Truist Advisory Services, Inc.
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 283390
· SEC file 801-107729
· Atlanta, GA
· www.truist.com
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ADV data as of Aug 01, 2026
- Regulatory AUM
- $77.4B
- Discretionary
- $62.8B
- Clients
- 129,307
- Avg AUM / client
- $599K
- Accounts
- 129,307
- Employees
- 2,461
AUM over time
$0
$77.4B
Dec 2015
Aug 2026
Annual snapshots from Form ADV filings · as of Aug 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 93,619 | $23.1B | 29.8% |
| High net worth individuals | 32,526 | $47.6B | 61.5% |
| Banking or thrift institutions | 5 | $26.9M | 0.03% |
| Pension and profit sharing plans | 147 | $39.6M | 0.05% |
| Charitable organizations | 75 | $63.6M | 0.08% |
| State or municipal government entities | 6 | $43.0M | 0.06% |
| Corporations and other businesses | 2,186 | $5.5B | 7.09% |
| Other | 743 | $1.1B | 1.36% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (2,000)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Thompson, Joseph, M | Director | Aug 2014 (12y) | Less than 5% | |
| Dowhower, Brian, Sean | Chairman Of The Board, President And Ceo | Mar 2016 (10y) | Less than 5% | |
| Hechtlinger, Susan | Director, Chief Compliance Officer, Senior Vice President | Jun 2016 (10y) | Less than 5% | |
| Dorothy Oscarlyn Elder | Co Chief Investment Officer | CFA | Jun 2016 (10y) | Less than 5% |
| Jeffrey Todd Dunn | Director, Executive Vice President | Sep 2016 (10y) | Less than 5% | |
| Keith Joseph Lerner | Co Chief Investment Officer | CFA | Dec 2016 (10y) | Less than 5% |
| Bryan Scott Cram | Director, Vice Chairman, Executive Vice President | May 2020 (6y) | Less than 5% | |
| Tyson, Tonya | Assistant Secretary, Chief Operations Officer, Senior Vice President | May 2020 (6y) | Less than 5% | |
| Wehinger, Leah, Rowe | Director, Executive Vice President, Head Of Investment Advice And Solutions | Oct 2021 (5y) | Less than 5% | |
| Wood, Monica, Renee | Treasurer And Cfo | Sep 2023 (3y) | Less than 5% | |
| Callender, Evelyn, Michelle | Treasurer And Chief Financial Officer | Aug 2024 (2y) | Less than 5% | |
| Kyle Travis Mayo | Registered representative | CFP | May 2016 (10y) | |
| Joseph Dennis Burns | Registered representative | CFP | Jun 2016 (10y) | |
| Jeffrey N Roberts | Registered representative | CFP | Jun 2016 (10y) | |
| Jellana Alaine Canton Anderson | Registered representative | Jun 2016 (10y) | ||
| Blake Adam Winters | Registered representative | CFP CFA | Jun 2016 (10y) | |
| Matthew Doran Weatherly | Registered representative | CFA | Jun 2016 (10y) | |
| Robert Scott Reich | Registered representative | CFP CFA | Jun 2016 (10y) | |
| James August Wesche | Registered representative | CFA | Jun 2016 (10y) | |
| David Ashley Ladd | Registered representative | Jun 2016 (10y) | ||
| Frank Donaldson Brown | Registered representative | CFA | Jun 2016 (10y) | |
| Ward Benedict De Klyn | Registered representative | Jun 2016 (10y) | ||
| Jeffrey A Repasky | Registered representative | Jun 2016 (10y) | ||
| Christine Joyce Utter | Registered representative | CFP | Jun 2016 (10y) | |
| Lorenzo West | Registered representative | Jun 2016 (10y) | ||
| John Wallace Collins | Registered representative | Jul 2016 (10y) | ||
| Sheryl Mawyonna Hines | Registered representative | Jul 2016 (10y) | ||
| Nathaniel J Powell | Registered representative | CFP | Aug 2016 (10y) | |
| Jonathan Devone Miles | Registered representative | Aug 2016 (10y) | ||
| Todd C Eastman | Registered representative | CFP CFA | Aug 2016 (10y) | |
| Yulien Brenlla | Registered representative | Aug 2016 (10y) | ||
| Eric Brian Duckworth | Registered representative | Aug 2016 (10y) | ||
| Ronald Jeffrey Brown | Registered representative | Aug 2016 (10y) | ||
| Sal Gianfortune | Registered representative | Aug 2016 (10y) | ||
| Barry Whitaker | Registered representative | Aug 2016 (10y) | ||
| Christopher Marc Tenaglia | Registered representative | Aug 2016 (10y) | ||
| Daniel William Walsh | Registered representative | CFP | Aug 2016 (10y) | |
| Adriana Maria Williams | Registered representative | Aug 2016 (10y) | ||
| Brooke Bacon West | Registered representative | CFP | Aug 2016 (10y) | |
| Jason Howard Laing | Registered representative | Aug 2016 (10y) | ||
| Julio Almeyda | Registered representative | CFP | Aug 2016 (10y) | |
| Philip Mario Verde | Registered representative | CFP | Aug 2016 (10y) | |
| Ronald Kevin Teasdale | Registered representative | CFP | Aug 2016 (10y) | |
| Sean Michael Allen | Registered representative | CFP | Aug 2016 (10y) | |
| Daniel Otis Wolf | Registered representative | Aug 2016 (10y) | ||
| Jonathan Javier Sarquis | Registered representative | Aug 2016 (10y) | ||
| Kenneth George Rase | Registered representative | CFP | Aug 2016 (10y) | |
| Rebecca Kathleen Pratt | Registered representative | Aug 2016 (10y) | ||
| Stephen Adam Engelson | Registered representative | Aug 2016 (10y) | ||
| Cary William Lipman | Registered representative | Aug 2016 (10y) | ||
| Craig Adam Coopersmith | Registered representative | Aug 2016 (10y) | ||
| David William Livingston | Registered representative | Aug 2016 (10y) | ||
| Frank Rosario Fato | Registered representative | Aug 2016 (10y) | ||
| Gene Riley Maszy | Registered representative | CFP | Aug 2016 (10y) | |
| Gordon Wayne Grimes | Registered representative | CFP | Aug 2016 (10y) | |
| Gregory Addison Lebar | Registered representative | Aug 2016 (10y) | ||
| James Mcguire Cann | Registered representative | Aug 2016 (10y) | ||
| James Porter Mason | Registered representative | CFP | Aug 2016 (10y) | |
| Jennifer Erna Mcmanus | Registered representative | Aug 2016 (10y) | ||
| John Christopher Griffin | Registered representative | Aug 2016 (10y) | ||
| Juan Manuel Ortega | Registered representative | Aug 2016 (10y) | ||
| Kenneth Lee Darnell | Registered representative | Aug 2016 (10y) | ||
| Lisa Renee Hane | Registered representative | Aug 2016 (10y) | ||
| Lloyd Randolph Coates | Registered representative | Aug 2016 (10y) | ||
| Luis Alberto Mendoza | Registered representative | Aug 2016 (10y) | ||
| Robert James Pitzer | Registered representative | Aug 2016 (10y) | ||
| Stephen Franklin Laughter | Registered representative | Aug 2016 (10y) | ||
| Traci Beth Havens | Registered representative | Aug 2016 (10y) | ||
| Barbara Ann Martin | Registered representative | Aug 2016 (10y) | ||
| Debra Lloyd Reardon | Registered representative | Aug 2016 (10y) | ||
| Javier Enrique Martinez | Registered representative | Aug 2016 (10y) | ||
| Joseph Anthony Canadeo | Registered representative | Aug 2016 (10y) | ||
| Kelly Lynn Davison | Registered representative | Aug 2016 (10y) | ||
| Lance Sterling Longwater | Registered representative | Aug 2016 (10y) | ||
| Luke Michael Sutter | Registered representative | Aug 2016 (10y) | ||
| Theodore Edward Peters | Registered representative | Aug 2016 (10y) | ||
| Tyrone Kwesi Debique | Registered representative | CFP | Aug 2016 (10y) | |
| Arnelle Filsaime Johnson | Registered representative | Aug 2016 (10y) | ||
| Gabriel Isaac Lindeen | Registered representative | Aug 2016 (10y) | ||
| Adam Tolar Fannin | Registered representative | CFP | Aug 2016 (10y) | |
| Albert James Camps | Registered representative | Aug 2016 (10y) | ||
| Alina Bromund Gray | Registered representative | Aug 2016 (10y) | ||
| Charles Jason Conner | Registered representative | Aug 2016 (10y) | ||
| Colleen Coyle Cowan | Registered representative | Aug 2016 (10y) | ||
| John David Downey | Registered representative | CFP | Aug 2016 (10y) | |
| Joseph Charles Carnley | Registered representative | CFP | Aug 2016 (10y) | |
| Lester Simon Ernest | Registered representative | Aug 2016 (10y) | ||
| Natalie Ruth Mason | Registered representative | CFP | Aug 2016 (10y) | |
| Rochelle Ilene Cairo | Registered representative | Aug 2016 (10y) | ||
| Spencer Carpenter Iv | Registered representative | Aug 2016 (10y) | ||
| Stephen Berrocal | Registered representative | Aug 2016 (10y) | ||
| Stephen Francis Valeri | Registered representative | Aug 2016 (10y) | ||
| Thomas Franklin Dietrich | Registered representative | Aug 2016 (10y) | ||
| William David Hylton | Registered representative | Aug 2016 (10y) | ||
| Edward Joseph Cohen | Registered representative | Aug 2016 (10y) | ||
| Yolanda Beal Cintron | Registered representative | Aug 2016 (10y) | ||
| Enrique Cuervo | Registered representative | Aug 2016 (10y) | ||
| Makendy Massillon | Registered representative | Aug 2016 (10y) | ||
| Osvaldo Cuevas | Registered representative | Aug 2016 (10y) | ||
| Patrice Evangelyn Davis | Registered representative | Aug 2016 (10y) | ||
| David Jeffrey Banack | Registered representative | Aug 2016 (10y) | ||
| Gabriel Xavier Adams | Registered representative | Aug 2016 (10y) | ||
| John Logan Akin | Registered representative | Aug 2016 (10y) | ||
| Arash John Assadzadeh | Registered representative | Aug 2016 (10y) | ||
| Harry Matthews Oldham | Registered representative | Aug 2016 (10y) | ||
| Jeffrey Nelms Boone | Registered representative | Aug 2016 (10y) | ||
| John Creighton Buchanan | Registered representative | Aug 2016 (10y) | ||
| John Madison Mize | Registered representative | Aug 2016 (10y) | ||
| Michael A Green | Registered representative | Aug 2016 (10y) | ||
| Stephen Andrew Kelly | Registered representative | Aug 2016 (10y) | ||
| Todd Dwain Gauthier | Registered representative | Aug 2016 (10y) | ||
| Thomas Dustin Fluent | Registered representative | Aug 2016 (10y) | ||
| Wesley Jonathan Robbins | Registered representative | Aug 2016 (10y) | ||
| Anthony Robert Germano | Registered representative | Aug 2016 (10y) | ||
| Elyssa Miriam Gelsino | Registered representative | Aug 2016 (10y) | ||
| Frank John Delia | Registered representative | Aug 2016 (10y) | ||
| Ian Jason Seebachan | Registered representative | Aug 2016 (10y) | ||
| James Robert Shaughnessy | Registered representative | Aug 2016 (10y) | ||
| Jared Newton Dollar | Registered representative | Aug 2016 (10y) | ||
| Jeffrey James Alger | Registered representative | Aug 2016 (10y) | ||
| Jigisha M Desai | Registered representative | Aug 2016 (10y) | ||
| John Donald Galligan | Registered representative | Aug 2016 (10y) | ||
| Luis Fernando Arango | Registered representative | Aug 2016 (10y) | ||
| Manuel Antonio Fernandez | Registered representative | Aug 2016 (10y) | ||
| Michelle Lynn Meeks | Registered representative | CFP | Aug 2016 (10y) | |
| Sadie Machan Gatch | Registered representative | Aug 2016 (10y) | ||
| Stuart A Berry | Registered representative | CFP | Aug 2016 (10y) | |
| William Russell Dyer | Registered representative | CFP | Aug 2016 (10y) | |
| Andrea Christina Bishop | Registered representative | Sep 2016 (10y) | ||
| Cassandra Lee Devore | Registered representative | Sep 2016 (10y) | ||
| Charles Geer Wellborn | Registered representative | Sep 2016 (10y) | ||
| Dale Alan Conlan | Registered representative | Sep 2016 (10y) | ||
| Derek Grant Deguire | Registered representative | CFP | Sep 2016 (10y) | |
| Earnest Ruby Smith | Registered representative | CFP | Sep 2016 (10y) | |
| Evan James Farrell | Registered representative | Sep 2016 (10y) | ||
| George Frederick Claussen | Registered representative | Sep 2016 (10y) | ||
| Jeffrey David Chasman | Registered representative | Sep 2016 (10y) | ||
| Jonathan Carroll Charles | Registered representative | Sep 2016 (10y) | ||
| Lewis Wade Blalock | Registered representative | Sep 2016 (10y) | ||
| Lynn Newiger Carter | Registered representative | Sep 2016 (10y) | ||
| Marlin Ralph Duncan | Registered representative | CFP | Sep 2016 (10y) | |
| Patrick Shane Fitzpatrick | Registered representative | Sep 2016 (10y) | ||
| Sharon Valescia Grannum | Registered representative | Sep 2016 (10y) | ||
| Sherry Kathleen Boulay | Registered representative | CFP | Sep 2016 (10y) | |
| Susan Tordik Atchison | Registered representative | Sep 2016 (10y) | ||
| Thomas David Wellborn | Registered representative | Sep 2016 (10y) | ||
| Todd Joseph Thompson | Registered representative | Sep 2016 (10y) | ||
| Todd Kemble Bolton | Registered representative | CFP | Sep 2016 (10y) | |
| Brian Douglas Canty | Registered representative | Sep 2016 (10y) | ||
| David Wright Mays | Registered representative | CFP | Sep 2016 (10y) | |
| Fatima Deneen Lopez | Registered representative | Sep 2016 (10y) | ||
| John D Margeson | Registered representative | Sep 2016 (10y) | ||
| Mark Adkin Walter | Registered representative | Sep 2016 (10y) | ||
| Patricia Ann Mack | Registered representative | Sep 2016 (10y) | ||
| Scott Clark Mckenzie | Registered representative | Sep 2016 (10y) | ||
| Edward Carson Danser | Registered representative | CFP | Sep 2016 (10y) | |
| Jerry William Smith | Registered representative | Sep 2016 (10y) | ||
| Erin Kaye Rey | Registered representative | Sep 2016 (10y) | ||
| James William Petrusky | Registered representative | Sep 2016 (10y) | ||
| Liza Coburn Bonet | Registered representative | Sep 2016 (10y) | ||
| Micah Richard Hart | Registered representative | CFP | Sep 2016 (10y) | |
| Andrew Martin Crais | Registered representative | Sep 2016 (10y) | ||
| Arturo Ruiz | Registered representative | Sep 2016 (10y) | ||
| Charles Jason Beal | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Christopher Michael Ponds | Registered representative | CFP | Sep 2016 (10y) | |
| Cynthia Kay Woods | Registered representative | Sep 2016 (10y) | ||
| Cynthia Lou Harvard | Registered representative | Sep 2016 (10y) | ||
| Dale William Zamecki | Registered representative | Sep 2016 (10y) | ||
| Donette Thandi Corley | Registered representative | Sep 2016 (10y) | ||
| Francesca Lee Gilchrist | Registered representative | CFP | Sep 2016 (10y) | |
| Franklin Lefler | Registered representative | CFP | Sep 2016 (10y) | |
| George Martin Davis | Registered representative | Sep 2016 (10y) | ||
| Gregory Carsten Schmertmann | Registered representative | Sep 2016 (10y) | ||
| Gregory Patrick Mathey | Registered representative | Sep 2016 (10y) | ||
| James Candido Soto | Registered representative | Sep 2016 (10y) | ||
| Jamie Lynne Smith | Registered representative | Sep 2016 (10y) | ||
| Jane Harris Yarborough | Registered representative | CFP | Sep 2016 (10y) | |
| John Michael Hall | Registered representative | CFP | Sep 2016 (10y) | |
| Jonathan Grant Fanning | Registered representative | Sep 2016 (10y) | ||
| Joshua Adam Sanders | Registered representative | Sep 2016 (10y) | ||
| Judith Lynn Harkleroad | Registered representative | Sep 2016 (10y) | ||
| Judy Ann Ravenna | Registered representative | Sep 2016 (10y) | ||
| Karen Ann Wintering | Registered representative | Sep 2016 (10y) | ||
| Karen Bessette Mayfield | Registered representative | CFP | Sep 2016 (10y) | |
| Karl Walter Hamilton | Registered representative | Sep 2016 (10y) | ||
| Karvet Lloyd Samuels | Registered representative | Sep 2016 (10y) | ||
| Kenneth Rene Solis | Registered representative | Sep 2016 (10y) | ||
| Luke Andrew Alger | Registered representative | Sep 2016 (10y) | ||
| Marc David Lawrence | Registered representative | Sep 2016 (10y) | ||
| Mark Richard Dicristina | Registered representative | CFP | Sep 2016 (10y) | |
| Martin Earle Simmons | Registered representative | Sep 2016 (10y) | ||
| Mary Lowell Pettit | Registered representative | CFP | Sep 2016 (10y) | |
| Melodee S Pitts | Registered representative | Sep 2016 (10y) | ||
| Michael Joseph Petrizzi | Registered representative | CFP | Sep 2016 (10y) | |
| Ryan B Saxe | Registered representative | Sep 2016 (10y) | ||
| Sucharu Rishi Arora | Registered representative | Sep 2016 (10y) | ||
| Thomas Henry Dillon | Registered representative | Sep 2016 (10y) | ||
| Tomer Shoval | Registered representative | Sep 2016 (10y) | ||
| Tonja Ann Womble | Registered representative | Sep 2016 (10y) | ||
| Victoria Grace Lindsay | Registered representative | Sep 2016 (10y) | ||
| Wallace Link Baker | Registered representative | Sep 2016 (10y) | ||
| Yanin Salgado | Registered representative | Sep 2016 (10y) | ||
| Elyse Anntoinette Jacobs | Registered representative | Sep 2016 (10y) | ||
| Alfred Joseph Gonzalez | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Arthur Frank Goins | Registered representative | CFP | Sep 2016 (10y) | |
| Brian Christopher Futch | Registered representative | Sep 2016 (10y) | ||
| Carmen Rosalia Eastes | Registered representative | CFP | Sep 2016 (10y) | |
| Charles Mark Hopkins | Registered representative | Sep 2016 (10y) | ||
| Christopher Thomas Pantano | Registered representative | Sep 2016 (10y) | ||
| Christopher Winfield Ford | Registered representative | Sep 2016 (10y) | ||
| George Tyler Bowery | Registered representative | Sep 2016 (10y) | ||
| John Matthew Borth | Registered representative | Sep 2016 (10y) | ||
| Matthew Barratt Main | Registered representative | Sep 2016 (10y) | ||
| Michael Patrick Hoffman | Registered representative | CFP | Sep 2016 (10y) | |
| Nikita Lodha | Registered representative | Sep 2016 (10y) | ||
| Robert Misio Nejman | Registered representative | CFP | Sep 2016 (10y) | |
| Shampa Bera | Registered representative | Sep 2016 (10y) | ||
| Shannon Renee Hogan | Registered representative | Sep 2016 (10y) | ||
| Veronica Santos Montoya | Registered representative | Sep 2016 (10y) | ||
| William Scott Faircloth | Registered representative | CFP | Sep 2016 (10y) | |
| Alexander Navarro | Registered representative | CFP | Sep 2016 (10y) | |
| Altagracia J. Pastor | Registered representative | Sep 2016 (10y) | ||
| Andrew D Stolnicki | Registered representative | Sep 2016 (10y) | ||
| Angela W Jones | Registered representative | Sep 2016 (10y) | ||
| Cody Allen Jeffcoat | Registered representative | CFP | Sep 2016 (10y) | |
| Daniel Britt Kimel | Registered representative | Sep 2016 (10y) | ||
| Daniel Lawrence Sullivan | Registered representative | CFP | Sep 2016 (10y) | |
| David Allen Peck | Registered representative | Sep 2016 (10y) | ||
| David Paul Brown | Registered representative | Sep 2016 (10y) | ||
| Elizabeth Ann Thomas | Registered representative | Sep 2016 (10y) | ||
| Gail Lynn Tencer | Registered representative | Sep 2016 (10y) | ||
| H Gordon Thompson | Registered representative | Sep 2016 (10y) | ||
| James Adam Heilman | Registered representative | CFP | Sep 2016 (10y) | |
| Jason Scott Sykes | Registered representative | CFP | Sep 2016 (10y) | |
| Jay Todd Jamison | Registered representative | Sep 2016 (10y) | ||
| Jeffrey Charles Mc Closkey | Registered representative | Sep 2016 (10y) | ||
| Johnny Dale Strickland | Registered representative | Sep 2016 (10y) | ||
| Karen Clawges Kahn | Registered representative | CFP | Sep 2016 (10y) | |
| Kimberley Ann Palladino | Registered representative | Sep 2016 (10y) | ||
| Lisa Michele Matthews | Registered representative | Sep 2016 (10y) | ||
| Marina Carolina Nice | Registered representative | Sep 2016 (10y) | ||
| Martin Andrew Martini | Registered representative | Sep 2016 (10y) | ||
| Mayada Ali Soufan | Registered representative | Sep 2016 (10y) | ||
| Michael James Stelogeannis | Registered representative | Sep 2016 (10y) | ||
