| Bert Lester Bennett | Advice And Planning Services other | Morgan Stanley wirehouse | Other | Dec 3, 2015 | Jan 26, 2016 (54 d) |
| Meredith Wilson Briggs | Advice And Planning Services other | Taconic Advisors independent RIA | Other | Dec 1, 2015 | Jun 24, 2021 (2032 d) |
| David Martinez | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Nov 25, 2015 | Feb 4, 2016 (71 d) |
| Brian Joseph Mocogni | Advice And Planning Services other | Equitable Advisors, LLC national BD | Other | Nov 16, 2015 | Jan 27, 2017 (438 d) |
| John S Erickson | Advice And Planning Services other | Aegis Investment Management, LLC state registered | Other | Nov 13, 2015 | Mar 16, 2020 (1585 d) |
| Kevin Edmund Cross | Advice And Planning Services other | Osaic Wealth, Inc. other | Other | Nov 13, 2015 | Jan 5, 2016 (53 d) |
| Renee Halsch | Advice And Planning Services other | LPL Financial LLC other | Other | Nov 10, 2015 | Mar 11, 2016 (122 d) |
| Nicholas L Max | Advice And Planning Services other | Schwab Wealth Advisory, Inc. other | Other | Nov 10, 2015 | Apr 26, 2016 (168 d) |
| Richard Lawrence Elliott | Advice And Planning Services other | Mercer Global Advisors Inc. other | Other | Nov 10, 2015 | May 25, 2017 (562 d) |
| Thomas John O'Connor | Advice And Planning Services other | Bb&T Investment Services, Inc. other | Other | Nov 10, 2015 | Nov 2, 2015 |
| Amar N. Jhaveri | Advice And Planning Services other | Fidelity Personal And Workplace Advisors BD affiliated | Other | Nov 4, 2015 | Jul 24, 2023 (2819 d) |
| Stephen Christopher Wildman | Advice And Planning Services other | Diversified, LLC independent RIA | Other | Oct 31, 2015 | Apr 30, 2024 (3104 d) |
| Jill Alicia Leland | Advice And Planning Services other | Raymond James Financial Services Advisors, Inc other | Other | Oct 31, 2015 | Apr 7, 2017 (524 d) |
| Cody Molacek | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Oct 31, 2015 | Nov 10, 2015 |
| Jeffrey Mark Singer | Advice And Planning Services other | Cuna Brokerage Services, Inc. other | Other | Oct 21, 2015 | Nov 2, 2015 |
| Craig Daniel Saurer | Advice And Planning Services other | Pnc Wealth Management other | Other | Oct 19, 2015 | Mar 3, 2016 (136 d) |
| Nestor Ruben Montoya | Advice And Planning Services other | Cambridge Investment Research Advisors, Inc. other | Other | Oct 16, 2015 | Apr 20, 2016 (187 d) |
| Jerry John Mcdonnell | Advice And Planning Services other | Keen Capital, LLC independent RIA | Other | Oct 15, 2015 | Nov 8, 2025 (3677 d) |
| Greg Laurence Coburn | Advice And Planning Services other | Bancwest Investment Services, Inc. (Bwis) bank affiliated | Other | Oct 15, 2015 | Jul 6, 2016 (265 d) |
| Clifton Lavell Boone | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 15, 2015 | Dec 20, 2022 (2623 d) |
| Alfred Joseph Gonzalez | Advice And Planning Services other | Truist Advisory Services, Inc. no RAUM | Other | Oct 13, 2015 | Sep 12, 2016 (335 d) |
| Christopher Charles Schroeder | Advice And Planning Services other | Umb Financial Services, Inc. no RAUM | Other | Oct 9, 2015 | Oct 29, 2015 |
| Kevin Richard Sullivan | Advice And Planning Services other | LPL Financial LLC other | Other | Sep 17, 2015 | Feb 1, 2016 (137 d) |
| James Robert Horn | Advice And Planning Services other | Ameriprise Financial Services, LLC national BD | Other | Sep 4, 2015 | Aug 17, 2015 |
| Gary Dean Ryberg | Advice And Planning Services other | Personal Wealth Partners LLC other | Other | Sep 2, 2015 | Mar 22, 2016 (202 d) |
| Jeremy Thomas Dunlop | Advice And Planning Services other | Signet Financial Management, LLC other | Other | Aug 20, 2015 | Sep 15, 2015 |
| Thomas George Collins | Advice And Planning Services other | Schwab Wealth Advisory, Inc. other | Other | Aug 13, 2015 | Sep 15, 2015 (33 d) |
| Wendy Michelle Warner | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 12, 2015 | Sep 9, 2015 |
| David Lee Piatkowski | Advice And Planning Services other | Dickinson Investment Advisors other | Other | Aug 12, 2015 | Aug 24, 2015 |
