| Sean Cavanaugh Byers | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 22, 2018 | May 18, 2018 |
| Steven Vincent Gelber | Cwm, LLC independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 20, 2018 | May 31, 2018 (41 d) |
| Sharon Ann Lolk | Advice And Planning Services BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2018 | Apr 12, 2018 |
| Dana G Hastings | Prosperity Capital Advisors independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 5, 2018 | Jun 19, 2019 (440 d) |
| Andrew North Olivier | Novi Wealth Partners other | Hightower Advisors, LLC BD affiliated | Other | Mar 22, 2018 | Jan 21, 2026 (2862 d) |
| Grove Newhard Mower | Wintrust Investments other | Hightower Advisors, LLC BD affiliated | Other | Mar 13, 2018 | Feb 16, 2018 |
| Ryan Jeffrey Ross | Wintrust Investments other | Hightower Advisors, LLC BD affiliated | Other | Mar 13, 2018 | Feb 16, 2018 |
| Mary Archer Moon | Charles Schwab & Co., Inc. national BD | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2018 | Mar 20, 2018 |
| Robert Marion Strickland | Truist Advisory Services, Inc. other | Hightower Advisors, LLC BD affiliated | Other | Feb 2, 2018 | May 3, 2018 (90 d) |
| Michael Steven Policar | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 18, 2018 | Feb 21, 2018 (34 d) |
| Bryant Gene Merryman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 16, 2018 | Jan 17, 2018 |
| Zachary Ungerott | LPL Financial LLC independent RIA | Hightower Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 22, 2017 | Nov 7, 2017 |
| Kyle David Felske | Lwi Financial Inc. other | Hightower Advisors, LLC BD affiliated | Other | Nov 6, 2017 | Jan 1, 2025 (2613 d) |
| Zachary Ungerott | Rfg Advisory, LLC other | Hightower Advisors, LLC BD affiliated | Other | Oct 26, 2017 | Nov 7, 2017 |
| Joanne Marie Laessig | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Oct 23, 2017 | Oct 25, 2017 |
| Lindsay K Mills | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Oct 10, 2017 | Oct 6, 2017 |
| Ryan Austria Verfurth | Bny Mellon Securities Corporation other | Hightower Advisors, LLC BD affiliated | Other | Sep 22, 2017 | Feb 5, 2019 (501 d) |
| Thomas Patrick Olexa | Efg Advisors, LLC unclassified | