mar 2025 (1y) | ||
| Dennis Lee Fesser | Registered representative | Mar 2025 (1y) | ||
| Kathleen Elizabeth Kempson | Registered representative | CFP | Mar 2025 (1y) | |
| Ryan William Hoover | Registered representative | CFP | Apr 2025 (1y) | |
| Daniel Wagner | Registered representative | Apr 2025 (1y) | ||
| Dalton Horton | Registered representative | Apr 2025 (1y) | ||
| Manuel Alejandro Velasquez | Registered representative | Apr 2025 (1y) | ||
| Graeme Lee | Registered representative | Apr 2025 (1y) | ||
| Juan A Garcia | Registered representative | Apr 2025 (1y) | ||
| Shane Evans Fritts | Registered representative | Apr 2025 (1y) | ||
| Edward William Schuler | Registered representative | Chartered Financial Consultant | Apr 2025 (1y) | |
| Debra Ann Palacios | Registered representative | May 2025 (1y) | ||
| Curtis Leonard Mazer | Registered representative | May 2025 (1y) | ||
| Haley Hoskin | Registered representative | May 2025 (1y) | ||
| Jason Priebe | Registered representative | CFP | May 2025 (1y) | |
| Michael Challe | Registered representative | CFP | May 2025 (1y) | |
| Anne Schumann Buck | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Jeremiah Pizana | Registered representative | May 2025 (1y) | ||
| Chantel Rae Luke | Registered representative | May 2025 (1y) | ||
| Jamie Michael Grupe | Registered representative | CFP | May 2025 (1y) | |
| Britt Edward Hockenberry | Registered representative | CFP | May 2025 (1y) | |
| Chenchen Yin | Registered representative | May 2025 (1y) | ||
| Thomas Elliott Jackson | Registered representative | CFP | May 2025 (1y) | |
| Scott Alex Cavazos | Registered representative | Jun 2025 (1y) | ||
| Stephanie Baines Bowens | Registered representative | Jun 2025 (1y) | ||
| Colleen Marie Marchetti | Registered representative | Jun 2025 (1y) | ||
| Richard Lee Yontz | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Richard J Finley | Registered representative | Jun 2025 (1y) | ||
| Gerald Howard Denney | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Christina Renee Garland | Registered representative | Jun 2025 (1y) | ||
| Genevieve Marie Zeletz | Registered representative | Jun 2025 (1y) | ||
| Brian Dubreuil | Registered representative | Jun 2025 (1y) | ||
| Kai Matthew Swick | Registered representative | Jun 2025 (1y) | ||
| Thomas Peter Machuga | Registered representative | Chartered Financial Consultant Personal Financial Specialist | Jun 2025 (1y) | |
| Brian Hayden Solomon | Registered representative | Jun 2025 (1y) | ||
| Tamaris Conkleton | Registered representative | Jun 2025 (1y) | ||
| David Michael Mangano | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| James Audas | Registered representative | CFP | Jul 2025 (1y) | |
| David Clinton Hill | Registered representative | Jul 2025 (1y) | ||
| David Haldeman | Registered representative | Jul 2025 (1y) | ||
| Julie Anne Wendholt | Registered representative | CFP | Jul 2025 (1y) | |
| Thomas Michael Brosnan | Registered representative | Jul 2025 (1y) | ||
| Howard Lee Perlroth | Registered representative | Jul 2025 (1y) | ||
| Nicholas Edward Stern | Registered representative | CFP | Jul 2025 (1y) | |
| Janice M Swickard | Registered representative | Jul 2025 (1y) | ||
| Timothy Scott Swickard | Registered representative | CFP | Jul 2025 (1y) | |
| Suzanne Banzet | Registered representative | CFP | Jul 2025 (1y) | |
| Trey Fankhouser | Registered representative | Jul 2025 (1y) | ||
| Mary M Glaser | Registered representative | Jul 2025 (1y) | ||
| Alexander James Saulon | Registered representative | CFP | Jul 2025 (1y) | |
| Chad Alexander Roland | Registered representative | Jul 2025 (1y) | ||
| Eric James | Registered representative | Jul 2025 (1y) | ||
| Ian Kahil | Registered representative | CFP | Jul 2025 (1y) | |
| Jeffrey Michael Wolf | Registered representative | Jul 2025 (1y) | ||
| Joel Courtney White | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Mason Keith Adams | Registered representative | Jul 2025 (1y) | ||
| Matthew Morrison Borders | Registered representative | Jul 2025 (1y) | ||
| Michael A Fish | Registered representative | Jul 2025 (1y) | ||
| Peter Anthony Damico | Registered representative | Jul 2025 (1y) | ||
| Robert Blair Roland | Registered representative | Jul 2025 (1y) | ||
| Ronald James Lomangino | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| William Andrew Grundig | Registered representative | Jul 2025 (1y) | ||
| William George James | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Alfred Joseph Polizzotto | Registered representative | CFP | Aug 2025 (1y) | |
| Eric Scott Colella | Registered representative | Aug 2025 (1y) | ||
| Easton Cole Huddleston | Registered representative | Aug 2025 (1y) | ||
| Gregory James Vance | Registered representative | Aug 2025 (1y) | ||
| James William Duclos | Registered representative | Aug 2025 (1y) | ||