| Michael Joseph Zambelli | Advice And Planning Services other | Cornerstone Institutional Investors, LLC other | Other | Aug 12, 2015 | Sep 3, 2015 |
| Shedrick Deangelo Crawford | Advice And Planning Services other | Voya Financial Advisors, Inc. other | Other | Jul 28, 2015 | Sep 17, 2015 (51 d) |
| Jennifer Lile Harvey | Advice And Planning Services other | Cetera Investment Advisers LLC BD affiliated | Other | Jul 9, 2015 | Mar 21, 2024 (3178 d) |
| Ryan Patrick Kaszycki | Advice And Planning Services other | Tedstrom Wealth Advisors, Inc. unclassified | Other | Jul 2, 2015 | Aug 4, 2015 (33 d) |
| Ralph Phillip Baca | Advice And Planning Services other | Schwab Wealth Advisory, Inc. other | Other | Jun 30, 2015 | Aug 12, 2015 (43 d) |
| Giro Iadevaia | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Jun 22, 2015 | Jul 21, 2015 |
| Nicole Marie Emrick | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Jun 19, 2015 | Jun 18, 2015 |
| David Venneri | Advice And Planning Services other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 18, 2015 | Feb 4, 2022 (2423 d) |
| Tomeka Lasha Brown | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 11, 2015 | Aug 26, 2015 (76 d) |
| Zubair Ahmad Khan | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Jun 11, 2015 | Jul 1, 2015 |
| Douglas William Suhr | Advice And Planning Services other | Mercer Global Advisors Inc. other | Other | Jun 3, 2015 | Jun 2, 2015 |
| Eric Petranchuk | Advice And Planning Services other | UBS Financial Services Inc. wirehouse | Other | May 29, 2015 | Sep 23, 2024 (3405 d) |
| Shane M Reniker | Advice And Planning Services other | U.S. Bancorp Advisors, LLC other | Other | May 29, 2015 | Jun 30, 2015 (32 d) |
| Lauren Corinne Bonner | Advice And Planning Services other | Vanguard Advisers, Inc. BD affiliated | Other | May 21, 2015 | May 11, 2018 (1086 d) |
| Josephine Laspina Trotta | Advice And Planning Services other | Pathfinder Wealth Advisors LLC independent RIA | Other | May 5, 2015 | Oct 22, 2015 (170 d) |
| Debra Rae Martin | Advice And Planning Services other | Pnc Wealth Management other | Other | Apr 30, 2015 | Mar 23, 2016 (328 d) |
| Rachell Danielle Blanchard | Advice And Planning Services other | Fifth Third Securities, Inc. other | Other | Apr 30, 2015 | May 26, 2015 |
| John Smith Mccoy | Advice And Planning Services other | LPL Financial LLC other | Other | Apr 29, 2015 | Aug 28, 2015 (121 d) |
| Kathryn A Zimmerman | Advice And Planning Services other | Asset Strategy Advisors, LLC other | Other | Apr 29, 2015 | May 20, 2015 |
| Jason Lynn Boyd | Advice And Planning Services other | Lcm Global Partners LLC other | Other | Apr 21, 2015 | Jul 8, 2015 (78 d) |
| Chrysantha Sophia Clark | Advice And Planning Services other | Meridian Wealth Management, LLC other | Other | Apr 21, 2015 | May 19, 2015 |
| Robert Bondiman | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Apr 21, 2015 | Apr 17, 2015 |
| Loren D Cunnington | Advice And Planning Services other | Cetera Investment Advisers LLC other | Other | Apr 21, 2015 | Oct 6, 2015 (168 d) |
| Warren Elliot Binstock | Advice And Planning Services other | Telos Capital Management, Inc. other | Other | Apr 8, 2015 | Apr 27, 2015 |
| Luis A Galdamez | Advice And Planning Services other | LPL Financial LLC other | Other | Apr 8, 2015 | May 7, 2015 |
| Greg Warren | Advice And Planning Services other | Alight Financial Advisors, LLC other | Other | Apr 6, 2015 | May 13, 2015 (37 d) |
| Ryan Douglas Naugle | Advice And Planning Services other | Global Financial Private Capital, Inc. other | Other | Apr 6, 2015 | Apr 15, 2015 |
| Nicholas Joseph Lardieri | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Apr 1, 2015 | May 19, 2015 (48 d) |
| Sara Rebecca Gardner | Advice And Planning Services other | Elevated Planning unclassified | Other | Apr 1, 2015 | Apr 17, 2015 |
| Jenny Lynn Laurita | Advice And Planning Services other | Securities America Advisors, Inc. other | Other | Apr 1, 2015 | Jun 15, 2016 (441 d) |
| Frank Del Busto | Advice And Planning Services other | LPL Financial LLC other | Other | Mar 30, 2015 | Apr 28, 2015 |