| Lawrence Joseph Kelly | Hornor, Townsend & Kent, LLC other | Cadaret Grant & Co Inc other | Other | Dec 31, 2011 | Jan 3, 2012 |
| Adam Brian Amorn | Hornor, Townsend & Kent, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 14, 2011 | Jan 25, 2012 (42 d) |
| Gregory A Herbison | Hornor, Townsend & Kent, LLC other | Morgan Stanley wirehouse | Other | Dec 8, 2011 | Sep 4, 2013 (636 d) |
| Adam James Holthouse | Hornor, Townsend & Kent, LLC other | E*Trade Capital Management, LLC other | Other | Nov 11, 2011 | Nov 14, 2011 |
| Sarah Wigbels Welch | Hornor, Townsend & Kent, LLC other | Sii Investments, Inc. other | Other | Oct 27, 2011 | Aug 13, 2013 (656 d) |
| Iain Lesslie Chase Brackstone | Hornor, Townsend & Kent, LLC other | Triad Advisors, LLC other | Other | Oct 18, 2011 | Oct 7, 2011 |
| David Samuel Coult | Hornor, Townsend & Kent, LLC other | Commonwealth Financial Network national BD | Other | Oct 14, 2011 | Oct 4, 2011 |
| Janet Mary Labella | Hornor, Townsend & Kent, LLC other | LPL Financial LLC independent RIA | Other | Sep 15, 2011 | Jun 13, 2018 (2463 d) |
| Thomas William Johnson | Hornor, Townsend & Kent, LLC other | LPL Financial LLC other | Other | Sep 7, 2011 | Aug 30, 2011 |
| Matthew Joseph Greenan | Hornor, Townsend & Kent, LLC other | Td Ameritrade, Inc. no RAUM | Other | Sep 2, 2011 | Feb 23, 2012 (174 d) |
| George Mouded | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Aug 29, 2011 | Aug 23, 2011 |
| James Gerald Yahoudy | Hornor, Townsend & Kent, LLC other | Td Ameritrade Investment Management, LLC other | Other | Aug 29, 2011 | Apr 11, 2013 (591 d) |
| John Vincent Blanchard | Hornor, Townsend & Kent, LLC other | Mariner other | Other | Aug 12, 2011 | Mar 17, 2015 (1313 d) |
| David Lawrence Hull | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Jul 28, 2011 | Aug 15, 2011 |
| Michael Allan Goldfeder | Hornor, Townsend & Kent, LLC other | Osaic Fa, Inc. other | Other | Jul 28, 2011 | Sep 6, 2011 (40 d) |
| Jerry Dean Carpenter | Hornor, Townsend & Kent, LLC other | Msi Financial Services, Inc. other | Other | Jul 22, 2011 | Aug 31, 2011 (40 d) |
| Craig David Alexander | Hornor, Townsend & Kent, LLC other | Ameriprise Financial Services, LLC national BD | Other | Jul 22, 2011 | Jul 26, 2011 |
| Paula Wilbur Traber | Hornor, Townsend & Kent, LLC other | Independent Financial Group, LLC other | Other | Jul 13, 2011 | May 15, 2013 (672 d) |
| Michael Joseph Scott | Hornor, Townsend & Kent, LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 1, 2011 | Jul 20, 2011 |
| Edick Antonio Lucas | Hornor, Townsend & Kent, LLC other | New England Securities Corporation other | Other | Jun 30, 2011 | Jul 3, 2012 (369 d) |
| Trevor Thomas Myres | Hornor, Townsend & Kent, LLC other | Mesa Wealth LLC unclassified | Other | Jun 15, 2011 | Sep 5, 2023 (4465 d) |
| James Langford Spies | Hornor, Townsend & Kent, LLC other | MML Investors Services, LLC other | Other | Jun 9, 2011 | Jun 20, 2011 |
| John Allan Brinkerhoff | Hornor, Townsend & Kent, LLC other | Centaurus Financial, Inc. other | Other | Apr 29, 2011 | Aug 5, 2015 (1559 d) |
| James Robinson Minor | Hornor, Townsend & Kent, LLC other | Red Oak Capital Advisors state registered | Other | Apr 27, 2011 | Feb 7, 2012 (286 d) |
| Kristofer Joseph Lanzer | Hornor, Townsend & Kent, LLC other | Chase Investment Services Corp. other | Other | Apr 27, 2011 | May 12, 2011 |
| Thomas William Smith | Hornor, Townsend & Kent, LLC other | Fapa Financial Services no RAUM | Other | Apr 19, 2011 | Sep 9, 2015 (1604 d) |
| Timothy Hale Ganahl | Hornor, Townsend & Kent, LLC other | D.A. Davidson & Co. other | Other | Apr 12, 2011 | Apr 12, 2011 |
| Michael Maddox | Hornor, Townsend & Kent, LLC other | Valic Financial Advisors, Inc. other | Other | Apr 1, 2011 | Nov 9, 2011 (222 d) |
| Jonathan B Hatch | Hornor, Townsend & Kent, LLC other | Osaic Fs, Inc. other | Other | Mar 31, 2011 | Mar 28, 2011 |
| Peter Tanguy | Hornor, Townsend & Kent, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 29, 2011 | May 4, 2011 (36 d) |