| Michael Scott Swann | Registered representative | CFP | Sep 2016 (10y) | |
| Matthew Aaron Johnson | Registered representative | Sep 2016 (10y) | ||
| Patrick Alexander Mcclintock | Registered representative | Sep 2016 (10y) | ||
| Paul G Ullmann | Registered representative | Sep 2016 (10y) | ||
| Robert M Palmer | Registered representative | Sep 2016 (10y) | ||
| Ryan Shim | Registered representative | Sep 2016 (10y) | ||
| Stephen K Waldych | Registered representative | Sep 2016 (10y) | ||
| Stephen William Hudzik | Registered representative | Sep 2016 (10y) | ||
| Tina Burr Trew | Registered representative | Sep 2016 (10y) | ||
| Todd Stephen Matthews | Registered representative | CFP | Sep 2016 (10y) | |
| William Steele Taylor | Registered representative | Sep 2016 (10y) | ||
| Yeoshen Tsui | Registered representative | Sep 2016 (10y) | ||
| Adam Michael Joseph | Registered representative | Sep 2016 (10y) | ||
| Alexander Cadavid Hernandez | Registered representative | Sep 2016 (10y) | ||
| Andrew Lenart | Registered representative | Sep 2016 (10y) | ||
| Dianna Marie Weaver | Registered representative | Sep 2016 (10y) | ||
| Eric Todd Weinsier | Registered representative | Sep 2016 (10y) | ||
| Georgette Ribas Suarez | Registered representative | Sep 2016 (10y) | ||
| Hugh Solomon Valentine Leslie | Registered representative | Sep 2016 (10y) | ||
| James Edward Tucker | Registered representative | Sep 2016 (10y) | ||
| James F Ryan | Registered representative | Sep 2016 (10y) | ||
| James Francis Kauchak | Registered representative | Sep 2016 (10y) | ||
| Jennifer Anne Ploehn | Registered representative | Sep 2016 (10y) | ||
| Jennifer L Alexander | Registered representative | Sep 2016 (10y) | ||
| John David Griffis | Registered representative | CFP | Sep 2016 (10y) | |
| John Djung Hoffman | Registered representative | Sep 2016 (10y) | ||
| John Michael Netherton | Registered representative | Sep 2016 (10y) | ||
| John Scott Heinrich | Registered representative | Sep 2016 (10y) | ||
| Jon Scott Skaff | Registered representative | Sep 2016 (10y) | ||
| Jose Lazaro Mendez | Registered representative | Sep 2016 (10y) | ||
| Josefina B Wong | Registered representative | Sep 2016 (10y) | ||
| Joshua Lenn Ladwig | Registered representative | Sep 2016 (10y) | ||
| Judith Mellett | Registered representative | Sep 2016 (10y) | ||
| Lanie Parker Santa Cruz | Registered representative | Sep 2016 (10y) | ||
| Michael Cory Vickery | Registered representative | Sep 2016 (10y) | ||
| Michael James Leasure | Registered representative | CFP | Sep 2016 (10y) | |
| Meghan Scanlon Roach | Registered representative | CFP | Sep 2016 (10y) | |
| Renee Marie Maloney | Registered representative | CFP | Sep 2016 (10y) | |
| Samantha M Vassallo | Registered representative | Sep 2016 (10y) | ||
| Sherwin Najand | Registered representative | Sep 2016 (10y) | ||
| Stephen Scott Kreter | Registered representative | Sep 2016 (10y) | ||
| Steven Keith Harris | Registered representative | Sep 2016 (10y) | ||
| Thomas Grey Miller | Registered representative | Sep 2016 (10y) | ||
| Vikram Kamil Shah | Registered representative | Sep 2016 (10y) | ||
| Andrew Paul Castellano | Registered representative | Sep 2016 (10y) | ||
| Arthur Daniel Chambers | Registered representative | Sep 2016 (10y) | ||
| Emily Raven Young | Registered representative | Sep 2016 (10y) | ||
| Kenneth Foster Brown | Registered representative | Sep 2016 (10y) | ||
| Michael Scott Von Berg | Registered representative | Sep 2016 (10y) | ||
| Rhonda Gaines Dickson | Registered representative | Sep 2016 (10y) | ||
| Sean Michael Setina | Registered representative | Sep 2016 (10y) | ||
| Susan Renee Seitter | Registered representative | Sep 2016 (10y) | ||
| Alain Dieguez Herrera | Registered representative | Sep 2016 (10y) | ||
| Christopher Brian Damiano | Registered representative | Sep 2016 (10y) | ||
| Christopher Ryan Haffey | Registered representative | CFP | Sep 2016 (10y) | |
| Daniel Robert Botyos | Registered representative | Sep 2016 (10y) | ||
| Jennifer Gwynne Hall | Registered representative | Sep 2016 (10y) | ||
| Jonathan Shaw | Registered representative | Sep 2016 (10y) | ||
| Sheila Rita Hill | Registered representative | Sep 2016 (10y) | ||
| Stephen Mcdonald Smith | Registered representative | Sep 2016 (10y) | ||
| Terry Michael Schueler | Registered representative | Sep 2016 (10y) | ||
| Abby Waits Green | Registered representative | Sep 2016 (10y) | ||
| Angela Henry Ritzert | Registered representative | Sep 2016 (10y) | ||
| Bianca Magnolia Lohman | Registered representative | Sep 2016 (10y) | ||
| Brentley Wyatt Jones | Registered representative | CFP | Sep 2016 (10y) | |
| Brian Edward Gates | Registered representative | CFP | Sep 2016 (10y) | |
| Britain W Pierce | Registered representative | CFP | Sep 2016 (10y) | |
| Christian D Beyers | Registered representative | Sep 2016 (10y) | ||
| Dennis Eugene Parker | Registered representative | Sep 2016 (10y) | ||
| Diane Marie Maldonado | Registered representative | Sep 2016 (10y) | ||
| Eddie Lewis Patton Gooch | Registered representative | Sep 2016 (10y) | ||
| Elizabeth Ball Madden | Registered representative | Sep 2016 (10y) | ||
| Gray Southwick Guy | Registered representative | Sep 2016 (10y) | ||
| Holly Elizabeth Duncan | Registered representative | Sep 2016 (10y) | ||
| James Allen Mills | Registered representative | CFP | Sep 2016 (10y) | |
| James Garland Edwards | Registered representative | Sep 2016 (10y) | ||
| Jin Ho Park | Registered representative | Sep 2016 (10y) | ||
| Jodi Lynn Perelman | Registered representative | Sep 2016 (10y) | ||
| Kristofer John Funkhouser | Registered representative | CFP | Sep 2016 (10y) | |
| Lorenzo Daniel Huff | Registered representative | Sep 2016 (10y) | ||
| Mark William Hudson | Registered representative | CFP | Sep 2016 (10y) | |
| Milton Llewellyn Smith | Registered representative | Sep 2016 (10y) | ||
| Pratt Dashiell Phillips | Registered representative | CFP | Sep 2016 (10y) | |
| Tieleasha Demetrice Jenkins Holley | Registered representative | Sep 2016 (10y) | ||
| Tiffany O'hara Liggon | Registered representative | Sep 2016 (10y) | ||
| Tu Nguyen | Registered representative | Sep 2016 (10y) | ||
| William Jacob Johns | Registered representative | Sep 2016 (10y) | ||
| Yusi Lin | Registered representative | Sep 2016 (10y) | ||
| Amanda Leighanne Brotherton Hubbard | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Ann Marie Carroll Norman | Registered representative | Sep 2016 (10y) | ||
| Ashleigh Nicole Mckimmie | Registered representative | Sep 2016 (10y) | ||
| Brian Joseph Neff | Registered representative | Sep 2016 (10y) | ||
| Carol Lynn Robbins | Registered representative | Sep 2016 (10y) | ||
| Christopher Allen Pierce | Registered representative | Sep 2016 (10y) | ||
| Constantinos Nickolas Koustenis | Registered representative | Sep 2016 (10y) | ||
| Deborah Stewart Nuttycombe | Registered representative | Sep 2016 (10y) | ||
| Elizabeth L Calaman | Registered representative | Sep 2016 (10y) | ||
| Gregory Lee Addison | Registered representative | Sep 2016 (10y) | ||
| Jason G. Ross | Registered representative | CFP | Sep 2016 (10y) | |
| Jennifer Marie Ritorto | Registered representative | CFP | Sep 2016 (10y) | |
| Jennifer Michelle Powell | Registered representative | Sep 2016 (10y) | ||
| Jon K. Burklow | Registered representative | Sep 2016 (10y) | ||
| Leslie King Rock | Registered representative | Sep 2016 (10y) | ||
| Matthew Scott Bracewell | Registered representative | CFP | Sep 2016 (10y) | |
| Michael Brantley Breed | Registered representative | Sep 2016 (10y) | ||
| Peter J. Protos | Registered representative | CFP | Sep 2016 (10y) | |
| Shayon Makonde Moore | Registered representative | Sep 2016 (10y) | ||
| Stephen Dakin Pattison | Registered representative | Sep 2016 (10y) | ||
| Stephen Earl Sergan | Registered representative | Sep 2016 (10y) | ||
| Vy Hoai Pham | Registered representative | Sep 2016 (10y) | ||
| Walton Spencer Lee | Registered representative | Sep 2016 (10y) | ||
| Brian Keith Williams | Registered representative | Sep 2016 (10y) | ||
| Brian Lee Moffett | Registered representative | Sep 2016 (10y) | ||
| Bunchan Tom | Registered representative | Sep 2016 (10y) | ||
| Benjamin Keith Moore | Registered representative | Sep 2016 (10y) | ||
| Burnett Miller | Registered representative | Sep 2016 (10y) | ||
| Christina Adinig Richardson | Registered representative | Sep 2016 (10y) | ||
| Christina Johnson Lane | Registered representative | Sep 2016 (10y) | ||
| Christopher Voegelin | Registered representative | CFP | Sep 2016 (10y) | |
| Colby Kight Murphy | Registered representative | CFP | Sep 2016 (10y) | |
| Cynthia Mae Nofi | Registered representative | Sep 2016 (10y) | ||
| Darren Carlyle White | Registered representative | Sep 2016 (10y) | ||
| Jack M Shiao | Registered representative | Sep 2016 (10y) | ||
| James Joseph Mccormack | Registered representative | Sep 2016 (10y) | ||
| John Patrick Sullivan | Registered representative | CFP Chartered Financial Consultant | Sep 2016 (10y) | |
| Kimberly Ann Cimburke | Registered representative | Sep 2016 (10y) | ||
| Kristen Elizabeth Plowman | Registered representative | Sep 2016 (10y) | ||
| Matthew Wesley Casella | Registered representative | Sep 2016 (10y) | ||
| Michael Alphonsus Leslie | Registered representative | Sep 2016 (10y) | ||
| Morgan Blaine Pearsall | Registered representative | Sep 2016 (10y) | ||
| Robert Titus Boyce | Registered representative | Sep 2016 (10y) | ||
| Roman Joseph Pickering | Registered representative | Sep 2016 (10y) | ||
| Sophia Verdekal O'neal | Registered representative | Sep 2016 (10y) | ||
| Steven Glenn Watts | Registered representative | Sep 2016 (10y) | ||
| Timothy David Karr | Registered representative | Sep 2016 (10y) | ||
| Todd Wood Via | Registered representative | CFP | Sep 2016 (10y) | |
| Vinay Kaul | Registered representative | Sep 2016 (10y) | ||
| Vincent Eric Moore | Registered representative | Sep 2016 (10y) | ||
| Erin M Powers Westendorf | Registered representative | Sep 2016 (10y) | ||
| Mark Edward Taylor | Registered representative | CFP | Sep 2016 (10y) | |
| Sachin Trivedi | Registered representative | CFA | Sep 2016 (10y) | |
| Bert Burr Henderson | Registered representative | CFP | Sep 2016 (10y) | |
| Brandon Blake Covey | Registered representative | Sep 2016 (10y) | ||
| Bridget Theresa Doane | Registered representative | Sep 2016 (10y) | ||
| Calvin James Hatcher | Registered representative | Sep 2016 (10y) | ||
| Carey Elvire Heywood | Registered representative | Sep 2016 (10y) | ||
| Christine Allen Feldpausch | Registered representative | Sep 2016 (10y) | ||
| Darrell Sidney Brown | Registered representative | Sep 2016 (10y) | ||
| Debra Renee Pollock | Registered representative | CFP | Sep 2016 (10y) | |
| Donald Joseph Ebner | Registered representative | Sep 2016 (10y) | ||
| Eunjoo Fenton | Registered representative | Sep 2016 (10y) | ||
| Frederic Aroyce Berry | Registered representative | Sep 2016 (10y) | ||
| Gary Alan Firebaugh | Registered representative | CFP Chartered Financial Consultant | Sep 2016 (10y) | |
| John Andrew Dracos | Registered representative | Sep 2016 (10y) | ||
| Laura Ann Fitzpatrick | Registered representative | Sep 2016 (10y) | ||
| Lindsay Mosby Nolde | Registered representative | Sep 2016 (10y) | ||
| Lisa Marie Boris | Registered representative | Sep 2016 (10y) | ||
| Mark Franklin Pollock | Registered representative | Sep 2016 (10y) | ||
| Michael E Rutler | Registered representative | Sep 2016 (10y) | ||
| Robert H Douglas | Registered representative | Sep 2016 (10y) | ||
| Roger Lee Skeen | Registered representative | Sep 2016 (10y) | ||
| Roland Javier Geronimo | Registered representative | Sep 2016 (10y) | ||
| Sarah Ann Hollingsworth | Registered representative | Sep 2016 (10y) | ||
| Shaun Philip Sims | Registered representative | Sep 2016 (10y) | ||
| Susanna Lynn Rountree | Registered representative | Sep 2016 (10y) | ||
| Tonya Croston | Registered representative | Sep 2016 (10y) | ||
| Tracy Brooks Rosson | Registered representative | Sep 2016 (10y) | ||
| Yen Anh Nguyen | Registered representative | Sep 2016 (10y) | ||
| William Lyons Sonnett | Registered representative | CFP | Sep 2016 (10y) | |
| Isaac James Monell | Registered representative | CFP | Sep 2016 (10y) | |
| Gabriel Joseph Krawczak | Registered representative | Sep 2016 (10y) | ||
| Chad Joseph Gerber | Registered representative | CFP | Oct 2016 (10y) | |
| Charles Edward Held | Registered representative | Oct 2016 (10y) | ||
| Derek Cody Smith | Registered representative | CFP | Oct 2016 (10y) | |
| Harry James Pilson | Registered representative | Oct 2016 (10y) | ||
| Sunil Kumar Setia | Registered representative | Oct 2016 (10y) | ||
| Thomas Joseph Gletner | Registered representative | Oct 2016 (10y) | ||
| Joseph Murphy Campbell | Registered representative | Oct 2016 (10y) | ||
| Robert Alexander Null | Registered representative | Oct 2016 (10y) | ||
| Vincenzo Atkinson | Registered representative | CFA | Oct 2016 (10y) | |
| Robert Andrew Garrett | Registered representative | Oct 2016 (10y) | ||
| Dana Rae Baker | Registered representative | Oct 2016 (10y) | ||
| Stephanie Marie Geisse | Registered representative | Oct 2016 (10y) | ||
| Tony Perry | Registered representative | Oct 2016 (10y) | ||
| Christopher William Campos | Registered representative | CFP | Oct 2016 (10y) | |
| Pryam Leonce | Registered representative | Oct 2016 (10y) | ||
| Steven Jude Wiltshire | Registered representative | Oct 2016 (10y) | ||
| Linda Sue Weinstein | Registered representative | Oct 2016 (10y) | ||
| Ignacio Carlos Tejera | Registered representative | Oct 2016 (10y) | ||
| Eric Thomas Mangasarian | Registered representative | Oct 2016 (10y) | ||
| Hunter Stephen Bowen | Registered representative | Nov 2016 (10y) | ||
| Lori Julian Murphy | Registered representative | Nov 2016 (10y) | ||
| Nicole Marie Penland | Registered representative | Nov 2016 (10y) | ||
| Camelia Pilar Gelabert Nunez | Registered representative | Nov 2016 (10y) | ||
| Elizabeth Lawless Davila | Registered representative | CFP | Nov 2016 (10y) | |
| Sandra Gay Kane | Registered representative | Nov 2016 (10y) | ||
| Donna Frances Barksdale | Registered representative | Nov 2016 (10y) | ||
| Lisa Michele Hayes | Registered representative | Nov 2016 (10y) | ||
| Colin Chester Murphy | Registered representative | Nov 2016 (10y) | ||
| Diane E Croce | Registered representative | Nov 2016 (10y) | ||
| David Charles Hinson | Registered representative | Nov 2016 (10y) | ||
| Ken Tanaka | Registered representative | CFP | Nov 2016 (10y) | |
| Kelli Jo Stirna | Registered representative | Nov 2016 (10y) | ||
| Ryan C Hannegan | Registered representative | Nov 2016 (10y) | ||
| Samuel M Solondz | Registered representative | CFP | Nov 2016 (10y) | |
| Aiad F Abdelshaheed | Registered representative | Nov 2016 (10y) | ||
| Grant Robert Zauner | Registered representative | Nov 2016 (10y) | ||
| Dustin John Cary | Registered representative | Nov 2016 (10y) | ||
| Megan Dowe Childress | Registered representative | Nov 2016 (10y) | ||
| Robert Kevin Klare | Registered representative | CFA | Nov 2016 (10y) | |
| Jorge Miguel Alvarez | Registered representative | CFP | Nov 2016 (10y) | |
| Alejandro Torres | Registered representative | Nov 2016 (10y) | ||
| Javier Fabio Dadan | Registered representative | Nov 2016 (10y) | ||
| Joshua Hugo Dadan | Registered representative | Nov 2016 (10y) | ||
| Katia Maria Pecci | Registered representative | Nov 2016 (10y) | ||
| Wartner Elsa Edith | Registered representative | Nov 2016 (10y) | ||
| Connie Renae Ellis Foster | Registered representative | Nov 2016 (10y) | ||
| Oluwa Ademola Raines | Registered representative | Nov 2016 (10y) | ||
| Theodore Bennett | Registered representative | Nov 2016 (10y) | ||
| Audrey Marie Watson Atkinson | Registered representative | Dec 2016 (10y) | ||
| William J.T. Repath | Registered representative | Dec 2016 (10y) | ||
| Wade Adam White | Registered representative | CFA | Dec 2016 (10y) | |
| Samia W Rizk | Registered representative | Dec 2016 (10y) | ||
| Louis Andrew Satmaria | Registered representative | Dec 2016 (10y) | ||
| Karl James Kuchma | Registered representative | Dec 2016 (10y) | ||
| Lucas Joseph Marquez | Registered representative | Dec 2016 (10y) | ||
| Aradhya N/A Ray | Registered representative | Dec 2016 (10y) | ||
| Ryan Woodward Harris | Registered representative | Dec 2016 (10y) | ||
| Niles Scott Greene | Registered representative | Dec 2016 (10y) | ||
| Joseph William Yano | Registered representative | Dec 2016 (10y) | ||
| Jacob Luther Hermans | Registered representative | CFP | Dec 2016 (10y) | |
| Thomas Gus Abood | Registered representative | Dec 2016 (10y) | ||
| Namdar Hosseinzadeh | Registered representative | Jan 2017 (10y) | ||
| Frank Colasuono | Registered representative | Jan 2017 (10y) | ||
| Eddie King Jackson | Registered representative | Jan 2017 (10y) | ||
| Deborah Lyn Mcmillen | Registered representative | Jan 2017 (10y) | ||
| Nicolas Andrew Barone | Registered representative | Jan 2017 (10y) | ||
| Amy Marie Delapaz | Registered representative | Jan 2017 (10y) | ||
| Justin Kyle Skoglund | Registered representative | Jan 2017 (10y) | ||
| Jonathan Michael Kosmata | Registered representative | Jan 2017 (10y) | ||
| Christopher Murray Hett | Registered representative | CFA | Feb 2017 (10y) | |
| Suzanne Eileen Miller | Registered representative | Feb 2017 (10y) | ||
| Sabrina Lavonne Bowens Richard | Registered representative | CFA | Feb 2017 (9y) | |
| John Richard Mayfield | Registered representative | CFA | Feb 2017 (9y) | |
| William Andrew Hamilton Rhodes | Registered representative | Feb 2017 (9y) | ||
| Gloria Bertagnolli Ryan | Registered representative | Feb 2017 (9y) | ||
| Dana Downey Merritt | Registered representative | Feb 2017 (9y) | ||
| Victor Luis Rivera | Registered representative | Feb 2017 (9y) | ||
| Amy D Loftis | Registered representative | Feb 2017 (9y) | ||
| Charmaine Patricia Earlington Wong | Registered representative | Feb 2017 (9y) | ||
| David Scott Yuschak | Registered representative | CFA | Mar 2017 (9y) | |
| Michael J Skordeles | Registered representative | Mar 2017 (9y) | ||
| Diane Frances Schmidt | Registered representative | Mar 2017 (9y) | ||
| Jessica Limtiaco Elmore | Registered representative | Mar 2017 (9y) | ||
| Michael Bryan Coats | Registered representative | CFP CFA | Mar 2017 (9y) | |
| Brian Joseph Losak | Registered representative | CFA | Mar 2017 (9y) | |
| Carl Joseph Torchia | Registered representative | Mar 2017 (9y) | ||
| Robert J Schuckmann | Registered representative | CFP | Mar 2017 (9y) | |
| Alfredo Jacobo Fernandez | Registered representative | Apr 2017 (9y) | ||
| Todd Douglas Ryman | Registered representative | Apr 2017 (9y) | ||
| Kathryn Marie Miller | Registered representative | Apr 2017 (9y) | ||
| David George Glazer | Registered representative | Apr 2017 (9y) | ||
