| Kamar Plunkett | Advice And Planning Services other | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Mar 19, 2018 | Apr 26, 2018 (38 d) |
| Darren Brent Miller | Advice And Planning Services other | E*Trade Capital Management, LLC independent RIA | Other | Mar 18, 2018 | Apr 10, 2018 |
| Stephen In Hee Lee | Advice And Planning Services other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Mar 18, 2018 | Apr 21, 2018 (34 d) |
| Peter Thomas Moormeier | Advice And Planning Services other | Creative Planning independent RIA | Other | Mar 18, 2018 | Apr 16, 2018 |
| Robert Wayne Romeo | Advice And Planning Services other | Wealth Advisors Network, Inc. independent RIA | Other | Mar 14, 2018 | Mar 30, 2018 |
| Derek Anthony Eckert | Advice And Planning Services other | Syntropy Wealth Management LLC state registered | Other | Mar 14, 2018 | May 24, 2018 (71 d) |
| Gayle A Russell | Advice And Planning Services other | Osaic Fa, Inc. BD affiliated | Other | Mar 14, 2018 | Jan 8, 2021 (1031 d) |
| Anthony Lee Pelz | Advice And Planning Services other | Denver Wealth Management, Inc. independent RIA | Other | Mar 14, 2018 | Jun 1, 2018 (79 d) |
| Anthony Adamo | Advice And Planning Services other | Independent Financial Partners independent RIA | Other | Mar 10, 2018 | Mar 30, 2018 |
| Yvonne Jimenez | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 10, 2018 | Apr 19, 2018 (40 d) |
| Henry J. Schroeder | Advice And Planning Services other | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Mar 6, 2018 | Mar 12, 2018 |
| Christopher Alan Lauver | Advice And Planning Services other | Valic Financial Advisors, Inc. BD affiliated | Other | Mar 5, 2018 | Apr 2, 2018 |
| Mike Miele | Advice And Planning Services other | Cantor Fitzgerald Investment Advisors other | Other | Mar 2, 2018 | Aug 1, 2018 (152 d) |
| Jamar Daniel Cokley | Advice And Planning Services other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Mar 2, 2018 | Jan 4, 2019 (308 d) |
| Stephanie Kristine Mueller | Advice And Planning Services other | Nuveen Asset Management, LLC other | Other | Feb 15, 2018 | Mar 12, 2018 |
| Adam Garrett Crandall | Advice And Planning Services other | Equitable Advisors, LLC national BD | Other | Feb 14, 2018 | Oct 29, 2018 (257 d) |
| Opeoluwa O Afe | Advice And Planning Services other | T. Rowe Price Advisory Services, Inc. independent RIA | Other | Feb 8, 2018 | Apr 3, 2018 (54 d) |
| Christopher David Schwartz | Advice And Planning Services other | T. Rowe Price Advisory Services, Inc. independent RIA | Other | Feb 8, 2018 | Apr 5, 2018 (56 d) |
| John Patrick Shreenan | Advice And Planning Services other | Empirical Asset Management, LLC independent RIA | Other | Jan 31, 2018 | Jan 15, 2020 (714 d) |
| Corey Francis Ward | Advice And Planning Services other | Cuso Financial Services, L.P. BD affiliated | Other | Jan 31, 2018 | May 3, 2018 (92 d) |
| Deborah Boyd Eberhart-Wilkinson | Advice And Planning Services other | Alight Financial Advisors, LLC other | Other | Jan 30, 2018 | Mar 8, 2018 (37 d) |
| Thomson Clark Chew | Advice And Planning Services other | Cadaret Grant & Co Inc BD affiliated | Other | Jan 30, 2018 | Oct 18, 2021 (1357 d) |
| Charles Christopher Stennett | Advice And Planning Services other | Saltmarsh Financial Advisors, LLC independent RIA | Other | Jan 25, 2018 | Apr 10, 2018 (75 d) |
| Richard L Tober | Advice And Planning Services other | Fifth Third Securities, Inc. BD affiliated | Other | Jan 10, 2018 | Feb 2, 2018 |
| Laurie Ann Marks | Advice And Planning Services other | Trigofi state registered | Other | Jan 10, 2018 | Sep 20, 2021 (1349 d) |
| Tuo Sheng Mei | Advice And Planning Services other | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Dec 22, 2017 | Jan 26, 2018 (35 d) |
| Robert Steczkowski | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Dec 8, 2017 | Jan 25, 2018 (48 d) |
| William Anthony Scarfone | Advice And Planning Services other | Independent Financial Partners independent RIA | Other | Dec 6, 2017 | Mar 23, 2018 (107 d) |
| William Dale Kelly | Advice And Planning Services other | Edelman Financial Engines other | Other | Dec 5, 2017 | Dec 20, 2017 |
