| Philip Vanpelt Gauntlett | Raymond James & Associates, Inc. national BD | Cetera Investment Advisers LLC other | Other | Jul 17, 2014 | Aug 22, 2014 (36 d) |
| John Austin Howle | Raymond James & Associates, Inc. national BD | Usca Ria LLC other | Other | Jul 14, 2014 | Aug 28, 2014 (45 d) |
| Chad A. Gardner | Raymond James & Associates, Inc. national BD | Pnc Managed Account Solutions, Inc. other | Other | Jul 7, 2014 | Jul 10, 2014 |
| Chad Faulkenberry | Raymond James & Associates, Inc. national BD | Schwab Wealth Advisory, Inc. other | Other | Jun 26, 2014 | Jul 23, 2014 |
| Glenn Samuel Frank | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 25, 2014 | Jun 17, 2014 |
| John James Mchale | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 19, 2014 | Jun 17, 2014 |
| Ryan Ashley Stewart | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 19, 2014 | Jun 17, 2014 |
| Scott Andrew Fraser | Raymond James & Associates, Inc. national BD | Essex National Securities, Inc. other | Other | Jun 18, 2014 | Jan 12, 2015 (208 d) |
| Bruce Wayne Haltinner | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 5, 2014 | Jun 3, 2014 |
| Ryan T Patrick | Raymond James & Associates, Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jun 4, 2014 | Jul 17, 2015 (408 d) |
| Glen Alan Rives | Raymond James & Associates, Inc. national BD | Mercer Global Advisors Inc. other | Other | Jun 2, 2014 | Mar 14, 2018 (1381 d) |
| Lang Adams | Raymond James & Associates, Inc. national BD | Transamerica Financial Advisors, LLC other | Other | May 29, 2014 | Jun 5, 2014 |
| Susan Therese Powers | Raymond James & Associates, Inc. national BD | LPL Financial LLC other | Other | May 27, 2014 | May 19, 2014 |
| Herbert Allan Landstreet | Raymond James & Associates, Inc. national BD | Cetera Investment Advisers LLC other | Other | May 27, 2014 | May 28, 2014 |
| William Long Lynch | Raymond James & Associates, Inc. national BD | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | May 23, 2014 | Aug 29, 2014 (98 d) |
| Elisabeth D Baldwin | Raymond James & Associates, Inc. national BD | Cetera Investment Advisers LLC other | Other | May 21, 2014 | May 27, 2014 |
| Dawne Boswell Rehm | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | May 19, 2014 | May 19, 2014 |
| Sadeer Thomas Jamil | Raymond James & Associates, Inc. national BD | Vima, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 8, 2014 | Mar 11, 2026 (4325 d) |
| Aaron Michael Gabriel | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | May 5, 2014 | May 6, 2014 |
| Elisa Cameron Maxwell | Raymond James & Associates, Inc. national BD | Bb&T Investment Services, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 5, 2014 | Jul 21, 2014 (77 d) |
| Sandra M. Williams | Raymond James & Associates, Inc. national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Apr 29, 2014 | Apr 23, 2014 |
| John Matsek | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Apr 28, 2014 | Apr 24, 2014 |
| Jared O Neal | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Apr 28, 2014 | May 9, 2014 |
| Todd Heinrich Brandstadt | Raymond James & Associates, Inc. national BD | Benjamin F. Edwards & Company, Incorporated other | Other | Apr 23, 2014 | Apr 21, 2014 |
| Wesley Kinross Pond | Raymond James & Associates, Inc. national BD | Suntrust Investment Services, Inc. other | Other | Apr 17, 2014 | Apr 24, 2014 |
| David Lee Hein | Raymond James & Associates, Inc. national BD | Envestnet Pmc other | Other | Apr 10, 2014 | Jul 31, 2017 (1208 d) |
| David Jay Raabe | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Apr 3, 2014 | May 6, 2014 (33 d) |
| Hugh Miller Arant | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Mar 31, 2014 | Apr 3, 2014 |
| David Belanger | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 26, 2014 | Jun 22, 2016 (819 d) |
| Michael D Snoeyink | Raymond James & Associates, Inc. national BD | Citizens Securities, Inc. other | Other | Mar 26, 2014 | May 25, 2017 (1156 d) |
| Bridget Adaline Alcide | Raymond James & Associates, Inc. national BD | Synovus Securities, Inc. other | Other | Mar 17, 2014 | Mar 31, 2014 |