| Karen Worthen Dixon | Registered representative | Apr 2017 (9y) | ||
| Cynthia Anne Green | Registered representative | Apr 2017 (9y) | ||
| Vallon Sylvester Andrew Mills | Registered representative | May 2017 (9y) | ||
| Ernest White | Registered representative | May 2017 (9y) | ||
| Teogonio Ayala | Registered representative | May 2017 (9y) | ||
| Hank C Strickler | Registered representative | May 2017 (9y) | ||
| Kevin Antonio Lattimore | Registered representative | May 2017 (9y) | ||
| Edward Michael Schailler | Registered representative | Jun 2017 (9y) | ||
| Joseph Di Vincenzo | Registered representative | CFP | Jun 2017 (9y) | |
| Thomas Patrick Mcdonnell | Registered representative | Jun 2017 (9y) | ||
| John A Harpine | Registered representative | Jun 2017 (9y) | ||
| Bradford Harry Buckshorn | Registered representative | Jun 2017 (9y) | ||
| Richard Martin Arduengo | Registered representative | Jun 2017 (9y) | ||
| Charles Frederick Smith | Registered representative | Jul 2017 (9y) | ||
| William Moniz | Registered representative | Jul 2017 (9y) | ||
| Wayne John Dedrick | Registered representative | Jul 2017 (9y) | ||
| Dustin Paul Mcarthur | Registered representative | CFP | Jul 2017 (9y) | |
| Julian Robert Collier | Registered representative | Jul 2017 (9y) | ||
| Amanda Bonner Jordan | Registered representative | CFP | Aug 2017 (9y) | |
| Joseph Shawn Sullivan | Registered representative | Aug 2017 (9y) | ||
| Frederick Dowell Kienel | Registered representative | Aug 2017 (9y) | ||
| Pamela Michelle Hyde | Registered representative | Aug 2017 (9y) | ||
| Mohamad Alhalwani | Registered representative | Aug 2017 (9y) | ||
| Chad Michael Rowland | Registered representative | Aug 2017 (9y) | ||
| Joseph Perry Kelly | Registered representative | CFP | Aug 2017 (9y) | |
| Cheryl Andrea Carrington | Registered representative | CFP | Sep 2017 (9y) | |
| John Besse | Registered representative | Oct 2017 (9y) | ||
| Andrew Brian Orr | Registered representative | CFP | Oct 2017 (9y) | |
| Ame Mccullin | Registered representative | Oct 2017 (9y) | ||
| Thomas Kenneth Parker | Registered representative | Oct 2017 (9y) | ||
| Kimberly Lovelace Benfield | Registered representative | Nov 2017 (9y) | ||
| Christopher Newman Peele | Registered representative | Nov 2017 (9y) | ||
| Willy Alberto Gamez | Registered representative | Nov 2017 (9y) | ||
| Alexander Patrick Sayavongsa | Registered representative | Dec 2017 (9y) | ||
| Jerry Curtis Holton | Registered representative | Dec 2017 (9y) | ||
| Frank S Pittman | Registered representative | CFP | Dec 2017 (9y) | |
| Jeffery Factor | Registered representative | Dec 2017 (9y) | ||
| Jeni Rachel Cobbs | Registered representative | Dec 2017 (9y) | ||
| Arthur Gilbert Faren | Registered representative | CFP Personal Financial Specialist | Jan 2018 (9y) | |
| Jeffrey Paul Oliverio | Registered representative | CFP | Jan 2018 (9y) | |
| Juan Fabian Ayala | Registered representative | Jan 2018 (9y) | ||
| Christopher Michael Trokey | Registered representative | CFA | Jan 2018 (9y) | |
| James Dustin Beall | Registered representative | CFP | Feb 2018 (8y) | |
| Thomas M. Toman | Registered representative | Feb 2018 (8y) | ||
| Roderick Edwin Kennedy | Registered representative | Chartered Financial Consultant | Feb 2018 (8y) | |
| Andrea Carolina Arismendi | Registered representative | Feb 2018 (8y) | ||
| Brian Thomas Huxhold | Registered representative | CFP | Mar 2018 (8y) | |
| Michael John D'alessandro | Registered representative | Mar 2018 (8y) | ||
| Andrew John Stroer | Registered representative | May 2018 (8y) | ||
| Bryan James Kazley | Registered representative | May 2018 (8y) | ||
| Donna M Brown | Registered representative | Jun 2018 (8y) | ||
| Lina Christine Millares | Registered representative | Jun 2018 (8y) | ||
| David J Lay | Registered representative | Jun 2018 (8y) | ||
| Dylan Saunders Kase | Registered representative | CFA | Jun 2018 (8y) | |
| Donna Marie Cabrisses | Registered representative | Jul 2018 (8y) | ||
| Brandon Marcel Hogue | Registered representative | Jul 2018 (8y) | ||
| Megan Sowers | Registered representative | Jul 2018 (8y) | ||
| Maxwell Lewis Oglander | Registered representative | CFA | Aug 2018 (8y) | |
| Sasha Lauzon | Registered representative | Aug 2018 (8y) | ||
| Joel White | Registered representative | Aug 2018 (8y) | ||
| John Matthew Clinard | Registered representative | Aug 2018 (8y) | ||
| Jessica Renee Phillips | Registered representative | Aug 2018 (8y) | ||
| Cynthia Janine Crossen | Registered representative | Aug 2018 (8y) | ||
| Edward Patrick Freeman | Registered representative | Sep 2018 (8y) | ||
| Rebecca Christine Epperly | Registered representative | Sep 2018 (8y) | ||
| Shands Dameron Greenlee | Registered representative | CFP | Sep 2018 (8y) | |
| Hannah Marnee Busick | Registered representative | Sep 2018 (8y) | ||
| Amir Mansour Mossanen | Registered representative | Sep 2018 (8y) | ||
| Jennifer Marie James | Registered representative | CFP | Sep 2018 (8y) | |
| Patrick Long | Registered representative | Sep 2018 (8y) | ||
| Walter Armstrong Kennedy | Registered representative | Sep 2018 (8y) | ||
| Neil Todd Horowitz | Registered representative | Oct 2018 (8y) | ||
| Brian J Panzella | Registered representative | Oct 2018 (8y) | ||
| George Wells Boss | Registered representative | Oct 2018 (8y) | ||
| Michael David Sinnott | Registered representative | Oct 2018 (8y) | ||
| Keith Samuel Holtsclaw | Registered representative | CFP | Oct 2018 (8y) | |
| Austin Taylor Mcelroy | Registered representative | Oct 2018 (8y) | ||
| Marcie Eve Siemering | Registered representative | Oct 2018 (8y) | ||
| Rachel Hill Ashman | Registered representative | Nov 2018 (8y) | ||
| Pamela Lee Callahan | Registered representative | Nov 2018 (8y) | ||
| Kevin Lee Loftin | Registered representative | Nov 2018 (8y) | ||
| Joseph Edward Jarrett | Registered representative | Dec 2018 (8y) | ||
| Jhoanny Vianela Garcia Cardenas | Registered representative | Dec 2018 (8y) | ||
| Donna Jean Oxford Arrigo | Registered representative | Dec 2018 (8y) | ||
| Brian Andrew Ruther | Registered representative | CFP | Jan 2019 (8y) | |
| Amy Elizabeth Johnson | Registered representative | Jan 2019 (8y) | ||
| Olivia R Marks | Registered representative | Jan 2019 (8y) | ||
| Patrick Thomas Culhane | Registered representative | CFP | Jan 2019 (8y) | |
| Elizabeth Lee Rabbitt Stephen | Registered representative | Feb 2019 (7y) | ||
| Michael Hall Mason | Registered representative | Feb 2019 (7y) | ||
| Kevin Daniel Veverka | Registered representative | Mar 2019 (7y) | ||
| Thomas Marc Jaehnel | Registered representative | Mar 2019 (7y) | ||
| Yanette Sullivan | Registered representative | Mar 2019 (7y) | ||
| Brian Christoper Harhai | Registered representative | CFP CFA | Mar 2019 (7y) | |
| Stephen Sullivan Guy | Registered representative | Mar 2019 (7y) | ||
| Susan Lynn Imel | Registered representative | Mar 2019 (7y) | ||
| Matthew Sherlock | Registered representative | Mar 2019 (7y) | ||
| Marcus David Theriault | Registered representative | CFP | Mar 2019 (7y) | |
| Ameet Anilkumar Tijoriwala | Registered representative | Apr 2019 (7y) | ||
| Jennifer Ann Cobleigh | Registered representative | CFA | Apr 2019 (7y) | |
| Julian Esteven Ossa | Registered representative | CFP | Apr 2019 (7y) | |
| Thomas Adam Ennis | Registered representative | CFP | Apr 2019 (7y) | |
| Zachary Twain Avery | Registered representative | May 2019 (7y) | ||
| Jared Stephen Baize | Registered representative | May 2019 (7y) | ||
| Matthew Somerville Buddo | Registered representative | CFP | May 2019 (7y) | |
| Garnell Theodore Scott | Registered representative | Jun 2019 (7y) | ||
| Tierra Tanisha Rose | Registered representative | Jun 2019 (7y) | ||
| James Elijah Mcclellan | Registered representative | Jun 2019 (7y) | ||
| Jonathan Lee Edwards | Registered representative | CFA | Jun 2019 (7y) | |
| Mary Cholish Natiello | Registered representative | Jun 2019 (7y) | ||
| Katherine Carmichael Doherty | Registered representative | Aug 2019 (7y) | ||
| Brendan Joseph Hawks | Registered representative | CFP | Aug 2019 (7y) | |
| Perry Dennis Long | Registered representative | CFA | Aug 2019 (7y) | |
| Jonathan Edward Bjoring | Registered representative | Sep 2019 (7y) | ||
| Margaret Lovatt Robinson | Registered representative | CFA | Sep 2019 (7y) | |
| Karleienny Del Valle Medina Sojo | Registered representative | Sep 2019 (7y) | ||
| Robert Clark Moore | Registered representative | Sep 2019 (7y) | ||
| Jamie Lynn Hudgins | Registered representative | Oct 2019 (7y) | ||
| Matthew Thomas Reed | Registered representative | CFP | Oct 2019 (7y) | |
| Pedro Paulo Pessoa Saraiva Lourenco | Registered representative | CFA | Oct 2019 (7y) | |
| Michael Phillip Perez | Registered representative | Nov 2019 (7y) | ||
| Thomas Joseph Werner | Registered representative | Nov 2019 (7y) | ||
| Michael Kurt Wall | Registered representative | Dec 2019 (7y) | ||
| Charles Edward Kirven | Registered representative | Dec 2019 (7y) | ||
| Jennifer Craven Laughlin | Registered representative | Jan 2020 (7y) | ||
| Rolando Luis Martinez | Registered representative | Jan 2020 (7y) | ||
| William Tucker Gentry | Registered representative | Jan 2020 (7y) | ||
| Matthew Thomas Lochrane | Registered representative | Feb 2020 (6y) | ||
| Brittany Lee Brower | Registered representative | Feb 2020 (6y) | ||
| Dejon Tiffany Singleton | Registered representative | Feb 2020 (6y) | ||
| Sarah Wigbels Welch | Registered representative | Feb 2020 (6y) | ||
| Michael John Desantis | Registered representative | Feb 2020 (6y) | ||
| Gregory Prentiice Kirby | Registered representative | Feb 2020 (6y) | ||
| Cory Edward Kent | Registered representative | Mar 2020 (6y) | ||
| Matthew Scot Winger | Registered representative | Mar 2020 (6y) | ||
| Andrew Scott Benvenuto | Registered representative | Mar 2020 (6y) | ||
| Aarti Sethi | Registered representative | Mar 2020 (6y) | ||
| Nicole Ann Keating | Registered representative | Mar 2020 (6y) | ||
| Yajaira Rodriguez | Registered representative | Mar 2020 (6y) | ||
| Yeh Yang Pang | Registered representative | Mar 2020 (6y) | ||
| Allen Carroll Brooks | Registered representative | Mar 2020 (6y) | ||
| Julio Ramon Betancourt | Registered representative | Mar 2020 (6y) | ||
| Daniel Paul Rourke | Registered representative | Mar 2020 (6y) | ||
| Samuel Walter Dudovitz | Registered representative | CFP | Mar 2020 (6y) | |
| Charles Edgerton Redding | Registered representative | Mar 2020 (6y) | ||
| Elizabeth Marie Jameson Armstrong | Registered representative | Apr 2020 (6y) | ||
| Nancy Bishop | Registered representative | Apr 2020 (6y) | ||
| Robert Nicholas Hoyla | Registered representative | May 2020 (6y) | ||
| Matthew Dylan Price | Registered representative | May 2020 (6y) | ||
| Richard Charles Austin | Registered representative | May 2020 (6y) | ||
| Mayra Dennis | Registered representative | Jun 2020 (6y) | ||
| Ali Mahbod | Registered representative | CFP | Jun 2020 (6y) | |
| Richard William Gruber | Registered representative | CFP | Jun 2020 (6y) | |
| Connie Jeannette Beerbohm | Registered representative | Jun 2020 (6y) | ||
| Matthew Scott Dunckley | Registered representative | Jun 2020 (6y) | ||
| Larranne M Wood | Registered representative | Jun 2020 (6y) | ||
| Katherine Rae Trivisonno | Registered representative | Jun 2020 (6y) | ||
| Brian Henry Bruscino | Registered representative | Jun 2020 (6y) | ||
| Karen Esposito Cole | Registered representative | CFP | Jul 2020 (6y) | |
| Alla L Harvey | Registered representative | Aug 2020 (6y) | ||
| Kara Lynn Bjoring | Registered representative | Aug 2020 (6y) | ||
| David Charles Shepherd | Registered representative | Aug 2020 (6y) | ||
| Joseph Edwin Martin | Registered representative | Sep 2020 (6y) | ||
| Douglas Scott Leonzi | Registered representative | Sep 2020 (6y) | ||
| Joseph Arthur Diorio | Registered representative | Sep 2020 (6y) | ||
| Thomas Frederick Schubert | Registered representative | Sep 2020 (6y) | ||
| Harold Lyman Hughey | Registered representative | CFA | Sep 2020 (6y) | |
| Travis Scott Bolton | Registered representative | Sep 2020 (6y) | ||
| Ashleigh Nicole Overly | Registered representative | Sep 2020 (6y) | ||
| Daniel Wade Mccall | Registered representative | CFP | Oct 2020 (6y) | |
| Joshua Donald Weaknecht | Registered representative | Oct 2020 (6y) | ||
| Michael Louis Bucklin | Registered representative | Oct 2020 (6y) | ||
| William Alan Lupi | Registered representative | Oct 2020 (6y) | ||
| Nicholas Anthony Griffiths | Registered representative | CFP | Oct 2020 (6y) | |
| Austin Christopher Petrovich | Registered representative | Oct 2020 (6y) | ||
| Grant Walker | Registered representative | CFP | Oct 2020 (6y) | |
| Marion Todd Pitts | Registered representative | Oct 2020 (6y) | ||
| Calvin Ward | Registered representative | Oct 2020 (6y) | ||
| Joseph Cummings Levi | Registered representative | Oct 2020 (6y) | ||
| Grayson Arthur Pruitt | Registered representative | Nov 2020 (6y) | ||
| Matthew Laroy Benham | Registered representative | Nov 2020 (6y) | ||
| Betty Davis Deal | Registered representative | Nov 2020 (6y) | ||
| Evan Lowell Hand | Registered representative | Nov 2020 (6y) | ||
| Brandon Scott Weber | Registered representative | CFP | Nov 2020 (6y) | |
| Edmond Darby Henley | Registered representative | Nov 2020 (6y) | ||
| Heather Ingle Oconnor | Registered representative | Nov 2020 (6y) | ||
| John William Tulloss | Registered representative | CFP | Nov 2020 (6y) | |
| Tajuan Marc Mills | Registered representative | Nov 2020 (6y) | ||
| Jane Elizabeth Carpenter | Registered representative | Nov 2020 (6y) | ||
| Valerie Rose Lucille Vander Molen | Registered representative | Nov 2020 (6y) | ||
| Arthur Christopher Lawrence | Registered representative | Nov 2020 (6y) | ||
| Jan Rodrigo Von Herburt Hewell | Registered representative | Nov 2020 (6y) | ||
| Jeanna Blair | Registered representative | Nov 2020 (6y) | ||
| Jonathan Jordan Lloyd | Registered representative | Dec 2020 (6y) | ||
| Debra Inman Towns | Registered representative | Dec 2020 (6y) | ||
| Dwight David Mcpherson | Registered representative | Dec 2020 (6y) | ||
| James Troy Schiermeyer | Registered representative | Dec 2020 (6y) | ||
| Joshua Robert Crane | Registered representative | CFP | Dec 2020 (6y) | |
| Jose Ariel Reyes | Registered representative | Dec 2020 (6y) | ||
| David Lee Houchins | Registered representative | Dec 2020 (6y) | ||
| Steven Talley | Registered representative | CFP | Jan 2021 (6y) | |
| Ronald Edward Talley | Registered representative | Jan 2021 (6y) | ||
| Jason Blair Davis | Registered representative | CFP Chartered Financial Consultant | Jan 2021 (6y) | |
| Charles Hunter Widener | Registered representative | CFP | Jan 2021 (6y) | |
| Aaron M Brown | Registered representative | Feb 2021 (5y) | ||
| Acie Wayne Hylton | Registered representative | Feb 2021 (5y) | ||
| Adam C Bray | Registered representative | Feb 2021 (5y) | ||
| Adam Rhett Bloomberg | Registered representative | Feb 2021 (5y) | ||
| Alex David Fiedler | Registered representative | CFP | Feb 2021 (5y) | |
| Alex Michael Fontana | Registered representative | CFP | Feb 2021 (5y) | |
| Alexander Wickert Barrett | Registered representative | Feb 2021 (5y) | ||
| Alfred Bernard Crake | Registered representative | Feb 2021 (5y) | ||
| Alice Christin Kennedy | Registered representative | CFP | Feb 2021 (5y) | |
| Alicia Dawn Simpson | Registered representative | Feb 2021 (5y) | ||
| Amber D'juan Westbrook | Registered representative | Feb 2021 (5y) | ||
| Andrea Lee Tallent | Registered representative | Feb 2021 (5y) | ||
| Andrew Mitchell Pittinos | Registered representative | CFA | Feb 2021 (5y) | |
| Anthony M Del Priore | Registered representative | Feb 2021 (5y) | ||
| Antoinette Williams | Registered representative | Feb 2021 (5y) | ||
| Ashley Elizabeth Schuster | Registered representative | Feb 2021 (5y) | ||
| Ashley Garrett Hardison | Registered representative | Feb 2021 (5y) | ||
| Ashley Michelle Davis | Registered representative | Feb 2021 (5y) | ||
| Ashley Todd Harward | Registered representative | CFP | Feb 2021 (5y) | |
| Aaron Michael Spivey | Registered representative | CFP | Feb 2021 (5y) | |
| Andrew David Stevenson | Registered representative | Feb 2021 (5y) | ||
| Angela Jean Holdsworth | Registered representative | Feb 2021 (5y) | ||
| Beverly Maready Settle | Registered representative | Feb 2021 (5y) | ||
| Billie Jean Charlton | Registered representative | Feb 2021 (5y) | ||
| Blair Wilson Homesley | Registered representative | Feb 2021 (5y) | ||
| Blake Armstead Lewis | Registered representative | Feb 2021 (5y) | ||
| Brandan Matthew Kot | Registered representative | CFP | Feb 2021 (5y) | |
| Brenda Davies Clarke | Registered representative | CFP | Feb 2021 (5y) | |
| Brenda N Seligmann | Registered representative | Feb 2021 (5y) | ||
| Brett Keith Staples | Registered representative | Feb 2021 (5y) | ||
| Brett Tyler Schmidt | Registered representative | CFP | Feb 2021 (5y) | |
| Brett Widney Hoge | Registered representative | Feb 2021 (5y) | ||
| Brian Charles Zarnick | Registered representative | Feb 2021 (5y) | ||
| Brian William Thornton | Registered representative | Feb 2021 (5y) | ||
| Brock Eugene Himan | Registered representative | Feb 2021 (5y) | ||
| Brooke Motley | Registered representative | Feb 2021 (5y) | ||
| Bernice Louise Murff | Registered representative | Feb 2021 (5y) | ||
| Brad Jay Cherkin | Registered representative | Feb 2021 (5y) | ||
| Brittany Rose Cobb | Registered representative | Feb 2021 (5y) | ||
| Candice Owens Howell | Registered representative | Feb 2021 (5y) | ||
| Carlo Walter Oldani | Registered representative | Feb 2021 (5y) | ||
| Carol Ann Jackson | Registered representative | Feb 2021 (5y) | ||
| Carol Derenburger Rollins | Registered representative | Feb 2021 (5y) | ||
| Cathie Clontz | Registered representative | Feb 2021 (5y) | ||
| Charles Alexander Baskervill | Registered representative | Feb 2021 (5y) | ||
| Charles Eugene Rusmisel | Registered representative | Feb 2021 (5y) | ||
| Charles Lee Gold | Registered representative | Feb 2021 (5y) | ||
| Charles Thomas Keene | Registered representative | CFP | Feb 2021 (5y) | |
| Chris Edward Cookson | Registered representative | Feb 2021 (5y) | ||
| Christian Van Meter Patterson | Registered representative | Feb 2021 (5y) | ||
| Christopher B Peters | Registered representative | Feb 2021 (5y) | ||
| Christopher Charles Turner | Registered representative | Feb 2021 (5y) | ||
| Christopher Grant Lawson | Registered representative | Feb 2021 (5y) | ||
| Christopher Mark Britt | Registered representative | CFP | Feb 2021 (5y) | |
| Clarence Jerome Senn | Registered representative | Feb 2021 (5y) | ||
| Clarke Meredith Payne | Registered representative | CFP | Feb 2021 (5y) | |
| Cory Martin Lansinger | Registered representative | Feb 2021 (5y) | ||
| Courtney Michelle Abrecht | Registered representative | Feb 2021 (5y) | ||