| Kevin Hutnik | Registered representative | Aug 2025 (1y) | ||
| Elizabeth Vickers Absher | Registered representative | Aug 2025 (1y) | ||
| James F Maguire | Registered representative | Aug 2025 (1y) | ||
| Keith Donald Green | Registered representative | Aug 2025 (1y) | ||
| Stuart Wayne Benjamin | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Zackery Evan Benjamin | Registered representative | Aug 2025 (1y) | ||
| Randi Nicole Howard | Registered representative | Aug 2025 (1y) | ||
| Adam R Horde | Registered representative | Aug 2025 (1y) | ||
| Carrie Jean Robson | Registered representative | Aug 2025 (1y) | ||
| James Joseph Galante | Registered representative | Aug 2025 (1y) | ||
| Samuel David Udall | Registered representative | Aug 2025 (1y) | ||
| Trace Cowley Udall | Registered representative | CFP | Aug 2025 (1y) | |
| Mark Douglas Erwin | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Megan Elizabeth Johnson | Registered representative | CFP | Aug 2025 (1y) | |
| Michael David Lambrix | Registered representative | Aug 2025 (1y) | ||
| Michael Duncan | Registered representative | Aug 2025 (1y) | ||
| Jared Mc Coy | Registered representative | Aug 2025 (1y) | ||
| Fred Michael Apodaca | Registered representative | CFP | Aug 2025 (1y) | |
| Dylan Birkinsha | Registered representative | CFP | Aug 2025 (1y) | |
| Onterio Devone Graham | Registered representative | Aug 2025 (1y) | ||
| Zachary Craig Reichenbach | Registered representative | CFA | Aug 2025 (1y) | |
| John Armistead Tyler Browning | Registered representative | Aug 2025 (1y) | ||
| Michael Wessel | Registered representative | CFP CFA | Aug 2025 (1y) | |
| Sean Buckley | Registered representative | CFP | Aug 2025 (1y) | |
| Tera Christine Myers | Registered representative | Aug 2025 (1y) | ||
| Jeffrey Scott Southern | Registered representative | CFP CFA | Aug 2025 (1y) | |
| Craig Gary Richman | Registered representative | Chartered Financial Consultant | Aug 2025 (1y) | |
| Andy P Bacaylan | Registered representative | CFP | Aug 2025 (1y) | |
| Anthony James Remund | Registered representative | CFP | Aug 2025 (1y) | |
| Javier Roman Canales Bullock | Registered representative | Aug 2025 (1y) | ||
| Christie Caliva | Registered representative | Sep 2025 (1y) | ||
| John Egan | Registered representative | CFP | Sep 2025 (1y) | |
| Kurt Eldon Eakin | Registered representative | CFP | Sep 2025 (1y) | |
| Gregory Robert Sheehan | Registered representative | Sep 2025 (1y) | ||
| James Robert Luckey | Registered representative | Sep 2025 (1y) | ||
| Malcolm David Walker | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Marc Allen Wilkins | Registered representative | Sep 2025 (1y) | ||
| Mary Lou Cousineau | Registered representative | Sep 2025 (1y) | ||
| Richard Gregory Hana | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Criss G. Woodruff | Registered representative | Sep 2025 (1y) | ||
| Jennifer A Cooke | Registered representative | Sep 2025 (1y) | ||
| Jodi M Woodruff | Registered representative | Sep 2025 (1y) | ||
| Mary Jane Callaghan | Registered representative | Sep 2025 (1y) | ||
| Mitchell Eric Glicksman | Registered representative | CFP | Sep 2025 (1y) | |
| Lance Edward Nelson | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Edward James Collins | Registered representative | Sep 2025 (1y) | ||
| Margaret Sullivan | Registered representative | Chartered Financial Consultant | Sep 2025 (1y) | |
| Phoebe O'keeffe | Registered representative | Sep 2025 (1y) | ||
| Peter John Coulon | Registered representative | Sep 2025 (1y) | ||
| Thomas Savone | Registered representative | Sep 2025 (1y) | ||
| Trenton Anthony Williams | Registered representative | Sep 2025 (1y) | ||
| Carol Castillo | Registered representative | Sep 2025 (1y) | ||
| Avraham Roberts | Registered representative | CFP | Sep 2025 (1y) | |
| Rex Zhao | Registered representative | Sep 2025 (1y) | ||
| Brandt Baldwin | Registered representative | Sep 2025 (1y) | ||
| Cheryl Jean Grochowski | Registered representative | CFP | Sep 2025 (1y) | |
| Elizabeth Karen Kietzman | Registered representative | CFP | Sep 2025 (1y) | |
| Jeffrey Craig Tiber | Registered representative | Sep 2025 (1y) | ||
| David Hsieh | Registered representative | Sep 2025 (1y) | ||
| Chelsey Johnson Munn | Registered representative | Sep 2025 (1y) | ||
| Jacob Michael Davidson | Registered representative | Sep 2025 (1y) | ||
| Leah A. Paul | Registered representative | Sep 2025 (1y) | ||
| Michael Mechab Milbee | Registered representative | CFP | Sep 2025 (1y) | |
| Roger Dale Hudgins | Registered representative | Sep 2025 (1y) | ||
| Jessica Katy Brendell | Registered representative | Sep 2025 (1y) | ||
| Warren M Schneider | Registered representative | Sep 2025 (1y) | ||
