Lincoln Investment Planning, Llc
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 519
· SEC file 801-14059
· Fort Washington, PA
· www.facebook.com
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ADV data as of Jul 20, 2026
- Regulatory AUM
- $22.0B
- Discretionary
- $12.9B
- Clients
- 138,369
- Avg AUM / client
- $159K
- Accounts
- 199,383
- Employees
- 1,238
AUM over time
$2.9B
$22.0B
Nov 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 133,528 | $17.4B | 79.2% |
| High net worth individuals | 4,604 | $4.3B | 19.6% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | 15 | $30.3M | 0.14% |
| Charitable organizations | 41 | $38.1M | 0.17% |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | 181 | $203M | 0.92% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (922)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Edward Samuel Forst | Elected Manager/President/Ceo | CFP | Apr 2011 (15y) | Less than 5% |
| Flax, Steven Neil | Sr Vice President, Human Resources | Jan 2012 (15y) | Less than 5% | |
| Mccarthy, Diane Mulherrin | Executive Vice President/Chief Financial Officer/Principal Financial Officer/Elected Manager | Sep 2018 (8y) | Less than 5% | |
| Shashi Mehrotra | Senior Vice President, Chief Investment Strategist | CFA | Jun 2019 (7y) | Less than 5% |
| Mattson, Maureen Ann | Executive Vice President, Chief Compliance Officer | Jan 2022 (5y) | Less than 5% | |
| Mayhew, Stephen Thomas | Senior Vice President, Chief Investment Officer | Jul 2022 (4y) | Less than 5% | |
| O'leary, Kevin Joseph | Executive Vice President, Chief Growth Officer | Jul 2022 (4y) | Less than 5% | |
| Oberlies, Susan Mary | Senior Vice President, Corporate Counsel/Secretary | Jul 2022 (4y) | Less than 5% | |
| Leckey, Kathleen Kinslow | Executive Vice President, Chief Operating Officer | Oct 2022 (4y) | Less than 5% | |
| Bueti, Anthony Charles | Senior Vice President, Operations & Service/ Principal Operations Officer | Mar 2023 (3y) | Less than 5% | |
| Bura, Karen Dougherty | Vice President, Controller | Mar 2023 (3y) | Less than 5% | |
| Ross Alexander Mclaurin | Registered representative | Oct 1987 (39y) | ||
| Lawrence Allen Hendershot | Registered representative | Mar 1991 (35y) | ||
| Nancy Jean Hendershot | Registered representative | Mar 1991 (35y) | ||
| Gary Drury | Registered representative | Jul 1999 (27y) | ||
| Sylvia Marruffo Drury | Registered representative | Jul 1999 (27y) | ||
| David Richard Cuba | Registered representative | Jan 2000 (27y) | ||
| Rex G Swartz | Registered representative | Jan 2000 (27y) | ||
| Joseph Emil Attanasi | Registered representative | Jul 2002 (24y) | ||
| Patrick Joseph Bergin | Registered representative | CFP | Jul 2002 (24y) | |
| Alberto Eduardo Gaglianese | Registered representative | CFP | Jul 2002 (24y) | |
| Daniel Ernest Hernandez | Registered representative | CFP | Jul 2002 (24y) | |
| Harold Jeffrey Hill | Registered representative | Jul 2002 (24y) | ||
| John Michael Natale | Registered representative | Chartered Financial Consultant | Jul 2002 (24y) | |
| Michael Salvatore Enos | Registered representative | Jul 2002 (24y) | ||
| Richard James Gaglianese | Registered representative | Jul 2002 (24y) | ||
| Virginia Tanner Harriett | Registered representative | CFP | Jul 2002 (24y) | |
| John Dennis Schu | Registered representative | CFP | Jul 2002 (24y) | |
| Thomas Joseph Price | Registered representative | Jul 2002 (24y) | ||
| Jonathan Hare Wilt | Registered representative | CFP | Aug 2002 (24y) | |
| Kathryn Collie Diduch | Registered representative | CFP | Sep 2002 (24y) | |
| Jonathan Hunter Peck | Registered representative | Sep 2002 (24y) | ||
| Pamela Jackson Middleton | Registered representative | Chartered Financial Consultant | Mar 2003 (23y) | |
| April Felicia Jackson | Registered representative | Apr 2003 (23y) | ||
| Brad Montgomery Joseph | Registered representative | Apr 2003 (23y) | ||
| Mitchell Thomas Melan | Registered representative | Apr 2003 (23y) | ||
| Perry Gordon Williams | Registered representative | Apr 2003 (23y) | ||
| Derrick Ryan Friedman | Registered representative | Apr 2003 (23y) | ||
| Rian A Steinbiss | Registered representative | Mar 2004 (22y) | ||
| Gregory Paul Howard | Registered representative | May 2004 (22y) | ||
| Michael Jerome Howard | Registered representative | May 2004 (22y) | ||
| Allen Thomas Laya | Registered representative | Chartered Financial Consultant | Feb 2005 (22y) | |
| Stewart Allen Jacobson | Registered representative | CFP | Feb 2005 (21y) | |
| Mark Andrew Countryman | Registered representative | CFP | May 2005 (21y) | |
| Jeffery Craig Farris | Registered representative | CFP | Jun 2005 (21y) | |
| Gregory Elliot Mikolajczak | Registered representative | Jul 2005 (21y) | ||
| Robert Anthony Moore | Registered representative | Sep 2005 (21y) | ||
| Elliott Harris | Registered representative | Sep 2005 (21y) | ||
| Jay Edward Badeaux | Registered representative | Sep 2005 (21y) | ||
| Shane Michael Robinson | Registered representative | Sep 2005 (21y) | ||
| Bret Douglas Smith | Registered representative | CFP Chartered Financial Consultant | Oct 2005 (21y) | |
| Charles Joseph Lewandowski | Registered representative | CFP | Oct 2005 (21y) | |
| Christian Lee Isaly | Registered representative | Dec 2005 (21y) | ||
| William Clifton Robinson | Registered representative | Feb 2006 (21y) | ||
| Daniel Allen Laya | Registered representative | Mar 2006 (20y) | ||
| Justin Chris Muro | Registered representative | Mar 2006 (20y) | ||
| James Paul Noe | Registered representative | Mar 2006 (20y) | ||
| Damian John Caruso | Registered representative | Jun 2006 (20y) | ||
| Cynthia Lyn Perini | Registered representative | Jun 2006 (20y) | ||
| Jana K. Albus | Registered representative | Nov 2006 (20y) | ||
| Gregory James Taglienti | Registered representative | Apr 2007 (19y) | ||
| Joseph John Caterina | Registered representative | CFP | Apr 2007 (19y) | |
| Tyler A. Curlee | Registered representative | Jun 2007 (19y) | ||
| Gilberto Arias | Registered representative | Jun 2007 (19y) | ||
| Larry Travis Poole | Registered representative | Sep 2007 (19y) | ||
| Christopher Edward Murtha | Registered representative | Sep 2007 (19y) | ||
| Darhyl Russell Pulley | Registered representative | Nov 2007 (19y) | ||
| Pamela Susan Lepore | Registered representative | CFP | Nov 2007 (19y) | |
| Jaime Zinkus | Registered representative | Dec 2007 (19y) | ||
| Joan Marie Glenn | Registered representative | Jan 2008 (19y) | ||
| Lori Seely Campbell | Registered representative | Jan 2008 (19y) | ||
| Keith August Nebel | Registered representative | Feb 2008 (18y) | ||
| James Michael Newman | Registered representative | Feb 2008 (18y) | ||
| Jeff R Pierson | Registered representative | Feb 2008 (18y) | ||
| Gerald Thaddeus Faller | Registered representative | CFP | Aug 2008 (18y) | |
| Jeffrey Edward Faller | Registered representative | CFP | Aug 2008 (18y) | |
| William Michael Blanche | Registered representative | Dec 2008 (18y) | ||
| James William Van Hollebeke | Registered representative | Jan 2009 (18y) | ||
| Mathew William Roper | Registered representative | Jan 2009 (18y) | ||
| Steve Kent Shelgren | Registered representative | Jan 2009 (18y) | ||
| Neal Anthony Kloke | Registered representative | Feb 2009 (17y) | ||
| Jose Mari Gueco | Registered representative | May 2009 (17y) | ||
| Michael Anthony Maffei | Registered representative | Jan 2010 (17y) | ||
| Laura K Leuter | Registered representative | Feb 2010 (16y) | ||
| Robert Scott Wands | Registered representative | May 2010 (16y) | ||
| Michael Joseph Mracna | Registered representative | Jun 2010 (16y) | ||
| Carl Thomas Thoenen | Registered representative | Aug 2010 (16y) | ||
| Debra Susan Lang | Registered representative | Aug 2010 (16y) | ||
| Frank James Palmasani | Registered representative | Aug 2010 (16y) | ||
| George Frank Lang | Registered representative | Aug 2010 (16y) | ||
| Ira John Tweed | Registered representative | Aug 2010 (16y) | ||
| Jeffrey William Wilhelms | Registered representative | Aug 2010 (16y) | ||
| Juliane Ann Lee | Registered representative | CFP | Aug 2010 (16y) | |
| Mylon M Logan | Registered representative | Aug 2010 (16y) | ||
| Sufia Setjoadi | Registered representative | Aug 2010 (16y) | ||
| Timothy Johnson Leonard | Registered representative | Aug 2010 (16y) | ||
| William Roane Skeeters | Registered representative | Chartered Financial Consultant | Aug 2010 (16y) | |
| Richard Michael Campo | Registered representative | Aug 2010 (16y) | ||
| Neal Alan Rodman | Registered representative | Aug 2010 (16y) | ||
| David Michael Sawchuk | Registered representative | Oct 2010 (16y) | ||
| Gary Nicholas Niemczak | Registered representative | Oct 2010 (16y) | ||
| Steven Edward Cook | Registered representative | Oct 2010 (16y) | ||
| Mario Dilisciandro | Registered representative | Oct 2010 (16y) | ||
| Andrew Gordon Harr | Registered representative | Oct 2010 (16y) | ||
| Karena Irene Schwenk | Registered representative | Dec 2010 (16y) | ||
| Phillip Carlton Burnette | Registered representative | Feb 2011 (15y) | ||
| Wayde Stewart Knowles | Registered representative | Feb 2011 (15y) | ||
| Stanton Verdon Green | Registered representative | Mar 2011 (15y) | ||
| James G. Burr | Registered representative | Mar 2011 (15y) | ||
| Harry Samuel Forst | Registered representative | CFP | Apr 2011 (15y) | |
| Stephen Craig Bach | Registered representative | CFP | Apr 2011 (15y) | |
| Jerald Clarence Wozniak | Registered representative | Apr 2011 (15y) | ||
| Leonard Joseph Rizzotti | Registered representative | CFP | Apr 2011 (15y) | |
| Theresa Anne Wiedmann | Registered representative | CFP | Apr 2011 (15y) | |
| Thomas Michael Mcmanus | Registered representative | CFP | Apr 2011 (15y) | |
| Todd Allen Peters | Registered representative | Apr 2011 (15y) | ||
| Victoria Ann Mcdonald | Registered representative | CFP | Apr 2011 (15y) | |
| William Paul Weber | Registered representative | Apr 2011 (15y) | ||
| Alani Leonardo Sewell | Registered representative | Apr 2011 (15y) | ||
| Brad M Warhurst | Registered representative | Apr 2011 (15y) | ||
| Donald W Szewczyk | Registered representative | CFP | Apr 2011 (15y) | |
| Gerald Eugene Burhop | Registered representative | CFA | Apr 2011 (15y) | |
| Kathryn Lee Kuzo | Registered representative | Apr 2011 (15y) | ||
| Lisa Anne Mchugh | Registered representative | Apr 2011 (15y) | ||
| Patrick Joseph Forst | Registered representative | Apr 2011 (15y) | ||
| Paula Marie Hocker | Registered representative | Apr 2011 (15y) | ||
| Thomas H Watkins | Registered representative | Apr 2011 (15y) | ||
| William Phillip Trembler | Registered representative | Apr 2011 (15y) | ||
| James Dimitrios Verros | Registered representative | CFP | Apr 2011 (15y) | |
