| Edick Antonio Lucas | 1st Global Advisors Inc other | Hornor, Townsend & Kent, LLC other | Other | Jul 12, 2004 | Jun 21, 2004 |
| Glenn Richard Toussaint | 1717 Capital Management Company unclassified | Hornor, Townsend & Kent, LLC other | Other | May 26, 2004 | May 25, 2004 |
| Richard Jason Levine | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | May 6, 2004 | May 6, 2004 |
| Scott William Cody | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | May 6, 2004 | May 6, 2004 |
| Phil L Jacobson | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | May 6, 2004 | May 12, 2004 |
| Keith Ryan Fisher | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | May 6, 2004 | May 12, 2004 |
| Ronald Christopher Lottridge | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | May 6, 2004 | May 6, 2004 |
| Jeffery Thomas Bonifacino | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Apr 14, 2004 | Apr 12, 2004 |
| John Lamar Norman | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Mar 16, 2004 | Apr 6, 2004 |
| John Wayne Ferguson | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Mar 1, 2004 | Apr 1, 2004 (31 d) |
| Michael Raspallo | Securian Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 26, 2004 | Mar 2, 2004 |
| Jason Bezanson Maples | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Feb 3, 2004 | Jan 28, 2004 |
| James Jay Person | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Feb 3, 2004 | Feb 3, 2004 |
| James Jackson Hill | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Jan 14, 2004 | Jan 20, 2004 |
| Christopher Michael Szymanski | The Advisors Group, Inc. unclassified | Hornor, Townsend & Kent, LLC other | Other | Dec 17, 2003 | Sep 26, 2007 (1379 d) |
| Michael Craig Waldow | Private Consulting Group, Inc. unclassified | Hornor, Townsend & Kent, LLC other | Other | Nov 19, 2003 | Feb 8, 2007 (1177 d) |
| Salvatore Mondello | Legend Advisory, LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 10, 2003 | Nov 12, 2003 |
| Daniel Peter Petrovich | Signator Investors, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Sep 19, 2003 | Mar 15, 2004 (178 d) |
| Brad Jedd Myers | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Sep 18, 2003 | Feb 17, 2004 (152 d) |
| James Peter Ryan | Signator Investors, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Aug 8, 2003 | Aug 20, 2003 |
| Catina Lashay Risper | UBS Financial Services Inc. wirehouse | Hornor, Townsend & Kent, LLC other | Other | Jul 11, 2003 | Mar 17, 2010 (2441 d) |
| Glenn David Guthrie | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Jul 8, 2003 | Mar 23, 2004 (259 d) |
| Michael Francis Egan | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Jul 7, 2003 | Mar 16, 2005 (618 d) |
| Ronald James Duswalt | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2003 | Mar 19, 2021 (6485 d) |
| Vernon Delaney Hobbs | Ameriprise Financial Services, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Mar 13, 2003 | Jul 24, 2003 (133 d) |
| Philip Stone Morgan | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 6, 2003 | Mar 17, 2003 |
| Kristian Heinz Lehner | Principal Securities, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 28, 2003 | Mar 17, 2003 |
| Michael Politowicz | Esi Financial Advisors other | Hornor, Townsend & Kent, LLC other | Other | Feb 12, 2003 | May 13, 2003 (90 d) |
| Thomas J. Olbrich | 1717 Capital Management Company unclassified | Hornor, Townsend & Kent, LLC other | Other | Feb 11, 2003 | Mar 5, 2003 |
| James Anthony Bartow | 1717 Capital Management Company unclassified | Hornor, Townsend & Kent, LLC other | Other | Feb 11, 2003 | Mar 5, 2003 |
| Louis Thomas Barberio | 1717 Capital Management Company unclassified | Hornor, Townsend & Kent, LLC other | Other | Feb 5, 2003 | Feb 6, 2003 |
| Kelly Stecklein | Wells Fargo Investments, LLC unclassified | Hornor, Townsend & Kent, LLC other | Other | Jan 21, 2003 | Nov 19, 2004 (668 d) |
| Amedeo James Granata | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2002 | Mar 19, 2021 (6653 d) |
| Gianna Marie Kennedy | Lockwood Financial Services, Inc. unclassified | Hornor, Townsend & Kent, LLC other | Other | Dec 31, 2002 | Jul 19, 2004 (566 d) |
| Jason S Weisz | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2002 | Jun 22, 2020 (6383 d) |
| Rick Walter Campbell | Prudential Retirement Brokerage Services, Inc. unclassified | Hornor, Townsend & Kent, LLC other | Other | Dec 19, 2002 | Jan 3, 2003 |
| Shane Parker Christiansen | Strategic Advisers LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Nov 12, 2002 | Mar 6, 2003 (114 d) |
| Jason Lee Barney | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Oct 1, 2002 | Oct 24, 2002 |
| Lee M Gottlieb | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Sep 4, 2002 | Jun 9, 2004 (644 d) |