| David Joseph Shoemaker | Registered representative | CFP Personal Financial Specialist | Sep 2025 (1y) | |
| Robert Joseph Iannaccone | Registered representative | Sep 2025 (1y) | ||
| Michael S. Radcliff | Registered representative | CFP | Sep 2025 (1y) | |
| Daniel Antonino Sparta | Registered representative | CFP | Oct 2025 (1y) | |
| Douglas R Mavilia | Registered representative | CFP | Oct 2025 (1y) | |
| Justin Helou | Registered representative | Oct 2025 (1y) | ||
| Lindsey A Hardy | Registered representative | Oct 2025 (1y) | ||
| Peter J Smith | Registered representative | CFP | Oct 2025 (1y) | |
| Peter Vincent Donohoe | Registered representative | CFP | Oct 2025 (1y) | |
| Timothy Andrew Ryan | Registered representative | Oct 2025 (1y) | ||
| Michele M Beernink | Registered representative | Oct 2025 (1y) | ||
| Wendy K. Oliver | Registered representative | Oct 2025 (1y) | ||
| James Edward Durand | Registered representative | CFA | Oct 2025 (1y) | |
| Robert George Abel | Registered representative | Oct 2025 (1y) | ||
| Chandler Neil Batts | Registered representative | Oct 2025 (1y) | ||
| Matthew Kelly Logan | Registered representative | CFP | Oct 2025 (1y) | |
| Tayler Honeycutt | Registered representative | Oct 2025 (1y) | ||
| Jason Robert Dohaney | Registered representative | Oct 2025 (1y) | ||
| Nicholas Cerullo | Registered representative | Oct 2025 (1y) | ||
| Gabriel Umana | Registered representative | Oct 2025 (1y) | ||
| Andrew Langford | Registered representative | Oct 2025 (1y) | ||
| Seth A Shepard | Registered representative | Oct 2025 (1y) | ||
| Jill Monica Ruckle | Registered representative | Oct 2025 (1y) | ||
| Nicole Brianne Taggart | Registered representative | Oct 2025 (1y) | ||
| Lewis John Martin | Registered representative | CFP | Oct 2025 (1y) | |
| David Rohdin Peerboom | Registered representative | CFP | Nov 2025 (1y) | |
| James Randall Martinus | Registered representative | CFP Chartered Financial Consultant | Nov 2025 (1y) | |
| Kimberly Akins Young | Registered representative | Nov 2025 (1y) | ||
| Page Grant Pittman | Registered representative | CFP | Nov 2025 (1y) | |
| Thomas Gregory Karlen | Registered representative | Nov 2025 (1y) | ||
| Brian Thomas Connelly | Registered representative | Nov 2025 (1y) | ||
| Michael Thomas Kidd | Registered representative | Nov 2025 (1y) | ||
| Collin Lane Boyd | Registered representative | Nov 2025 (1y) | ||
| Pranish Kantesaria | Registered representative | Nov 2025 (1y) | ||
| Amanda Mc Kenna | Registered representative | CFP | Nov 2025 (1y) | |
| Kristen Marie Hemmings | Registered representative | CFP | Nov 2025 (1y) | |
| Michael W Cooley | Registered representative | CFP | Nov 2025 (1y) | |
| Shana Bielich | Registered representative | CFP | Nov 2025 (1y) | |
| Carrie Coghill | Registered representative | CFP | Nov 2025 (1y) | |
| Jake H. Karp | Registered representative | Nov 2025 (1y) | ||
| Alecia Lauretta Modahl | Registered representative | CFP | Nov 2025 (1y) | |
| Courtney Nicole Hicks | Registered representative | Nov 2025 (1y) | ||
| Kent Ransford Griffiths | Registered representative | Nov 2025 (1y) | ||
| Michael James Wren | Registered representative | Nov 2025 (1y) | ||
| Tyler Schlater | Registered representative | CFP | Dec 2025 (1y) | |
| Joel Patrick Shomaker | Registered representative | CFP | Dec 2025 (1y) | |
| Donald Patrick Thornton | Registered representative | CFP | Dec 2025 (1y) | |
| Marietta Lucile Payne | Registered representative | Dec 2025 (1y) | ||
| Elijah Desmond | Registered representative | Dec 2025 (1y) | ||
| Ryan Theodore Heck | Registered representative | Dec 2025 (1y) | ||
| Corinne Capano | Registered representative | CFP | Dec 2025 (1y) | |
| Javier Michael Bento | Registered representative | Dec 2025 (1y) | ||
| Larry Charles Singleton | Registered representative | Dec 2025 (1y) | ||
| Adam Andres Vigil | Registered representative | CFP Chartered Financial Consultant | Dec 2025 (1y) | |
| Noah Kittredge Lee Griffin | Registered representative | Dec 2025 (1y) | ||
| Jae I Kim | Registered representative | Jan 2026 (1y) | ||
| Heather E Hawley | Registered representative | CFP | Jan 2026 (1y) | |
| Jodi Patman | Registered representative | Jan 2026 (1y) | ||
| John Dobies | Registered representative | Jan 2026 (1y) | ||
| Charles Evans Roe | Registered representative | CFP | Jan 2026 (1y) | |
| Jason Robert Harmon | Registered representative | CFP | Jan 2026 (1y) | |
| Joseph Anthony Jiovenetta | Registered representative | Jan 2026 (1y) | ||
| Vincent Mark Jiovenetta | Registered representative | CFP | Jan 2026 (1y) | |
| Arron Preston Miller | Registered representative | Jan 2026 (1y) | ||
| Casey Thompson Sclar | Registered representative | Jan 2026 (1y) | ||
| Erin L Luise | Registered representative | Jan 2026 (1y) | ||
| Joseph Frank Kroleski | Registered representative | Jan 2026 (1y) | ||