| Mark E. Inserra | Registered representative | CFA | Apr 2011 (15y) | |
| Edward Vincent Zakarewicz | Registered representative | May 2011 (15y) | ||
| Rylan John Marx | Registered representative | Jun 2011 (15y) | ||
| Barry Nathan Dervin | Registered representative | Jun 2011 (15y) | ||
| Brent Wesley Traugh | Registered representative | Jun 2011 (15y) | ||
| Donna Lee Wren | Registered representative | Jun 2011 (15y) | ||
| Jody Tolomeo | Registered representative | Jun 2011 (15y) | ||
| Mark Alex Hemphill | Registered representative | Jun 2011 (15y) | ||
| Douglas B Nixon | Registered representative | Jun 2011 (15y) | ||
| Carol Florence Peckman | Registered representative | Jun 2011 (15y) | ||
| Cynthia Lynn Egan | Registered representative | Jun 2011 (15y) | ||
| Donal Christopher Mcguire | Registered representative | Jun 2011 (15y) | ||
| Joseph Bartholomew Cosden | Registered representative | Jun 2011 (15y) | ||
| Michael Patrick Klein | Registered representative | Jun 2011 (15y) | ||
| Ralph Edward Schneider | Registered representative | Jun 2011 (15y) | ||
| William J Adelsberger | Registered representative | Jun 2011 (15y) | ||
| Benjamin C Fair | Registered representative | Jun 2011 (15y) | ||
| Lisa Joy Newsham | Registered representative | Jun 2011 (15y) | ||
| Mary E Tibolet | Registered representative | Jun 2011 (15y) | ||
| Patrick Joseph Reilley | Registered representative | Jun 2011 (15y) | ||
| Bonnie Ovnicek | Registered representative | Jun 2011 (15y) | ||
| Scott J Merkel | Registered representative | Jun 2011 (15y) | ||
| Matthew A Painter | Registered representative | Jul 2011 (15y) | ||
| Margherita Marie Johnson | Registered representative | CFP | Jul 2011 (15y) | |
| William Harry Wilson | Registered representative | CFA | Jul 2011 (15y) | |
| Beth Peckman | Registered representative | Jul 2011 (15y) | ||
| Melissa Ann Borelli | Registered representative | Jul 2011 (15y) | ||
| Brian Christopher Shank | Registered representative | Jul 2011 (15y) | ||
| Douglas Ray Nelson | Registered representative | CFP | Oct 2011 (15y) | |
| Deborah Anna Hinten | Registered representative | CFP | Nov 2011 (15y) | |
| Nancy L. Heffner | Registered representative | Nov 2011 (15y) | ||
| Timothy Joseph Bandi | Registered representative | Jan 2012 (15y) | ||
| Donald Andrew Duntley | Registered representative | Jan 2012 (15y) | ||
| William J Mosler | Registered representative | Jan 2012 (15y) | ||
| Michael Thomas Stine | Registered representative | Feb 2012 (15y) | ||
| Barry Bryant Rawls | Registered representative | Mar 2012 (14y) | ||
| Edward Henry O'donoghue | Registered representative | Apr 2012 (14y) | ||
| Robert Francis Rano | Registered representative | May 2012 (14y) | ||
| Sara Elizabeth Mcgrath | Registered representative | May 2012 (14y) | ||
| John Roland St Marie | Registered representative | May 2012 (14y) | ||
| Robert Paul Decaro | Registered representative | May 2012 (14y) | ||
| Allan Louis Dunlap | Registered representative | Jun 2012 (14y) | ||
| Angel F Duncan | Registered representative | Jun 2012 (14y) | ||
| Bill Emory Thompson | Registered representative | Jun 2012 (14y) | ||
| Brian David Haubenstock | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Christopher Joseph Surrichio | Registered representative | CFA | Jun 2012 (14y) | |
| Christopher Shawn Ramsey | Registered representative | CFP | Jun 2012 (14y) | |
| Colleen Kit Callahan | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Daniel Carmen Danese | Registered representative | CFP | Jun 2012 (14y) | |
| Daniel John Obrien | Registered representative | CFP | Jun 2012 (14y) | |
| Dianne Yeuk Ha Woon | Registered representative | CFP | Jun 2012 (14y) | |
| Donald Ford Hadley | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Donald Witt Hadley | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Douglas Henry Bailey | Registered representative | CFP | Jun 2012 (14y) | |
| Douglas Richard Evernham | Registered representative | Jun 2012 (14y) | ||
| Hugh Boyce Roberts | Registered representative | CFP | Jun 2012 (14y) | |
| James David Smith | Registered representative | Jun 2012 (14y) | ||
| James Edward Gaydosh | Registered representative | CFP | Jun 2012 (14y) | |
| James Hosty Mcgovern | Registered representative | CFP | Jun 2012 (14y) | |
| Jason James Perez | Registered representative | Jun 2012 (14y) | ||
| Jeffrey Leslie Kaplan | Registered representative | CFP | Jun 2012 (14y) | |
| Jeffrey Matthew Bannon | Registered representative | Jun 2012 (14y) | ||
| Jeffrey Ryan Hall | Registered representative | CFP | Jun 2012 (14y) | |
| Jeremy Shannon Forbis | Registered representative | CFP | Jun 2012 (14y) | |
| John Matthew Gergurich | Registered representative | Jun 2012 (14y) | ||
| John Paul Webber | Registered representative | Jun 2012 (14y) | ||
| Larry Corragon Clayton | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Mark Anthony Ciulla | Registered representative | Jun 2012 (14y) | ||
| Matthew Anthony Divita | Registered representative | Jun 2012 (14y) | ||
| Neil Ray Waxman | Registered representative | CFP | Jun 2012 (14y) | |
| Patrick T (Mi Only) Hanratty | Registered representative | CFP | Jun 2012 (14y) | |
| Rae Young Kim | Registered representative | Jun 2012 (14y) | ||
| Ray W Stanley | Registered representative | Jun 2012 (14y) | ||
| Richard Gerard Lewis | Registered representative | Jun 2012 (14y) | ||
| Richard Patton Schultz | Registered representative | Jun 2012 (14y) | ||
| Robert Alan Miller | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Robert William Shaw | Registered representative | Jun 2012 (14y) | ||
| Ryan Benjamin Boyd | Registered representative | CFP | Jun 2012 (14y) | |
| Steven Michael Wylam | Registered representative | Jun 2012 (14y) | ||
| Theodore Cohn | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Theodore Earl Bertke | Registered representative | Chartered Financial Consultant | Jun 2012 (14y) | |
| Thomas Jeffrey Faulkner | Registered representative | Jun 2012 (14y) | ||
| Thomas L. Mayer | Registered representative | Jun 2012 (14y) | ||
| Loyd Hildres Rawls | Registered representative | Jun 2012 (14y) | ||
| Benjamin M Wuerffel | Registered representative | Jun 2012 (14y) | ||
| Bernard Edward Comber | Registered representative | Jul 2012 (14y) | ||
| Eric Neil Hershman | Registered representative | Jul 2012 (14y) | ||
| Don Wesley Adwell | Registered representative | Aug 2012 (14y) | ||
| Keith Joseph Glushek | Registered representative | Sep 2012 (14y) | ||
| Stephanie Louise Shaw | Registered representative | Oct 2012 (14y) | ||
| Matthew L. Voliva | Registered representative | Jan 2013 (14y) | ||
| Mark Ronsini | Registered representative | Jan 2013 (14y) | ||
| Jose Miguel Lopez | Registered representative | Feb 2013 (13y) | ||
| Jose Luis Madrigal | Registered representative | Feb 2013 (13y) | ||
| Robert Raymond Restino | Registered representative | Feb 2013 (13y) | ||
| Thomas Arther Maxey | Registered representative | Mar 2013 (13y) | ||
| Jennifer Nicole Prosise | Registered representative | Apr 2013 (13y) | ||
| David Mark Defazio | Registered representative | May 2013 (13y) | ||
| Bryan Thomas Alsbury | Registered representative | May 2013 (13y) | ||
| Timothy Jon Narva | Registered representative | May 2013 (13y) | ||
| Janet M Redding | Registered representative | Jun 2013 (13y) | ||
| Thomas Joseph Riley | Registered representative | Jun 2013 (13y) | ||
| Suzanne Holway Conran | Registered representative | Jun 2013 (13y) | ||
| Christopher Scott Gardner | Registered representative | Jun 2013 (13y) | ||
| Steven Eric Mueller | Registered representative | Sep 2013 (13y) | ||
| Robin Seaton Gruber | Registered representative | Dec 2013 (13y) | ||
| Cynthia Miller | Registered representative | CFP | Dec 2013 (13y) | |
| Rachelle Lynn Nelko | Registered representative | Jan 2014 (13y) | ||
| Denise Lacause | Registered representative | Jan 2014 (13y) | ||
| Michele Marie Gravlin | Registered representative | Jan 2014 (13y) | ||
| Mary Colleen Beseke | Registered representative | CFP | Jan 2014 (13y) | |
| Douglas Kenneth Rucki | Registered representative | Feb 2014 (12y) | ||
| Thomas Gerald Baker | Registered representative | Feb 2014 (12y) | ||
| Ryan Matthew Day | Registered representative | CFP | Feb 2014 (12y) | |
| Ronald Roy Fossell | Registered representative | Mar 2014 (12y) | ||
| Sebastiano Mancarella | Registered representative | Mar 2014 (12y) | ||
| Andrew Paul Cooper | Registered representative | May 2014 (12y) | ||
| Jesse A Smith | Registered representative | May 2014 (12y) | ||
| Michael L Renner | Registered representative | May 2014 (12y) | ||
| Shawn Allen Wears | Registered representative | CFP | Jun 2014 (12y) | |
| Kevin W Clark | Registered representative | Jun 2014 (12y) | ||
| Tyler E Mangum | Registered representative | CFP | Jul 2014 (12y) | |
| Joseph Michael Johnston | Registered representative | Sep 2014 (12y) | ||
| Peter James Crotty | Registered representative | Sep 2014 (12y) | ||
| Stephen Schultz | Registered representative | Oct 2014 (12y) | ||
| Alfredo Eric Manzanarez | Registered representative | Oct 2014 (12y) | ||
| Brian James Hamlin | Registered representative | Nov 2014 (12y) | ||
| Andrew C Denny | Registered representative | Jan 2015 (12y) | ||
| Ciara Danese Price | Registered representative | CFP | Jan 2015 (12y) | |
| Matthew Dansker | Registered representative | Jan 2015 (12y) | ||
| Jeffrey A Sharp | Registered representative | Mar 2015 (11y) | ||
| Garrett Michael Gray | Registered representative | Apr 2015 (11y) | ||
| Samuel H. Newsham | Registered representative | May 2015 (11y) | ||
| Richard Baker Sharpe | Registered representative | May 2015 (11y) | ||
| Matthew Harrison | Registered representative | May 2015 (11y) | ||
| Bryan Faller | Registered representative | May 2015 (11y) | ||
| Edward Joseph Zalar | Registered representative | Aug 2015 (11y) | ||
| Danielle Erin Rovner | Registered representative | Aug 2015 (11y) | ||
| Nicholas Calahan Towey | Registered representative | CFP | Sep 2015 (11y) | |
| Matthew Macho | Registered representative | CFP | Oct 2015 (11y) | |
| Gregory Charles Bender | Registered representative | Nov 2015 (11y) | ||
| Donald Lee Moore | Registered representative | Nov 2015 (11y) | ||
| Kelly Jean Shelgren | Registered representative | Jan 2016 (11y) | ||
| Larry Martin Weber | Registered representative | CFP | Feb 2016 (11y) | |
| Andrew Clark Tinsley | Registered representative | Feb 2016 (10y) | ||
| Aaron Michael Cheesman | Registered representative | Mar 2016 (10y) | ||
| Deborah Edelle James | Registered representative | CFP | Mar 2016 (10y) | |
| Kevin Marc Sokolow | Registered representative | Mar 2016 (10y) | ||
| Larry Fredrik Sokolow | Registered representative | Chartered Financial Consultant | Mar 2016 (10y) | |