| Mark Eric Saunders | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Mar 6, 2014 | Feb 25, 2014 |
| John Declan Schaefer | Raymond James & Associates, Inc. national BD | Pnc Managed Account Solutions, Inc. other | Other | Mar 6, 2014 | Apr 3, 2014 |
| Brooks Edward Tomblin | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 28, 2014 | Feb 17, 2014 |
| Darlene Marie Porter | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 24, 2014 | Feb 17, 2014 |
| Victoria Lynn Graham | Raymond James & Associates, Inc. national BD | Northwestern Mutual Investment Services,LLC other | Other | Feb 12, 2014 | Apr 4, 2014 (51 d) |
| Benjamin R Stacy | Raymond James & Associates, Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 5, 2014 | Jan 17, 2014 |
| Louis Isaac Dagen | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Feb 4, 2014 | Feb 5, 2014 |
| Robert Carter Lachney | Raymond James & Associates, Inc. national BD | Valic Financial Advisors, Inc. other | Other | Jan 27, 2014 | Feb 14, 2014 |
| Luis Roberto Prandini | Raymond James & Associates, Inc. national BD | LPL Financial LLC other | Other | Jan 23, 2014 | Jan 21, 2014 |
| Stephan Vasilios Choulos | Raymond James & Associates, Inc. national BD | LPL Financial LLC other | Other | Jan 22, 2014 | Jan 17, 2014 |
| Neil Robert Bradie | Raymond James & Associates, Inc. national BD | B. Riley Wealth Advisors, Inc. other | Other | Jan 15, 2014 | Sep 17, 2014 (245 d) |
| Richard F Colleoni | Raymond James & Associates, Inc. national BD | B Riley Wealth Management other | Other | Jan 15, 2014 | Jan 10, 2014 |
| Philip James Clark | Raymond James & Associates, Inc. national BD | Spc Financial Inc other | Other | Jan 14, 2014 | Jan 14, 2014 |
| Brock Edward Muller | Raymond James & Associates, Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 13, 2014 | Oct 31, 2017 (1387 d) |
| Matthew Joseph Marks | Raymond James & Associates, Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 8, 2014 | Jan 13, 2014 |
| Martin Lee Christopher | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 3, 2014 | Jan 21, 2014 |
| Gregory Kessler Jr | Raymond James & Associates, Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 31, 2013 | Apr 1, 2014 (91 d) |
| Jason Bert Frazier | Raymond James & Associates, Inc. national BD | Securian Financial Services, Inc. other | Other | Dec 31, 2013 | Jan 14, 2014 |
| April D Wallace | Raymond James & Associates, Inc. national BD | J P Turner & Company Capital Management, LLC other | Other | Dec 24, 2013 | Dec 20, 2013 |
| Richard Happle | Raymond James & Associates, Inc. national BD | Jaffe Tilchin Investment Partners, LLC other | Other | Dec 20, 2013 | Feb 10, 2014 (52 d) |
| John Ginsburg | Raymond James & Associates, Inc. national BD | Principal Securities, Inc. other | Other | Dec 20, 2013 | Nov 18, 2014 (333 d) |
| Barry Jay Dekreek | Raymond James & Associates, Inc. national BD | Merit Financial Advisors other | Other | Dec 20, 2013 | Dec 16, 2013 |
| Wanda Marie Decker | Raymond James & Associates, Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Dec 19, 2013 | Dec 16, 2013 |
| Stuart Preston Vaughn | Raymond James & Associates, Inc. national BD | Ssn Advisory, Inc. other | Other | Dec 16, 2013 | Dec 3, 2013 |
| Patrick Boyd Bryant | Raymond James & Associates, Inc. national BD | Allstate Financial Advisors, LLC no RAUM | Other | Dec 12, 2013 | Jan 23, 2014 (42 d) |
| Christopher Wilson Pfeifle | Raymond James & Associates, Inc. national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Dec 10, 2013 | Dec 2, 2013 |
| Staci Lynne Jackson | Raymond James & Associates, Inc. national BD | Independent Financial Partners other | Other | Dec 5, 2013 | Oct 21, 2015 (685 d) |
| Dale Lee Lehenbauer | Raymond James & Associates, Inc. national BD | Raymond James Financial Services Advisors, Inc other | Other | Nov 27, 2013 | Dec 5, 2013 |
| Emily Lauren Farrior | Raymond James & Associates, Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Nov 27, 2013 | Jan 2, 2015 (401 d) |