| Craig Atwell Frye | Registered representative | Feb 2021 (5y) | ||
| Cynthia A Thackham | Registered representative | Feb 2021 (5y) | ||
| Carrie Sprouse | Registered representative | Feb 2021 (5y) | ||
| Cristi Michelle Stiles | Registered representative | Feb 2021 (5y) | ||
| Daniel Adair Bledsoe | Registered representative | Feb 2021 (5y) | ||
| Daniel Anthony Sandiford | Registered representative | Feb 2021 (5y) | ||
| Daniel Joseph Flood | Registered representative | Feb 2021 (5y) | ||
| David Christopher Gray | Registered representative | Feb 2021 (5y) | ||
| David Michael Murphy | Registered representative | Feb 2021 (5y) | ||
| David Noel Bowman | Registered representative | CFP | Feb 2021 (5y) | |
| David Philip Kirby | Registered representative | Feb 2021 (5y) | ||
| David Rabinowitz | Registered representative | Feb 2021 (5y) | ||
| David Ray Peterson | Registered representative | Feb 2021 (5y) | ||
| David William Kaye | Registered representative | Feb 2021 (5y) | ||
| David William Rakestraw | Registered representative | CFP | Feb 2021 (5y) | |
| Dean Channell | Registered representative | Feb 2021 (5y) | ||
| Dean Read Castor | Registered representative | Feb 2021 (5y) | ||
| Debbie Sue Nagley | Registered representative | Feb 2021 (5y) | ||
| Derek Robert Yerdon | Registered representative | Feb 2021 (5y) | ||
| Diana Lopez | Registered representative | Feb 2021 (5y) | ||
| Donald William Bescher | Registered representative | Feb 2021 (5y) | ||
| Donna Lynne Lieder | Registered representative | Feb 2021 (5y) | ||
| Douglas French | Registered representative | Feb 2021 (5y) | ||
| Douglas Scott Davis | Registered representative | Feb 2021 (5y) | ||
| Douglass Richard Harold Schmidt | Registered representative | Feb 2021 (5y) | ||
| Drema Kay Smith | Registered representative | Feb 2021 (5y) | ||
| Drew Timothy Nickle | Registered representative | Feb 2021 (5y) | ||
| Dusty Eugene Japp | Registered representative | Feb 2021 (5y) | ||
| Dwayne Marvin Horst | Registered representative | Feb 2021 (5y) | ||
| David Adam Powers | Registered representative | CFP | Feb 2021 (5y) | |
| Edgar Anthony Barbour | Registered representative | Feb 2021 (5y) | ||
| Edward Guion Kain | Registered representative | Feb 2021 (5y) | ||
| Edwin James Pinigis | Registered representative | Feb 2021 (5y) | ||
| Elaine Weatherford Raines | Registered representative | Feb 2021 (5y) | ||
| Elizabeth Oakey Layman | Registered representative | Feb 2021 (5y) | ||
| Emily Holt Dibble | Registered representative | Feb 2021 (5y) | ||
| Eric Laurin Johnson | Registered representative | Feb 2021 (5y) | ||
| Eric Michael Gluse | Registered representative | CFP | Feb 2021 (5y) | |
| Erica A Falcomata | Registered representative | Feb 2021 (5y) | ||
| Erica M Solas | Registered representative | Feb 2021 (5y) | ||
| Evan Bradley Fishman | Registered representative | Feb 2021 (5y) | ||
| Evan W Sterling | Registered representative | Feb 2021 (5y) | ||
| Frank Fiore | Registered representative | Chartered Financial Consultant | Feb 2021 (5y) | |
| Frank Joseph Violini | Registered representative | CFP | Feb 2021 (5y) | |
| Gabriella Amel Musrock | Registered representative | Feb 2021 (5y) | ||
| Gary Wayne Bieniasz | Registered representative | Feb 2021 (5y) | ||
| Gavin Young Shuck | Registered representative | Feb 2021 (5y) | ||
| George Alfred Lupton | Registered representative | Feb 2021 (5y) | ||
| Ginny Lee Brown | Registered representative | Feb 2021 (5y) | ||
| Gladys Valentin Klevgard | Registered representative | Feb 2021 (5y) | ||
| Gloria Dearcangelis | Registered representative | Feb 2021 (5y) | ||
| Gordon Bayard Kellam | Registered representative | Feb 2021 (5y) | ||
| Gregory M Hudson | Registered representative | Feb 2021 (5y) | ||
| Gregory Patrick Russo | Registered representative | Chartered Financial Consultant | Feb 2021 (5y) | |
| Greyson H Huber | Registered representative | Feb 2021 (5y) | ||
| Gustavo Laguarda | Registered representative | CFP Chartered Financial Consultant | Feb 2021 (5y) | |
| Haelie Lee Guiney | Registered representative | Feb 2021 (5y) | ||
| Harrison William Taylor | Registered representative | Feb 2021 (5y) | ||
| Heather Ann Edwards | Registered representative | Feb 2021 (5y) | ||
| Holly Chapman Camp | Registered representative | Feb 2021 (5y) | ||
| Horace R Kornegay | Registered representative | Feb 2021 (5y) | ||
| Harley Lemoyne Schultz | Registered representative | Feb 2021 (5y) | ||
| Ilir Berberi | Registered representative | Feb 2021 (5y) | ||
| Jacob Travis Harper | Registered representative | Feb 2021 (5y) | ||
| Jacqueline Nicole Ekard | Registered representative | CFP | Feb 2021 (5y) | |
| Jacquelyn Mclendon Pate Wiggs | Registered representative | Feb 2021 (5y) | ||
| Jairo Edwin Castaneda | Registered representative | CFP | Feb 2021 (5y) | |
| James Burton Trivette | Registered representative | Feb 2021 (5y) | ||
| James Douglas Jones | Registered representative | Feb 2021 (5y) | ||
| James Edward Fitch | Registered representative | Feb 2021 (5y) | ||
| James Francis Austin | Registered representative | Feb 2021 (5y) | ||
| James Jason Gowen | Registered representative | Feb 2021 (5y) | ||
| James Mark Appleby | Registered representative | CFP | Feb 2021 (5y) | |
| James Robert Barnes | Registered representative | Feb 2021 (5y) | ||
| James Tucker Schenck | Registered representative | Feb 2021 (5y) | ||
| James Tyson Davis | Registered representative | Feb 2021 (5y) | ||
| James William Applewhite | Registered representative | Feb 2021 (5y) | ||
| Jamie Leann Kerr | Registered representative | Feb 2021 (5y) | ||
| Jamie Necole Upton | Registered representative | Feb 2021 (5y) | ||
| Jarrod Daniel Gould | Registered representative | Feb 2021 (5y) | ||
| Jason Glenn Coble | Registered representative | Feb 2021 (5y) | ||
| Jason Travis Turner | Registered representative | Feb 2021 (5y) | ||
| Jeffery Michael Keczan | Registered representative | Feb 2021 (5y) | ||
| Jeffrey Alan Lewis | Registered representative | Feb 2021 (5y) | ||
| Jeffrey Alan Tucker | Registered representative | Feb 2021 (5y) | ||
| Jeffrey John Bulger | Registered representative | Feb 2021 (5y) | ||
| Jenna Dori Yingling | Registered representative | Feb 2021 (5y) | ||
| Jennifer C Nease | Registered representative | Feb 2021 (5y) | ||
| Jennifer Hatcher Beaulieu | Registered representative | Feb 2021 (5y) | ||
| Jenny Marie Croxton | Registered representative | Feb 2021 (5y) | ||
| Jeremy Blaine Stauss | Registered representative | CFP | Feb 2021 (5y) | |
| Jessica Hagan Charlton | Registered representative | Feb 2021 (5y) | ||
| Jhuler Villegas | Registered representative | CFP | Feb 2021 (5y) | |
| Joanna Vanessa Ransom | Registered representative | Feb 2021 (5y) | ||
| Joel Nathan Zvi Goren | Registered representative | CFP | Feb 2021 (5y) | |
| John Archie Jeffords | Registered representative | Feb 2021 (5y) | ||
| John Everett Bennett | Registered representative | Feb 2021 (5y) | ||
| John Hampton Hudgens | Registered representative | CFP | Feb 2021 (5y) | |
| John Langley | Registered representative | Feb 2021 (5y) | ||
| John Macintosh Barry | Registered representative | Feb 2021 (5y) | ||
| John Peter Goetke | Registered representative | Feb 2021 (5y) | ||
| John Wallace Taylor | Registered representative | CFP | Feb 2021 (5y) | |
| Johnathon Leland Cope | Registered representative | Feb 2021 (5y) | ||
| Jonathan Daniel Myers | Registered representative | Feb 2021 (5y) | ||
| Jonathan Jay Robinson | Registered representative | Feb 2021 (5y) | ||
| Jose Mauricio Lopera Guevara | Registered representative | Chartered Financial Consultant | Feb 2021 (5y) | |
| Joseph Frederick Baigas | Registered representative | Feb 2021 (5y) | ||
| Joseph G. Ferraro | Registered representative | Feb 2021 (5y) | ||
| Joseph Mahoney Dumser | Registered representative | Feb 2021 (5y) | ||
| Joseph Patrick Varamo | Registered representative | Feb 2021 (5y) | ||
| Joseph Ryan Denney | Registered representative | Feb 2021 (5y) | ||
| Joseph W Cremen | Registered representative | CFP | Feb 2021 (5y) | |
| Joseph William Rebello | Registered representative | Feb 2021 (5y) | ||
| Joshua J Pratta | Registered representative | CFP | Feb 2021 (5y) | |
| Joshua Shane Welch | Registered representative | Feb 2021 (5y) | ||
| Judy Bailey Hill | Registered representative | Feb 2021 (5y) | ||
| Julie Helms Lancaster | Registered representative | Feb 2021 (5y) | ||
| Justin Allen Hall | Registered representative | Feb 2021 (5y) | ||
| Justin Christopher Gibson | Registered representative | Feb 2021 (5y) | ||
| Justin Lon Jones | Registered representative | Feb 2021 (5y) | ||
| Jennifer Reagan Kellett | Registered representative | Feb 2021 (5y) | ||
| Jillian Leigh Spinelli | Registered representative | Feb 2021 (5y) | ||
| Jimmy Allen Barker | Registered representative | Feb 2021 (5y) | ||
| Jonathan Carl Camp | Registered representative | Feb 2021 (5y) | ||
| Joseph D Du Montier | Registered representative | Feb 2021 (5y) | ||
| Justin Kyle Thompson | Registered representative | Feb 2021 (5y) | ||
| Karyn C Talarico | Registered representative | CFP | Feb 2021 (5y) | |
| Kassidy Irene Griner | Registered representative | Feb 2021 (5y) | ||
| Katherine Diane Pope | Registered representative | Feb 2021 (5y) | ||
| Kathleen Anne Breen | Registered representative | Feb 2021 (5y) | ||
| Kathleen Mattson Hayes | Registered representative | Feb 2021 (5y) | ||
| Kathy Allison White | Registered representative | Feb 2021 (5y) | ||
| Keith J Raymond | Registered representative | Feb 2021 (5y) | ||
| Kellie Newlon Carroll | Registered representative | CFP | Feb 2021 (5y) | |
| Kelly Lea Whitlock | Registered representative | Feb 2021 (5y) | ||
| Kelly Redfern Spelsberg | Registered representative | Feb 2021 (5y) | ||
| Kenneth Lee Watson | Registered representative | Feb 2021 (5y) | ||
| Kevin Colby Kuhnel | Registered representative | Feb 2021 (5y) | ||
| Kevin Luke Serensits | Registered representative | Feb 2021 (5y) | ||
| Kevin William South | Registered representative | Feb 2021 (5y) | ||
| Kimberly Gail Payne | Registered representative | Feb 2021 (5y) | ||
| Kristen Warren Gardner | Registered representative | Feb 2021 (5y) | ||
| Kristin Lee Thomas | Registered representative | Feb 2021 (5y) | ||
| Kristopher Alexander Karazissis | Registered representative | CFP | Feb 2021 (5y) | |
| Kathryn Thomas Giles | Registered representative | Feb 2021 (5y) | ||
| Kristina Krotz Verna | Registered representative | Feb 2021 (5y) | ||
| Kyle Edward Fitzpatrick | Registered representative | Feb 2021 (5y) | ||
| Lachelle Elaine Moses | Registered representative | Feb 2021 (5y) | ||
| Lailany Elisabel Giraldes | Registered representative | Feb 2021 (5y) | ||
| Larry Wayne Keith | Registered representative | Feb 2021 (5y) | ||
| Laura Via Chatham | Registered representative | Feb 2021 (5y) | ||
| Laurel Elyse Coleman | Registered representative | Feb 2021 (5y) | ||
| Lawrence Francis Bender | Registered representative | Feb 2021 (5y) | ||
| Lee Andrew Ginther | Registered representative | Feb 2021 (5y) | ||
| Leigh Ann St John | Registered representative | Feb 2021 (5y) | ||
| Leslie A Wilkerson | Registered representative | Feb 2021 (5y) | ||
| Leslie Michelle Hetager | Registered representative | Feb 2021 (5y) | ||
| Lisa C Elkins | Registered representative | Feb 2021 (5y) | ||
| Lisa Street Baverso | Registered representative | Feb 2021 (5y) | ||
| Lloyd Keith Nelms | Registered representative | Feb 2021 (5y) | ||
| Logan Bart Conroy | Registered representative | Feb 2021 (5y) | ||
| Lori Ann Tamayo | Registered representative | CFP | Feb 2021 (5y) | |
| Louis Gray Clark | Registered representative | CFP | Feb 2021 (5y) | |
| Luther Kirkpatrick Wiles | Registered representative | Feb 2021 (5y) | ||
| Lori Alexa York | Registered representative | CFP | Feb 2021 (5y) | |
| Marc Christopher Humann | Registered representative | Feb 2021 (5y) | ||
| Marc Jonathan Tendler | Registered representative | Feb 2021 (5y) | ||
| Mark A Cutler | Registered representative | Feb 2021 (5y) | ||
| Mark Stephen Purcell | Registered representative | Feb 2021 (5y) | ||
| Mark Vincent Dinora | Registered representative | Feb 2021 (5y) | ||
| Martha Jon Hix Siceloff | Registered representative | Feb 2021 (5y) | ||
| Martin Edward Grady | Registered representative | Feb 2021 (5y) | ||
| Marvin Scott Waller | Registered representative | Feb 2021 (5y) | ||
| Mary Beth Wafer | Registered representative | Feb 2021 (5y) | ||
| Mary Kay Elliott | Registered representative | Feb 2021 (5y) | ||
| Matthew A Bowman | Registered representative | Feb 2021 (5y) | ||
| Matthew Alan Hale | Registered representative | Feb 2021 (5y) | ||
| Matthew Brantley Johnson | Registered representative | CFP | Feb 2021 (5y) | |
| Matthew Leonard Orth | Registered representative | Feb 2021 (5y) | ||
| Matthew Scott Nadeau | Registered representative | Feb 2021 (5y) | ||
| Matthew Thomas Caras | Registered representative | CFP | Feb 2021 (5y) | |
| Matthew Wade Voreh | Registered representative | Feb 2021 (5y) | ||
| Melanie Fuller Hill | Registered representative | Feb 2021 (5y) | ||
| Melanie Huff Chenault | Registered representative | Feb 2021 (5y) | ||
| Melanie Mcphail Nunnally | Registered representative | Feb 2021 (5y) | ||
| Melody P Glass | Registered representative | Feb 2021 (5y) | ||
| Michael Anthony Baloy | Registered representative | Feb 2021 (5y) | ||
| Michael Gerard Wille | Registered representative | Feb 2021 (5y) | ||
| Michael John Cichon | Registered representative | Feb 2021 (5y) | ||
| Michael Lee Hall | Registered representative | Feb 2021 (5y) | ||
| Michael Matthew Thompson | Registered representative | Feb 2021 (5y) | ||
| Michael P Bish | Registered representative | CFP | Feb 2021 (5y) | |
| Michael Patrick O'keefe | Registered representative | Feb 2021 (5y) | ||
| Michael Poe Dautel | Registered representative | Feb 2021 (5y) | ||
| Michael Ryan Brin | Registered representative | CFP | Feb 2021 (5y) | |
| Michael Stuart Freeman | Registered representative | CFP Chartered Financial Consultant CFA | Feb 2021 (5y) | |
| Michael Todd Hoffman | Registered representative | Feb 2021 (5y) | ||
| Michelle A Dees | Registered representative | Feb 2021 (5y) | ||
| Michelle Lee Seville | Registered representative | Feb 2021 (5y) | ||
| Miles G Ouren | Registered representative | Feb 2021 (5y) | ||
| Martin Edward Braam | Registered representative | Feb 2021 (5y) | ||
| Matthew Logan Campbell | Registered representative | Feb 2021 (5y) | ||
| Matthew Slater Dyson | Registered representative | Feb 2021 (5y) | ||
| Misty Winfree Cox | Registered representative | Feb 2021 (5y) | ||
| Nathan Hugh Buffington | Registered representative | Feb 2021 (5y) | ||
| Nathaniel Perry Crosby | Registered representative | Feb 2021 (5y) | ||
| Nicholas A Biron | Registered representative | Feb 2021 (5y) | ||
| Nora Fabiola Carrillo | Registered representative | Feb 2021 (5y) | ||
| Neal Harris Stevenson | Registered representative | CFP | Feb 2021 (5y) | |
| Owen Montgomery Wilson | Registered representative | Feb 2021 (5y) | ||
| Patricia Lynn Watson | Registered representative | Feb 2021 (5y) | ||
| Patrick Wayne Vance | Registered representative | Feb 2021 (5y) | ||
| Paul Joseph Bopp | Registered representative | CFP | Feb 2021 (5y) | |
| Paul Joseph Shibley | Registered representative | Feb 2021 (5y) | ||
| Paul Joseph Vahle | Registered representative | Feb 2021 (5y) | ||
| Paul Stewart Irving | Registered representative | CFP | Feb 2021 (5y) | |
| Paul Valerio | Registered representative | Feb 2021 (5y) | ||
| Philip Harrison Rothstein | Registered representative | CFP | Feb 2021 (5y) | |
| Philip Polito | Registered representative | Feb 2021 (5y) | ||
| Paige Goza Simmons | Registered representative | Feb 2021 (5y) | ||
| Patrick Michael Wales | Registered representative | Feb 2021 (5y) | ||
| Philip T. Garcia | Registered representative | Feb 2021 (5y) | ||
| Randall Scott West | Registered representative | Feb 2021 (5y) | ||
| Randy Lewis Stark | Registered representative | Feb 2021 (5y) | ||
| Ray L Schrecker Jr. | Registered representative | Feb 2021 (5y) | ||
| Rebecca Blake Kishbaugh | Registered representative | Feb 2021 (5y) | ||
| Renee Marie Harrison | Registered representative | Feb 2021 (5y) | ||
| Richard Arlen Lord | Registered representative | Feb 2021 (5y) | ||
| Richard Edwin Giles | Registered representative | Feb 2021 (5y) | ||
| Richard James Walker | Registered representative | Feb 2021 (5y) | ||
| Robert David Sturm | Registered representative | Feb 2021 (5y) | ||
| Robert Derick Walters | Registered representative | CFP | Feb 2021 (5y) | |
| Robert George Bem | Registered representative | Chartered Financial Consultant | Feb 2021 (5y) | |
| Robert J Timms | Registered representative | Feb 2021 (5y) | ||
| Robert John Pelliciotta | Registered representative | Feb 2021 (5y) | ||
| Robert Joseph Hooks | Registered representative | Feb 2021 (5y) | ||
| Robert Joseph Stroup | Registered representative | Feb 2021 (5y) | ||
| Robert Nelson Smith | Registered representative | Feb 2021 (5y) | ||
| Robert Randall Pace | Registered representative | Feb 2021 (5y) | ||
| Robert T Lareau | Registered representative | Feb 2021 (5y) | ||
| Robin Lanise Graves | Registered representative | Feb 2021 (5y) | ||
| Ronald Edward Mosser | Registered representative | CFP | Feb 2021 (5y) | |
| Roslyn Gizelle Ervin | Registered representative | Feb 2021 (5y) | ||
| Roxanne Marie Judge | Registered representative | Feb 2021 (5y) | ||
| Ryan C Painter | Registered representative | Feb 2021 (5y) | ||
| Ryan Martin King | Registered representative | Feb 2021 (5y) | ||
| Ryan Matthew Parks | Registered representative | Feb 2021 (5y) | ||
| Ryan Thomas Cooke | Registered representative | CFP | Feb 2021 (5y) | |
| Rachel Pahnke Small | Registered representative | Feb 2021 (5y) | ||
| Robert Arthur Needham | Registered representative | CFP | Feb 2021 (5y) | |
| Samantha Jo Pardee | Registered representative | Feb 2021 (5y) | ||
| Samantha Marie Gillespie | Registered representative | Feb 2021 (5y) | ||
| Samuel Reuben Hylton | Registered representative | CFP | Feb 2021 (5y) | |
| Sarah Frances Shotts | Registered representative | Feb 2021 (5y) | ||
| Scott Allen Tilley | Registered representative | CFA | Feb 2021 (5y) | |
| Scott Christopher Anderson | Registered representative | Feb 2021 (5y) | ||
| Scott Douglas Suarez | Registered representative | Feb 2021 (5y) | ||
| Scott Gola | Registered representative | Feb 2021 (5y) | ||
| Scott Montgomery Webb Shook | Registered representative | Feb 2021 (5y) | ||
| Sean M Indiveri | Registered representative | Feb 2021 (5y) | ||
| Sean Michael Hennessey | Registered representative | CFP | Feb 2021 (5y) | |
| Sharin Lisa Akhtar | Registered representative | Feb 2021 (5y) | ||
| Sheila Sebastian Powers | Registered representative | Feb 2021 (5y) | ||
| Sherry Lee Hall | Registered representative | Feb 2021 (5y) | ||
| Sommer S Brown | Registered representative | Feb 2021 (5y) | ||
| Stacey De Payne | Registered representative | Feb 2021 (5y) | ||