| Michael Paul Leatzow | Registered representative | Mar 2016 (10y) | ||
| Madison R Hammel | Registered representative | Mar 2016 (10y) | ||
| Jack Philip Firriolo | Registered representative | May 2016 (10y) | ||
| Amber E. Andre | Registered representative | Jun 2016 (10y) | ||
| Jesse Javier Carrillo | Registered representative | Jun 2016 (10y) | ||
| Paul F Dellamonica | Registered representative | Jun 2016 (10y) | ||
| Christina Marie Broyles | Registered representative | Jun 2016 (10y) | ||
| Brian E Biehl | Registered representative | CFP | Aug 2016 (10y) | |
| Casey R Caldwell | Registered representative | Chartered Financial Consultant | Aug 2016 (10y) | |
| Chelsea Anne Gordon | Registered representative | CFP | Aug 2016 (10y) | |
| Jonathan Lee Mistofsky | Registered representative | Aug 2016 (10y) | ||
| Joseph Charles Randazzo | Registered representative | CFP | Aug 2016 (10y) | |
| Nicholas Edward Wylam | Registered representative | Aug 2016 (10y) | ||
| William Patrick Matejka | Registered representative | Aug 2016 (10y) | ||
| James Jw Guy | Registered representative | Aug 2016 (10y) | ||
| Steve Corre Kach | Registered representative | Sep 2016 (10y) | ||
| Daniel Anthony Iosue | Registered representative | CFP | Sep 2016 (10y) | |
| Greg Howard Sokolow | Registered representative | Oct 2016 (10y) | ||
| Jerome Christopher Garrett | Registered representative | Oct 2016 (10y) | ||
| William Charles Voliva | Registered representative | CFP | Nov 2016 (10y) | |
| Shane Alexander Isaac | Registered representative | Jan 2017 (10y) | ||
| Richard Thomas Suro | Registered representative | Jan 2017 (10y) | ||
| Donald M Jereb | Registered representative | Feb 2017 (9y) | ||
| Raymond Gerard Schmalz | Registered representative | Mar 2017 (9y) | ||
| Samantha Michelle Wells | Registered representative | Mar 2017 (9y) | ||
| Cody James Johnson | Registered representative | Mar 2017 (9y) | ||
| Kelly S Ochotny | Registered representative | Mar 2017 (9y) | ||
| Christina P Tinley | Registered representative | Apr 2017 (9y) | ||
| Kathi Mary Diorio | Registered representative | CFP | Apr 2017 (9y) | |
| Noelle M Smith | Registered representative | May 2017 (9y) | ||
| Donald Edward Wade | Registered representative | CFP | May 2017 (9y) | |
| William J. Williams | Registered representative | May 2017 (9y) | ||
| Bret Robert Mickel | Registered representative | Jun 2017 (9y) | ||
| Corey Lamont Sneed | Registered representative | Jun 2017 (9y) | ||
| Donald Domine Tiburzi | Registered representative | Jun 2017 (9y) | ||
| Fred Lee Barnard | Registered representative | Jun 2017 (9y) | ||
| Nicholas Sean Greer | Registered representative | Jun 2017 (9y) | ||
| Stephen Patrick Fallon | Registered representative | CFP | Jun 2017 (9y) | |
| Brian Patrick Cranford | Registered representative | Jun 2017 (9y) | ||
| Richard Allen Carnes | Registered representative | Jun 2017 (9y) | ||
| Richard Charles Tardosky | Registered representative | Jun 2017 (9y) | ||
| Alan Patrick Curley | Registered representative | CFP | Jun 2017 (9y) | |
| Clark William Tatum | Registered representative | Jun 2017 (9y) | ||
| Michael John Pesendorfer | Registered representative | Jun 2017 (9y) | ||
| Michelle Marie Tomei | Registered representative | Jun 2017 (9y) | ||
| Patricia Ann Jansen | Registered representative | Jun 2017 (9y) | ||
| Roy Stanley Izzo | Registered representative | Jun 2017 (9y) | ||
| Joseph Louis Streveler | Registered representative | Jun 2017 (9y) | ||
| Donald Andrew Nemeth | Registered representative | Jun 2017 (9y) | ||
| Frank Zoltanski | Registered representative | Jun 2017 (9y) | ||
| Abu Z Gofran | Registered representative | Jun 2017 (9y) | ||
| Adam Walter Pearce | Registered representative | CFP | Jun 2017 (9y) | |
| Debra Ann Friend | Registered representative | Jun 2017 (9y) | ||
| Don Sanborn Crook | Registered representative | Jun 2017 (9y) | ||
| Eric Christian Shupe | Registered representative | Jun 2017 (9y) | ||
| Melissa Laura De Rozario | Registered representative | Jun 2017 (9y) | ||
| Michael Shane Kays | Registered representative | Jun 2017 (9y) | ||
| Randy Ray Oehrlein | Registered representative | Jun 2017 (9y) | ||
| Rhonda Hershey Mccurry | Registered representative | Jun 2017 (9y) | ||
| Tamara Smith Clark | Registered representative | Jun 2017 (9y) | ||
| Valerie Brenatte Love Parker | Registered representative | Jun 2017 (9y) | ||
| Vered Justin | Registered representative | Jun 2017 (9y) | ||
| Alexander John Rasky | Registered representative | Jun 2017 (9y) | ||
| Angela Maraj | Registered representative | Jun 2017 (9y) | ||
| E Paul Wurtzebach | Registered representative | CFP | Jun 2017 (9y) | |
| George Raymond Goodroe | Registered representative | CFP | Jun 2017 (9y) | |
| Kenneth Bruce Swansegar | Registered representative | Jun 2017 (9y) | ||
| Larry Monroe Mccoy | Registered representative | Jun 2017 (9y) | ||
| Lynn Edward Balch | Registered representative | Jun 2017 (9y) | ||
| Matthew Oppedisano | Registered representative | Jun 2017 (9y) | ||
| Steven Douglas Fisher | Registered representative | CFP | Jun 2017 (9y) | |
| Todd David Stout | Registered representative | Jun 2017 (9y) | ||
| Charles William Waddell | Registered representative | Jun 2017 (9y) | ||
| Howard Chester Aspacher | Registered representative | CFP | Jun 2017 (9y) | |
| Ralph Christopher Tumolo | Registered representative | Jun 2017 (9y) | ||
| Robert Alan Rosenbaum | Registered representative | Jun 2017 (9y) | ||
| James Andrew Roumell | Registered representative | Jun 2017 (9y) | ||
| Myra Leslie Rosenblatt | Registered representative | CFP | Jun 2017 (9y) | |
| Patrick Michael O'keefe | Registered representative | Jun 2017 (9y) | ||
| Robert Alois Frankl | Registered representative | Jun 2017 (9y) | ||
| Thomas Mark Turchetti | Registered representative | Jun 2017 (9y) | ||
| Cooper Graham Peters | Registered representative | Jun 2017 (9y) | ||
| Kamala Blake Manchigiah | Registered representative | Jun 2017 (9y) | ||
| John Brady Barham | Registered representative | Jun 2017 (9y) | ||
| Michael Patrick Dalleo | Registered representative | Jun 2017 (9y) | ||
| Paul Ralph Caccomo | Registered representative | Jun 2017 (9y) | ||
| David Joseph Constantino | Registered representative | Jun 2017 (9y) | ||
| James Louis Cecchini | Registered representative | CFP | Jun 2017 (9y) | |
| Michael Philip Jordan | Registered representative | Jun 2017 (9y) | ||
| Christine J Reierson | Registered representative | Jul 2017 (9y) | ||
| Zachary W Craggs | Registered representative | Jul 2017 (9y) | ||
| James Floyd Guy | Registered representative | Jul 2017 (9y) | ||
| Travis T Stapleton | Registered representative | Jul 2017 (9y) | ||
| Donald Graham Mckell | Registered representative | Jul 2017 (9y) | ||
| Michael Paul Domino | Registered representative | Jul 2017 (9y) | ||
| Franklin Frederick Walter | Registered representative | Jul 2017 (9y) | ||
| Michael Bruce Hinkel | Registered representative | Jul 2017 (9y) | ||
| Roger Craig Miller | Registered representative | Jul 2017 (9y) | ||
| Theodore Gabriel Mihuta | Registered representative | Jul 2017 (9y) | ||
| Marc J Mungin | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| Lisagrace Alsbury | Registered representative | Jul 2017 (9y) | ||
| Jonathan Billings Wicker | Registered representative | Aug 2017 (9y) | ||
| Brandon D De Stefano | Registered representative | Aug 2017 (9y) | ||
| Mark Lapsevich | Registered representative | Aug 2017 (9y) | ||
| Garrett Logan Frank | Registered representative | Aug 2017 (9y) | ||
| Richard Albert Borkowski | Registered representative | Aug 2017 (9y) | ||
| John L Simmons | Registered representative | Aug 2017 (9y) | ||
| Angela I Seguro | Registered representative | Aug 2017 (9y) | ||
| Bryan C Seaquist | Registered representative | Aug 2017 (9y) | ||
| Brittany A Vollmar | Registered representative | Sep 2017 (9y) | ||
| Randall Lee Taylor | Registered representative | Sep 2017 (9y) | ||
| Kevin Takumi Kurimoto | Registered representative | CFP CFA | Sep 2017 (9y) | |
| Matthew Edward Graham | Registered representative | Sep 2017 (9y) | ||
| Bert Delroy Ritter | Registered representative | Sep 2017 (9y) | ||
| Eileen Mary Ann Mccarthy Ritter | Registered representative | Sep 2017 (9y) | ||
| Matthew Stuart Phillips | Registered representative | CFP | Sep 2017 (9y) | |
| Antonio Rodrigo Fernandez Salvador | Registered representative | Sep 2017 (9y) | ||
| Sergio Jesus Esteves | Registered representative | Sep 2017 (9y) | ||
| Michael Allen Nelligan | Registered representative | Oct 2017 (9y) | ||
| Diane Helen Hartz | Registered representative | Oct 2017 (9y) | ||
| Adam Patrick Clyne | Registered representative | Oct 2017 (9y) | ||
| Charles Stephen Campana | Registered representative | Oct 2017 (9y) | ||
| Michael J Harriett | Registered representative | Oct 2017 (9y) | ||
| David Kristian Hansen | Registered representative | Oct 2017 (9y) | ||
| James Anna | Registered representative | CFP | Oct 2017 (9y) | |
| Emily Anne Hagarty | Registered representative | Oct 2017 (9y) | ||
| Robert Thomas Castellani | Registered representative | Dec 2017 (9y) | ||
| James Lauriel Saylor | Registered representative | Dec 2017 (9y) | ||
| Nicholas Thomas Constantino | Registered representative | Dec 2017 (9y) | ||
| Sabrina Dianne Hartley | Registered representative | Dec 2017 (9y) | ||
| Ronald Jay Nathan | Registered representative | Chartered Financial Consultant | Dec 2017 (9y) | |
| Joyce Ellen Alsbury | Registered representative | Jan 2018 (9y) | ||
| Michael J Richardson | Registered representative | CFP | Jan 2018 (9y) | |
| Frank Violante | Registered representative | Jan 2018 (9y) | ||
| Melin I Gonzalez | Registered representative | Jan 2018 (9y) | ||
| Matthew William Norwood | Registered representative | CFP | Jan 2018 (9y) | |
| Ryan Earl Carlson | Registered representative | Jan 2018 (9y) | ||
| Daniel J Peretti | Registered representative | Jan 2018 (9y) | ||
| Diana Lyn Johnson Bauer | Registered representative | CFP | Jan 2018 (9y) | |
| Raelene Ann Nickerson | Registered representative | Jan 2018 (9y) | ||
| David Arlen Friedman | Registered representative | Jan 2018 (9y) | ||
| Asim Ijaz Awan | Registered representative | Jan 2018 (9y) | ||
| Melissa Ann Hoffman | Registered representative | Feb 2018 (8y) | ||
| Julian Daniel Romeu | Registered representative | Feb 2018 (8y) | ||
| Matthew Cameron Hausmann | Registered representative | Feb 2018 (8y) | ||
| Randal Lenis Buettner | Registered representative | Feb 2018 (8y) | ||
| Andrew W Wilt | Registered representative | Feb 2018 (8y) | ||
| Michael Schneider | Registered representative | Mar 2018 (8y) | ||
| Valerie Marie Widhson | Registered representative | Mar 2018 (8y) | ||
| Bryon W Niemczak | Registered representative | Mar 2018 (8y) | ||