| Carly M Neidecker | Registered representative | CFP | Jan 2026 (1y) | |
| Cameron Sean Freeman | Registered representative | CFP | Jan 2026 (1y) | |
| James Douglas Freeman | Registered representative | CFP | Jan 2026 (1y) | |
| Kaitlyn Rothaus | Registered representative | CFP | Jan 2026 (1y) | |
| Trenton T Hazen | Registered representative | Jan 2026 (1y) | ||
| Donald Lee Albacker | Registered representative | CFP | Jan 2026 (1y) | |
| James Christopher Lynch | Registered representative | Jan 2026 (1y) | ||
| Michael Thomas Lam | Registered representative | CFP | Jan 2026 (1y) | |
| Robert Jackson Webb | Registered representative | CFP | Jan 2026 (1y) | |
| Marc Gregory Menickella | Registered representative | Jan 2026 (1y) | ||
| Harrison Heffley | Registered representative | Feb 2026 (0y) | ||
| Ethan Mottla | Registered representative | Feb 2026 (0y) | ||
| James Michael Williams | Registered representative | Feb 2026 (0y) | ||
| Michael Dahill | Registered representative | Feb 2026 (0y) | ||
| Aaron Sturm | Registered representative | Feb 2026 (0y) | ||
| Charles Manoog | Registered representative | Feb 2026 (0y) | ||
| Fadel Krisht | Registered representative | Feb 2026 (0y) | ||
| Luz Natalia Fuentes | Registered representative | Feb 2026 (0y) | ||
| Brandon James Grocki | Registered representative | CFP | Feb 2026 (0y) | |
| Todd J Jakubik | Registered representative | CFP | Feb 2026 (0y) | |
| Michael Antonio Mincone | Registered representative | Feb 2026 (0y) | ||
| Paul Joseph Scileppi | Registered representative | Feb 2026 (0y) | ||
| Alexandra Lindsay Collins Anderson | Registered representative | Feb 2026 (0y) | ||
| David Marc Mizrahi | Registered representative | Feb 2026 (0y) | ||
| Jake M Mizrahi | Registered representative | Feb 2026 (0y) | ||
| Joseph Francis Peterson | Registered representative | Feb 2026 (0y) | ||
| Sam Javanmard | Registered representative | Feb 2026 (0y) | ||
| Tyler W Cotten | Registered representative | Feb 2026 (0y) | ||
| Madeline Weber | Registered representative | Feb 2026 (0y) | ||
| Dakota Tate | Registered representative | Mar 2026 (0y) | ||
| Elias Martinez | Registered representative | Mar 2026 (0y) | ||
| James Stephen Davos | Registered representative | CFP | Mar 2026 (0y) | |
| George Michael Bowen | Registered representative | CFP | Mar 2026 (0y) | |
| Andrea Kenner | Registered representative | Mar 2026 (0y) | ||
| Braiden Daniel Scarpa | Registered representative | Mar 2026 (0y) | ||
| Min Sub Song | Registered representative | Mar 2026 (0y) | ||
| Olesya Reyenger | Registered representative | CFA | Mar 2026 (0y) | |
| Cecil Mack Deas | Registered representative | Mar 2026 (0y) | ||
| John Vassello | Registered representative | Mar 2026 (0y) | ||
| Adam R Hammer | Registered representative | Apr 2026 (0y) | ||
| Eric William Connor | Registered representative | CFP | Apr 2026 (0y) | |
| Leslie A Evans Dunn | Registered representative | Apr 2026 (0y) | ||
| Paul Robert Hammer | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Austin Bayne Smith | Registered representative | Apr 2026 (0y) | ||
| Hunter Anderson | Registered representative | Apr 2026 (0y) | ||
| Daniel Mark Schwamb | Registered representative | Apr 2026 (0y) | ||
| David Elias Sawan | Registered representative | Apr 2026 (0y) | ||
| Anthony Nicholas Frazzetta | Registered representative | Apr 2026 (0y) | ||
| Ivan Magalhaes Dos Santos | Registered representative | CFP | Apr 2026 (0y) | |
| Lauren Shae Summers | Registered representative | Apr 2026 (0y) | ||
| Luke Daniel Vasilj | Registered representative | Apr 2026 (0y) | ||
| Abigail Lane Lovaglio | Registered representative | Apr 2026 (0y) | ||
| Erin M Abeln | Registered representative | Apr 2026 (0y) | ||
| Kenneth Richard Koppitz | Registered representative | Apr 2026 (0y) | ||
| Kimberly Kay Mika | Registered representative | Apr 2026 (0y) | ||
| Nancy Jo Hayes | Registered representative | Apr 2026 (0y) | ||
| Brandy Nicole Friend | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Jonathan Abbuhl | Registered representative | May 2026 (0y) | ||
| Luke Allen Washburn | Registered representative | May 2026 (0y) | ||
| Melissa Rempe Holt | Registered representative | May 2026 (0y) | ||
| Casey John Robinson | Registered representative | CFP | May 2026 (0y) | |
| Corbin Michael Jones | Registered representative | May 2026 (0y) | ||
| Christopher Lo Sardo | Registered representative | May 2026 (0y) | ||
| Antoinette Gega | Registered representative | Chartered Financial Consultant | May 2026 (0y) | |
| Chester Oliver Gordon | Registered representative | CFP | May 2026 (0y) | |
| Joseph P Silvestri | Registered representative | CFP Chartered Financial Consultant | May 2026 (0y) | |
| Laurie Anne Cookson Silvestri | Registered representative | May 2026 (0y) | ||
| Michael John Feeney | Registered representative | May 2026 (0y) | ||