| Steadman Forrest Knight | Registered representative | Feb 2021 (5y) | ||
| Stephen Daniel Robinson | Registered representative | Feb 2021 (5y) | ||
| Stephen Douglas Gow | Registered representative | CFA | Feb 2021 (5y) | |
| Stephen R Shaffer | Registered representative | Feb 2021 (5y) | ||
| Steven Cain Smith | Registered representative | Feb 2021 (5y) | ||
| Steven Clark Kornicker | Registered representative | Feb 2021 (5y) | ||
| Steven Kyle Blank | Registered representative | Chartered Financial Consultant | Feb 2021 (5y) | |
| Stokes Keisler Shealy | Registered representative | CFP | Feb 2021 (5y) | |
| Sukja Suzanne Kim | Registered representative | CFP | Feb 2021 (5y) | |
| Susan E Potter | Registered representative | Feb 2021 (5y) | ||
| Susan E. Crump | Registered representative | Feb 2021 (5y) | ||
| Susan Gaylyn Timok | Registered representative | Feb 2021 (5y) | ||
| Suzanne Carolyn Dean | Registered representative | Feb 2021 (5y) | ||
| Samantha Becker | Registered representative | Feb 2021 (5y) | ||
| Serena Rose Lester | Registered representative | CFP | Feb 2021 (5y) | |
| Sheena Yuvonne Wells | Registered representative | Feb 2021 (5y) | ||
| Tabitha J Concepcion | Registered representative | CFP | Feb 2021 (5y) | |
| Tara Jane Archer | Registered representative | Feb 2021 (5y) | ||
| Taylor J Whitford | Registered representative | Feb 2021 (5y) | ||
| Teresa Dianne Shaffer | Registered representative | CFP | Feb 2021 (5y) | |
| Theodore N Barger | Registered representative | CFP | Feb 2021 (5y) | |
| Thomas Allen Dukes | Registered representative | Feb 2021 (5y) | ||
| Thomas Charles Fontana | Registered representative | Feb 2021 (5y) | ||
| Thomas Francis Ritchie | Registered representative | Feb 2021 (5y) | ||
| Thomas Goodwin Roediger | Registered representative | Feb 2021 (5y) | ||
| Thomas Llewellyn Ashbridge | Registered representative | Feb 2021 (5y) | ||
| Thomas Moffett Sowers | Registered representative | Feb 2021 (5y) | ||
| Thomas Nathan Ownbey | Registered representative | Feb 2021 (5y) | ||
| Thomas Ronald Rouse | Registered representative | CFP | Feb 2021 (5y) | |
| Thomas William Pfaff | Registered representative | Feb 2021 (5y) | ||
| Tiffany Michelle Caudle | Registered representative | Feb 2021 (5y) | ||
| Timothy E Delia | Registered representative | Feb 2021 (5y) | ||
| Timothy Matthew Libby | Registered representative | Feb 2021 (5y) | ||
| Timothy Michael Hyle | Registered representative | Feb 2021 (5y) | ||
| Timothy Wayne Wilson | Registered representative | Feb 2021 (5y) | ||
| Tony Scott Bullard | Registered representative | Feb 2021 (5y) | ||
| Tracy J Richter | Registered representative | Feb 2021 (5y) | ||
| Traver Paul Hardesty | Registered representative | Feb 2021 (5y) | ||
| Todd Richard Sowpel | Registered representative | Feb 2021 (5y) | ||
| Vicki Underwood Bertholomey | Registered representative | Feb 2021 (5y) | ||
| Victor Donaldson Kane | Registered representative | Feb 2021 (5y) | ||
| Victor Guillermo Valentino Rodriguez | Registered representative | Feb 2021 (5y) | ||
| Vincent Edward Johnson | Registered representative | Feb 2021 (5y) | ||
| Vincenzo Roberto Catullo | Registered representative | Feb 2021 (5y) | ||
| Virginia Ellen Owens | Registered representative | Feb 2021 (5y) | ||
| Virginia Irene Woods | Registered representative | Feb 2021 (5y) | ||
| Vance Christian Anderson | Registered representative | Feb 2021 (5y) | ||
| Wayne Clark Griffin | Registered representative | Feb 2021 (5y) | ||
| William Adam Wilkinson | Registered representative | Feb 2021 (5y) | ||
| William Byrd King | Registered representative | Feb 2021 (5y) | ||
| William Enrique Sanchez | Registered representative | CFP | Feb 2021 (5y) | |
| William G Ouzts | Registered representative | Feb 2021 (5y) | ||
| William Garrett Ouzts | Registered representative | Feb 2021 (5y) | ||
| William Merrick Semans | Registered representative | Feb 2021 (5y) | ||
| William Patrick Gamble | Registered representative | Feb 2021 (5y) | ||
| William Randolph Taylor | Registered representative | Feb 2021 (5y) | ||
| William Tracy Thompson | Registered representative | Feb 2021 (5y) | ||
| Walter Clayton Pate | Registered representative | CFP | Feb 2021 (5y) | |
| Yvette Farrugia Polster | Registered representative | CFP | Feb 2021 (5y) | |
| Yvonne Hollis Pridemore | Registered representative | Feb 2021 (5y) | ||
| Zachary James Cathey | Registered representative | Feb 2021 (5y) | ||
| Zaneh Marie Gonzalez Romaine | Registered representative | Feb 2021 (5y) | ||
| Zachary Thomas Muhr | Registered representative | Feb 2021 (5y) | ||
| Craig Edward Dyson | Registered representative | Feb 2021 (5y) | ||
| Lisandra Slavik | Registered representative | Feb 2021 (5y) | ||
| Andrew Louis Mcdonald | Registered representative | Mar 2021 (5y) | ||
| Andrew J Mill | Registered representative | Mar 2021 (5y) | ||
| Belkys Mejia | Registered representative | Mar 2021 (5y) | ||
| Blake Harper Manley | Registered representative | CFP | Mar 2021 (5y) | |
| Brian Davis Butler | Registered representative | Mar 2021 (5y) | ||
| Brooke Hanson Moore | Registered representative | Mar 2021 (5y) | ||
| Belinda Mai Butler | Registered representative | Mar 2021 (5y) | ||
| Chadwick Carter Messina | Registered representative | Mar 2021 (5y) | ||
| Charles David Mitchell | Registered representative | CFP | Mar 2021 (5y) | |
| Charles Hutchinson Mccoy | Registered representative | Mar 2021 (5y) | ||
| Denise Kathleen Merinar | Registered representative | Mar 2021 (5y) | ||
| Diane L Mannino | Registered representative | Mar 2021 (5y) | ||
| Elisa Cameron Maxwell | Registered representative | Mar 2021 (5y) | ||
| Gregory Brian Meadows | Registered representative | Mar 2021 (5y) | ||
| Gregory Michael Misko | Registered representative | CFP | Mar 2021 (5y) | |
| Harry Flood Byrd | Registered representative | Mar 2021 (5y) | ||
| Jason Axel Mertz | Registered representative | Mar 2021 (5y) | ||
| Jason Marshall Morris | Registered representative | Mar 2021 (5y) | ||
| Jay Louis Burmaster | Registered representative | Mar 2021 (5y) | ||
| Jennifer Leigh Burkhardt | Registered representative | Mar 2021 (5y) | ||
| Jessi Anne Burkey | Registered representative | Mar 2021 (5y) | ||
| John Claude Mason | Registered representative | Mar 2021 (5y) | ||
| John Sanford Molster | Registered representative | Mar 2021 (5y) | ||
| Johnathan Edwin Mitchell | Registered representative | Mar 2021 (5y) | ||
| Jocelyn Marie Mc Bride | Registered representative | Mar 2021 (5y) | ||
| John Phillip Marshall | Registered representative | Mar 2021 (5y) | ||
| Lukas Metz Heavner | Registered representative | Mar 2021 (5y) | ||
| Martin Ross Mcclure | Registered representative | Mar 2021 (5y) | ||
| Matthew Steven Burlew | Registered representative | CFP | Mar 2021 (5y) | |
| Matthew Thomas Malone | Registered representative | CFP | Mar 2021 (5y) | |
| Matthew Vinson Masten | Registered representative | CFP | Mar 2021 (5y) | |
| Michael Joseph Madden | Registered representative | Mar 2021 (5y) | ||
| Mickey Murdock Morton | Registered representative | CFP | Mar 2021 (5y) | |
| Robert Ellis Metz | Registered representative | Mar 2021 (5y) | ||
| Robert Paul Marchesano | Registered representative | CFP | Mar 2021 (5y) | |
| Ryan Raj Mahtani | Registered representative | Mar 2021 (5y) | ||
| Samantha Camille Mcdevitt | Registered representative | Mar 2021 (5y) | ||
| Samuel Taylor Mintz | Registered representative | CFP | Mar 2021 (5y) | |
| Steven W Marasco | Registered representative | Mar 2021 (5y) | ||
| Stephanie Lura Malone | Registered representative | Mar 2021 (5y) | ||
| Timothy Paul Mann | Registered representative | Mar 2021 (5y) | ||
| Todd Austin Mcintire | Registered representative | Mar 2021 (5y) | ||
| Tricia Renee Momyer | Registered representative | Mar 2021 (5y) | ||
| Warren Geary Metzger | Registered representative | Mar 2021 (5y) | ||
| William Mcreynolds | Registered representative | Mar 2021 (5y) | ||
| Charles Davis Shepherd | Registered representative | CFP CFA | Mar 2021 (5y) | |
| Erica Teale Fulbright | Registered representative | Apr 2021 (5y) | ||
| Nadir Khalid | Registered representative | Apr 2021 (5y) | ||
| Michael Gerard Akers | Registered representative | Apr 2021 (5y) | ||
| Jonathan Andrew Cohen | Registered representative | Apr 2021 (5y) | ||
| Kristen Nicole Mock | Registered representative | Apr 2021 (5y) | ||
| Nicholas John Davy | Registered representative | Apr 2021 (5y) | ||
| Peter Elias Velissarios | Registered representative | May 2021 (5y) | ||
| Batina Tramaglino | Registered representative | May 2021 (5y) | ||
| Kathy S Kuczenski | Registered representative | May 2021 (5y) | ||
| Alejandro Aurelio Goicoechea | Registered representative | May 2021 (5y) | ||
| Michael Thomas Hoffmann | Registered representative | CFA | May 2021 (5y) | |
| William Gordon Savage | Registered representative | CFP Chartered Financial Consultant | May 2021 (5y) | |
| Nancy Hancock Cheney | Registered representative | CFA | May 2021 (5y) | |
| Brian Roger James | Registered representative | Jun 2021 (5y) | ||
| Sidney Suzette Fenton | Registered representative | Jun 2021 (5y) | ||
| Cassandra Louise Altom | Registered representative | Jun 2021 (5y) | ||
| Jeffrey Garrison | Registered representative | Jun 2021 (5y) | ||
| Maryanne C. French | Registered representative | Jun 2021 (5y) | ||
| Daniel Scott Forrester | Registered representative | Jul 2021 (5y) | ||
| Michael Rothman | Registered representative | Jul 2021 (5y) | ||
| Anthony John Krane | Registered representative | Jul 2021 (5y) | ||
| Ceferino Rodriguez | Registered representative | Jul 2021 (5y) | ||
| Paul Waddell Collins | Registered representative | Jul 2021 (5y) | ||
| Erik Staffan Tozzi | Registered representative | Jul 2021 (5y) | ||
| Justin Isaiah Harmon | Registered representative | Jul 2021 (5y) | ||
| Lawrence M Kaplow | Registered representative | Jul 2021 (5y) | ||
| Haley Signorini | Registered representative | Jul 2021 (5y) | ||
| Robert M Zimmerman | Registered representative | CFA | Jul 2021 (5y) | |
| Dwayne O Marsh | Registered representative | Jul 2021 (5y) | ||
| Leonard Lebov | Registered representative | Jul 2021 (5y) | ||
| Linda Jean Guella | Registered representative | Jul 2021 (5y) | ||
| Mohan Namdeorao Badgujar | Registered representative | Jul 2021 (5y) | ||
| Spencer Norton Boggess | Registered representative | Jul 2021 (5y) | ||
| Ramona Suzette Burris | Registered representative | Jul 2021 (5y) | ||
| Lori Diane Mcguire | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Niklas Karl Oskarsson | Registered representative | CFA | Aug 2021 (5y) | |
| Clinton Carson Osmun | Registered representative | Aug 2021 (5y) | ||
| Andrew M Cryar | Registered representative | Aug 2021 (5y) | ||
| Tony Erlvin Smith | Registered representative | Chartered Financial Consultant | Aug 2021 (5y) | |
| Dung Van Anh Nguyen | Registered representative | Aug 2021 (5y) | ||
| Stephen Milton Holloman | Registered representative | Aug 2021 (5y) | ||
| Dennis Paul Mauk | Registered representative | Aug 2021 (5y) | ||
| Walter Elliot Lewis | Registered representative | CFA | Aug 2021 (5y) | |
| Israel Noriega | Registered representative | Aug 2021 (5y) | ||
| Yvette Cummings Heatly | Registered representative | Aug 2021 (5y) | ||
| Lena Poma | Registered representative | Aug 2021 (5y) | ||
| Douglas Lloyd Rogers | Registered representative | CFA | Aug 2021 (5y) | |
| Eric Mark Fehr | Registered representative | Sep 2021 (5y) | ||
| Joshua Evan Mcneil | Registered representative | Sep 2021 (5y) | ||
| Natalia B Korop | Registered representative | Sep 2021 (5y) | ||
| Jason Taylor Gay | Registered representative | Sep 2021 (5y) | ||
| Amber Lea Gardner | Registered representative | Sep 2021 (5y) | ||
| Diego Velez | Registered representative | CFA | Sep 2021 (5y) | |
| Travers Bernert Cliborne | Registered representative | Sep 2021 (5y) | ||
| Hal Paul Newman | Registered representative | Sep 2021 (5y) | ||
| Michael John Medinger | Registered representative | CFA | Sep 2021 (5y) | |
| Jacob Wayne Lewis | Registered representative | CFP | Sep 2021 (5y) | |
| Levente Ferenc Zsuppan | Registered representative | CFP | Sep 2021 (5y) | |
| Harrison Holdren Cross | Registered representative | CFP CFA | Oct 2021 (5y) | |
| Shalenee Yalla | Registered representative | Oct 2021 (5y) | ||
| Kenneth Thomas Connors | Registered representative | Oct 2021 (5y) | ||
| Jason Edward West | Registered representative | Oct 2021 (5y) | ||
| Michael Quinn | Registered representative | Oct 2021 (5y) | ||
| Hunter Tedford Mills | Registered representative | Oct 2021 (5y) | ||
| Hugh Fulmer Renwick | Registered representative | Oct 2021 (5y) | ||
| Leonardo Toledo | Registered representative | Oct 2021 (5y) | ||
| Everett Gregory Hunter | Registered representative | CFP | Oct 2021 (5y) | |
| Juan Carlos Vanegas | Registered representative | Oct 2021 (5y) | ||
| Angela Virginia Nelson | Registered representative | Oct 2021 (5y) | ||
| Daniel Henao Ararat | Registered representative | Oct 2021 (5y) | ||
| Cary Baber Daly | Registered representative | Oct 2021 (5y) | ||
| Alicia Ann Zmuda | Registered representative | CFP | Nov 2021 (5y) | |
| James Peter Brennan | Registered representative | CFP | Nov 2021 (5y) | |
| Jennifer Anne Hamlin | Registered representative | Nov 2021 (5y) | ||
| Martin Kent Walker | Registered representative | Nov 2021 (5y) | ||
| Bradley James Cooke | Registered representative | CFA | Nov 2021 (5y) | |
| Hannah Cheyenne Smith | Registered representative | Nov 2021 (5y) | ||
| Abraham Haile Zewdie | Registered representative | Nov 2021 (5y) | ||
| Janet Marie Bentley Ewers | Registered representative | Nov 2021 (5y) | ||
| Samuel Opoku Agyemang | Registered representative | Nov 2021 (5y) | ||
| Milan Cavic | Registered representative | Dec 2021 (5y) | ||
| David Paul Dively | Registered representative | Dec 2021 (5y) | ||
| Brenda Lynn Yard | Registered representative | Dec 2021 (5y) | ||
| Patrick Michael Hipkens | Registered representative | CFA | Dec 2021 (5y) | |
| John Thomas Rhyne | Registered representative | Dec 2021 (5y) | ||
| Ricardo Alves De Oliveira | Registered representative | Dec 2021 (5y) | ||
| Rahul Bhatti | Registered representative | Dec 2021 (5y) | ||
| Brent James Martin | Registered representative | Dec 2021 (5y) | ||
| Javonda Thompson Lightner | Registered representative | Dec 2021 (5y) | ||
| Frederick Morton Hight | Registered representative | Dec 2021 (5y) | ||
| John Declan Schaefer | Registered representative | Dec 2021 (5y) | ||
| Christopher Lee Knox | Registered representative | Dec 2021 (5y) | ||
| Tara Bates Brummell | Registered representative | CFP | Jan 2022 (5y) | |
| Gilbert Charles Earle | Registered representative | Jan 2022 (5y) | ||
| James Hyun Ahn | Registered representative | Jan 2022 (5y) | ||
| John David Logue | Registered representative | CFP | Jan 2022 (5y) | |
| Jonathan Crockett | Registered representative | CFP | Jan 2022 (5y) | |
| David Roy Mccollum | Registered representative | Jan 2022 (5y) | ||
| Jason John Fishman | Registered representative | Jan 2022 (5y) | ||
| Anne Fievet Lamb | Registered representative | CFP | Jan 2022 (5y) | |
| Elio A Rey | Registered representative | Jan 2022 (5y) | ||
| Jennifer Bailey Davis | Registered representative | Jan 2022 (5y) | ||
| Michael David Dudash | Registered representative | Jan 2022 (5y) | ||
| Stephen Lewis Shewmake | Registered representative | Jan 2022 (5y) | ||
| Sarah Elizabeth Hunter | Registered representative | Jan 2022 (5y) | ||
| Jane Goellner Watson | Registered representative | CFP | Jan 2022 (5y) | |
| Anthony Davaro | Registered representative | Feb 2022 (4y) | ||
| Nicole Marie Robinson | Registered representative | Feb 2022 (4y) | ||
| Timothy E Garrett | Registered representative | CFP | Feb 2022 (4y) | |
| Melissa Jennifer Shade | Registered representative | Feb 2022 (4y) | ||
| Michael Hamilton Dennard | Registered representative | Feb 2022 (4y) | ||
| Robert Lloyd Wilson | Registered representative | Feb 2022 (4y) | ||
| Robin Lee Marx | Registered representative | CFP CFA | Feb 2022 (4y) | |
| Jason Sulvinski | Registered representative | Feb 2022 (4y) | ||
| David Winston Gregg | Registered representative | Feb 2022 (4y) | ||
| Brandon Joseph Devries | Registered representative | Feb 2022 (4y) | ||
| Evan William Lankford | Registered representative | CFA | Feb 2022 (4y) | |
| Zebulon Bryce Sale | Registered representative | Feb 2022 (4y) | ||
| Umeka Quintenette Johnson Hart | Registered representative | Mar 2022 (4y) | ||
| Benjamin Edward Thompson | Registered representative | Mar 2022 (4y) | ||
| Dawson Mateo Cruz Moreno | Registered representative | CFP | Mar 2022 (4y) | |
| Thomas Alexander Duval | Registered representative | Mar 2022 (4y) | ||
| Jasmine Martin | Registered representative | Mar 2022 (4y) | ||
| Jonathon Mark Gunn | Registered representative | CFP | Mar 2022 (4y) | |
| Amy Wells Mackay | Registered representative | Mar 2022 (4y) | ||
| Romesh Namitha Jayatileke | Registered representative | Mar 2022 (4y) | ||
| Elizabeth Lauren Marquez | Registered representative | Mar 2022 (4y) | ||
| Timothy Keith Griffis | Registered representative | CFA | Mar 2022 (4y) | |
| Lavonna Trekia Mason | Registered representative | Apr 2022 (4y) | ||
| Bryan Dominic Potacco | Registered representative | Apr 2022 (4y) | ||
| Cory Matthew Wood | Registered representative | Apr 2022 (4y) | ||
| Heather Clark Rogers | Registered representative | Apr 2022 (4y) | ||
| Robert Andrew Miles | Registered representative | Apr 2022 (4y) | ||
| Sierra Cherie Ordonez | Registered representative | Apr 2022 (4y) | ||
| Alessandro Cicinelli Tobia | Registered representative | Apr 2022 (4y) | ||
| Benjamin David Beeson | Registered representative | Apr 2022 (4y) | ||
| Elizabeth L Stallcup | Registered representative | Apr 2022 (4y) | ||
| Jason Michael Macher | Registered representative | Apr 2022 (4y) | ||
| John Teeter | Registered representative | Apr 2022 (4y) | ||
| Tabitha Marshall Watson | Registered representative | Apr 2022 (4y) | ||
| Charles Geer Wellborn | Registered representative | Apr 2022 (4y) | ||
| Alexander Daniel Benassi | Registered representative | Apr 2022 (4y) | ||
| Bethany Dawn Conrad | Registered representative | Apr 2022 (4y) | ||
| Colleen Rose Mccaffery | Registered representative | Apr 2022 (4y) | ||
| Brian Rogan | Registered representative | May 2022 (4y) | ||
| Christopher Howard Oldham | Registered representative | May 2022 (4y) | ||
| Christopher Shawn Smulski | Registered representative | May 2022 (4y) | ||
| Erik Lejon Bryant | Registered representative | May 2022 (4y) | ||
| Frank A Carbonara | Registered representative | May 2022 (4y) | ||
| Jan Peter Breugelmans | Registered representative | May 2022 (4y) | ||
| Blase Andrew De Leo | Registered representative | May 2022 (4y) | ||
| Nicholas Atlee Crance | Registered representative | May 2022 (4y) | ||
| Christian M. Robinson | Registered representative | May 2022 (4y) | ||
| Ryan Francis Thompson | Registered representative | May 2022 (4y) | ||