| Robert Eugene Cates | Registered representative | Mar 2018 (8y) | ||
| Stephen Vito Manzo | Registered representative | Apr 2018 (8y) | ||
| Akhtar Zan Sattar | Registered representative | Apr 2018 (8y) | ||
| Allison Ranae Kapadia | Registered representative | Apr 2018 (8y) | ||
| Rene Nmn Rodriguez | Registered representative | May 2018 (8y) | ||
| Matthew Richard Romano | Registered representative | May 2018 (8y) | ||
| Ronald Robert Covington | Registered representative | May 2018 (8y) | ||
| Stefan Foster Striffler | Registered representative | May 2018 (8y) | ||
| James Clark Dunn | Registered representative | May 2018 (8y) | ||
| Connor Joele Womack | Registered representative | May 2018 (8y) | ||
| Angela L Gelzine | Registered representative | Jun 2018 (8y) | ||
| Jerry Wray Williams | Registered representative | Jun 2018 (8y) | ||
| Garrett Wade Smith | Registered representative | Jul 2018 (8y) | ||
| Andy Surindra Sukhai | Registered representative | Jul 2018 (8y) | ||
| Miles Corbin Harkleroad | Registered representative | Aug 2018 (8y) | ||
| Stephen Daniel Dalfino | Registered representative | Aug 2018 (8y) | ||
| Brian Daniel Nethercutt | Registered representative | Aug 2018 (8y) | ||
| Nathan Price Creviston | Registered representative | CFP Chartered Financial Consultant | Sep 2018 (8y) | |
| Judy Medlin Poole | Registered representative | Sep 2018 (8y) | ||
| Richard Edward Marek | Registered representative | Oct 2018 (8y) | ||
| Nicholas Raymond Avsec | Registered representative | Oct 2018 (8y) | ||
| Lesta Gail Andersen | Registered representative | Oct 2018 (8y) | ||
| Michelle Marie Engle | Registered representative | Nov 2018 (8y) | ||
| Michael John Sliney | Registered representative | Dec 2018 (8y) | ||
| Brian M. Becka | Registered representative | Jan 2019 (8y) | ||
| Michael Francis Kelly | Registered representative | Jan 2019 (8y) | ||
| Mark Daniel Kelly | Registered representative | Jan 2019 (8y) | ||
| Mark Alexander Carpenter Frere | Registered representative | Feb 2019 (8y) | ||
| Brianna Tavares | Registered representative | Feb 2019 (7y) | ||
| Victoria Lynn Gort | Registered representative | Mar 2019 (7y) | ||
| Clayton Edward Thompson | Registered representative | Mar 2019 (7y) | ||
| Thomas John Pope | Registered representative | Apr 2019 (7y) | ||
| Timothy Peter Duffy | Registered representative | Apr 2019 (7y) | ||
| Alan Ralph Gort | Registered representative | Apr 2019 (7y) | ||
| Denis Michael Corridan | Registered representative | Apr 2019 (7y) | ||
| Gordon Charles Bitler | Registered representative | Apr 2019 (7y) | ||
| Alejandro Nevarez | Registered representative | Apr 2019 (7y) | ||
| Anthony Joseph Serino | Registered representative | Apr 2019 (7y) | ||
| Duane Myeran Pusch | Registered representative | Apr 2019 (7y) | ||
| John D Kirsch | Registered representative | Apr 2019 (7y) | ||
| Lee Albert Kroening | Registered representative | CFP | Apr 2019 (7y) | |
| Lorraine Friscia Rocamboli | Registered representative | Apr 2019 (7y) | ||
| Marc Anthony Panaro | Registered representative | CFP | Apr 2019 (7y) | |
| Matthew Joseph Mullin | Registered representative | CFP | Apr 2019 (7y) | |
| Nicole Sue Meehan | Registered representative | Apr 2019 (7y) | ||
| Robert Franklin Provance | Registered representative | Chartered Financial Consultant | Apr 2019 (7y) | |
| Lynda Evelyn Zwack | Registered representative | Apr 2019 (7y) | ||
| Ronald Eugene Perez | Registered representative | Apr 2019 (7y) | ||
| Alexis Elaine Cain | Registered representative | Apr 2019 (7y) | ||
| Andrew Oden | Registered representative | Apr 2019 (7y) | ||
| Jeffrey Thaddeus Faller | Registered representative | Apr 2019 (7y) | ||
| Timothy F Minor | Registered representative | Apr 2019 (7y) | ||
| Arthur Joseph Smith | Registered representative | May 2019 (7y) | ||
| Lisa Glenn Brumfield | Registered representative | May 2019 (7y) | ||
| Ian Matthew Gregg | Registered representative | Jun 2019 (7y) | ||
| Suzanne Marie Rupkey | Registered representative | Jun 2019 (7y) | ||
| Aziza El Harre Bey | Registered representative | Jun 2019 (7y) | ||
| David Ylaya Pensyl | Registered representative | Jun 2019 (7y) | ||
| Kenneth Edward Bonus | Registered representative | Jun 2019 (7y) | ||
| Rachel Nicole Riedy | Registered representative | Jul 2019 (7y) | ||
| Paul Henry Partridge | Registered representative | Aug 2019 (7y) | ||
| Troy Arthur Prenger | Registered representative | Aug 2019 (7y) | ||
| Christopher Bryce Robrahn | Registered representative | Aug 2019 (7y) | ||
| Joseph Ryan Steward | Registered representative | Sep 2019 (7y) | ||
| Ami Friedman | Registered representative | Oct 2019 (7y) | ||
| David Rene Kirk | Registered representative | Oct 2019 (7y) | ||
| Michael John Dilullo | Registered representative | CFP | Oct 2019 (7y) | |
| David Jason Levine | Registered representative | Nov 2019 (7y) | ||
| John Carl Feeney | Registered representative | Dec 2019 (7y) | ||
| Andrew Scott Cross | Registered representative | Jan 2020 (7y) | ||
| Anthony R Sarracino | Registered representative | Feb 2020 (6y) | ||
| Alex James Sylvester | Registered representative | Feb 2020 (6y) | ||
| Troy Anthony Dawson | Registered representative | Feb 2020 (6y) | ||
| John J Cruse | Registered representative | Feb 2020 (6y) | ||
| Jacob Andrew Denz | Registered representative | CFP | Mar 2020 (6y) | |
| Colin Donal Mc Guire | Registered representative | Mar 2020 (6y) | ||
| Kyle Patrick Webster | Registered representative | CFP | Mar 2020 (6y) | |
| George Andrew Lauck | Registered representative | CFP | Apr 2020 (6y) | |
| Harry Samuel Forst | Registered representative | Apr 2020 (6y) | ||
| Claudia Patricia Hall | Registered representative | May 2020 (6y) | ||
| Valerie Ann Visconti | Registered representative | Jun 2020 (6y) | ||
| Gregory T Sankey | Registered representative | CFP | Jun 2020 (6y) | |
| Joe D Miller | Registered representative | Jun 2020 (6y) | ||
| Peter Ream | Registered representative | Jul 2020 (6y) | ||
| Susan Lynn Marino | Registered representative | Jul 2020 (6y) | ||
| Jennifer Anne Wright | Registered representative | CFP | Aug 2020 (6y) | |
| Sean Battin | Registered representative | Sep 2020 (6y) | ||
| Joy M Kaminski | Registered representative | Oct 2020 (6y) | ||
| Michael Salvatore Constantino | Registered representative | Oct 2020 (6y) | ||
| Paul Longobardi | Registered representative | CFP | Nov 2020 (6y) | |
| Adam Mason Indianer | Registered representative | Nov 2020 (6y) | ||
| Christopher Henry Elias | Registered representative | Nov 2020 (6y) | ||
| Michael Robert Koerick | Registered representative | CFP | Nov 2020 (6y) | |
| Borana Verardi | Registered representative | Nov 2020 (6y) | ||
| Bradford Putnam Smith | Registered representative | Nov 2020 (6y) | ||
| Brian Patrick Timby | Registered representative | Dec 2020 (6y) | ||
| William Thomas Skeeters | Registered representative | Jan 2021 (6y) | ||
| Robert Michael Horstman | Registered representative | CFP | Jan 2021 (6y) | |
| Timothy James George | Registered representative | Jan 2021 (6y) | ||
| Theresa Lynn Krupka | Registered representative | Feb 2021 (6y) | ||
| Gretchen Michelle Rehm | Registered representative | Feb 2021 (5y) | ||
| Nancy Da Thu Dinh | Registered representative | Feb 2021 (5y) | ||
| Peter Jonathon Rodick | Registered representative | Mar 2021 (5y) | ||
| Andrew Ramsey | Registered representative | Mar 2021 (5y) | ||
| Andrew Anthony Buttelman | Registered representative | Mar 2021 (5y) | ||
| Anthony Thomas Becker | Registered representative | CFP | Mar 2021 (5y) | |
| Austin Brooks Willison | Registered representative | Mar 2021 (5y) | ||
| Barbara Becker | Registered representative | Mar 2021 (5y) | ||
| Bonnie Lynn Kenna | Registered representative | Mar 2021 (5y) | ||
| Brian David Gordon | Registered representative | Mar 2021 (5y) | ||
| Brett David Grandjean | Registered representative | Mar 2021 (5y) | ||
| Catherine Lee Mcdonald | Registered representative | Mar 2021 (5y) | ||
| Charles Tamburello | Registered representative | Mar 2021 (5y) | ||
| Christopher James Harris | Registered representative | Mar 2021 (5y) | ||
| Christopher William Moribella | Registered representative | Mar 2021 (5y) | ||
| Corey Mathew Malstrom | Registered representative | CFP | Mar 2021 (5y) | |
| Daniel Auriemma | Registered representative | Mar 2021 (5y) | ||
| Daniel Lee Michel | Registered representative | Mar 2021 (5y) | ||
| Daniel William Dovan | Registered representative | Mar 2021 (5y) | ||
| David Vincent Chua | Registered representative | Mar 2021 (5y) | ||
| David William Rutkowski | Registered representative | CFP | Mar 2021 (5y) | |
| Dean Charles Di Maggio | Registered representative | Mar 2021 (5y) | ||
| Diana Lynne Mcbride | Registered representative | Mar 2021 (5y) | ||
| Domingos Alexander Noya | Registered representative | Mar 2021 (5y) | ||
| Dominic Velardi | Registered representative | Mar 2021 (5y) | ||
| Douglas Dain Dier | Registered representative | Mar 2021 (5y) | ||
| Egbert Evert Dirk Bouwmeester | Registered representative | Mar 2021 (5y) | ||
| Elliott I Friedman | Registered representative | Mar 2021 (5y) | ||
| Ellyn Amelia Schaefer | Registered representative | Mar 2021 (5y) | ||
| Frank Raymond Pelosi | Registered representative | Mar 2021 (5y) | ||
| Geoffrey Alan Wright | Registered representative | Mar 2021 (5y) | ||
| George Harrison Simser | Registered representative | Mar 2021 (5y) | ||
| Gregory B Sabo | Registered representative | Mar 2021 (5y) | ||
| Gwendolyn Anne Bork | Registered representative | Mar 2021 (5y) | ||
| Howard Paul Moskow | Registered representative | Mar 2021 (5y) | ||
| J Kenneth Mcinerney | Registered representative | Mar 2021 (5y) | ||
| James A Fasolino | Registered representative | Mar 2021 (5y) | ||
| James Howard Miller | Registered representative | CFP | Mar 2021 (5y) | |
| James Michael Eicholzer | Registered representative | CFP | Mar 2021 (5y) | |
| James Patrick Boyce | Registered representative | Mar 2021 (5y) | ||
| Jean Marie Crossley | Registered representative | Mar 2021 (5y) | ||
| Jeffrey David Kney | Registered representative | Mar 2021 (5y) | ||
| Jeffrey John Flamman | Registered representative | Mar 2021 (5y) | ||
| Jeffrey Michael Kney | Registered representative | CFP | Mar 2021 (5y) | |
| Jeffrey Michael Ott | Registered representative | Mar 2021 (5y) | ||
| John David Conquest | Registered representative | Mar 2021 (5y) | ||
| John Mark Scioli | Registered representative | Mar 2021 (5y) | ||
| Julie Lynn Carr | Registered representative | Mar 2021 (5y) | ||
| Kenneth William King | Registered representative | Mar 2021 (5y) | ||
| Keri Anne Vacanti | Registered representative | Mar 2021 (5y) | ||
| Kristin Anne Lanzi | Registered representative | Mar 2021 (5y) | ||
| Larry Allan Daigneau | Registered representative | Mar 2021 (5y) | ||