| Patrice Rizzo | Registered representative | CFP | May 2026 (0y) | |
| Samantha Walker | Registered representative | May 2026 (0y) | ||
| Linda Lucille Vigil | Registered representative | May 2026 (0y) | ||
| Raymond Jerome Luce | Registered representative | May 2026 (0y) | ||
| Daniel Bendheim | Registered representative | May 2026 (0y) | ||
| Ryne Travis Hays | Registered representative | May 2026 (0y) | ||
| Daniel Cheng | Registered representative | May 2026 (0y) | ||
| Jamaal S Alexis | Registered representative | Jun 2026 (0y) | ||
| David Edward Floyd | Registered representative | Jun 2026 (0y) | ||
| Jodi Lynn Manthei | Registered representative | Jun 2026 (0y) | ||
| Kyle John Manthei | Registered representative | Jun 2026 (0y) | ||
| Kristen Dawn Massie | Registered representative | Jun 2026 (0y) | ||
| Matthew Zac Rose | Registered representative | Jun 2026 (0y) | ||
| Michelle Lynn Beyers | Registered representative | Jun 2026 (0y) | ||
| Austen Karr | Registered representative | Jun 2026 (0y) | ||
| Nicholas Nicaj | Registered representative | Jun 2026 (0y) | ||
| Baylis Jadamec | Registered representative | CFP | Jun 2026 (0y) | |
| Roan Patrick Sullivan | Registered representative | Jun 2026 (0y) | ||
| Craig Pais | Registered representative | Jun 2026 (0y) | ||
| Jack Malandra | Registered representative | Jun 2026 (0y) | ||
| Dylan Hansen | Registered representative | CFP | Jun 2026 (0y) | |
| Glenn Jay Hansen | Registered representative | CFP | Jun 2026 (0y) | |
| Matthew Joseph Sullivan | Registered representative | Jun 2026 (0y) | ||
| Carlos Francisco Rosado | Registered representative | Jun 2026 (0y) | ||
| John Matthew Ross | Registered representative | Jun 2026 (0y) | ||
| Melanie L Migneault | Registered representative | Jun 2026 (0y) | ||
| Jeffrey Roland Migneault | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Patrick Devlin Atwood | Registered representative | Jun 2026 (0y) | ||
| Mani Dwight Grant | Registered representative | CFP | Jun 2026 (0y) | |
| Daniel Earl See | Registered representative | Jun 2026 (0y) | ||
| Amanda B Pryor | Registered representative | Jun 2026 (0y) | ||
| Amy K Bonzon | Registered representative | CFP | Jun 2026 (0y) | |
| Justin Snowden | Registered representative | CFP | Jun 2026 (0y) | |
| Shannon Marie Harris | Registered representative | CFP | Jun 2026 (0y) | |
| Sarah Anne Walsh | Registered representative | CFP | Jun 2026 (0y) | |
| Steven Burkhart | Registered representative | Jun 2026 (0y) | ||
| Marissa Marie Landin | Registered representative | Jul 2026 (0y) | ||
| Nihad Basic | Registered representative | CFP | Jul 2026 (0y) | |
| Tanisha D Wilson | Registered representative | Jul 2026 (0y) | ||
| Kelly Apple | Registered representative | Jul 2026 (0y) | ||
| Andrew Brief | Registered representative | Jul 2026 (0y) | ||
| George Francis Reilly | Registered representative | CFP | Jul 2026 (0y) | |
| John Milligan | Registered representative | CFP | Jul 2026 (0y) | |
| Zachary M Brady | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Kestra Financial, Inc. | Managing Member | Oct 2014 | A | 75% or more |
| Kestra Advisor Services Holdings C, Inc | Owner | Oct 2014 | B | ≈ 56.25% – 100% via Kestra Financial, Inc. |
| Kestra Advisor Services Holdings B, Inc | Owner | Oct 2014 | B | ≈ 42.19% – 100% via Kestra Advisor Services Holdings C, Inc |
| Kestra Advisor Services Holdings A, Inc | Owner | Oct 2014 | B | ≈ 31.64% – 100% via Kestra Advisor Services Holdings B, Inc |
| Kingfisher Holding, L.P. | Owner | Jun 2019 | B | ≈ 13.35% – 100% via Kingfisher Holding A, Inc. |
| Kingfisher Holding B, Inc. | Owner | Jun 2019 | B | ≈ 23.73% – 100% via Kestra Advisor Services Holdings A, Inc |
| Kingfisher Holding A, Inc. | Owner | Jun 2019 | B | ≈ 17.8% – 100% via Kingfisher Holding B, Inc. |
| Warburg Pincus Financial Sector, L.P. | Limited Partner | Jun 2019 | B | ≈ 3.34% – 50% via Kingfisher Holding, L.P. |
| Ohcp Vi Enzo Aggregator, L.P. | Owner | Feb 2023 | B | ≈ 3.34% – 50% via Kingfisher Holding, L.P. |
| Oak Hill Capital Partners Vi (Onshore), L.P. | Owner | Feb 2023 | B | ≈ 0.83% – 25% via Ohcp Vi Enzo Aggregator, L.P. |
| Oak Hill Capital Partners Vi (Te 892), L.P. | Owner | Feb 2023 | B | ≈ 0.83% – 25% via Ohcp Vi Enzo Aggregator, L.P. |
| Kingfisher Holding Gp, Llc | General Partner | Jun 2019 | B | GP / trustee / elected manager of Kingfisher Holding, L.P. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kestra Advisor Services Holdings C, Inc: 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Kestra Advisor Services Holdings B, Inc: 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Kestra Advisor Services Holdings A, Inc: 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Kingfisher Holding, L.P.: 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc × 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 13.35% – 100% of the firm