| Michael Katz | Registered representative | CFA | May 2022 (4y) | |
| Steven Chase Mooney | Registered representative | May 2022 (4y) | ||
| Ryan Thomas Schafer | Registered representative | May 2022 (4y) | ||
| Frederick Hamlin Shull | Registered representative | May 2022 (4y) | ||
| Christopher Andrew Jolley | Registered representative | May 2022 (4y) | ||
| Stephanie Joi Clay | Registered representative | May 2022 (4y) | ||
| Edwin A Warren | Registered representative | CFP | May 2022 (4y) | |
| Andrew Gray Sullivan | Registered representative | May 2022 (4y) | ||
| Olivia Gail Ravenscroft | Registered representative | May 2022 (4y) | ||
| Horace James Johnson | Registered representative | Jun 2022 (4y) | ||
| Richard J Levinson | Registered representative | CFA | Jun 2022 (4y) | |
| Jordan Grant Perry | Registered representative | Jun 2022 (4y) | ||
| William Griffin Taylor | Registered representative | Jun 2022 (4y) | ||
| Bern A Glasser | Registered representative | Jun 2022 (4y) | ||
| Colleen Ann Silver | Registered representative | CFA | Jun 2022 (4y) | |
| Michael Douglas Miller | Registered representative | Jun 2022 (4y) | ||
| John Bradley Murdock | Registered representative | Jun 2022 (4y) | ||
| Corrine M Voight | Registered representative | Jun 2022 (4y) | ||
| Carla Patrice Brown | Registered representative | Jun 2022 (4y) | ||
| Paula Couch Oates | Registered representative | Jun 2022 (4y) | ||
| Christopher Edward Thomas | Registered representative | CFP | Jun 2022 (4y) | |
| James Paul Beckett | Registered representative | CFP | Jun 2022 (4y) | |
| Samuel Jason Madden | Registered representative | Jun 2022 (4y) | ||
| Sarah C Rock | Registered representative | Jun 2022 (4y) | ||
| Alan Glenn | Registered representative | Jun 2022 (4y) | ||
| Ignacio Jose Holguin | Registered representative | Jun 2022 (4y) | ||
| John Patrick Devine | Registered representative | Jul 2022 (4y) | ||
| Corey Mccabe Heck | Registered representative | Jul 2022 (4y) | ||
| Karsten K Siebert | Registered representative | Jul 2022 (4y) | ||
| Jonathan Collins | Registered representative | CFP | Jul 2022 (4y) | |
| Philip A. Grant | Registered representative | Jul 2022 (4y) | ||
| Kuron Noel Harris | Registered representative | Jul 2022 (4y) | ||
| William Rolla Peck | Registered representative | Jul 2022 (4y) | ||
| Michael Kevin Wood | Registered representative | Jul 2022 (4y) | ||
| Tyler Lee Tanen | Registered representative | Jul 2022 (4y) | ||
| Ernest Michael Hartlieb | Registered representative | Aug 2022 (4y) | ||
| Erin Elizabeth Despres | Registered representative | Aug 2022 (4y) | ||
| Jack Boyland | Registered representative | CFP | Aug 2022 (4y) | |
| William Bradley Haley | Registered representative | Aug 2022 (4y) | ||
| William Murphy Lee | Registered representative | CFP | Aug 2022 (4y) | |
| Elizabeth Caba Perez | Registered representative | Aug 2022 (4y) | ||
| Margaret Shalvoy Holt | Registered representative | Aug 2022 (4y) | ||
| Nick Arthachinda | Registered representative | Aug 2022 (4y) | ||
| Anna Elizabeth Giampietro | Registered representative | Aug 2022 (4y) | ||
| Carroll David Swenson | Registered representative | Aug 2022 (4y) | ||
| Kelly Patterson Cook | Registered representative | Aug 2022 (4y) | ||
| Sumera Yousaf | Registered representative | Aug 2022 (4y) | ||
| Brooke Garrett Tiller | Registered representative | CFP | Sep 2022 (4y) | |
| Donna Suzanne Mcphillips | Registered representative | Sep 2022 (4y) | ||
| Dorothy Radford Crouch | Registered representative | Sep 2022 (4y) | ||
| Deidre Nicole Williams | Registered representative | Sep 2022 (4y) | ||
| Douglas Braxton House | Registered representative | Sep 2022 (4y) | ||
| Kathy Ann Clay | Registered representative | Sep 2022 (4y) | ||
| Nancy Marie Hansin Mitchel | Registered representative | Sep 2022 (4y) | ||
| Brian Michael Lantz | Registered representative | Sep 2022 (4y) | ||
| Nicole Marie Randolph | Registered representative | Sep 2022 (4y) | ||
| Shirley Lopez | Registered representative | Sep 2022 (4y) | ||
| Christopher Frances O'reilly | Registered representative | Sep 2022 (4y) | ||
| Christopher Bram Dent | Registered representative | Sep 2022 (4y) | ||
| Matthew Arthur Woodhouse | Registered representative | Sep 2022 (4y) | ||
| Alyssa Goldstein | Registered representative | Sep 2022 (4y) | ||
| Timothy Cequan Mack | Registered representative | Sep 2022 (4y) | ||
| Andres Hung Parmeggiani | Registered representative | CFP | Sep 2022 (4y) | |
| Anthony Joseph Destefano | Registered representative | Sep 2022 (4y) | ||
| Patrick Moore Johnson | Registered representative | Sep 2022 (4y) | ||
| Roger Adam Perry | Registered representative | Sep 2022 (4y) | ||
| Michael Reed Barclay | Registered representative | Oct 2022 (4y) | ||
| Steven Joseph Dechiario | Registered representative | Oct 2022 (4y) | ||
| Zachary Harrison Morgan | Registered representative | Oct 2022 (4y) | ||
| Shawn R Burger | Registered representative | Oct 2022 (4y) | ||
| Jason Lee Moss | Registered representative | CFP | Oct 2022 (4y) | |
| Jackson Reid Merrick | Registered representative | Oct 2022 (4y) | ||
| Bobby Paul Carder | Registered representative | CFA | Oct 2022 (4y) | |
| Timothy Shane Akers | Registered representative | Oct 2022 (4y) | ||
| Antonio Cordell Fortson | Registered representative | Oct 2022 (4y) | ||
| Byron Sloan Griffith | Registered representative | Oct 2022 (4y) | ||
| Bradley Thomas Ostermann | Registered representative | Oct 2022 (4y) | ||
| Lynard Eugene Holland | Registered representative | Oct 2022 (4y) | ||
| Kirk Loring Gravelle | Registered representative | CFP | Oct 2022 (4y) | |
| Sam Wesley Merrill | Registered representative | Oct 2022 (4y) | ||
| Keith Andrew O'brien | Registered representative | Oct 2022 (4y) | ||
| Richard David Sargent | Registered representative | Oct 2022 (4y) | ||
| Shawn Gregory Schwarz | Registered representative | Nov 2022 (4y) | ||
| Rebecca Vaughn Bromley | Registered representative | Nov 2022 (4y) | ||
| Steven Michael Robinson | Registered representative | Nov 2022 (4y) | ||
| Diego Fernando Lasso | Registered representative | Nov 2022 (4y) | ||
| Dylan Kyle Thompson | Registered representative | Nov 2022 (4y) | ||
| John William Swindell | Registered representative | Nov 2022 (4y) | ||
| Johnny Rabadan Juan | Registered representative | Nov 2022 (4y) | ||
| Michael Glenn Dearden | Registered representative | Nov 2022 (4y) | ||
| Rebecca Gruber | Registered representative | Nov 2022 (4y) | ||
| William Andrew Hanlon | Registered representative | Nov 2022 (4y) | ||
| Amanda Ball Hudson | Registered representative | Nov 2022 (4y) | ||
| Cardell Porter | Registered representative | Nov 2022 (4y) | ||
| Andrew Meade Breasure | Registered representative | CFP | Nov 2022 (4y) | |
| Latonya Jackson Woodruff | Registered representative | Nov 2022 (4y) | ||
| Dennis Gafur | Registered representative | Nov 2022 (4y) | ||
| James Neal Beckman | Registered representative | Nov 2022 (4y) | ||
| Nanci Marie Spires | Registered representative | Nov 2022 (4y) | ||
| Kyle David Tardiff | Registered representative | Nov 2022 (4y) | ||
| Carter Hollingsworth Bugg | Registered representative | Nov 2022 (4y) | ||
| Daniel John Collinson | Registered representative | Dec 2022 (4y) | ||
| Margaret Lynn Sattler | Registered representative | Dec 2022 (4y) | ||
| Sarah Cronin | Registered representative | Dec 2022 (4y) | ||
| Lee Levy | Registered representative | Dec 2022 (4y) | ||
| Jehu Francois | Registered representative | Dec 2022 (4y) | ||
| Michelle Johnson Reynolds | Registered representative | Dec 2022 (4y) | ||
| Yolanda Perez | Registered representative | Dec 2022 (4y) | ||
| Rebecca Spence Sorohan | Registered representative | CFP | Dec 2022 (4y) | |
| Travis O'quinn | Registered representative | Dec 2022 (4y) | ||
| Danielle E Tieman | Registered representative | Jan 2023 (4y) | ||
| Rhondale Charles Haywood | Registered representative | CFP CFA | Jan 2023 (4y) | |
| Adam Paul Canevazzi | Registered representative | Jan 2023 (4y) | ||
| Justin M Ramsburg | Registered representative | Jan 2023 (4y) | ||
| Angela Chrystina Thomas | Registered representative | Jan 2023 (4y) | ||
| Thomas Charles Schauder | Registered representative | CFP | Jan 2023 (4y) | |
| Nicholas Ruggiero | Registered representative | Jan 2023 (4y) | ||
| Viet Bac Phan Nguyen | Registered representative | Jan 2023 (4y) | ||
| Ioannis Papadimitris | Registered representative | Jan 2023 (4y) | ||
| Anthony Thomas Uvari | Registered representative | Jan 2023 (4y) | ||
| Robert Dale Mayberry | Registered representative | Jan 2023 (4y) | ||
| Michael Allen Stone | Registered representative | Jan 2023 (4y) | ||
| Kristol Monique Luke | Registered representative | Jan 2023 (4y) | ||
| Maria Zoubroulis | Registered representative | Jan 2023 (4y) | ||
| Annie Megan Diekema | Registered representative | Jan 2023 (4y) | ||
| Michele Pike Smith | Registered representative | Jan 2023 (4y) | ||
| Nicholas Wilson Curran Foster | Registered representative | Jan 2023 (4y) | ||
| Roderick G. Liggins | Registered representative | Jan 2023 (4y) | ||
| Christine M. Frazier | Registered representative | Feb 2023 (3y) | ||
| Miranda Stetson | Registered representative | Feb 2023 (3y) | ||
| Jonathan Walker | Registered representative | Feb 2023 (3y) | ||
| Amanda Timirchand | Registered representative | Feb 2023 (3y) | ||
| Nichole Suzanne Double | Registered representative | Feb 2023 (3y) | ||
| Nikki Nunes | Registered representative | Feb 2023 (3y) | ||
| Patience Rosebud Watson | Registered representative | Feb 2023 (3y) | ||
| Samson Machoka Orina | Registered representative | Feb 2023 (3y) | ||
| Derek Sebastian Ryder | Registered representative | Feb 2023 (3y) | ||
| Jorge Leonel Balladares | Registered representative | Feb 2023 (3y) | ||
| Shannon Nicole Hudson | Registered representative | Feb 2023 (3y) | ||
| Liang Yu Chen Taylor | Registered representative | Mar 2023 (3y) | ||
| Amy Sherrell Lindsey | Registered representative | Mar 2023 (3y) | ||
| Michael Francis Swallow | Registered representative | Mar 2023 (3y) | ||
| John Randolph Wolf | Registered representative | Mar 2023 (3y) | ||
| Timothy Michael Judge | Registered representative | Mar 2023 (3y) | ||
| Staci Elizabeth Goins | Registered representative | Mar 2023 (3y) | ||
| William Schandorf Twum | Registered representative | Mar 2023 (3y) | ||
| Arturo Perret Gentil | Registered representative | Mar 2023 (3y) | ||
| Ana Patrizia Hernandez | Registered representative | Apr 2023 (3y) | ||
| Tia Ariel Porr | Registered representative | Apr 2023 (3y) | ||
| Spiro Natsis | Registered representative | CFP | Apr 2023 (3y) | |
| Estrellita Ducella Zamora | Registered representative | Apr 2023 (3y) | ||
| Anthony Vignali | Registered representative | Apr 2023 (3y) | ||
| Jonathan Patrick Holloway | Registered representative | Apr 2023 (3y) | ||
| James F Blackwell | Registered representative | Apr 2023 (3y) | ||
| William Alexander Tompkins | Registered representative | Apr 2023 (3y) | ||
| Paul Charles Liebman | Registered representative | May 2023 (3y) | ||
| Darren James Parson | Registered representative | May 2023 (3y) | ||
| Jorge De La Cruz | Registered representative | May 2023 (3y) | ||
| Erin Elizabeth Fuselier | Registered representative | May 2023 (3y) | ||
| Steven Viet Dinh | Registered representative | May 2023 (3y) | ||
| Patricia Reed Centeno | Registered representative | May 2023 (3y) | ||
| Robert Joseph Steele | Registered representative | May 2023 (3y) | ||
| Baron Douglas Springfield | Registered representative | May 2023 (3y) | ||
| Deborah J Harris | Registered representative | May 2023 (3y) | ||
| Jason Dennis Harken | Registered representative | CFP | May 2023 (3y) | |
| William Tyler Hamilton | Registered representative | May 2023 (3y) | ||
| Kayla Dunnell Goins | Registered representative | May 2023 (3y) | ||
| Adison Julianne Ford | Registered representative | Jun 2023 (3y) | ||
| Andres Manuel Cartaya | Registered representative | Jun 2023 (3y) | ||
| Adam Samuel Rife | Registered representative | CFP | Jun 2023 (3y) | |
| Cecilia Mavico | Registered representative | Jun 2023 (3y) | ||
| Stephanie Gray Hodges | Registered representative | Jun 2023 (3y) | ||
| Jannah Jeanette Keyes | Registered representative | Jun 2023 (3y) | ||
| Julia Evelyn Dorer | Registered representative | Jun 2023 (3y) | ||
| Evan Mathias Royster | Registered representative | CFP | Jun 2023 (3y) | |
| Nathan Andrew Leopard | Registered representative | Jun 2023 (3y) | ||
| Perry Liao Huang | Registered representative | Jul 2023 (3y) | ||
| Matthew Stephen Senter | Registered representative | Jul 2023 (3y) | ||
| Eileen Marion Wood | Registered representative | CFP | Jul 2023 (3y) | |
| Bonnie Sue Raney | Registered representative | Jul 2023 (3y) | ||
| Lamar A Johnson | Registered representative | Jul 2023 (3y) | ||
| Azrealle Charmaye Alyse Mcclain | Registered representative | Jul 2023 (3y) | ||
| Kristin Leigh Ezzell | Registered representative | Jul 2023 (3y) | ||
| Stanley Ray Mckinney | Registered representative | Jul 2023 (3y) | ||
| Andrew Kutner | Registered representative | Jul 2023 (3y) | ||
| Paige Elizabeth Allen | Registered representative | Aug 2023 (3y) | ||
| Rachel Carlin Biondo Glasstetter | Registered representative | Aug 2023 (3y) | ||
| Ryan Young | Registered representative | Aug 2023 (3y) | ||
| Christopher Kenneth Chung | Registered representative | Aug 2023 (3y) | ||
| Nayelin Marie Menendez | Registered representative | Aug 2023 (3y) | ||
| Rexsor R Gonzalez | Registered representative | Aug 2023 (3y) | ||
| Lateefah Waliedah Donadelle | Registered representative | Aug 2023 (3y) | ||
| Sylvia Delane Crow | Registered representative | Aug 2023 (3y) | ||
| Craig Thomas Bisagna | Registered representative | Aug 2023 (3y) | ||
| Mina Ezzat Ibrahim Yousif | Registered representative | Aug 2023 (3y) | ||
| Tania Condon Lawrence | Registered representative | Aug 2023 (3y) | ||
| Chad Wilson Link | Registered representative | Sep 2023 (3y) | ||
| Jason M. Kelley | Registered representative | Sep 2023 (3y) | ||
| John Arnold Thomas | Registered representative | Sep 2023 (3y) | ||
| Julia Anne Siterlet | Registered representative | Sep 2023 (3y) | ||
| Tyler James Chappell | Registered representative | Sep 2023 (3y) | ||
| Andrew Hofmann Fisher | Registered representative | Sep 2023 (3y) | ||
| Christopher David Conrod | Registered representative | Sep 2023 (3y) | ||
| Chance Jeremy Williams | Registered representative | Sep 2023 (3y) | ||
| Kyle Ray Bowen | Registered representative | Sep 2023 (3y) | ||
| Janet Brown Fisher | Registered representative | Sep 2023 (3y) | ||
| Caroline Long Thomas | Registered representative | Oct 2023 (3y) | ||
| Benjamin Homer Denning | Registered representative | Oct 2023 (3y) | ||
| Rachel Michelle Liquori | Registered representative | Oct 2023 (3y) | ||
| Casey Norman Allison | Registered representative | Oct 2023 (3y) | ||
| Gregory Viejo | Registered representative | CFA | Oct 2023 (3y) | |
| Samuel John Grelck | Registered representative | CFA | Oct 2023 (3y) | |
| Ryan Noah Sapell | Registered representative | Oct 2023 (3y) | ||
| Eduardo Cohen | Registered representative | Oct 2023 (3y) | ||
| Carlos Jose Bigott | Registered representative | Oct 2023 (3y) | ||
| Dolores Carmen Cadette | Registered representative | Oct 2023 (3y) | ||
| Jose Fincheltub | Registered representative | Oct 2023 (3y) | ||
| Lance Matthew Robbins | Registered representative | Oct 2023 (3y) | ||
| Andrew Cage Dorrien | Registered representative | Nov 2023 (3y) | ||
| Anna Caroline Shepherd | Registered representative | Nov 2023 (3y) | ||
| Harry Nicholas Koutroumanis | Registered representative | Nov 2023 (3y) | ||
| Benjamin Shaver | Registered representative | Nov 2023 (3y) | ||
| Gabrielle Webster | Registered representative | Nov 2023 (3y) | ||
| Julia Brown Moody | Registered representative | Nov 2023 (3y) | ||
| Karrington Hickman | Registered representative | Nov 2023 (3y) | ||
| Megan Samantha Polito | Registered representative | Nov 2023 (3y) | ||
| Carlos Eli Cano | Registered representative | Nov 2023 (3y) | ||
| Gary Scott Spencer | Registered representative | Nov 2023 (3y) | ||
| Mary Catherine Davis | Registered representative | Nov 2023 (3y) | ||
| Jose Antonio Fonte | Registered representative | Nov 2023 (3y) | ||
| Leland Cruse Harrelson | Registered representative | Nov 2023 (3y) | ||
| Roger Stanley Perkins | Registered representative | Nov 2023 (3y) | ||
| Chloe Clark | Registered representative | Nov 2023 (3y) | ||
| David Rodney Thielen | Registered representative | Nov 2023 (3y) | ||
| Matthew David Lubert | Registered representative | Nov 2023 (3y) | ||
| Kelly Leilani Borth | Registered representative | Nov 2023 (3y) | ||
| Madison Gray Vandegrift | Registered representative | Nov 2023 (3y) | ||
| Ryan Keith Pickard | Registered representative | Nov 2023 (3y) | ||
| Jeffrey Charles Brown | Registered representative | Nov 2023 (3y) | ||
| Patrick Mitchell Murdock | Registered representative | Dec 2023 (3y) | ||
| Shannon Bri'anne Hill | Registered representative | Dec 2023 (3y) | ||
| Genesis Elizabeth Santos Pichardo | Registered representative | Dec 2023 (3y) | ||
| Logan Michael Harclerode | Registered representative | Dec 2023 (3y) | ||
| Jody Lynn Mang | Registered representative | Dec 2023 (3y) | ||
| Scott A Walker | Registered representative | Jan 2024 (3y) | ||
| Walter Scott Thomas | Registered representative | Jan 2024 (3y) | ||
| Dylan Tyler Schefske | Registered representative | Jan 2024 (3y) | ||
| Mauricio Castillo | Registered representative | Jan 2024 (3y) | ||
| Paige Alexis Mcneal | Registered representative | Jan 2024 (3y) | ||
| Wesley Shade | Registered representative | CFP | Jan 2024 (3y) | |
| Daniel Robert Huth | Registered representative | Feb 2024 (2y) | ||
| Jarod Dylan Walker | Registered representative | Feb 2024 (2y) | ||
| Trevor Zane Whitson | Registered representative | Feb 2024 (2y) | ||
| Rudina Ruci | Registered representative | Feb 2024 (2y) | ||
| Melanie Rose Miller | Registered representative | Feb 2024 (2y) | ||
| Lisa Ann Hanvey | Registered representative | Feb 2024 (2y) | ||
| Helene Michele Moll | Registered representative | CFP | Feb 2024 (2y) | |
| Melissa Ann Moyers | Registered representative | Feb 2024 (2y) | ||
| Hayley Bennett | Registered representative | Feb 2024 (2y) | ||
| Michael Hugh Franck | Registered representative | Feb 2024 (2y) | ||
| Jacob Keith Reid | Registered representative | CFA | Mar 2024 (2y) | |
| Corey Patrick Turner | Registered representative | Mar 2024 (2y) | ||
| Eric Mazeall Cecere | Registered representative | Mar 2024 (2y) | ||
| Michael Alston Hill | Registered representative | Mar 2024 (2y) | ||
| Zuhaib Lassi | Registered representative | Mar 2024 (2y) | ||
| Millicent Ann Gunter | Registered representative | Mar 2024 (2y) | ||
| Eduardo Navaza | Registered representative | Mar 2024 (2y) | ||
| Gregory Brett Richesin | Registered representative | Apr 2024 (2y) | ||