| Lee Vincent Kern | Registered representative | Mar 2021 (5y) | ||
| Louis Anthony Deppas | Registered representative | Mar 2021 (5y) | ||
| Louis Ferrara | Registered representative | Mar 2021 (5y) | ||
| Luke Palmer Lansing | Registered representative | Mar 2021 (5y) | ||
| Mark B Levin | Registered representative | Mar 2021 (5y) | ||
| Mark James Fitch | Registered representative | Mar 2021 (5y) | ||
| Mark William Conomos | Registered representative | CFP | Mar 2021 (5y) | |
| Martin Gary Lazzaro | Registered representative | Mar 2021 (5y) | ||
| Martin Richard Smulison | Registered representative | CFP | Mar 2021 (5y) | |
| Mary Catherine West Maclefko | Registered representative | Mar 2021 (5y) | ||
| Matthew David Root | Registered representative | Mar 2021 (5y) | ||
| Matthew W. Pisani | Registered representative | Mar 2021 (5y) | ||
| Meghan Sullivan Schneible | Registered representative | CFP | Mar 2021 (5y) | |
| Michael Bruce Lamonda | Registered representative | Mar 2021 (5y) | ||
| Michael E Tracz | Registered representative | Mar 2021 (5y) | ||
| Michael Ernest Constantino | Registered representative | Mar 2021 (5y) | ||
| Michael George Kramer | Registered representative | Mar 2021 (5y) | ||
| Michael James Mehltretter | Registered representative | Mar 2021 (5y) | ||
| Michael Paul Punturieri | Registered representative | Mar 2021 (5y) | ||
| Morgan Elaine Weiler | Registered representative | Mar 2021 (5y) | ||
| Nathan M Slate | Registered representative | Mar 2021 (5y) | ||
| Nicholas Borkowski | Registered representative | Mar 2021 (5y) | ||
| Nicholas James Beiter | Registered representative | Mar 2021 (5y) | ||
| Raymond Peter Donnelly | Registered representative | Mar 2021 (5y) | ||
| Reginald Bruce Grandjean | Registered representative | Mar 2021 (5y) | ||
| Richard James Telfair | Registered representative | Mar 2021 (5y) | ||
| Richard William Pinder | Registered representative | Mar 2021 (5y) | ||
| Robert Joseph Mezzio | Registered representative | Mar 2021 (5y) | ||
| Ronald E Labella | Registered representative | Mar 2021 (5y) | ||
| Ronald Howard Bernstein | Registered representative | CFP | Mar 2021 (5y) | |
| Ronald Ira Posnack | Registered representative | CFP | Mar 2021 (5y) | |
| Ryan Anthony Deppas | Registered representative | Mar 2021 (5y) | ||
| Sidney Walt Kaufman | Registered representative | Mar 2021 (5y) | ||
| Shawn Mitchell Grimm | Registered representative | Mar 2021 (5y) | ||
| Sierra Rae King | Registered representative | Mar 2021 (5y) | ||
| Teresa Ann Hemann | Registered representative | Mar 2021 (5y) | ||
| Terri Lynn Trotta | Registered representative | Mar 2021 (5y) | ||
| Thomas Dugan | Registered representative | Mar 2021 (5y) | ||
| Thomas Favor Bird | Registered representative | Mar 2021 (5y) | ||
| Thomas Michael Pontrello | Registered representative | CFP | Mar 2021 (5y) | |
| Timothy James Sennett | Registered representative | Mar 2021 (5y) | ||
| Timothy Kelly Mckillen | Registered representative | Mar 2021 (5y) | ||
| Vereline Mcclaney | Registered representative | Mar 2021 (5y) | ||
| Vincent Russell Fasso | Registered representative | Mar 2021 (5y) | ||
| William Leo Tepas | Registered representative | Mar 2021 (5y) | ||
| Mark Daniel Knox | Registered representative | CFP | Apr 2021 (5y) | |
| Maxine B Mott | Registered representative | Apr 2021 (5y) | ||
| Robert Charles Ouimet | Registered representative | CFP | Apr 2021 (5y) | |
| Samuel Matteo | Registered representative | Apr 2021 (5y) | ||
| Alexandria Marie Becker | Registered representative | May 2021 (5y) | ||
| Diane Bilello | Registered representative | Jun 2021 (5y) | ||
| Bennie Wanda Hargrove | Registered representative | Jun 2021 (5y) | ||
| Tristan Wade Morgan | Registered representative | Jun 2021 (5y) | ||
| Jason Paul Hergenreder | Registered representative | Jun 2021 (5y) | ||
| Austen Davis Lunt | Registered representative | CFP | Jun 2021 (5y) | |
| Matthew Richard Steiner | Registered representative | Jul 2021 (5y) | ||
| Chad Jared Millar | Registered representative | Jul 2021 (5y) | ||
| Jacqueline B Banister | Registered representative | Jul 2021 (5y) | ||
| Thomas Jerome Wolf | Registered representative | Jul 2021 (5y) | ||
| Timothy James Mc Govern | Registered representative | Jul 2021 (5y) | ||
| Andrew Joseph La Forge | Registered representative | Aug 2021 (5y) | ||
| Christopher John Schoff | Registered representative | Aug 2021 (5y) | ||
| Lia L Cavallo | Registered representative | Aug 2021 (5y) | ||
| Jonathan Daniel Sawchuk | Registered representative | Aug 2021 (5y) | ||
| Erin K Goodrich | Registered representative | CFP | Sep 2021 (5y) | |
| Brian Carlos Pias | Registered representative | Oct 2021 (5y) | ||
| Devin James Cruea | Registered representative | Oct 2021 (5y) | ||
| Bonnie Jane Edelman Sachs | Registered representative | Nov 2021 (5y) | ||
| Steven James Podgorski | Registered representative | Nov 2021 (5y) | ||
| Justin J Kovac | Registered representative | Nov 2021 (5y) | ||
| Richard Orlando Ahumada | Registered representative | Dec 2021 (5y) | ||
| Justin Raymond Albrecht | Registered representative | Dec 2021 (5y) | ||
| Elijah James Vottero | Registered representative | Jan 2022 (5y) | ||
| Travis John Bettfreund | Registered representative | Jan 2022 (5y) | ||
| Joseph Dominic Di Criscio | Registered representative | Jan 2022 (5y) | ||
| Bradley Richard Wells | Registered representative | Jan 2022 (5y) | ||
| Frank John Rosala | Registered representative | CFP | Jan 2022 (5y) | |
| Ryan Papp | Registered representative | Feb 2022 (4y) | ||
| Jonathan Sliney | Registered representative | Feb 2022 (4y) | ||
| Christopher Alan Lukas | Registered representative | CFP | Mar 2022 (4y) | |
| Noah James Fehrenbach | Registered representative | Mar 2022 (4y) | ||
| Diane Marie Sewing | Registered representative | Mar 2022 (4y) | ||
| Rory Patrick Cannon | Registered representative | Mar 2022 (4y) | ||
| Minka Muka | Registered representative | Apr 2022 (4y) | ||
| Paul Joseph Kilday | Registered representative | May 2022 (4y) | ||
| Hyunjin Hong | Registered representative | May 2022 (4y) | ||
| Christina M Forst | Registered representative | May 2022 (4y) | ||
| Albert John Gaiardo | Registered representative | May 2022 (4y) | ||
| Alexander Snyman | Registered representative | May 2022 (4y) | ||
| Gary Anthony Cucchi | Registered representative | May 2022 (4y) | ||
| Michael C Smith | Registered representative | May 2022 (4y) | ||
| Ron Defreitas | Registered representative | May 2022 (4y) | ||
| Thomas Joseph Gettelfinger | Registered representative | Jun 2022 (4y) | ||
| Daniel Cameron Potts | Registered representative | Jul 2022 (4y) | ||
| Kyle William Salvitti | Registered representative | Jul 2022 (4y) | ||
| Bryan Thomas Kee | Registered representative | Jul 2022 (4y) | ||
| Caitlin Little | Registered representative | Aug 2022 (4y) | ||
| Anthony P Mazzariello | Registered representative | Aug 2022 (4y) | ||
| Gage C Warren | Registered representative | Aug 2022 (4y) | ||
| Annirose Koci Womack | Registered representative | CFP | Aug 2022 (4y) | |
| Joel Austin Craven | Registered representative | CFP | Aug 2022 (4y) | |
| Matthew Brian Grosjean | Registered representative | Aug 2022 (4y) | ||
| Omar Velasco | Registered representative | Aug 2022 (4y) | ||
| Shane G Cooper | Registered representative | Sep 2022 (4y) | ||
| Dale Alan Mingledorff | Registered representative | CFP | Sep 2022 (4y) | |
| Lauren Nicole Snider | Registered representative | Sep 2022 (4y) | ||
| Rachel Anieta Golding | Registered representative | Oct 2022 (4y) | ||
| Melissa L Ray | Registered representative | Nov 2022 (4y) | ||
| James Raymond Conner | Registered representative | Dec 2022 (4y) | ||
| Chase Phillip Polly | Registered representative | Dec 2022 (4y) | ||
| Carly Kathryn Mccarty | Registered representative | Jan 2023 (4y) | ||
| Kennon James Belisle | Registered representative | CFP Chartered Financial Consultant | Jan 2023 (4y) | |
| Michael Wallace | Registered representative | Jan 2023 (4y) | ||
| Stephen Joseph Mc Entee | Registered representative | Jan 2023 (4y) | ||
| Chad Thuner | Registered representative | Jan 2023 (4y) | ||
| Anthony Louis Panto | Registered representative | Jan 2023 (4y) | ||
| Brian Edward Feuer | Registered representative | Jan 2023 (4y) | ||
| Amanda Wallace | Registered representative | Feb 2023 (3y) | ||
| Kathleen Marie Barrett | Registered representative | Feb 2023 (3y) | ||
| Matthew Bird | Registered representative | Mar 2023 (3y) | ||
| Prabjyot Kaur | Registered representative | Mar 2023 (3y) | ||
| Ryan Benjamin Smith | Registered representative | Apr 2023 (3y) | ||
| Robert Allen Koekkoek | Registered representative | Apr 2023 (3y) | ||
| Michael Philip Kriechbaum | Registered representative | May 2023 (3y) | ||
| Sarah Smart | Registered representative | CFP | May 2023 (3y) | |
| Elaine Anna Sydnee Gavlinski | Registered representative | May 2023 (3y) | ||
| Teresa Marie Fitzgerald | Registered representative | May 2023 (3y) | ||
| Allison Nicole Mitchell | Registered representative | May 2023 (3y) | ||
| Michael J Walls | Registered representative | Jun 2023 (3y) | ||
| Emily Brigid Mc Guire | Registered representative | Jun 2023 (3y) | ||
| Colin Thomas Denney | Registered representative | CFP | Jun 2023 (3y) | |
| Joseph Michael Nelson | Registered representative | Jul 2023 (3y) | ||
| Mitchell Elton Chatfield | Registered representative | Jul 2023 (3y) | ||
| Salvador Huizar Flores Chatfield | Registered representative | Jul 2023 (3y) | ||
| Alan Puklin | Registered representative | Jul 2023 (3y) | ||
| Trevor Musum | Registered representative | Jul 2023 (3y) | ||
| Garrett T Shambo | Registered representative | Jul 2023 (3y) | ||
| James De Sanctis | Registered representative | Aug 2023 (3y) | ||
| Jeremy Cole Hill | Registered representative | Aug 2023 (3y) | ||
| Christopher John Wyzgowski | Registered representative | Aug 2023 (3y) | ||
| Khai Cong Le | Registered representative | Aug 2023 (3y) | ||
| Eddie I Albazi | Registered representative | Aug 2023 (3y) | ||
| Olivia Lyons | Registered representative | Aug 2023 (3y) | ||
| David Enos | Registered representative | Aug 2023 (3y) | ||
| David Kenn Jacocks | Registered representative | Aug 2023 (3y) | ||
| Noah Daniel Larson | Registered representative | Sep 2023 (3y) | ||
| Jerry Glasser | Registered representative | Sep 2023 (3y) | ||
| Daniel Robert Meier | Registered representative | Sep 2023 (3y) | ||
| Reginald B Suggs | Registered representative | Sep 2023 (3y) | ||
| Gregg Albert Libutti | Registered representative | Oct 2023 (3y) | ||
| Dylan Ray Ramos | Registered representative | CFP | Oct 2023 (3y) | |
| Daniel David Mc Avoy | Registered representative | Nov 2023 (3y) | ||
| Jake R Digregorio | Registered representative | CFP | Nov 2023 (3y) | |