- Kingfisher Holding B, Inc.: 75% – 100% of Kestra Advisor Services Holdings A, Inc × 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Kingfisher Holding A, Inc.: 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc × 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 17.8% – 100% of the firm
- Warburg Pincus Financial Sector, L.P.: 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc × 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 3.34% – 50% of the firm
- Ohcp Vi Enzo Aggregator, L.P.: 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc × 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 3.34% – 50% of the firm
- Oak Hill Capital Partners Vi (Onshore), L.P.: 25% – 50% of Ohcp Vi Enzo Aggregator, L.P. × 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc × 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 0.83% – 25% of the firm
- Oak Hill Capital Partners Vi (Te 892), L.P.: 25% – 50% of Ohcp Vi Enzo Aggregator, L.P. × 25% – 50% of Kingfisher Holding, L.P. × 75% – 100% of Kingfisher Holding A, Inc. × 75% – 100% of Kingfisher Holding B, Inc. × 75% – 100% of Kestra Advisor Services Holdings A, Inc × 75% – 100% of Kestra Advisor Services Holdings B, Inc × 75% – 100% of Kestra Advisor Services Holdings C, Inc × 75% – 100% of Kestra Financial, Inc. × 75% – 100% direct ≈ 0.83% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (100)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| United Methodist Homes 401(k) Plan | United Methodist Homes, Inc. | 0 | $0 | 01/01/2025 |
| Signet Electronic Systems 401(k) Plan | Signet Electronic Systems, Llc | 0 | $0 | 11/01/2024 |
| Nuaire, Inc. Employees' Profit Sharing And 401(k) Plan | Nuaire, Inc. | 244 | $34.3M | 10/01/2024 |
| The Crisis Center Of Tampa Bay, Inc. 401(k) Plan | The Crisis Center Of Tampa Bay, Inc. | 333 | $6.9M | 10/01/2024 |
| S.H. Tevis & Son, Inc. Employees' 401 K Profit Sharing Plan | S.H. Tevis & Son Inc. | 233 | $17.0M | 10/01/2024 |
| H & M Wagner & Sons, Inc. 401 (K) Profit Sharing Plan And Trust | H & M Wagner & Sons, Inc. | 117 | $11.3M | 10/01/2024 |
| Perkins School For The Blind Retirement Plan | Perkins School For The Blind | 638 | $80.2M | 09/01/2024 |
| The Bolles School Retirement Plan | The Bolles School | 286 | $68.9M | 08/01/2024 |
| Ucp Of Central Florida 403(b) Plan | United Cerebral Palsy Of Central Florida | 715 | $5.5M | 07/01/2024 |
| Vermont Adult Learning Retirement Plan | Vermont Adult Learning | 93 | $4.3M | 07/01/2024 |
| Kipp Capital Region Public Schools 403(b) Plan | Kipp Capital Region Public Schools | 335 | $12.5M | 07/01/2024 |
| Green Circle Growers, Inc 401(k) Retirement Plan | Green Circle Growers, Inc. | 757 | $37.1M | 07/01/2024 |
| Trinity Pawling School Retirement Plan | Trinity Pawling School | 112 | $33.7M | 07/01/2024 |
| The Loomis Institute Pension Plan | Loomis Chaffee School | 303 | $126M | 07/01/2024 |
| Section 403(b) Retirement Plan For Optimus Health Care, Inc. | Optimus Health Care, Inc. | 356 | $28.6M | 07/01/2024 |
| Hopeful Journeys Educational Center, Inc 401(k) Profit Sharing Plan | Hopeful Journeys Educational Center, Inc | 132 | $6.1M | 07/01/2024 |
| The Mccall Foundation, Inc. Retirement Savings Plan | The Mccall Foundation, Inc. | 199 | $6.2M | 07/01/2024 |
| Eya Tax Sheltered 403(b) Plan | Eckerd Youth Alternatives, Inc. | 1,862 | $42.4M | 07/01/2024 |
| Baywood Court Employee Savings Plan | Baywood Court | 222 | $10.0M | 07/01/2024 |
| Kipp Dc Retirement Plan | Kipp Dc Public Charter Schools | 1,411 | $123M | 07/01/2024 |
| I.B.E.W. Local 300 Unit 1 Pension Plan | International Brotherhood Of Electrical Workers Local 300 Unit 1 | 184 | $38.8M | 07/01/2024 |
| Euphemia L. Haynes Public Charter School, Inc. 403(b) Plan | Euphemia L. Haynes Public Charter School, Inc. | 194 | $13.6M | 07/01/2024 |
| Allen Chase Foundation Dba Eaglebrook School Defined Contribution Retirement Plan | Allen Chase Foundation Dba Eaglebrook School | 171 | $48.5M | 07/01/2024 |
| Princeton Day School 403(b) Plan | Princeton Day School | 281 | $112M | 07/01/2024 |
| Trustees Of Deerfield Academy Defined Contribution Retirement Plan | Trustees Of Deerfield Academy | 405 | $156M | 07/01/2024 |
Top 25 of 100 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/20/2026 | 3.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2)
as of Nov 08, 2024
Allegations: COMMONWEALTH OF MASSACHUSETTS ALLEGED FAILURE TO REGISTER INVESTMENT ADVISER REPRESENTATIVES WHO HAD A PLACE OF BUSINESS IN MASSACHUSETTS AND ENSURE INVESTMENT ADVISER REPRESENTATIVES WERE PROPERLY REGISTERED WITH THE COMMONWEALTH. Status: Final Sanction Detail: MONETARY FINE OF $100,000 PAID ON 07/26/2016 Summary: MONETARY FINE OF $100,000 PAID AND MASSACHUSETTS INVESTMENT ADVISER REPRESENTATIVE REGISTRATION PROCEDURES UPDATED TO REFLECT REGISTRATION REQUIREMENTS.
