| John Robert Mullett | On Investment Management Co BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2019 | Jul 25, 2019 |
| Elizabeth Kate Hand | On Investment Management Co BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2019 | Jul 25, 2019 |
| Clinton David Helmuth Miller | On Investment Management Co BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2019 | Jul 25, 2019 |
| Albert Michael Daniels | On Investment Management Co BD affiliated | Woodbury Financial Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2019 | Jul 1, 2019 |
| Suzanne Short | On Investment Management Co BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2019 | Jul 11, 2019 |
| Christopher Nicholas Van Horn | On Investment Management Co BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 21, 2019 | Jun 28, 2019 |
| Michael G Romanello | On Investment Management Co BD affiliated | Independence Capital Co., Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2019 | May 24, 2019 |
| Michael Edward Shelton | On Investment Management Co BD affiliated | Colonial River Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 22, 2019 | May 22, 2019 |
| Marshall Marraccini | On Investment Management Co BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2019 | Aug 27, 2020 (478 d) |
| Robert James Schup | On Investment Management Co BD affiliated | Kms Financial Services, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2019 | Apr 24, 2019 |
| Alan Paul Jenkins | On Investment Management Co BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2019 | Mar 21, 2024 (1847 d) |
| Reginald Donald Clark | On Investment Management Co BD affiliated | P3 Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 22, 2019 | Feb 27, 2019 |
| Matthew Vaughn Roth | On Investment Management Co BD affiliated | Wesbanco Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2019 | Jan 14, 2019 |
| Scott Michael Weinstein | On Investment Management Co BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2019 | Nov 1, 2021 (1028 d) |
| Stephen Mcgoff | On Investment Management Co BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jul 17, 2019 (198 d) |
| Lance Martin Rappard | On Investment Management Co BD affiliated | Legacy Map Design, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2018 | Sep 19, 2018 |
| Thomas Edward Brophy | On Investment Management Co BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 23, 2019 |
| Valerie A Schmitz | On Investment Management Co BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 22, 2019 |
| Daniel Ernest Goland | On Investment Management Co BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 | Dec 26, 2018 |
| Chrystal Dawn Goland | On Investment Management Co BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 | Dec 21, 2018 |
| Olin Robert Johanssen | On Investment Management Co BD affiliated | World Choice Securities, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 18, 2018 | Dec 4, 2018 |
| Randall Wayne Fowler | On Investment Management Co BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2018 | Nov 8, 2018 |
| Timothy Richard Hamilton | On Investment Management Co BD affiliated | Measured Wealth Private Client Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 26, 2018 | Sep 24, 2018 |
| Robert Allen Shiner | On Investment Management Co BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2018 | Aug 30, 2018 |
| Roger Joseph Betcher | On Investment Management Co BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2018 | Aug 14, 2018 |
| Andrew Paul Charbonneau | On Investment Management Co BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2018 | Aug 16, 2018 |
| Jeffrey Marko | On Investment Management Co BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2018 | Aug 14, 2018 |
| Daniel Christopher Granda | On Investment Management Co BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2018 | Aug 14, 2018 |
| Dale Edward Colclasure | On Investment Management Co BD affiliated | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 18, 2018 | Jul 13, 2018 |
| James Robert Hegel | On Investment Management Co BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2018 | Aug 13, 2018 (62 d) |