| Mark John Dunn | Registered representative | Nov 2023 (3y) | ||
| Jacob T Gorman | Registered representative | CFP | Nov 2023 (3y) | |
| Liam Peter Mc Guire | Registered representative | Nov 2023 (3y) | ||
| Mark Ayers | Registered representative | CFP | Dec 2023 (3y) | |
| Robert Steven Weissbein | Registered representative | Dec 2023 (3y) | ||
| Donald Lee Moore | Registered representative | Chartered Financial Consultant | Dec 2023 (3y) | |
| Robert Mark Roux | Registered representative | Dec 2023 (3y) | ||
| Kathleen Murphy | Registered representative | Jan 2024 (3y) | ||
| Todd Jeremy Wartman | Registered representative | Jan 2024 (3y) | ||
| Kristen Leah Hrncir | Registered representative | CFP | Jan 2024 (3y) | |
| Sai Ying Shai Chu | Registered representative | Jan 2024 (3y) | ||
| David John Berendt | Registered representative | Jan 2024 (3y) | ||
| Karla Noemi Mcfarland | Registered representative | Jan 2024 (3y) | ||
| Cynthia Ann Kellor | Registered representative | Jan 2024 (3y) | ||
| Joshua Denz | Registered representative | CFP | Jan 2024 (3y) | |
| Brian Gerald Pitell | Registered representative | Feb 2024 (3y) | ||
| George A Balocik | Registered representative | Feb 2024 (2y) | ||
| Dov Yoel Litov | Registered representative | Feb 2024 (2y) | ||
| Vincent Tamburello | Registered representative | Feb 2024 (2y) | ||
| Jeremy Ezra Kaplan | Registered representative | CFP | Feb 2024 (2y) | |
| Stephanie Davidson | Registered representative | Feb 2024 (2y) | ||
| Marne Luke De Santis | Registered representative | Feb 2024 (2y) | ||
| Sefa Necmi Gunay | Registered representative | Feb 2024 (2y) | ||
| Katherine Elizabeth Eaker | Registered representative | Feb 2024 (2y) | ||
| Elizabeth Ann Riley | Registered representative | Mar 2024 (2y) | ||
| Nicolas Brown | Registered representative | Mar 2024 (2y) | ||
| Gordon Taylor Hill | Registered representative | Mar 2024 (2y) | ||
| Phillip Nathaniel Sheffield | Registered representative | Mar 2024 (2y) | ||
| Francis Richard Bermudez | Registered representative | Mar 2024 (2y) | ||
| Natalia Donaldson | Registered representative | Apr 2024 (2y) | ||
| Eric Thomas Jones | Registered representative | Apr 2024 (2y) | ||
| Michael Edwin Thames | Registered representative | CFP | Apr 2024 (2y) | |
| Caleb M Fite | Registered representative | Apr 2024 (2y) | ||
| Jacob Baucco | Registered representative | CFP | Apr 2024 (2y) | |
| Nellie Agnes Forst | Registered representative | Apr 2024 (2y) | ||
| Frank Anthony Preziuso | Registered representative | CFP | May 2024 (2y) | |
| Lynne Demko Jones | Registered representative | May 2024 (2y) | ||
| Michael Lausin | Registered representative | May 2024 (2y) | ||
| James Patrick Eismon | Registered representative | CFP | May 2024 (2y) | |
| Adrian Javier Gonzalez | Registered representative | May 2024 (2y) | ||
| Benjamin Weinberger | Registered representative | CFP | May 2024 (2y) | |
| Keith Anthony Fredrickson | Registered representative | Jun 2024 (2y) | ||
| Kevan Michael Breidinger | Registered representative | Jun 2024 (2y) | ||
| Zachary James Carr | Registered representative | Jun 2024 (2y) | ||
| Courtney L Demers | Registered representative | Jul 2024 (2y) | ||
| Pablo J Oliva | Registered representative | Jul 2024 (2y) | ||
| Zachary John Rhoda | Registered representative | Jul 2024 (2y) | ||
| Brian Douglas Alchermes | Registered representative | Jul 2024 (2y) | ||
| Brian Robert Reynolds | Registered representative | Aug 2024 (2y) | ||
| Keith Jeffrey Maeder | Registered representative | Aug 2024 (2y) | ||
| Ryan Joseph Herits | Registered representative | Aug 2024 (2y) | ||
| Aiden John Brown | Registered representative | Aug 2024 (2y) | ||
| Dara C Federici | Registered representative | Aug 2024 (2y) | ||
| Peter J Knapp | Registered representative | Aug 2024 (2y) | ||
| Vandolf Parish | Registered representative | Aug 2024 (2y) | ||
| Marc Alan Silverstein | Registered representative | Sep 2024 (2y) | ||
| Joshua Oradat | Registered representative | Sep 2024 (2y) | ||
| Joseph Valdes | Registered representative | Sep 2024 (2y) | ||
| Robert Michael Holub | Registered representative | CFP CFA | Sep 2024 (2y) | |
| Zachary Alan Abrams | Registered representative | CFP | Sep 2024 (2y) | |
| Eden Elizabeth Watterson | Registered representative | Oct 2024 (2y) | ||
| Kristopher A Jackson | Registered representative | Oct 2024 (2y) | ||
| Alan Edward Yanowitz | Registered representative | Oct 2024 (2y) | ||
| Dale Rubin | Registered representative | Oct 2024 (2y) | ||
| Gregory Giller Randall | Registered representative | Oct 2024 (2y) | ||
| Karl Randall | Registered representative | Oct 2024 (2y) | ||
| Raymond Matthew Tropp | Registered representative | Oct 2024 (2y) | ||
| Susan Marie Wanamaker | Registered representative | CFP | Oct 2024 (2y) | |
| Thomas Michael Genco | Registered representative | CFP | Oct 2024 (2y) | |
| Scott William Palmer | Registered representative | Oct 2024 (2y) | ||
| Kevin Phillip Mc Nair | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Ben Oliver Moore | Registered representative | Dec 2024 (2y) | ||
| Esteban Yepes | Registered representative | Dec 2024 (2y) | ||
| Gabriel Macias | Registered representative | Dec 2024 (2y) | ||
| Christine Anita Fogg | Registered representative | Dec 2024 (2y) | ||
| Brett Stephen Stockland | Registered representative | Jan 2025 (2y) | ||
| David John Ciambella | Registered representative | Jan 2025 (2y) | ||
| Eric Anthony Giosa | Registered representative | Jan 2025 (2y) | ||
| Graham M Bacheller | Registered representative | Jan 2025 (2y) | ||
| Peter Edward Perini | Registered representative | Jan 2025 (2y) | ||
| Thomas Patrick Lavery | Registered representative | Jan 2025 (2y) | ||
| Kevin Coscarelli | Registered representative | Jan 2025 (2y) | ||
| Jeremy L Strader | Registered representative | Jan 2025 (2y) | ||
| Benjamin Goodpaster | Registered representative | Jan 2025 (2y) | ||
| Joseph Klempel | Registered representative | Jan 2025 (2y) | ||
| Benjamin Michael Rogina | Registered representative | Jan 2025 (2y) | ||
| Theodore Kanakaris | Registered representative | Jan 2025 (2y) | ||
| Robert Castellani | Registered representative | Jan 2025 (2y) | ||
| Nicole Frances Hammick | Registered representative | Jan 2025 (2y) | ||
| Robert Brian Ferreira | Registered representative | Jan 2025 (2y) | ||
| Christopher Rivers | Registered representative | Feb 2025 (1y) | ||
| James Matthew Farrell | Registered representative | Feb 2025 (1y) | ||
| Bryce C Diller | Registered representative | Feb 2025 (1y) | ||
| Jacob Reed Pavlasek | Registered representative | Feb 2025 (1y) | ||
| Jeffrey Mark Peras | Registered representative | Feb 2025 (1y) | ||
| Jordan Isaiah Little | Registered representative | Mar 2025 (1y) | ||
| Kyle Sterling Douthit | Registered representative | Mar 2025 (1y) | ||
| Kyle D Nelson | Registered representative | Mar 2025 (1y) | ||
| Ta Tyana Williams | Registered representative | CFP | Mar 2025 (1y) | |
| Anmol Singh Multani Kohal | Registered representative | Apr 2025 (1y) | ||
| Saul David Lang | Registered representative | Apr 2025 (1y) | ||
| Warren Nelson Leeds | Registered representative | Apr 2025 (1y) | ||
| Chelsea Megan White | Registered representative | Apr 2025 (1y) | ||
| Erika Sue Ribbens | Registered representative | Apr 2025 (1y) | ||
| Stefan M Biddinger | Registered representative | Apr 2025 (1y) | ||
| Hannah Melandro | Registered representative | May 2025 (1y) | ||
| Scott Ivan Mcdowell | Registered representative | May 2025 (1y) | ||
| Christina Joy Apgar | Registered representative | May 2025 (1y) | ||
| Evan Hagan | Registered representative | May 2025 (1y) | ||
| Benjamin B Welch | Registered representative | May 2025 (1y) | ||
| Alison Oriana Vento | Registered representative | Chartered Financial Consultant | May 2025 (1y) | |
| Jamie R Bodine | Registered representative | Jun 2025 (1y) | ||
| John Baron Crager | Registered representative | Jun 2025 (1y) | ||
| Nicholas Lapp | Registered representative | Jun 2025 (1y) | ||
| Brian Trost | Registered representative | Jun 2025 (1y) | ||
| Benjamin James Lukas | Registered representative | Jun 2025 (1y) | ||
| Megan Elizabeth Dolan | Registered representative | Jun 2025 (1y) | ||
| David Mark De Fazio | Registered representative | Jun 2025 (1y) | ||
| Cullen Buck | Registered representative | Jun 2025 (1y) | ||
| David Wayne Motley | Registered representative | Jun 2025 (1y) | ||
| Seth Joseph Heitkamp | Registered representative | Jul 2025 (1y) | ||
| Christina Ann Charbonneau | Registered representative | Jul 2025 (1y) | ||
| David Wohlberg | Registered representative | Aug 2025 (1y) | ||
| Chad Douglas Brennan | Registered representative | Aug 2025 (1y) | ||
| Fawn Marie Lane | Registered representative | CFP | Aug 2025 (1y) | |
| Gabrielle Marie Carbonara | Registered representative | Aug 2025 (1y) | ||
| Curt Forst | Registered representative | Sep 2025 (1y) | ||
| Erin Donahue | Registered representative | Sep 2025 (1y) | ||
| Joseph A Morelli | Registered representative | Sep 2025 (1y) | ||
| Peter Michael Roulet | Registered representative | Sep 2025 (1y) | ||
| Nicholas M Pagliai | Registered representative | Sep 2025 (1y) | ||
| George S Pantazis | Registered representative | CFP | Oct 2025 (1y) | |
| Jason R Campbell | Registered representative | Oct 2025 (1y) | ||
| Marshall James Tolins | Registered representative | Oct 2025 (1y) | ||
| Nicholas Ljiljanich | Registered representative | Oct 2025 (1y) | ||
| Sophia Quinn Greene | Registered representative | Oct 2025 (1y) | ||
| Jake Wilson Bryant | Registered representative | Nov 2025 (1y) | ||
| Aaron Berlow | Registered representative | Nov 2025 (1y) | ||
| David Arthur Bauer | Registered representative | Nov 2025 (1y) | ||
| Kevin Duane Humphrey | Registered representative | Nov 2025 (1y) | ||
| Carrie A Mcnair | Registered representative | Nov 2025 (1y) | ||
| Jacob Mitchell | Registered representative | Dec 2025 (1y) | ||
| Markus Williams | Registered representative | Dec 2025 (1y) | ||
| Christopher Gordon Shank | Registered representative | Dec 2025 (1y) | ||
| Jason Allen Knox | Registered representative | Dec 2025 (1y) | ||
| Wallace Rutkowski | Registered representative | Jan 2026 (1y) | ||
| Brandon Felix Ulloa | Registered representative | Jan 2026 (1y) | ||
| Jennifer A. Williams | Registered representative | Jan 2026 (1y) | ||
| Judith M Noffke | Registered representative | Jan 2026 (1y) | ||
| Stephen Derengowski | Registered representative | Jan 2026 (1y) | ||
| Christopher Michael Duffy | Registered representative | CFP | Jan 2026 (1y) | |
| Robert F Mathisen | Registered representative | Jan 2026 (1y) | ||
| Freddie Watson | Registered representative | Jan 2026 (1y) | ||
| Jonathan E Floe | Registered representative | Feb 2026 (0y) | ||
