| James Orren Sims | Raymond James & Associates, Inc. national BD | Swmg Holdings, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 3, 2017 | Feb 27, 2017 |
| Alexander Robert Potenza | Raymond James & Associates, Inc. national BD | Total Wealth Planning And Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 3, 2017 | Mar 22, 2017 |
| Scott Richard Bishop | Raymond James & Associates, Inc. national BD | Swmg Holdings, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 3, 2017 | Feb 17, 2017 |
| Diego Hoyos Farfan | Raymond James & Associates, Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 29, 2017 | Mar 23, 2017 |
| Justin Meyer Cole | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Mar 27, 2017 | Mar 28, 2017 |
| Melanie A Husk | Raymond James & Associates, Inc. national BD | World Equity Group, Inc. other | Other | Mar 20, 2017 | Mar 14, 2017 |
| Stephen Bradley Giauque | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Mar 13, 2017 | Mar 27, 2017 |
| Victoria Noreen Taylor | Raymond James & Associates, Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2017 | Feb 7, 2019 (699 d) |
| John Paul Clifford | Raymond James & Associates, Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 6, 2017 | Dec 20, 2017 (289 d) |
| Anthony Trigona | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 3, 2017 | Feb 17, 2017 |
| Alexander Thomas Price | Raymond James & Associates, Inc. national BD | Dimensional Fund Advisors LP other | Other | Mar 2, 2017 | Mar 27, 2017 |
| Steven Thomas Wolters | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Mar 1, 2017 | Apr 25, 2017 (55 d) |
| Todd Douglas Ryman | Raymond James & Associates, Inc. national BD | Truist Advisory Services, Inc. other | Other | Feb 23, 2017 | Apr 11, 2017 (47 d) |
| Alexis Marie Guilbeau | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 23, 2017 | Feb 27, 2019 (734 d) |
| Paul William Sponseller | Raymond James & Associates, Inc. national BD | Wealthsource? other | Other | Feb 21, 2017 | Sep 29, 2017 (220 d) |
| Marissa Anne Day | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 21, 2017 | Aug 29, 2017 (189 d) |
| Samir Alem | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 17, 2017 | Mar 8, 2017 |
| Yadira Salinas Garcia | Raymond James & Associates, Inc. national BD | Asset Management Strategies, Inc. other | Other | Feb 16, 2017 | Apr 26, 2017 (69 d) |
| Jeffrey John Kartheiser | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Feb 15, 2017 | Mar 3, 2017 |
| William Andrew Hamilton Rhodes | Raymond James & Associates, Inc. national BD | Truist Advisory Services, Inc. other | Other | Feb 13, 2017 | Feb 14, 2017 |
| Kendal Ashley Fordham | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 13, 2017 | Apr 13, 2017 (59 d) |
| John Charles Williams | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 2, 2017 | Feb 9, 2017 |
| Justin M. Cardon | Raymond James & Associates, Inc. national BD | Vanguard Advisers, Inc. other | Other | Feb 2, 2017 | Mar 22, 2017 (48 d) |
| William Bryan Owens | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 1, 2017 | Feb 9, 2017 |
| Kelli Marie Popp | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 1, 2017 | Mar 11, 2017 (38 d) |
| Kathryn Lynn Parkins | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 1, 2017 | Feb 9, 2017 |
| Brendan Rodden | Raymond James & Associates, Inc. national BD | LPL Financial LLC other | Other | Feb 1, 2017 | Feb 16, 2017 |
| Anne Marie Diane Williams | Raymond James & Associates, Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 31, 2017 | Jan 18, 2017 |
| Shane Ellingson | Raymond James & Associates, Inc. national BD | 1st Global Advisors Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2017 | Nov 28, 2018 (667 d) |
| Matthew James Quigley | Raymond James & Associates, Inc. national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Jan 26, 2017 | Jan 24, 2017 |
| Herbert Warren Means | Raymond James & Associates, Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 18, 2017 | Jan 23, 2017 |
| Michael Joseph Donofrio | Raymond James & Associates, Inc. national BD | Kovack Advisors, Inc. other | Other | Jan 18, 2017 | Jan 27, 2017 |
| Tamekia Yolanda Thompson | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Jan 18, 2017 | Jan 24, 2017 |
| Annette Jean Allison-Campbell | Raymond James & Associates, Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jan 11, 2017 | Apr 20, 2017 (99 d) |
| Todd Steven Mackler | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 5, 2017 | Jan 3, 2017 |
| Ronald Loyd Richardson | Raymond James & Associates, Inc. national BD | Vista Investment Partners LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 31, 2016 | Mar 25, 2017 (84 d) |
| Kimberly Ellen Arthur | Raymond James & Associates, Inc. national BD | Vista Investment Partners LLC other | Other | Dec 31, 2016 | Mar 30, 2017 (89 d) |
| Luis Jacob Alayo Riera | Raymond James & Associates, Inc. national BD | Sb Advisory, LLC other | Other | Dec 27, 2016 | Jun 2, 2017 (157 d) |
| Michael Andrew Tutcher | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Dec 22, 2016 | Jan 27, 2017 (36 d) |
| Edward Craig Wingrove | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Dec 16, 2016 | Dec 5, 2016 |
| Debra Delgiudice Hanaford | Raymond James & Associates, Inc. national BD | Comerica Securities other | Other | Dec 16, 2016 | Jun 1, 2017 (167 d) |
| Jonathan Ament | Raymond James & Associates, Inc. national BD | Powell Wealth other | Other | Dec 7, 2016 | Mar 15, 2017 (98 d) |
| Ashley Marie Gegenwarth | Raymond James & Associates, Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 7, 2016 | Dec 16, 2016 |
| Philip Michael Faulk | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Dec 6, 2016 | Feb 10, 2017 (66 d) |
| Ann Adair Connolly | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Dec 6, 2016 | Dec 5, 2016 |
| Rose Wayne | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 5, 2016 | Dec 5, 2016 |
| Stephen C Anderson | Raymond James & Associates, Inc. national BD | Securian Financial Services, Inc. other | Other | Dec 2, 2016 | Dec 19, 2016 |
| Guy Murray | Raymond James & Associates, Inc. national BD | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | Nov 30, 2016 | Jul 21, 2026 (3520 d) |
| Amanda Jenkins | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 30, 2016 | Nov 30, 2016 |
| James Bradley Gibbs | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Nov 28, 2016 | Dec 5, 2016 |
| Michael Charles Kovaleski | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 21, 2016 | Oct 24, 2016 |
| Tedra J Scott | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 17, 2016 | Nov 23, 2016 |
| William Albert D Blase | Raymond James & Associates, Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 17, 2016 | Dec 9, 2016 |
| Michael Lawrence Agee | Raymond James & Associates, Inc. national BD | Strategic Advisory Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 11, 2016 | Jan 1, 2025 (2973 d) |
| Victoria Terralea Lepore | Raymond James & Associates, Inc. national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2016 | Nov 19, 2021 (1835 d) |
| Nicholas Alan Slater | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Nov 10, 2016 | Dec 7, 2016 |
| Christine Rae Woollard | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Nov 9, 2016 | Nov 10, 2016 |
| Carl Jefferson Davis | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Nov 1, 2016 | Nov 14, 2016 |
| John Elmo Thorsen | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 1, 2016 | Oct 25, 2016 |
| Eric Nicholas Eiler | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Nov 1, 2016 | Nov 10, 2016 |