| Ryan Farrell | Advice And Planning Services other | Usaa Investment Services Company BD affiliated | Other | Nov 28, 2017 | Mar 18, 2019 (475 d) |
| Colleen Renee Knight | Advice And Planning Services other | LPL Financial LLC independent RIA | Other | Nov 28, 2017 | Dec 6, 2017 |
| Laura R Sale | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Nov 15, 2017 | Jul 13, 2018 (240 d) |
| Sharon Bowen | Advice And Planning Services other | Snowden Capital Advisors LLC other | Other | Nov 7, 2017 | Dec 6, 2017 |
| Charles Paul Walsh | Advice And Planning Services other | Empower Advisory Group, LLC institutional | Other | Oct 30, 2017 | Dec 6, 2018 (402 d) |
| Maxine B Mott | Advice And Planning Services other | Lincoln Investment BD affiliated | Other | Oct 27, 2017 | Apr 21, 2021 (1272 d) |
| Kirk Douglas Michel | Advice And Planning Services other | E*Trade Capital Management, LLC other | Other | Oct 20, 2017 | Nov 6, 2017 |
| Sara Jean Mildred Veatch | Advice And Planning Services other | Truist Advisory Services, Inc. other | Other | Oct 20, 2017 | Dec 7, 2017 (48 d) |
| Marc Nicholas Scavo | Advice And Planning Services other | Vanguard Advisers, Inc. other | Other | Oct 12, 2017 | Nov 10, 2017 |
| Colleen Elizabeth Maldonado | Advice And Planning Services other | Creative Planning independent RIA | Other | Oct 12, 2017 | Apr 9, 2018 (179 d) |
| Chad H Kobes | Advice And Planning Services other | Wallace Hart Capital Management independent RIA | Other | Oct 12, 2017 | Jun 12, 2018 (243 d) |
| Derek Main | Advice And Planning Services other | Pruco Securities, LLC BD affiliated | Other | Oct 12, 2017 | Jan 17, 2018 (97 d) |
| Sergey V Smirnov | Advice And Planning Services other | Fisher Investments other | Other | Oct 12, 2017 | Nov 16, 2017 (35 d) |
| Leean Carole Hunchak | Advice And Planning Services other | RBC Capital Markets, LLC national BD | Other | Oct 10, 2017 | Nov 3, 2017 |
| Steven Cook | Advice And Planning Services other | T. Rowe Price Associates, Inc. other | Other | Oct 10, 2017 | Nov 2, 2017 |
| Mark Doughty | Advice And Planning Services other | Truist Advisory Services, Inc. other | Other | Oct 10, 2017 | Nov 10, 2017 (31 d) |
| Benson Patrick Mathews | Advice And Planning Services other | Vantage Wealth Planning independent RIA | Other | Sep 21, 2017 | Oct 24, 2017 (33 d) |
| Ronald Fitzgerald Myers | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Sep 21, 2017 | Apr 18, 2018 (209 d) |
| Lauren Michelle Podnos | Advice And Planning Services other | Wealth Care LLC independent RIA | Other | Sep 21, 2017 | Mar 12, 2019 (537 d) |
| Anthony Arguelles Trias | Advice And Planning Services other | Equitable Advisors, LLC national BD | Other | Sep 15, 2017 | Oct 4, 2017 |
| Lawrence Louis Velarde | Advice And Planning Services other | Fisher Investments other | Other | Sep 14, 2017 | Oct 20, 2017 (36 d) |
| Kristofer Joseph Lanzer | Advice And Planning Services other | Foundations Investment Advisors LLC independent RIA | Other | Sep 7, 2017 | Jul 24, 2024 (2512 d) |
| Peter Edwin Koerner | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Sep 6, 2017 | Sep 22, 2017 |
| Stephen Daniel Heitzmann | Advice And Planning Services other | Bauer Wealth Management Inc. other | Other | Aug 31, 2017 | Sep 20, 2017 |
| Simeon Fernando Hills | Advice And Planning Services other | LPL Financial LLC BD affiliated | Other | Aug 29, 2017 | Oct 4, 2017 (36 d) |
| Amy Lynn Warrender | Advice And Planning Services other | Creative Planning other | Other | Aug 28, 2017 | Sep 14, 2017 |
| Armin Samadi | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Aug 23, 2017 | Nov 13, 2017 (82 d) |
| Michael Parisi | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Aug 9, 2017 | Sep 7, 2017 |
| Wanjiku Hannah Ikenye | Advice And Planning Services other | Morgan Stanley wirehouse | Other | Aug 7, 2017 | Sep 27, 2017 (51 d) |
| Brent Lee King | Advice And Planning Services other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Aug 1, 2017 | Aug 24, 2017 |
| Christopher Robert Scarlata | Advice And Planning Services other | Ast Investment Services, Inc. asset manager | Other | Aug 1, 2017 | Aug 21, 2018 (385 d) |