| Robert Norman Fisch | Registered representative | Feb 2026 (0y) | ||
| Dennis E Nelson | Registered representative | CFP | Feb 2026 (0y) | |
| William Eric Marney | Registered representative | Feb 2026 (0y) | ||
| Victoria Ruth Maraia | Registered representative | Feb 2026 (0y) | ||
| Charles David Roberts | Registered representative | Feb 2026 (0y) | ||
| Erin Abigail Kennedy | Registered representative | Feb 2026 (0y) | ||
| Paul Anthony Niemiec | Registered representative | Mar 2026 (0y) | ||
| Curtis Josh Wilcox | Registered representative | Mar 2026 (0y) | ||
| Rachel Poole Bradsher | Registered representative | Mar 2026 (0y) | ||
| Joshua Halter | Registered representative | Mar 2026 (0y) | ||
| Robert W. Hammel | Registered representative | Mar 2026 (0y) | ||
| Michael Todd Toscano | Registered representative | Mar 2026 (0y) | ||
| John W Reichler | Registered representative | Mar 2026 (0y) | ||
| Shawnnah Sprague | Registered representative | Mar 2026 (0y) | ||
| Lisa Hanley | Registered representative | Apr 2026 (0y) | ||
| Kimberly Jo Cox | Registered representative | Apr 2026 (0y) | ||
| Neal Vincent Campagna | Registered representative | Apr 2026 (0y) | ||
| Whitney Rae Jelinek | Registered representative | Apr 2026 (0y) | ||
| Danniel Syed Kazi | Registered representative | May 2026 (0y) | ||
| Edward Anthony Kamradt | Registered representative | CFP | May 2026 (0y) | |
| Brendan M Knapp | Registered representative | May 2026 (0y) | ||
| Nedra D Sykes | Registered representative | May 2026 (0y) | ||
| Allen Lee Sasser | Registered representative | CFP | May 2026 (0y) | |
| Stephen Michael Mc Carthy | Registered representative | May 2026 (0y) | ||
| Nicholas Lercara | Registered representative | May 2026 (0y) | ||
| Christina Kay Robb | Registered representative | May 2026 (0y) | ||
| Ruth Torres | Registered representative | Jun 2026 (0y) | ||
| Christopher Stanley Forst | Registered representative | Jun 2026 (0y) | ||
| Jesus Lopez | Registered representative | Jun 2026 (0y) | ||
| Davis Nagg | Registered representative | Jun 2026 (0y) | ||
| Michael Izak | Registered representative | Jun 2026 (0y) | ||
| Nicholas Thomas Pontrello | Registered representative | Jul 2026 (0y) | ||
| Troy Lincoln Webb | Registered representative | Jul 2026 (0y) | ||
| Sean Brenden Calleja | Registered representative | Jul 2026 (0y) | ||
| Kerrick Ryder Vesper | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Lincoln Investment Capital Holdings, Llc | Member/Owner | Aug 2015 | A | 75% or more |
| Kollar, Michael Mark | Executive Vice President, Chief Information Officer | Apr 2022 | A | Less than 5% |
| Lincoln Investment Group Holdings, Inc. | Indirect Owner | Aug 2015 | B | ≈ 37.5% – 75% via Lincoln Investment Capital Holdings, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Lincoln Investment Group Holdings, Inc.: 50% – 75% of Lincoln Investment Capital Holdings, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (17)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Peoples Mortgage 401 K Plan | Moria Development Dba Peoples Mortgage | 347 | $18.6M | 01/01/2024 |
| Severino Trucking Co. Inc. 401(k) Plan & Trust | Severino Trucking Co., Inc. | 179 | $12.8M | 01/01/2024 |
| Compact Information Systems, Llc 401(k) Plan | Compact Information Systems, Llc | 99 | $10.5M | 01/01/2024 |
| Csb Nutrition Corp. 401(k) Plan | Csb Nutrition Corporation | 189 | $6.4M | 01/01/2024 |
| Louisiana Sugar Refining, Llc 401(k) Savings Plan | Louisiana Sugar Refining, Llc | 205 | $16.3M | 01/01/2024 |
| Continental Paving, Inc. Profit Sharing Plan | Continental Paving, Inc. | 316 | $37.4M | 01/01/2024 |
| Axpm Dental Management, Llc 401(k) Plan | Axpm Dental Management, Llc | 854 | $23.6M | 01/01/2024 |
| Cleveland Clinic Savings And Investment Plan | The Cleveland Clinic Foundation | 68,206 | $9.2B | 01/01/2024 |
| Wayne Memorial Defined Contribution 403(b) Plan | Wayne Memorial Hospital | 1,268 | $78.8M | 01/01/2024 |
| Northeast Precast, Llc 401(k) Retirement Plan | Northeast Precast, Llc | 311 | $6.1M | 01/01/2024 |
| Preformed Line Products Company Profit Sharing Plan | Preformed Line Products Company | 916 | $143M | 01/01/2024 |
| Cape Atlantic Ink Inc 401(k) Profit Sharing Plan & Trust | Cape Atlantic Ink Inc | 128 | $7.5M | 01/01/2024 |
| Bill Deluca Companies 401(k) Plan | Bill Deluca Chevrolet Cadillac, Inc | 297 | $40.6M | 01/01/2024 |
| Brewster Ambulance Service 401(k) Retirement Plan | Brewster Ambulance Service, Inc. | 1,104 | $15.6M | 01/01/2024 |
| Safe Harbor 401(k) Profit Sharing Plan For Employees Of Arizona Autism United, Inc. | Arizona Autism United, Inc. | 574 | $3.6M | 01/01/2024 |
| Cape Cod Lumber Co., Inc. 401(k) Plan | Cape Cod Lumber Co., Inc. | 97 | $32.1M | 01/01/2024 |
| Minamyer Residential 401(k) Plan | Minamyer Residential Care Services, Inc. | 112 | $1.8M | 01/01/2021 |
From Form 5500 service-provider disclosures.
Documents (2 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/20/2026 | 2.39 MB | View · PDF · Source ↗ |
| Form ADV (full filing) | 04/27/2026 | 2.36 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.D(2)
as of Nov 25, 2024
Allegations: THE APPLICANT EFFECTED THREE (3) TRANSACTIONS IN MUTUAL FUND SECURITIES ON BEHALF OF IOWANS BEFORE OBTAINING PROPER REGISTRATION AS SET FORTH IN SECTION 502 302 CODE OF IOWA 1987 Status: Final Sanction Detail: APPLICANT CENSURED AND FINED $250.00 PURSUANT TO SECTION 502 304(1) CODE OF IOWA, 1987
Regulatory
as of Nov 25, 2024
Allegations: THE SEC ALLEGED THAT FROM 4/2013 - 3/2016, CAPITAL ANALYSTS DID NOT ADEQUATELY DISCLOSE THAT IT HAD A CONFLICT OF INTEREST WHEN IT INVESTED CAAMS WRAP FEE CLIENTS IN MUTUAL FUND SHARE CLASSES THAT PAID 12B-1 FEES TO ITS AFFILIATED BROKER-DEALER, LINCOLN INVESTMENT PLANNING, LLC ("LINCOLN INVESTMENT") WHEN A LOWER-COST SHARE CLASS OF THE SAME FUND WITHOUT A 12B-1 FEE WAS AVAILABLE. THE SEC ALSO ALLEGED THAT CAPITAL ANALYSTS DID NOT MEET ITS DUTY OF BEST EXECUTION, FAILED TO ADOPT AND IMPLEMENT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO ADDRESS MUTUAL FUND SHARE CLASS SELECTION AND RELATED CONFLICTS OF INTEREST AND, FROM 4/13 - 3/2017, DID NOT ADEQUATELY DISCLOSE REVENUE SHARING RECEIVED BY LINCOLN INVESTMENT FROM ITS CLEARING FIRM. AS A RESULT, THE SEC ALLEGED THAT CAPITAL ANALYSTS VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER. ON SEPEMBER 14, 2018, THE SEC ACCEPTED CAPITAL ANALYSTS' OFFER OF SETTLEMENT AND ISSUED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, DISGORGEMENT AND PAYMENT OF A PENALTY. THE FIRM NEITHER ADMITTED NOR DENIED THE SEC'S FINDINGS IN AGREEING TO ENTER THE SETTLEMENT. Status: Final Sanction Detail: A TOTAL AMOUNT OF $2,120,349, REPRESENTING DISGORGED FEES AND PREJUDGEMENT INTEREST OF $1,820,349 AND A CIVIL PENALTY OF $300,000. ON 9/18/2018, CAPITAL ANALYSTS PAID THE CIVIL PENALTY OF $300,000 AND $770,476 OF DISGORGED FEES AND INTEREST. CAPITAL ANALYSTS IS IN THE PROCESS OF PAYING THE REMAINING PORTION OF DISGORGED FEES AND INTEREST IN THE AMOUNT OF $1,049,873 TO AFFECTED CLIENTS. Summary: ON SEPEMBER 14, 2018, THE SEC ACCEPTED CAPITAL ANALYSTS' OFFER OF SETTLEMENT AND ISSUED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS. WITHOUT ADMITTING OR DENYING THE SEC'S FINDINGS, CAPITAL ANALYSTS AGREED TO PAY DISGORGED FEES, INTEREST, AND A PENALTY TOTALING $2,120,349. ON 9/18/2018, CAPITAL ANALYSTS PAID THE CIVIL PENALTY OF $300,000 AND $770,476 OF DISGORGED FEES AND INTEREST. CAPITAL ANALYSTS IS IN THE PROCESS OF PAYING THE REMAINING PORTION OF DISGORGED FEES AND INTEREST IN THE AMOUNT OF $1,049,873 TO AFFECTED CLIENTS.
Regulatory · Item 11.E(2)
as of Nov 25, 2024
Allegations: VIOLATIONS GOVERNING RULES OF THE NASD, SEC AND MSRB: INACCURATE FINANCIAL REPORTING: FAILURE TO MAINTAIN MINIMUM NET CAPITAL AS OF PERIOD ENDING 5/31/92; CUSTOMER RESERVE COMP. ERRORS; SHORT-COMINGS IN ESTABLISHMENT, MAINTENANCE AND ENFORCEMENT OF SUPERV. PROCED. OF THE FIRM; FAILURE TO BE PROPERLY REGISTERED TO TRANSACT MUNI. SEC. BUS Status: Final Sanction Detail: LINCOLN INVESTMENT PLANNING, INC., EDWARD S. FORST, SR. AND THOMAS FORST SANCTIONED, CENSURED AND FINED $7,500.00 JOINTLY AND SEVERALLY AS A RESULT OF THE ALLEGED FINDINGS BY THE NASD OF VIOLATIONS OF THE RULES GOVERNING A BROKER-DEALER. Summary: BY SIGNING THE AWC, THE FIRM ACCEPTED THE ALLEGATIONS MADE AGAINST THE FIRM, WAIVED THEIR RIGHT TO A HEARING TO DEFEND THEM, AND CONSENTED TO THE FINE AND CENSURE IMPOSED BY THE NASD ON THE FIRM AND ITS PRINCIPALS. AT NO TIME WERE CUSTOMER FUNDS OR SECURITIES IN JEOPARDY OR UTILIZED FOR ANYTHING BUT THE SOLE PURPOSE OF THE CUSTOMER AND HIS/HER INSTRUCTIONS. THESE ALLEGED VIOLATIONS WERE AS A RESULT OF AN INSPECTION OF THE BROKER-DEALER CONDUCTED BY THE NASD IN JUNE AND JULY, 1992.
Regulatory · Item 11.E(2)
as of Nov 25, 2024
Allegations: IN MARCH 2003, LINCOLN INVESTMENT WAS REQUIRED BY NASD TO COMPLETE A MUTUAL FUND BREAKPOINT SELF-ASSESSMENT. IT WAS ALLEGED THAT THE FIRM VIOLATED NASD CONDUCT RULE 2110 FOR THE UNTIMELY MAILING OF CUSTOMER REFUNDS ISSUED PURSUANT TO THE BREAKPOINT SELF-ASSESSMENT. Status: Final Sanction Detail: FINE OF $15,000 LEVIED AGAINST THE FIRM AND PAID WITHIN 10 DAYS OF DATE OF AWC. Summary: IT WAS DETERMINED THAT 398 INVESTORS WERE NOT PROVIDED THEIR BREAKPOINT REFUND WITHIN 90 DAYS OF RECEIPT OF THE INVESTOR'S CLAIM FORM. ALL INVESTORS WERE SENT THEIR REFUND WITH INTEREST CREDITED FROM THE DATE OF THE ORIGINAL TRANSACTION UP TO THE DATE THE REFUND WAS CREDITED TO THE INVESTOR. THE FIRM HAS VOLUNTARILY CONSENTED TO FINRA'S LETTER OF ACCEPTANCE, WAIVER AND CONSENT DATED MARCH 23, 2009.
Regulatory · Item 11.E(2)
as of Nov 25, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ENFORCE A SUPERVISORY SYSTEM AND WSPS REASONABLY DESIGNED TO ENSURE AN EFFECTIVE REVIEW OF CONSOLIDATED REPORTS PRODUCED BY REGISTERED REPRESENTATIVES AND PROVIDED TO CUSTOMERS. THE FINDINGS STATED THAT THE FIRM REQUIRED REGISTERED REPRESENTATIVES WHO PRODUCED CONSOLIDATED REPORTS USING AN APPLICATION OTHER THAN ONE OF THREE APPROVED METHODS TO EITHER UPLOAD THE CONSOLIDATED REPORTS TO THE FIRM'S COMMUNICATIONS REVIEW SYSTEM SO THAT THEY COULD BE FORWARDED TO A DESIGNATED SUPERVISOR FOR REVIEW, OR PROVIDE THE REPORTS DIRECTLY TO THEIR SUPERVISOR. HOWEVER, THE FIRM FAILED TO ENSURE THAT REPRESENTATIVES WERE COMPLYING WITH THIS PROCEDURE OR THAT THE FIRM WAS CAPTURING THE FULL EXTENT OF REPRESENTATIVES' CONSOLIDATED REPORT ACTIVITY. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $75,000, AND REQUIRED TO SUBMIT A CERTIFICATION, IN WRITING, TO FINRA WITHIN 90 DAYS OF THE ISSUANCE OF THIS AWC, CERTIFYING THAT THE FIRM HAS ADOPTED AND IMPLEMENTED PROCEDURES REASONBLY DESIGNED TO ENHANCE THE ENFORCEMENT OF ITS SUPERVISORY SYSTEM AND WSPS TO ENSURE AN EFFECTIVE REVIEW OF CONSOLIDATED REPORTS PRODUCED BY REGISTERED REPRESENTATIVES AND PROVIDED TO CUSTOMERS.