| Tilden Lester Sowdon | On Investment Management Co BD affiliated | Gwn Securities Inc. other | Other | Mar 28, 2018 | Mar 21, 2018 |
| Gregory Henry Marchand | On Investment Management Co other | Kestra Advisory Services, LLC other | Other | Mar 26, 2018 | Mar 26, 2018 |
| Nathan M Windschitl | On Investment Management Co other | Woodbury Financial Services, Inc. BD affiliated | Other | Feb 28, 2018 | Feb 20, 2018 |
| Sean Mcgoogan Murphy | On Investment Management Co other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 28, 2018 | Apr 5, 2018 (36 d) |
| Michael Terrance Mahoney | On Investment Management Co other | Investacorp Advisory Services Inc other | Other | Dec 31, 2017 | Jan 2, 2018 |
| Cameron Bourque | On Investment Management Co other | J.P. Morgan Securities LLC wirehouse | Other | Dec 20, 2017 | Feb 22, 2018 (64 d) |
| Kathryn Murphy | On Investment Management Co other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 14, 2017 | Dec 8, 2017 |
| Adam Edward Day | On Investment Management Co other | Osaic Institutions, Inc. other | Other | Nov 15, 2017 | Nov 6, 2017 |
| Jamison Shireman | On Investment Management Co other | Avantax Advisory Services other | Other | Oct 3, 2017 | Jan 31, 2017 |
| Sean Kenneth Meldrum | On Investment Management Co other | Kms Financial Services, Inc BD affiliated | Other | Sep 21, 2017 | Sep 18, 2019 (727 d) |
| Christopher Allen Raup | On Investment Management Co other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 21, 2017 | Aug 16, 2017 |
| Ann Marie Dupree Hindley | On Investment Management Co other | Cerity Partners LLC independent RIA | Other | Aug 21, 2017 | Apr 1, 2025 (2780 d) |
| Bruce Jonathan Weinstein | On Investment Management Co other | T&T Capital Management independent RIA | Other | Jul 19, 2017 | Nov 27, 2017 (131 d) |
| Scott David Sorum | On Investment Management Co other | Life Wise Planning Group LLC state registered | Other | Jul 19, 2017 | Jul 19, 2023 (2191 d) |
| Henry Snyder | On Investment Management Co other | USA Financial Securities LLC other | Other | May 30, 2017 | May 26, 2017 |
| Katherine Elizabeth Breitenstein | On Investment Management Co other | Ameriprise Financial Services, LLC national BD | Other | Apr 11, 2017 | Mar 25, 2019 (713 d) |
| Jeffrey Evan Nordt | On Investment Management Co other | Principal Securities, Inc. other | Other | Feb 15, 2017 | Feb 21, 2017 |
| Kathryn Rae Kaster | On Investment Management Co other | LPL Financial LLC other | Other | Jan 11, 2017 | Jan 6, 2017 |
| Stephen Joseph Agrista | On Investment Management Co other | Onpointe Advisory And Financial Services, LLC other | Other | Dec 31, 2016 | Jan 27, 2017 |
| Chad Andrew Brown | On Investment Management Co other | Regal Investment Advisors LLC other | Other | Dec 31, 2016 | Jan 3, 2017 |
| Nevine Magdy George | On Investment Management Co other | Equitable Advisors, LLC national BD | Other | Dec 31, 2016 | Jun 6, 2018 (522 d) |
| Glenn H Nagamine | On Investment Management Co other | Osaic Fs, Inc. other | Other | Dec 7, 2016 | Dec 1, 2016 |
| Jason Paul Henrich | On Investment Management Co other | Wisconsin Financial Advisors, LLC unclassified | Other | Nov 15, 2016 | Apr 27, 2010 |
| Norman G. Wright | On Investment Management Co other | Ameriprise Financial Services, LLC national BD | Other | Nov 15, 2016 | Nov 8, 2016 |
| Arthur James Saylor | On Investment Management Co other | Cambridge Investment Research Advisors, Inc. other | Other | Nov 8, 2016 | Nov 30, 2016 |
| Steven Michael Milligan | On Investment Management Co other | Brookstone Wealth Advisors, LLC other | Other | Nov 3, 2016 | Dec 21, 2016 (48 d) |
| Jeffrey Alan Duncan | On Investment Management Co other | Triumph Wealth Advisors, Inc. other | Other | Nov 1, 2016 | Nov 1, 2016 |
| Kurt Allen Berry | On Investment Management Co other | Wisconsin Financial Advisors, LLC unclassified | Other | Oct 7, 2016 | Jun 6, 2011 |
| Klent Starks | On Investment Management Co other | Edward Jones national BD | Other | Sep 15, 2016 | Sep 15, 2016 |
| Elisabeth Anne Olson | On Investment Management Co other | Waddell & Reed other | Other | Sep 1, 2016 | Sep 8, 2016 |