Regulatory · Item 11.D(2), 11.D(4)
as of Nov 08, 2024
Allegations: JONATHAN ALLEN SHIMER (CRD#2938700) OPERATED AS AN INVESTMENT ADVISER REPRESENTATIVE IN THE STATE OF NORTH CAROLINA ("NC") WITHOUT PROPER REGISTRATION. KESTRA ADVISORY SERVICES, LLC ("KAS") FAILED TO TRANSFER HIS DISTRICT OF COLUMBIA INVESTMENT ADVISER REGISTRATION AFTER MOVING TO NC. Status: Final Sanction Detail: CEASE AND DESIST. FINES AND ADMINISTRATIVE FEES WERE PAID BY KESTRA ADVISORY SERVICES, LLC ON JUNE 5, 2023. Summary: SHIMER'S IAR REGISTRATION WAS NOT TRANSFERRED TO NORTH CAROLINA WHEN HE RELOCATED TO THE STATE.
Regulatory
as of Nov 08, 2024
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLICINTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE,INSTITUTED PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940("ADVISERS ACT") AGAINST KESTRA ADVISORY SERVICES, LLC ("KESTRA AS" OR "RESPONDENT"). THE COMMISSION FINDS THAT KESTRA AS, A REGISTERED INVESTMENT ADVISER, BREACHED ITS FIDUCIARY DUTY TO ADVISORY CLIENTS BY FAILING TO PROVIDE FULL AND FAIR DISCLOSURE REGARDING TWO TYPES OF COMPENSATION PAID TO ITS PREDECESSOR FIRM AND AFFILIATED BROKER. FIRST, SINCE AT LEAST JANUARY 2014, THE AFFILIATED BROKER RECEIVED REVENUE SHARING PAYMENTS FROM AN UNAFFILIATED CLEARING BROKER ("CLEARING BROKER") AS ARESULT OF KESTRA AS'S ADVISORY CLIENTS' INVESTMENTS IN CERTAIN MUTUAL FUNDS. CERTAIN OF THE MUTUAL FUNDS THAT PAID REVENUE SHARING WERE MORE EXPENSIVE THAN LOWER-COST OPTIONS AVAILABLE TO CLIENTS, INCLUDING INSTANCES WHEN THERE WERE LOWER-COST SHARE CLASSES OF THE SAME MUTUAL FUNDS AVAILABLE TO CLIENTS THAT DID NOT RESULT IN ANY REVENUE SHARING. SECOND, SINCE AT LEAST JANUARY 2014, THE AFFILIATED BROKER RECEIVED COMPENSATION RESULTING FROM TRANSACTION FEES CHARGED ON MUTUAL FUND TRADES AND NON-TRANSACTION FEES FOR CERTAINSERVICES PROVIDED TO KESTRA AS'S ADVISORY CLIENTS, WHICH WERE GREATER THAN THE AMOUNT CHARGED TO THE AFFILIATED BROKER BY THE CLEARING BROKER FOR THOSE TRADES AND SERVICES(COLLECTIVELY, "FEE MARKUPS"). KESTRA AS ALSO BREACHED ITS DUTY TO SEEK BEST EXECUTION BYCAUSING CERTAIN ADVISORY CLIENTS TO INVEST IN SHARE CLASSES OF MUTUAL FUNDS THAT PAID REVENUESHARING WHEN SHARE CLASSES OF THE SAME FUNDS WERE AVAILABLE TO THE CLIENTS THAT PRESENTED AMORE FAVORABLE VALUE FOR THESE CLIENTS UNDER THE PARTICULAR CIRCUMSTANCES IN PLACE AT THETIME OF THE TRANSACTIONS. KESTRA AS FAILED TO ADOPT AND IMPLEMENT WRITTENCOMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION, FEE MARKUP PRACTICES, AND BEST EXECUTION. Status: Final Sanction Detail: RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANYFUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7PROMULGATED THEREUNDER; IS CENSURED; SHALL PAY DISGORGEMENT OF $7,229,802, PREJUDGMENTINTEREST OF $1,273,370, AND A CIVIL PENALTY OF $1,500,000; AND SHALL COMPLY WITH THEUNDERTAKINGS ENUMERATED IN THE ORDER. Summary: RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION HAS DETERMINED TOACCEPT. RESPONDENT WILLFULLY VIOLATED SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE206(4)-7 THEREUNDER. ACCORDINGLY, IT IS ORDERED THAT RESPONDENT CEASE AND DESIST FROMCOMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4)OF THE ADVISERS ACT AND RULE 206(4)-7 PROMULGATED THEREUNDER; IS CENSURED; SHALL PAYDISGORGEMENT OF $7,229,802, PREJUDGMENT INTEREST OF $1,273,370, AND A CIVIL PENALTY OF$1,500,000; AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER.