Regulatory · Item 11.E(2)
as of Nov 25, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE FINDINGS STATED THAT THESE ELIGIBLE CUSTOMERS WERE INSTEAD SOLD CLASS A SHARES WITH A FRONT-END SALES CHARGE, OR CLASS B OR C SHARES WITH BACK-END SALES CHARGES AND HIGHER ONGOING FEES AND EXPENSES. THESE SALES DISADVANTAGED ELIGIBLE CUSTOMERS BY CAUSING THE CUSTOMERS TO PAY HIGHER FEES THAN THEY WERE ACTUALLY REQUIRED TO PAY. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO REASONABLY SUPERVISE THE APPLICATION OF SALES-CHARGE WAIVERS TO ELIGIBLE MUTUAL FUND SALES. THE FIRM RELIED ON ITS FINANCIAL ADVISORS TO DETERMINE THE APPLICABILITY OF SALES-CHARGE WAIVERS, BUT FAILED TO MAINTAIN ADEQUATE WRITTEN SUPERVISORY PROCEDURES (WSPS) TO ASSIST FINANCIAL ADVISORS IN MAKING THIS DETERMINATION. IN ADDITION, THE FIRM FAILED TO ADEQUATELY NOTIFY AND TRAIN ITS FINANCIAL ADVISORS REGARDING THE AVAILABILITY OF MUTUAL FUND SALES-CHARGE WAIVERS FOR ELIGIBLE CUSTOMERS. THE FIRM ALSO FAILED TO ADOPT ADEQUATE CONTROLS TO DETECT INSTANCES IN WHICH THE FIRM DID NOT PROVIDE SALES-CHARGE WAIVERS TO THE ELIGIBLE CUSTOMERS IN CONNECTION WITH THEIR MUTUAL FUND PURCHASES. AS A RESULT OF THE FIRM'S FAILURE TO APPLY APPLICABLE SALES-CHARGE WAIVERS, THE FIRM ESTIMATES THAT ELIGIBLE CUSTOMERS WERE OVERCHARGED BY APPROXIMATELY $1,167,689 FOR MUTUAL FUND PURCHASES MADE SINCE JANUARY 1, 2011. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND REQUIRED TO PROVIDE FINRA WITH A REMEDIATION PLAN TO REMEDIATE ELIGIBLE CUSTOMERS WHO QUALIFIED FOR, BUT DID NOT RECEIVE, THE APPLICABLE MUTUAL FUND SALES-CHARGE WAIVER. AS PART OF THIS SETTLEMENT, THE FIRM AGREED TO PAY RESTITUTION TO ELIGIBLE CUSTOMERS, WHICH IS ESTIMATED TO TOTAL $1,368,681 (THE AMOUNT ELIGIBLE CUSTOMERS WERE OVERCHARGED, INCLUSIVE OF INTEREST). Summary: IN RESOLVING THIS MATTER, FINRA RECOGNIZED THE EXTRAORDINARY COOPERATION OF THE FIRM FOR: (1) INITIATING AN INVESTIGATION TO IDENTIFY WHETHER ELIGIBLE CUSTOMERS RECEIVED SALES CHARGE WAIVERS DURING THE RELEVANT PERIOD, AND SELF-REPORTING ITS FINDINGS TO FINRA; (2) PROVIDING RESTITUTION TO ELIGIBLE CUSTOMERS FOR A PERIOD OF SEVEN AND ONE-HALF YEARS; (3) PROMPTLY ESTABLISHING A PLAN OF REMEDIATION FOR ELIGIBLE CUSTOMERS WHO DID NOT RECEIVE APPROPRIATE SALES CHARGE WAIVERS; (4) PROMPTLY TAKING ACTION AND REMEDIAL STEPS TO CORRECT THE VIOLATIVE CONDUCT, INCLUDING BY MAKING PROGRAMMING CHANGES TO PRECLUDE ONGOING CUSTOMER HARM AS THE FIRM INSTITUTED PERMANENT SYSTEM UPGRADES; AND (5) EMPLOYING SUBSEQUENT CORRECTIVE MEASURES, PRIOR TO DETECTION OR INTERVENTION BY A REGULATOR, TO REVISE THE FIRM'S PROCEDURES TO AVOID RECURRENCE OF THE MISCONDUCT.
Regulatory · Item 11.E(2)
as of Nov 25, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT DURING THE RELEVANT PERIOD, AUGUST 1, 2015 THROUGH SEPTEMBER 1, 2017, IT FAILED TO IMPLEMENT REASONABLY DESIGNED SURVEILLANCE PROCEDURES TO MONITOR ITS REGISTERED REPRESENTATIVES' RATES OF EFFECTING VARIABLE ANNUITY EXCHANGES. THE FINDINGS STATED THAT THE FIRM ONLY TRACKED EXCHANGES WHERE IT WAS THE BROKER OF RECORD FOR THE VARIABLE ANNUITY THAT WAS BEING EXCHANGED. IN SO DOING, THE FIRM DID NOT TRACK VARIABLE ANNUITY EXCHANGES WHERE THE FIRM WAS NOT THE BROKER OF RECORD FOR THE VARIABLE ANNUITY THAT WAS BEING EXCHANGED. THE FINDINGS ALSO STATED THAT DURING THE RELEVANT PERIOD, MORE THAN HALF OF THE APPROXIMATELY 2,800 VARIABLE ANNUITY EXCHANGES EFFECTED BY THE FIRM'S REPRESENTATIVES WERE EXCLUDED FROM ITS SURVEILLANCE REPORT BECAUSE LINCOLN WAS NOT THE BROKER OF RECORD FOR THE VARIABLE ANNUITY THAT WAS BEING EXCHANGED. AFTER FINRA RAISED THIS ISSUE WITH THE FIRM, IT CORRECTED ITS SURVEILLANCE REPORT TO INCLUDE ALL VARIABLE ANNUITY EXCHANGES. Status: Final Sanction Detail: THE FIRM PAID THE $35,000.00 FINE ON 10/3/2018
Regulatory · Item 11.E(2)
as of Nov 25, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT ITS WSPS DID NOT REASONABLY ADDRESS THE REQUIREMENT TO REVIEW AND MONITOR INSTRUCTIONS TO TRANSMIT OR WITHDRAW CUSTOMER FUNDS, INCLUDING A METHOD OF CUSTOMER CONFIRMATION, NOTIFICATION, OR FOLLOW-UP THAT CAN BE DOCUMENTED. THE FINDINGS STATED THAT THE FIRM RELIED UPON OTHER WRITTEN POLICIES AND PROCEDURES MAINTAINED BY THE FIRM, INCLUDING THE FIRM'S OPERATIONS POLICY AND ITS ADVISOR COMPLIANCE MANUAL, WHICH DID NOT REASONABLY ADDRESS THE REQUIREMENT. THE FIRM'S OPERATIONS POLICY PROVIDED THAT IF A CUSTOMER CALLED THE FIRM TO REQUEST A TRANSMITTAL OF FUNDS TO AN OUTSIDE ENTITY, THE FIRM'S SERVICE REPRESENTATIVES WERE REQUIRED TO ASK PRIMARY VERIFICATION QUESTIONS OF THE CUSTOMER. THE OPERATIONS POLICY DIRECTED FIRM PERSONNEL TO ASK ADDITIONAL SECURITY QUESTIONS IF THE CLIENT EXHIBITED SUSPICIOUS BEHAVIOR OR WAS UNABLE TO PROVIDE THE REQUESTED VERIFICATION INFORMATION. THE OPERATIONS POLICY DID NOT STATE HOW MANY VERIFICATION QUESTIONS, PRIMARY OR SECONDARY, NEEDED TO BE ANSWERED CORRECTLY BEFORE GRANTING A REQUEST (OR, ALTERNATIVELY, HOW MANY QUESTIONS NEEDED TO BE ANSWERED INCORRECTLY BEFORE REJECTING A REQUEST). ADDITIONALLY, THE ADVISOR COMPLIANCE MANUAL NOTED THE IMPORTANCE OF DETECTING RED FLAGS OF IDENTITY THEFT, BUT IT DID NOT DEFINE RED FLAGS OR EXPLAIN HOW TO IDENTIFY OR RESPOND TO RED FLAGS. THE FIRM RECEIVED TELEPHONE CALLS FROM A WOMAN IMPERSONATING A CUSTOMER. THE IMPOSTER ALSO FAXED TO THE FIRM REQUESTS FOR TRANSMITTALS OF FUNDS FROM THE CUSTOMER'S BROKERAGE ACCOUNT AT THE FIRM TO A BANK ACCOUNT, PURPORTEDLY IN HER OWN NAME, WHICH THE FIRM PROCESSED. ULTIMATELY, THE IMPOSTER OBTAINED APPROXIMATELY $15,800 FROM THE CUSTOMER'S ACCOUNT. THE FIRM FAILED TO REASONABLY IDENTIFY AND RESPOND TO MULTIPLE RED FLAGS CONCERNING THE CUSTOMER. THE FIRM REIMBURSED THE CUSTOMER THE FULL AMOUNT THAT WAS WRONGLY TRANSFERRED FROM HER ACCOUNT, PLUS MISSED MARKET GAINS. THE CUSTOMER ALSO WAS OFFERED CREDIT MONITORING. THE FINDINGS ALSO STATED THAT THE FIRM FAILED REASONABLY TO IMPLEMENT ITS WSPS CONCERNING THE TRANSMITTAL OF CUSTOMER FUNDS TO THIRD PARTIES. AN AFFILIATED PERSON OF THE FIRM RECEIVED AN EMAIL FROM A SECOND CUSTOMER'S EMAIL ADDRESS. THE SECOND CUSTOMER DID NOT SEND THE EMAIL, AN IMPOSTOR DID. IN THE EMAIL, THE IMPOSTER ASKED HOW TO TRANSFER $30,000 THAT DAY TO A THIRD PARTY VIA CHECK. WHEN THE AFFILIATED PERSON EMAILED THE IMPOSTER AT THE SECOND CUSTOMER'S EMAIL ADDRESS AND INFORMED HIM THAT THE FIRM MAY NEED TO CONTACT HIM BY TELEPHONE TO VERIFY THE TRANSMITTAL REQUEST, THE IMPOSTER REPLIED: "THEY CAN VERIFY THE WITHDRAWAL WITH MY SIGNATURE AS I WOULD BE GETTING INTO A MEETING SOON." THE AFFILIATED PERSON THEN EMAILED THE IMPOSTER AN AUTHORIZATION LETTER, WHICH THE IMPOSTER RETURNED. THE SECOND CUSTOMER'S REGISTERED REPRESENTATIVE DID NOT ATTEST TO THE AUTHENTICITY OF THE SIGNATURE ON THE AUTHORIZATION LETTER. IN FACT, THE SIGNATURE WAS ELECTRONICALLY AFFIXED TO THE LETTER OF AUTHORIZATION AND COULD BE MANIPULATED. MOREOVER, NO ONE ASSOCIATED WITH THE FIRM CALLED THE SECOND CUSTOMER TO VERIFY THE TRANSMITTAL REQUEST, AS REQUIRED BY THE FIRM'S PROCEDURES. FOLLOWING ITS DISCOVERY OF THE EVENTS DESCRIBED ABOVE INVOLVING THE CUSTOMER ACCOUNTS, THE FIRM UNDERTOOK REMEDIAL MEASURES TO ADDRESS THE DEFICIENCIES IN ITS WSPS AND SUPERVISORY SYSTEM. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $35,000, AND REQUIRED TO CERTIFY TO FINRA THAT THE FIRM HAS COMPLETED A REVIEW OF ITS POLICIES, SYSTEMS, AND PROCEDURES REGARDING THE MONITORING OF TRANSMITTALS OF CUSTOMER FUNDS, AND AS OF THE DATE OF THE CERTIFICATION, THE FIRM'S POLICIES, SYSTEMS, AND PROCEDURES ARE REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS, AND FINRA RULES.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Pershing $20.4B (93% of AUM) Jul 2026
- Lincoln Investment Planning, Llc $15.9B (92% of AUM) Nov 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 20, 2026.
View current Form ADV (SEC/IAPD) ↗