| Morgan T Burklow | Hornor, Townsend & Kent, LLC other | Ameriprise Financial Services, LLC national BD | Other | Mar 25, 2011 | Mar 22, 2011 |
| Kyle James Spitzer | Hornor, Townsend & Kent, LLC other | Cetera Advisor Networks LLC other | Other | Mar 3, 2011 | Sep 20, 2011 (201 d) |
| Charlotte E Stellwagen | Hornor, Townsend & Kent, LLC other | Woodbury Financial Services, Inc. other | Other | Jan 11, 2011 | Dec 23, 2010 |
| Joseph Patrick Mallee | Hornor, Townsend & Kent, LLC other | MML Investors Services, LLC other | Other | Jan 6, 2011 | Jan 26, 2011 |
| Jeffrey Scott Hahn | Hornor, Townsend & Kent, LLC other | MML Investors Services, LLC other | Other | Dec 31, 2010 | Jan 28, 2011 |
| William J. Hunt | Hornor, Townsend & Kent, LLC other | Cetera Advisor Networks LLC other | Other | Dec 23, 2010 | Jan 21, 2011 |
| Jarrett Edward Cohen | Hornor, Townsend & Kent, LLC other | Wealth Development Strategies Investment Advisory, Inc. state registered | Other | Nov 11, 2010 | Mar 2, 2010 |
| Ellen Ann Broderick | Hornor, Townsend & Kent, LLC other | Edward Jones national BD | Other | Nov 3, 2010 | Sep 23, 2024 (5073 d) |
| Bradley Tyler Perry | Hornor, Townsend & Kent, LLC other | MML Investors Services, LLC other | Other | Oct 15, 2010 | Oct 19, 2010 |
| Joshua Allen Stelzer | Hornor, Townsend & Kent, LLC other | Snider Advisors other | Other | Sep 30, 2010 | Oct 28, 2010 |
| Deborah Wallace Anzelc | Hornor, Townsend & Kent, LLC other | American Portfolios Advisors, Inc other | Other | Sep 17, 2010 | Dec 23, 2010 (97 d) |
| Daniel Coye Weaver | Hornor, Townsend & Kent, LLC other | Hantz Financial Services, Inc. no RAUM | Other | Sep 16, 2010 | Dec 22, 2010 (97 d) |
| Ashley Dominey Stewart | Hornor, Townsend & Kent, LLC other | LPL Financial LLC other | Other | Aug 31, 2010 | May 12, 2011 (254 d) |
| Brian Cohen Greenberg | Hornor, Townsend & Kent, LLC other | Woodbury Financial Services, Inc. other | Other | Aug 20, 2010 | Aug 11, 2010 |
| Geordie Marie Hrdlicka | Hornor, Townsend & Kent, LLC other | Valmark Advisers, Inc. other | Other | Aug 16, 2010 | Aug 2, 2010 |
| Patricia Ann Moore | Hornor, Townsend & Kent, LLC other | Wealth Development Strategies Investment Advisory, Inc. state registered | Other | Aug 16, 2010 | Jan 5, 2010 |
| Andrew Jay Barnett | Hornor, Townsend & Kent, LLC other | Wealth Cmt other | Other | Jul 23, 2010 | Jul 21, 2008 |
| Jason William Carter | Hornor, Townsend & Kent, LLC other | LPL Financial LLC other | Other | Jun 29, 2010 | Aug 3, 2010 (35 d) |
| Adam Quentin Zimmerman | Hornor, Townsend & Kent, LLC other | Advisory Resource Group, LLC unclassified | Other | Jun 18, 2010 | Sep 25, 2009 |
| Karen Irene Boykin | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | Jun 15, 2010 | Aug 18, 2010 (64 d) |
| Max J Needham | Hornor, Townsend & Kent, LLC other | UBS Financial Services Inc. wirehouse | Other | Jun 15, 2010 | Feb 8, 2012 (603 d) |
| Jennifer Elaine Gibson | Hornor, Townsend & Kent, LLC other | Cuso Financial Services, L.P. other | Other | Jun 3, 2010 | Dec 5, 2011 (550 d) |
| Julie C Shickel | Hornor, Townsend & Kent, LLC other | Woodbury Financial Services, Inc. other | Other | May 13, 2010 | May 4, 2010 |
| Jason B Connor | Hornor, Townsend & Kent, LLC other | UBS Financial Services Inc. wirehouse | Other | Apr 26, 2010 | Apr 3, 2012 (708 d) |
| Erin Cote | Hornor, Townsend & Kent, LLC other | Snider Advisors other | Other | Apr 12, 2010 | Apr 12, 2010 |
| David Russell Rodgers | Hornor, Townsend & Kent, LLC other | Nationwide Securities, LLC no RAUM | Other | Apr 1, 2010 | Apr 6, 2010 |
| Kathryn Jennifer Bernhardt | Hornor, Townsend & Kent, LLC other | Janney Montgomery Scott LLC other | Other | Mar 19, 2010 | Aug 30, 2010 (164 d) |
| Eric Thomas Ling | Hornor, Townsend & Kent, LLC other | Usaa Financial Planning Services no RAUM | Other | Feb 26, 2010 | Mar 11, 2010 |
| Craig Thomas Preisendefer | Hornor, Townsend & Kent, LLC other | Latitude Advisors, LLC other | Other | Feb 2, 2010 | May 29, 2015 (1942 d) |
| Joan M Nilan | Hornor, Townsend & Kent, LLC other | Wells Fargo Advisors wirehouse | Other | Jan 8, 2010 | Jul 13, 2011 (551 d) |