Regulatory
as of Nov 08, 2024
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE,INSTITUTED PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940("ADVISERS ACT") AGAINST KESTRA PRIVATE WEALTH SERVICES, LLC ("KESTRA PWS" OR "RESPONDENT"). THE COMMISSION FINDS THAT KESTRA PWS, A REGISTERED INVESTMENT ADVISER, BREACHED ITS FIDUCIARY DUTY TO ADVISORY CLIENTS BY FAILING TO PROVIDE FULL AND FAIR DISCLOSURE REGARDING TWO TYPES OF COMPENSATION PAID TO ITS PREDECESSOR FIRM AND AFFILIATED BROKER. FIRST, SINCE AT LEAST JANUARY 2014, THE AFFILIATED BROKER RECEIVED REVENUE SHARING PAYMENTS FROM AN UNAFFILIATED CLEARING BROKER ("CLEARING BROKER") AS ARESULT OF KESTRA PWS'S ADVISORY CLIENTS' INVESTMENTS IN CERTAIN MUTUAL FUNDS. CERTAIN OF THE MUTUAL FUNDS THAT PAID REVENUE SHARING WERE MORE EXPENSIVE THAN LOWER-COST OPTIONS AVAILABLE TO CLIENTS, INCLUDING INSTANCES WHEN THERE WERE LOWER-COST SHARE CLASSES OF THE SAME MUTUAL FUNDS AVAILABLE TO CLIENTS THAT DID NOT RESULT IN ANY REVENUE SHARING. SECOND, SINCE AT LEAST JANUARY 2014, THE AFFILIATED BROKER RECEIVED COMPENSATION RESULTING FROM TRANSACTION FEES CHARGED ON MUTUAL FUND TRADES AND NON-TRANSACTION FEES FOR CERTAIN SERVICES PROVIDED TO KESTRA PWS'S ADVISORY CLIENTS, WHICH WERE GREATER THAN THE AMOUNT CHARGED TO THE AFFILIATED BROKER BY THE CLEARING BROKER FOR THOSE TRADES AND SERVICES(COLLECTIVELY, "FEE MARKUPS"). KESTRA PWS ALSO BREACHED ITS DUTY TO SEEK BEST EXECUTION BY CAUSING CERTAIN ADVISORY CLIENTS TO INVEST IN SHARE CLASSES OF MUTUAL FUNDS THAT PAID REVENUESHARING WHEN SHARE CLASSES OF THE SAME FUNDS WERE AVAILABLE TO THE CLIENTS THAT PRESENTED AMORE FAVORABLE VALUE FOR THESE CLIENTS UNDER THE PARTICULAR CIRCUMSTANCES IN PLACE AT THETIME OF THE TRANSACTIONS. KESTRA PWS FAILED TO ADOPT AND IMPLEMENT WRITTENCOMPLIANCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS OF THE ADVISERS ACT AND THE RULES THEREUNDER IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION, FEE MARKUP PRACTICES, AND BEST EXECUTION. Status: Final Sanction Detail: RESPONDENT SHALL CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANYFUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7PROMULGATED THEREUNDER; IS CENSURED; SHALL PAY DISGORGEMENT OF $208,187, PREJUDGMENTINTEREST OF $31,382, AND A CIVIL PENALTY OF $60,000; AND SHALL COMPLY WITH THEUNDERTAKINGS ENUMERATED IN THE ORDER. Summary: RESPONDENT HAS SUBMITTED AN OFFER OF SETTLEMENT, WHICH THE COMMISSION HAS DETERMINED TOACCEPT. RESPONDENT WILLFULLY VIOLATED SECTIONS 206(2) AND 206(4) OF THE ADVISERS ACT AND RULE206(4)-7 THEREUNDER. ACCORDINGLY, IT IS ORDERED THAT RESPONDENT CEASE AND DESIST FROMCOMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 206(4)OF THE ADVISERS ACT AND RULE 206(4)-7 PROMULGATED THEREUNDER; IS CENSURED; SHALL PAYDISGORGEMENT OF $208,187, PREJUDGMENT INTEREST OF $31,382, AND A CIVIL PENALTY OF $60,000; AND SHALL COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE ORDER.
Regulatory
as of Nov 08, 2024
Allegations: THE RECOMMENDATION OF MUTUAL FUND SHARE CLASSES GENERATING COMPENSATION TO KESTRA AS'S AFFILIATED BROKER-DEALER WITHOUT ADEQUATE DISCLOSURE OF SUCH COMPENSATION AND THE ADDITIONAL EXPENSES ASSOCIATED WITH THE SHARE CLASSES. Status: Final Sanction Detail: $5,628,383.60 IN DISGORGEMENT AND $567,895.75 IN INTEREST Summary: WITHOUT ADMITTING OR DENYING THE UNDERLYING FINDINGS, KESTRA AS OFFERED TO ACCEPT A CENSURE, AN ORDER TO CEASE AND DESIST FROM SUCH ACTIVITY, AND PAY ELIGIBLE CUSTOMERS AN ESTIMATED $5,628,383.60 IN DISGORGEMENT AND $567,895.75 IN INTEREST.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $62.7B (79% 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 20, 2026.
View current Form ADV (SEC/IAPD) ↗