| Russell Jay Morrison | Registered representative | Apr 2024 (2y) | ||
| Lori Ellis Roth | Registered representative | Apr 2024 (2y) | ||
| David Austin Wedderburn | Registered representative | Apr 2024 (2y) | ||
| Mason Gehart Ouren | Registered representative | Apr 2024 (2y) | ||
| Maria Angelica Olavarria Alban | Registered representative | Apr 2024 (2y) | ||
| James Jeffrey Haines | Registered representative | Apr 2024 (2y) | ||
| Ethan Thomas Coe | Registered representative | Apr 2024 (2y) | ||
| Ciara I Deane | Registered representative | Apr 2024 (2y) | ||
| Chantel Angelica Sainsbury | Registered representative | Apr 2024 (2y) | ||
| James Kenneth Smith | Registered representative | Apr 2024 (2y) | ||
| Linda Stout | Registered representative | CFP | Apr 2024 (2y) | |
| Maykel Barrios | Registered representative | Apr 2024 (2y) | ||
| Robin Steve Fernandez | Registered representative | May 2024 (2y) | ||
| Devian Nikeithra Blocker | Registered representative | May 2024 (2y) | ||
| Greg O'ryan Johnson | Registered representative | May 2024 (2y) | ||
| Benjamin Tallman May | Registered representative | May 2024 (2y) | ||
| Cheyenne Joan Knueppel | Registered representative | May 2024 (2y) | ||
| David Patrick Mc Iver | Registered representative | May 2024 (2y) | ||
| Maria Asher | Registered representative | CFA | May 2024 (2y) | |
| Jean Pierre Rullier | Registered representative | May 2024 (2y) | ||
| Dipanwita Das | Registered representative | May 2024 (2y) | ||
| Samuel Llewellyn Rodgman | Registered representative | May 2024 (2y) | ||
| Michael John Clemente | Registered representative | Jun 2024 (2y) | ||
| Paul Michael Scaglione | Registered representative | Jun 2024 (2y) | ||
| Tyler Russell Bowman | Registered representative | Jun 2024 (2y) | ||
| Stephen Thomas Freeman | Registered representative | Jun 2024 (2y) | ||
| David Anthony Salazar | Registered representative | Jun 2024 (2y) | ||
| Brian Albert Helms | Registered representative | Jun 2024 (2y) | ||
| Mackenzi Ashton Honaker | Registered representative | Jun 2024 (2y) | ||
| Ivory Shakonda Johnson | Registered representative | Jun 2024 (2y) | ||
| Brett Michael Deavenport | Registered representative | Jul 2024 (2y) | ||
| Bedford Jackson Plummer | Registered representative | Jul 2024 (2y) | ||
| Emil Manzano | Registered representative | Jul 2024 (2y) | ||
| Rasheka Smith | Registered representative | Jul 2024 (2y) | ||
| Juliet Lillie Capozzi | Registered representative | Jul 2024 (2y) | ||
| Ignacio Daniel Cirnigliaro | Registered representative | Jul 2024 (2y) | ||
| Aimee Rose Blinder | Registered representative | Jul 2024 (2y) | ||
| William Steven Cairo | Registered representative | Jul 2024 (2y) | ||
| Patrick William Breen | Registered representative | Jul 2024 (2y) | ||
| Anna Leigh Davis | Registered representative | Jul 2024 (2y) | ||
| John Brinson Ashley | Registered representative | Jul 2024 (2y) | ||
| Thomas Carl Bruno | Registered representative | Jul 2024 (2y) | ||
| John Paul Mastrogianakis | Registered representative | Aug 2024 (2y) | ||
| Jonathan Landi | Registered representative | Aug 2024 (2y) | ||
| Jason Robert Duley | Registered representative | Aug 2024 (2y) | ||
| Susanne F Eavenson | Registered representative | Aug 2024 (2y) | ||
| Maydely Martin | Registered representative | Aug 2024 (2y) | ||
| Luke Mills | Registered representative | CFP | Aug 2024 (2y) | |
| William Huthnance Dedmon | Registered representative | Aug 2024 (2y) | ||
| Amy Michelle Spain | Registered representative | Aug 2024 (2y) | ||
| Cindy Marvin | Registered representative | Aug 2024 (2y) | ||
| Madison Madill | Registered representative | Aug 2024 (2y) | ||
| Sean Patrick Mcpherson | Registered representative | Aug 2024 (2y) | ||
| Imran Shaukat | Registered representative | Aug 2024 (2y) | ||
| Dale Thomas Heely | Registered representative | Aug 2024 (2y) | ||
| Jason Bryant Hyslop | Registered representative | CFP | Aug 2024 (2y) | |
| Matthew John Grasso | Registered representative | Aug 2024 (2y) | ||
| Julian Foster | Registered representative | Aug 2024 (2y) | ||
| Namaine Courtney Coombs | Registered representative | CFA | Aug 2024 (2y) | |
| Nicolas Gabriel Hernandez | Registered representative | Aug 2024 (2y) | ||
| Jennifer Ellen Stoll | Registered representative | CFP | Sep 2024 (2y) | |
| Edwin Hernan Garcia | Registered representative | Sep 2024 (2y) | ||
| Austin Joseph Mitchell | Registered representative | Sep 2024 (2y) | ||
| George Ray Yeager | Registered representative | Sep 2024 (2y) | ||
| Michael Bryant Fernandini | Registered representative | Sep 2024 (2y) | ||
| Spencer Joseph Wright | Registered representative | Sep 2024 (2y) | ||
| Iantha R Wortman | Registered representative | Sep 2024 (2y) | ||
| Eylem Senyuz | Registered representative | Sep 2024 (2y) | ||
| Lavonne Sheree Sprague | Registered representative | Sep 2024 (2y) | ||
| Trista Anne Shigley | Registered representative | Oct 2024 (2y) | ||
| Aleksandar Simeonov | Registered representative | Oct 2024 (2y) | ||
| Bailey Hargrave | Registered representative | Oct 2024 (2y) | ||
| Jacqueline Anne Perez | Registered representative | Oct 2024 (2y) | ||
| Andrew William Bass | Registered representative | Oct 2024 (2y) | ||
| Eduardo Henrique Loureiro Fernandes | Registered representative | Oct 2024 (2y) | ||
| Jonathan Thor Westbrook | Registered representative | Oct 2024 (2y) | ||
| Molalign Daniel | Registered representative | Oct 2024 (2y) | ||
| Shaquan Edwards | Registered representative | Oct 2024 (2y) | ||
| Mitchell Lawrence Mann | Registered representative | Oct 2024 (2y) | ||
| Seana Lynnette Heath | Registered representative | CFP | Oct 2024 (2y) | |
| Paulette Mallios Callas | Registered representative | Oct 2024 (2y) | ||
| Beth Manley Tanner | Registered representative | Oct 2024 (2y) | ||
| Velena Beth Berny | Registered representative | CFP | Oct 2024 (2y) | |
| Connor Bartlett Sweeney | Registered representative | Oct 2024 (2y) | ||
| Tom Angelo Tagliarini | Registered representative | CFA | Oct 2024 (2y) | |
| Ann B Ruane | Registered representative | Chartered Financial Consultant | Oct 2024 (2y) | |
| David Michael Wilkins | Registered representative | CFP | Oct 2024 (2y) | |
| Nia Analisa Murray | Registered representative | Nov 2024 (2y) | ||
| Marc Stephen Watchinski | Registered representative | Nov 2024 (2y) | ||
| Olivia Mc Dermott | Registered representative | Nov 2024 (2y) | ||
| Mei Won Moy | Registered representative | Nov 2024 (2y) | ||
| Shamecia Carter | Registered representative | Nov 2024 (2y) | ||
| Shelby H Peltier | Registered representative | Nov 2024 (2y) | ||
| Christiana O Webb | Registered representative | Nov 2024 (2y) | ||
| Tayiba Jannat | Registered representative | Nov 2024 (2y) | ||
| Carolyn J Kuhnel | Registered representative | Nov 2024 (2y) | ||
| Marty Lamont Stamps | Registered representative | Nov 2024 (2y) | ||
| Daniel Thomas Corcoran | Registered representative | Nov 2024 (2y) | ||
| Teresa A Johnson | Registered representative | Nov 2024 (2y) | ||
| Derrick Dawkins | Registered representative | Nov 2024 (2y) | ||
| Martiara Boyd | Registered representative | Nov 2024 (2y) | ||
| Katie Ellis | Registered representative | Nov 2024 (2y) | ||
| Reed Ziemianski | Registered representative | Nov 2024 (2y) | ||
| David G Norvell | Registered representative | Nov 2024 (2y) | ||
| Mary Grace Nunez Mamolo | Registered representative | Nov 2024 (2y) | ||
| Jonathan Patrick Frascarelli | Registered representative | CFP | Nov 2024 (2y) | |
| Caylen Baire | Registered representative | Nov 2024 (2y) | ||
| Thomas Wilson Mcgee | Registered representative | CFP | Nov 2024 (2y) | |
| George J Hlavac | Registered representative | Nov 2024 (2y) | ||
| Tiffany Jamella White | Registered representative | Dec 2024 (2y) | ||
| Carlos Manuel Reynoso | Registered representative | Dec 2024 (2y) | ||
| Christopher D. Burton | Registered representative | Dec 2024 (2y) | ||
| Chandler Todd Altman | Registered representative | Dec 2024 (2y) | ||
| Samantha Elizabeth Mello | Registered representative | CFA | Dec 2024 (2y) | |
| Christopher Ryan Walshe | Registered representative | Dec 2024 (2y) | ||
| Mary Caroline Murtaugh | Registered representative | Dec 2024 (2y) | ||
| Tonia Leigh Hammond | Registered representative | Dec 2024 (2y) | ||
| Carson Shepherd | Registered representative | Jan 2025 (2y) | ||
| Robert Reaves Greer | Registered representative | CFA | Jan 2025 (2y) | |
| Antonio Alejandro Galliani | Registered representative | Jan 2025 (2y) | ||
| Jason Micheal Reilly | Registered representative | CFA | Jan 2025 (2y) | |
| Casey Franklin Byrne | Registered representative | CFA | Jan 2025 (2y) | |
| John Baker | Registered representative | Jan 2025 (2y) | ||
| Dennis Springer | Registered representative | CFP | Jan 2025 (2y) | |
| Justin Meisner | Registered representative | Jan 2025 (2y) | ||
| Neville Eric Melvin | Registered representative | Jan 2025 (2y) | ||
| Dara Abraham | Registered representative | Jan 2025 (2y) | ||
| Conner William Carvell | Registered representative | Jan 2025 (2y) | ||
| Danielle Elizabeth Ponce | Registered representative | Jan 2025 (2y) | ||
| Andrew Stephen Brehm | Registered representative | Jan 2025 (2y) | ||
| Elizabeth Ellis Snyder | Registered representative | Jan 2025 (2y) | ||
| Christie Morrison | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Maria Guadalupe Vazquez | Registered representative | Jan 2025 (2y) | ||
| Philipp Biechteler | Registered representative | Jan 2025 (2y) | ||
| Thomas James Green | Registered representative | Feb 2025 (1y) | ||
| Ariel Maria Ianovale | Registered representative | Feb 2025 (1y) | ||
| Zachary Glenn Harris | Registered representative | Feb 2025 (1y) | ||
| Devante Armand Davis | Registered representative | Feb 2025 (1y) | ||
| Alexander G Aguilera | Registered representative | Feb 2025 (1y) | ||
| Jason Michael Caras | Registered representative | Feb 2025 (1y) | ||
| Camden Breneman | Registered representative | Mar 2025 (1y) | ||
| Benjamin D Smith | Registered representative | Mar 2025 (1y) | ||
| Justin Pace | Registered representative | Mar 2025 (1y) | ||
| Holli Michelle Milliken | Registered representative | CFP | Mar 2025 (1y) | |
| Luis Miranda | Registered representative | CFP CFA | Mar 2025 (1y) | |
| Hannah Kennicott | Registered representative | Mar 2025 (1y) | ||
| Lashanda Juanita Manson | Registered representative | Mar 2025 (1y) | ||
| Rhonada Katherine Weaver | Registered representative | Mar 2025 (1y) | ||
| Arnaldo Atilio Calderon | Registered representative | Mar 2025 (1y) | ||
| Alexander George Hellewell | Registered representative | Mar 2025 (1y) | ||
| Dominic Joseph Parcels | Registered representative | Mar 2025 (1y) | ||
| Orlando Hercules Aska | Registered representative | Mar 2025 (1y) | ||
| Michael Kost | Registered representative | Mar 2025 (1y) | ||
| Catherine Teresa Mccarter | Registered representative | Mar 2025 (1y) | ||
| Karlo David Rodriguez | Registered representative | Mar 2025 (1y) | ||
| Zain Mir | Registered representative | Mar 2025 (1y) | ||
| Matthew Paul Moore | Registered representative | Mar 2025 (1y) | ||
| Frank Cabell Gobble | Registered representative | Apr 2025 (1y) | ||
| Nathaniel Curtis Powell | Registered representative | Apr 2025 (1y) | ||
| Kiel Bryce Upton | Registered representative | Apr 2025 (1y) | ||
| Austin Joel Sutphin | Registered representative | Apr 2025 (1y) | ||
| Marckus Anthony Mcneil | Registered representative | Apr 2025 (1y) | ||
| Bradley Schwartz | Registered representative | Apr 2025 (1y) | ||
| Caitlin Elizabeth Kennedy | Registered representative | CFP | Apr 2025 (1y) | |
| Daniel Rankyn Valverde | Registered representative | Apr 2025 (1y) | ||
| Matthew Adam Day | Registered representative | CFP | Apr 2025 (1y) | |
| Hernan M Fonseca | Registered representative | Apr 2025 (1y) | ||
| Erin Joi Clark | Registered representative | Apr 2025 (1y) | ||
| Robert Gray Reavis | Registered representative | Apr 2025 (1y) | ||
| Benjamin Stephen White | Registered representative | CFP | Apr 2025 (1y) | |
| Justin Samuel Robertson | Registered representative | Apr 2025 (1y) | ||
| Robert Miller Sheppard | Registered representative | Apr 2025 (1y) | ||
| Mallie Poore | Registered representative | Apr 2025 (1y) | ||
| Jacob Kyle Garrou | Registered representative | May 2025 (1y) | ||
| Nicholas G Di Bona | Registered representative | May 2025 (1y) | ||
| Brandon Justin Trowel | Registered representative | May 2025 (1y) | ||
| Patric Joel Nassar | Registered representative | CFP | May 2025 (1y) | |
| Emily Sarah Beard | Registered representative | May 2025 (1y) | ||
| Kristi Lynn Bailey | Registered representative | May 2025 (1y) | ||
| Marc W Chandler | Registered representative | May 2025 (1y) | ||
| Robert Christopher Tweeddale | Registered representative | Chartered Financial Consultant | Jun 2025 (1y) | |
| Brianna Pedraza | Registered representative | Jun 2025 (1y) | ||
| Zachary Paul Villavicencio | Registered representative | Jun 2025 (1y) | ||
| Christopher Jordan Law | Registered representative | Jun 2025 (1y) | ||
| Javier Alejandro Milian | Registered representative | Jun 2025 (1y) | ||
| Melissa Christy Mcdonald | Registered representative | Jun 2025 (1y) | ||
| Sonia Ortega Knight | Registered representative | Jun 2025 (1y) | ||
| Joachim Hadrien Bruneau | Registered representative | Jun 2025 (1y) | ||
| Andy Francois | Registered representative | Jun 2025 (1y) | ||
| Addison Lin | Registered representative | Jun 2025 (1y) | ||
| Nicholas R Patterson | Registered representative | Jun 2025 (1y) | ||
| Sharon Lynn Mason | Registered representative | Jun 2025 (1y) | ||
| Luis Young Kim | Registered representative | Jun 2025 (1y) | ||
| Seth Edward Price | Registered representative | Jun 2025 (1y) | ||
| Marylin Milagro Gonzalez | Registered representative | Jun 2025 (1y) | ||
| Joshua Steven Gelber | Registered representative | CFP | Jun 2025 (1y) | |
| Douglas Michael Sheahan | Registered representative | Jul 2025 (1y) | ||
| Mia Estrada Broadnax | Registered representative | Jul 2025 (1y) | ||
| Ashley W Folkes | Registered representative | CFP | Jul 2025 (1y) | |
| Benjamin Thomas | Registered representative | Jul 2025 (1y) | ||
| Elizabeth Kiper | Registered representative | Jul 2025 (1y) | ||
| Lorena Yvonne Kanani | Registered representative | Jul 2025 (1y) | ||
| Perry Mathew Sutton | Registered representative | Jul 2025 (1y) | ||
| William Darden Smith | Registered representative | CFP | Jul 2025 (1y) | |
| Jeremy Caleb Collins | Registered representative | Jul 2025 (1y) | ||
| Patrick Hojan | Registered representative | Jul 2025 (1y) | ||
| John Joseph Kushman | Registered representative | Jul 2025 (1y) | ||
| Sarah Marie Turner | Registered representative | Jul 2025 (1y) | ||
| Joshua Michael Griffin | Registered representative | Jul 2025 (1y) | ||
| John Joseph Czura | Registered representative | Aug 2025 (1y) | ||
| William Arden Burnett | Registered representative | CFP | Aug 2025 (1y) | |
| Michael A Estevez | Registered representative | Aug 2025 (1y) | ||
| Stephen Barrett May | Registered representative | Aug 2025 (1y) | ||
| Anthony Alliman | Registered representative | Aug 2025 (1y) | ||
| Rizwan Pervaiz Khokhar | Registered representative | Aug 2025 (1y) | ||
| Bridget Geraldine Hussey | Registered representative | Aug 2025 (1y) | ||
| Jeannine Oconnor Klos | Registered representative | Aug 2025 (1y) | ||
| John Joseph Regan | Registered representative | Aug 2025 (1y) | ||
| Andrew J White | Registered representative | Aug 2025 (1y) | ||
| Hector Hernandez | Registered representative | Aug 2025 (1y) | ||
| Amanda Diane Butterworth Pi | Registered representative | Aug 2025 (1y) | ||
| Alexander Gibson | Registered representative | Aug 2025 (1y) | ||
| Joshua Kincaid | Registered representative | CFP | Aug 2025 (1y) | |
| Michael Joseph Cheleuitte | Registered representative | Aug 2025 (1y) | ||
| Amanda Harms | Registered representative | CFP | Aug 2025 (1y) | |
| Daniel Aaron Ford | Registered representative | Sep 2025 (1y) | ||
| Kayla J Rainer | Registered representative | Sep 2025 (1y) | ||
| Taylor Payne Stafford | Registered representative | Sep 2025 (1y) | ||
| Christina Hartfield | Registered representative | CFP | Sep 2025 (1y) | |
| Dylan Hayes | Registered representative | Sep 2025 (1y) | ||
| David Gonzalez | Registered representative | Sep 2025 (1y) | ||
| Ivan Acimovic | Registered representative | Sep 2025 (1y) | ||
| Anderson Reed Stockard | Registered representative | Sep 2025 (1y) | ||
| Christopher Anderson Grainger | Registered representative | Sep 2025 (1y) | ||
| Jamie Kay Tribbey | Registered representative | Sep 2025 (1y) | ||
| Juan David Lenis | Registered representative | Sep 2025 (1y) | ||
| James William Baugh | Registered representative | Sep 2025 (1y) | ||
| Jackson Musrock | Registered representative | Sep 2025 (1y) | ||
| Casey Brock | Registered representative | Sep 2025 (1y) | ||
| La Terra Angeliq Frechette | Registered representative | Sep 2025 (1y) | ||
| Michelle Jenkins Mcnamara | Registered representative | CFP | Sep 2025 (1y) | |
| Julio Ernesto Leyva | Registered representative | Sep 2025 (1y) | ||
| Jared Scott Ganzert | Registered representative | Sep 2025 (1y) | ||
| Luis D Castaneda Arellano | Registered representative | Sep 2025 (1y) | ||
| Walter Schacht | Registered representative | CFP | Sep 2025 (1y) | |
| Michael John Dimitri | Registered representative | Sep 2025 (1y) | ||
| Itai David Tsur | Registered representative | CFP | Oct 2025 (1y) | |
| Erik Alexis Carrington | Registered representative | Oct 2025 (1y) | ||
| Raymond Kevin Peterson | Registered representative | Oct 2025 (1y) | ||
| Remy Lyn Jeanneau | Registered representative | Oct 2025 (1y) | ||
| Reynel Gonzalez | Registered representative | Oct 2025 (1y) | ||
| Angela M Oestreicher | Registered representative | Oct 2025 (1y) | ||
| Cesar Rafael Otero | Registered representative | Oct 2025 (1y) | ||
| Kevin Michael Carr | Registered representative | Oct 2025 (1y) | ||
| Logan K Simering | Registered representative | Oct 2025 (1y) | ||
| James Donald Lefever | Registered representative | Oct 2025 (1y) | ||
| Amanda Marie Mounts | Registered representative | Oct 2025 (1y) | ||
| Bethany Tanner | Registered representative | Oct 2025 (1y) | ||
| Mohamed A Cherif | Registered representative | Oct 2025 (1y) | ||
| Brittany Coburn | Registered representative | Oct 2025 (1y) | ||
| Katherine Grier | Registered representative | Oct 2025 (1y) | ||
| William James | Registered representative | Oct 2025 (1y) | ||
| Synovia Bell | Registered representative | Oct 2025 (1y) | ||
| Ritu Shukla | Registered representative | Oct 2025 (1y) | ||
| Justin Perez | Registered representative | Oct 2025 (1y) | ||
| Joshua Howard | Registered representative | Oct 2025 (1y) | ||
| Hubert Lyle | Registered representative | Oct 2025 (1y) | ||
| Renee Eppley Johnson | Registered representative | Oct 2025 (1y) | ||
| Aaron Moore | Registered representative | Oct 2025 (1y) | ||
| Lucy Cain | Registered representative | Oct 2025 (1y) | ||
| Leigh Sanders Pell | Registered representative | Oct 2025 (1y) | ||
| Ryan Edward Berry | Registered representative | Oct 2025 (1y) | ||
| Chad Burns | Registered representative | Oct 2025 (1y) | ||
| Justine Lawson | Registered representative | Oct 2025 (1y) | ||
| Kandice Renee Borel | Registered representative | Nov 2025 (1y) | ||
| Preston Gill Lewis | Registered representative | Nov 2025 (1y) | ||
| Jason Stanco | Registered representative | Nov 2025 (1y) | ||
| Megan Elizabeth Duley | Registered representative | Nov 2025 (1y) | ||
| Jon Christian Bohnert | Registered representative | Nov 2025 (1y) | ||
| Stephen Scott | Registered representative | Nov 2025 (1y) | ||
| Andrew Lloyd Coates | Registered representative | Nov 2025 (1y) | ||
| Mary Caroline Kane | Registered representative | Nov 2025 (1y) | ||
| Damon Hurst | Registered representative | Nov 2025 (1y) | ||
| Ralph Oliver Merten | Registered representative | CFP CFA | Nov 2025 (1y) | |
| Christopher Paul Hofmeister | Registered representative | Nov 2025 (1y) | ||
| Delfin Blanco | Registered representative | Nov 2025 (1y) | ||
| Alexander D Canas Barrera | Registered representative | Nov 2025 (1y) | ||
| John D Boyle | Registered representative | Dec 2025 (1y) | ||
| Kayla Anne Gignac | Registered representative | Dec 2025 (1y) | ||
| Matthew Gregory Grant | Registered representative | Dec 2025 (1y) | ||
| Michael Waiters | Registered representative | Dec 2025 (1y) | ||
| Erin Williams | Registered representative | Dec 2025 (1y) | ||
| Louise Dearing Mercer | Registered representative | Dec 2025 (1y) | ||
| Jonatan I Alvarez | Registered representative | Dec 2025 (1y) | ||
| Riley Boutin | Registered representative | Dec 2025 (1y) | ||
| Alexander Canani | Registered representative | Dec 2025 (1y) | ||
| Eric John Ackerman | Registered representative | CFP | Dec 2025 (1y) | |
| Timothy John Brauch | Registered representative | Dec 2025 (1y) | ||
| Juliana Bilo | Registered representative | Dec 2025 (1y) | ||
| Joelle Starr Brown | Registered representative | Dec 2025 (1y) | ||
| Brandon Stevens | Registered representative | Dec 2025 (1y) | ||
| Robert L Nave | Registered representative | Dec 2025 (1y) | ||
| Daniel Arie Goldman | Registered representative | Dec 2025 (1y) | ||
| Charles Brian Curtsinger | Registered representative | Jan 2026 (1y) | ||
| Christopher Devivi | Registered representative | Jan 2026 (1y) | ||
| Nevi Harrison | Registered representative | Jan 2026 (1y) | ||
| Laron Glenn | Registered representative | Jan 2026 (1y) | ||
| Theophilus Ohene Asante | Registered representative | Jan 2026 (1y) | ||
| Jessica Kathryn Selvanathan | Registered representative | Jan 2026 (1y) | ||
| Rhona Catherine Macleod | Registered representative | Jan 2026 (1y) | ||
| Robert Trice Yarbrough | Registered representative | Jan 2026 (1y) | ||
| Christopher Leonard Mc Cain | Registered representative | CFP | Jan 2026 (1y) | |
| Lina M Valencia Sandoval | Registered representative | Jan 2026 (1y) | ||
| Willie Preston Stokes | Registered representative | Jan 2026 (1y) | ||
| Bret Lee Hooten | Registered representative | Jan 2026 (1y) | ||
| Justin Alfred Blackford | Registered representative | CFP | Jan 2026 (1y) | |
| Nathaniel Beardslee | Registered representative | Jan 2026 (1y) | ||
| Spencer Rife | Registered representative | Jan 2026 (1y) | ||
| Bryan James Bornschein | Registered representative | Jan 2026 (1y) | ||
| Dhilsha Athulathmudali | Registered representative | Jan 2026 (1y) | ||
| Lissett A Johnson | Registered representative | Jan 2026 (1y) | ||
| Sarah Rae Mcmillian | Registered representative | Jan 2026 (1y) | ||
| Travis Aiken | Registered representative | Jan 2026 (1y) | ||
| Wayne Michael Hastad | Registered representative | Jan 2026 (1y) | ||
| David Brendan Perkins | Registered representative | Jan 2026 (1y) | ||
| Jordan Robert Jensen | Registered representative | Jan 2026 (1y) | ||
| Irina Gavrilyaka | Registered representative | Jan 2026 (1y) | ||
| Alberto Elias Hernandez | Registered representative | Jan 2026 (1y) | ||
| Johnny Kim | Registered representative | Jan 2026 (1y) | ||
| Samira Brown | Registered representative | Jan 2026 (1y) | ||
| Paul Jones | Registered representative | CFP | Jan 2026 (1y) | |
| Erin Edward Bojarczuk | Registered representative | Feb 2026 (0y) | ||
| Kimberley B Foster | Registered representative | Feb 2026 (0y) | ||
| Sharina Oneisha Carmon | Registered representative | Feb 2026 (0y) | ||
| Ryan Mentnech | Registered representative | Feb 2026 (0y) | ||
| Colin Ducharme | Registered representative | CFA | Feb 2026 (0y) | |
| Seth Twisdale | Registered representative | Feb 2026 (0y) | ||
| Mark Kuniholm | Registered representative | CFP | Feb 2026 (0y) | |
| Kevin M Worm | Registered representative | Feb 2026 (0y) | ||
| Anibal Alvarado | Registered representative | Feb 2026 (0y) | ||
| Kevin Thomas Moriarty | Registered representative | Feb 2026 (0y) | ||
| Ashley Dawn Hausler | Registered representative | CFP | Feb 2026 (0y) | |
| John P Bromhead | Registered representative | Mar 2026 (0y) | ||
| Stefanie Ann Perticone | Registered representative | Mar 2026 (0y) | ||
| Jenna Christine Bennett | Registered representative | Mar 2026 (0y) | ||
| Steven Daniel Ringer | Registered representative | Mar 2026 (0y) | ||
| Jeffrey James Emperador | Registered representative | Mar 2026 (0y) | ||
| Tiffany Lowe Gilbert | Registered representative | Mar 2026 (0y) | ||
| John Brittson Hall | Registered representative | Mar 2026 (0y) | ||
| Austin Thomas Clark | Registered representative | Mar 2026 (0y) | ||
| Brady Janssen | Registered representative | Mar 2026 (0y) | ||
| Mary Norman Hales | Registered representative | Mar 2026 (0y) | ||
| Jeffrey Alex Banack | Registered representative | Mar 2026 (0y) | ||
| Cullen Patrick Kline | Registered representative | Mar 2026 (0y) | ||
| Thomas M. Hunt | Registered representative | CFP | Mar 2026 (0y) | |
| Andrew Luis Ferrari | Registered representative | Mar 2026 (0y) | ||
| Joshua Hernandez | Registered representative | Mar 2026 (0y) | ||
| Chad William Cunningham | Registered representative | Mar 2026 (0y) | ||
| Carmen Leann Woodson | Registered representative | Mar 2026 (0y) | ||
| Adam Larcher | Registered representative | Apr 2026 (0y) | ||
| Carson Boggs | Registered representative | Apr 2026 (0y) | ||
| Matthew W. Mc Kean | Registered representative | Apr 2026 (0y) | ||
| Luis Orlando Perez Martinez | Registered representative | Apr 2026 (0y) | ||
| Robert Dean Schutz | Registered representative | Apr 2026 (0y) | ||
| Nicholas Charles Homolka | Registered representative | CFA | Apr 2026 (0y) | |
| Lucy Herrera | Registered representative | Apr 2026 (0y) | ||
| Chancey Zifko | Registered representative | Apr 2026 (0y) | ||
| Leah Aquino Echols | Registered representative | Apr 2026 (0y) | ||
| Luke A Luciano | Registered representative | Apr 2026 (0y) | ||
| Sean Michael Martin | Registered representative | Apr 2026 (0y) | ||
| William Metcalf Prest | Registered representative | Apr 2026 (0y) | ||
| Jordan Weems | Registered representative | Apr 2026 (0y) | ||
| Dane Zachary Blakeley | Registered representative | Apr 2026 (0y) | ||
| Jeffrey Adam Herman | Registered representative | Apr 2026 (0y) | ||
| Paula Almeida Coelho | Registered representative | Apr 2026 (0y) | ||
| Damon Paul Ellison | Registered representative | Apr 2026 (0y) | ||
| Alan David Jacobson | Registered representative | Apr 2026 (0y) | ||
| Carlos J Centeno | Registered representative | Apr 2026 (0y) | ||
| Dennis Bernard Davis | Registered representative | Apr 2026 (0y) | ||
| Mark Mankbadi | Registered representative | Apr 2026 (0y) | ||
| Cameron Joseph Mc Farlane | Registered representative | Apr 2026 (0y) | ||
| Naomi Tanabe | Registered representative | Apr 2026 (0y) | ||
| Jordan Greg Haglin | Registered representative | Apr 2026 (0y) | ||
| Oliver Surprenant | Registered representative | Apr 2026 (0y) | ||
| David Brendan Perkins | Registered representative | Apr 2026 (0y) | ||
| Thomas Lee Dinardo | Registered representative | May 2026 (0y) | ||
| Patrick Jordan Flora | Registered representative | May 2026 (0y) | ||
| Andreia G Nimara | Registered representative | CFP | May 2026 (0y) | |
| Jonathon Fant | Registered representative | May 2026 (0y) | ||
| Jacob Onufrock | Registered representative | May 2026 (0y) | ||
| Jennifer Butterworth | Registered representative | May 2026 (0y) | ||
| Sara A Piekutowski | Registered representative | May 2026 (0y) | ||
| Ana Isabel Campos | Registered representative | May 2026 (0y) | ||
| Dennis Walter Riegraf | Registered representative | May 2026 (0y) | ||
| Tannaz Sadeghi | Registered representative | May 2026 (0y) | ||
| Dustin Ryan Ainsworth | Registered representative | May 2026 (0y) | ||
| Morgan Vivien Shrum | Registered representative | May 2026 (0y) | ||
| Vanessa Newman | Registered representative | May 2026 (0y) | ||
| Austin Lian | Registered representative | May 2026 (0y) | ||
| Matthew Ryan Bullock | Registered representative | May 2026 (0y) | ||
| Monalisa Disaverio | Registered representative | May 2026 (0y) | ||
| Gabriel Rodriguez | Registered representative | Jun 2026 (0y) | ||
| Jamie Allison Mackenzie | Registered representative | Jun 2026 (0y) | ||
| Jesse Robert Brian Marroquin | Registered representative | Jun 2026 (0y) | ||
| Jaemair Loren Alex Lewis | Registered representative | Jun 2026 (0y) | ||
| Lejo Abraham | Registered representative | Jun 2026 (0y) | ||
| Scott Kent Stearsman | Registered representative | Jun 2026 (0y) | ||
| Ian Rogers Morse | Registered representative | Jun 2026 (0y) | ||
| Gregory Frank Gianfortone | Registered representative | Jun 2026 (0y) | ||
| Stephen F Selby | Registered representative | Jun 2026 (0y) | ||
| John Francis Delaloye | Registered representative | Jun 2026 (0y) | ||
| Shafi Q Ahmadi | Registered representative | Jun 2026 (0y) | ||
| Katrina Lynn Chambers | Registered representative | Jun 2026 (0y) | ||
| Frank A Deshantz | Registered representative | Jun 2026 (0y) | ||
| Glenn Jason Interiano | Registered representative | Jun 2026 (0y) | ||
| Sara Valentina Castano | Registered representative | Jun 2026 (0y) | ||
| Kara Meaghan Grabow | Registered representative | Jun 2026 (0y) | ||
| Darius Harrison | Registered representative | Jul 2026 (0y) | ||
| Mark Anthony Mullins | Registered representative | Jul 2026 (0y) | ||
| Constance Chilvers Bolen | Registered representative | Jul 2026 (0y) | ||
| Daniel Walter Pawlishyn | Registered representative | Jul 2026 (0y) | ||
| Marcus Graham | Registered representative | CFP | Jul 2026 (0y) | |
| William Gilmore Senn | Registered representative | Jul 2026 (0y) | ||
| Camille Summer Noble | Registered representative | Jul 2026 (0y) | ||
| Benjamin Russo | Registered representative | Jul 2026 (0y) | ||
| Jeffrey Brooks Hassler | Registered representative | Jul 2026 (0y) | ||
| Thomas Joseph Morse | Registered representative | Jul 2026 (0y) | ||
| Daniel Raymond Featherston | Registered representative | Jul 2026 (0y) | ||
| Jennifer L Ware | Registered representative | Jul 2026 (0y) | ||
| Orlando Arauz | Registered representative | Jul 2026 (0y) | ||
| Jeffrey Scott Hughes | Registered representative | Jul 2026 (0y) | ||
| Calvin Augustine Peter Herzer | Registered representative | Jul 2026 (0y) | ||
| Elvis Castro | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Truist Financial Corporation | Owner | Dec 2019 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (29)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| St. Anne's Belfield, Inc. 403(b) Retirement Plan | St. Anne's Belfield, Inc. | 222 | $47.0M | 07/01/2024 |
| Global Wireless Solutions, Inc. 401(k) Plan | Global Wireless Solutions, Inc. | 27 | $12.8M | 01/01/2024 |
| Lightnin Production Rentals 401(k) Plan | Lightnin' Production Rentals, Inc. | 73 | $4.8M | 01/01/2024 |
| Grand Brands 401(k) Plan | Grand Brands Llc | 185 | $5.3M | 01/01/2024 |
| South Jersey Glass Co, Inc. 401(k) Plan | South Jersey Glass Co, Inc. | 162 | $12.6M | 01/01/2024 |
| Absolute Business Solutions 401(k) Profit Sharing Plan | Absolute Business Solutions Incorporated | 67 | $13.6M | 01/01/2024 |
| Mortensen Woodwork, Inc. 401(k) Profit Sharing Plan | Mortensen Woodwork, Inc. | 99 | $8.7M | 01/01/2024 |
| Red Light Management, Llc 401(k) Plan | Red Light Management, Llc | 296 | $35.1M | 01/01/2024 |
| Gastrointestinal Specialist Of Geor Gia, Inc. 401(k) Profit Sharing Plan | Gastrointestinal Specialist Of Geor Gia, Inc. | 113 | $40.4M | 01/01/2024 |
| Fairfax Neonatal Associates, P.C. 401(k) Profit Sharing Plan | Fairfax Neonatal Associates, P.C. | 70 | $44.6M | 01/01/2024 |
| Komet Usa, Llc 401(k) Plan | Komet Usa, Llc | 85 | $4.4M | 01/01/2024 |
| Conner Industries, Inc. 401(k) Profit Sharing Plan | Conner Industries, Inc. | 563 | $11.0M | 01/01/2024 |
| Computer Enterprises, Inc. 401(k) Plan | Computer Enterprises, Inc. | 521 | $15.9M | 01/01/2024 |
| Upa 401(k) Savings Plan | University Physicians Association Inc | 1,075 | $39.6M | 01/01/2024 |
| Kapsch Trafficcom 401(k) Plan | Kapsch Trafficcom Usa, Inc. | 615 | $84.8M | 01/01/2024 |
| Baywood Crossing Rehabilitation And Healthcare Center 401(k) Plan | Baywood Crenshaw, Llc | 437 | $490K | 01/01/2024 |
| Belcher Pharmaceuticals Llc 401(k) Plan | Belcher Pharmaceuticals Llc | 255 | $1.3M | 01/01/2024 |
| Mary's Center 403(b) Retirement Plan | Mary's Center For Maternal And Child Care Inc. | 822 | $29.3M | 01/01/2024 |
| Brock & Scott Pllc 401 K Profit Sharing Plan And Trust | Brock & Scott Pllc | 628 | $15.4M | 01/01/2024 |
| Fms 401(k) Plan | Fms Financial Management Services, Llc | 250 | $21.0M | 01/01/2024 |
| First Settlement Physical Therapy 401(k) Plan | First Settlement Physical Therapy, Inc. | 225 | $7.2M | 01/01/2024 |
| Phd, Inc. Profit Sharing Plan | Partners Hair Design Group, Inc. | 230 | $14.8M | 01/01/2024 |
| Kt Enterprises, Inc. 401(k) Plan | Kt Enterprises, Inc. | 278 | $20.6M | 01/01/2024 |
| Vertical Earth 401(k) Plan | Vertical Earth, Inc. | 355 | $6.4M | 01/01/2024 |
| Nvfs 401(k) Plan | Northern Virginia Family Service, Inc. | 324 | $23.9M | 01/01/2024 |
Top 25 of 29 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/30/2026 | 4.77 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory
as of Nov 05, 2024
Allegations: THE SEC'S FINDINGS, INFORMED BY THE SELF-DISCLOSURE OF [TSI/TIS] AND ITS CONTROL AFFILIATES [TIS/TSI] AND TAS (COLLECTIVELY, "TRUIST"), INCLUDED THAT CERTAIN TRUIST EMPLOYEES COMMUNICATED ABOUT TRUIST'S BROKER DEALER AND INVESTMENT ADVISOR BUSINESSES USING UNAPPROVED, OFF-CHANNEL METHODS, INCLUDING PERSONAL TEXT MESSAGES. THESE COMMUNICATIONS WERE NOT MAINTAINED AND PRESERVED BY TRUIST PURSUANT TO RECORDKEEPING REQUIREMENTS. THE CFTC'S FINDINGS, INFORMED BY THE SELF-DISCLOSURE OF [TSI/TIS]'S CONTROL AFFILIATE TRUIST BANK, WERE SUBSTANTIALLY SIMILAR. Status: Final Sanction Detail: UNDER THE SEC ORDER, [TSI/TIS] AND ITS NAMED AFFILIATES [TIS/TSI] AND TAS JOINTLY AND SEVERALLY PAID A CIVIL PENALTY OF $5.5 MILLION ON AUGUST 21, 2024, AND AGREED TO, AMONG OTHER THINGS, RETAIN A COMPLIANCE CONSULTANT TO REVIEW AND REPORT ON FIRM POLICIES AND PROCEDURES RELATING TO THE USE AND PRESERVATION OF ELECTRONIC COMMUNICATIONS. UNDER THE CFTC ORDER, TRUIST BANK PAID A CIVIL PENALTY OF $3 MILLION ON AUGUST 21, 2024 AND AGREED TO UNDERTAKE A SIMILAR COMPLIANCE REVIEW. Summary: ON AUGUST 14, 2024, TRUIST BANK CONSENTED TO ENTRY OF A CFTC ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AND IMPOSING REMEDIAL ACTIONS, FOLLOWING ITS IDENTIFICATION AND SELF-DISCLOSURE OF SUBSTANTIALLY SIMILAR CONDUCT, RESULTING IN VIOLATIONS OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT AND REGULATIONS 1.31, 23.201(A), 23.202(A)(1) AND (B)(1), AND A FAILURE TO DILIGENTLY SUPERVISE MATTERS RELATING TO ITS BUSINESS AS A CFTC REGISTRANT WITHIN THE MEANING OF SECTION 4S(H)(1)(B) AND REGULATION 23.602(A). TRUIST BANK CONSENTED TO PAY A PENALTY OF $3 MILLION AND TO COMPLY WITH CERTAIN UNDERTAKINGS.
Regulatory
as of Nov 05, 2024
Allegations: THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED, IN CONNECTION WITH THE INVESTMENT ADVISER AND BROKER-DEALER OFF-CHANNEL COMMUNICATIONS INITIATIVE, THAT TRUIST ADVISORY SERVICES, INC. ("TAS"), TRUIST INVESTMENT SERVICES, INC. ("TIS"), AND TRUIST SECURITIES, INC. ("TSI") (COLLECTIVELY, "TRUIST") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE INVESTMENT ADVISER AND BROKER-DEALERS OPERATED BY TRUIST, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES AND EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND RULE 17A-4(B)(4) THEREUNDER BY TSI AND TIS AND SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER BY TAS; AND (2) REASONABLY SUPERVISE THEIR EMPLOYEES WITH A VIEW TO PREVENTING OR DETECTING CERTAIN OF THEIR EMPLOYEES' AIDING AND ABETTING THE AFOREMENTIONED VIOLATIONS WITHIN THE MEANING OF SECTION 15(B)(4)(E) OF THE EXCHANGE ACT AS TO TIS AND TSI AND SECTION 203(E)(6) OF THE ADVISERS ACT AS TO TAS. Status: Final Sanction Detail: TRUIST ADMITTED TO THE FACTS IN THE SETTLEMENT ORDER, ACKNOWLEDGED THEIR CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS AND AGREED TO (A) CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS OR ANY FUTURE VIOLATIONS OF SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER AS TO TAS AND SECTION 17(A) OF THE EXCHANGE ACT AND RULE 17A-4 THEREUNDER AS TO TIS AND TSI, (B) BE CENSURED, (C) PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $5,500,000, AND (D) COMPLY WITH CERTAIN UNDERTAKINGS RELATED TO RETENTION OF ELECTRONIC COMMUNICATIONS, INCLUDING RETAINING A COMPLIANCE CONSULTANT. Summary: ON AUGUST 14, 2024, THE SEC ANNOUNCED THE SETTLED ADMINISTRATIVE ORDER ENTERED INTO BY TRUIST SECURITIES, INC., TRUIST INVESTMENT SERVICES, INC. AND TRUIST ADVISORY SERVICES, INC. (COLLECTIVELY, "TRUIST") FOLLOWING THE FIRM'S OFFER OF SETTLEMENT. THE ORDER WAS ENTERED FOLLOWING TRUIST'S IDENTIFICATION AND SELF-DISCLOSURE OF THE UNAUTHORIZED USE OF OFF-CHANNEL COMMUNICATIONS TO CONDUCT SEC-REGULATED BUSINESS. THE ORDER STATED THAT CERTAIN EMPLOYEES OF TRUIST USED OFF-CHANNEL COMMUNICATIONS AGAINST TRUIST POLICIES. IN ADDITION, THE ORDER NOTED THAT TRUIST DID NOT MAINTAIN THE OFF-CHANNEL COMMUNICATIONS OR REASONABLY SUPERVISE EMPLOYEES IN RELATION TO OFF-CHANNEL COMMUNICATIONS. TRUIST ADMITTED THE SEC'S FINDINGS OF FACT, ACKNOWLEDGED THAT ITS CONDUCT VIOLATED THE FEDERAL SECURITIES LAWS, AGREED TO RETAIN A COMPLIANCE CONSULTANT TO REVIEW RELEVANT POLICIES AND PROCEDURES, AND AGREED TO THE MAKING, KEEPING AND PRESERVING OF CERTAIN REQUIRED BOOKS AND RECORDS. THE ORDER CENSURED THE FIRM, REQUIRED THAT THE FIRM CEASE AND DESIST FROM VIOLATING THE FEDERAL SECURITIES LAWS CITED IN THE ORDER, AND IMPOSED A CIVIL MONEY PENALTY IN THE AMOUNT OF $5,500,000.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $67.2B (87% of AUM) Jun 2026
- Truist Investment Services, Inc. $9.6B (12% of AUM) Jun 2026
- SEI Private Trust $4.5B (19% of AUM) Aug 2020
- Truist Bank $4.5B (19% of AUM) Aug 2020
- Suntrust Bank $4.2B (18% of AUM) Dec 2019
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Aug 01, 2026.
View current Form ADV (SEC/IAPD) ↗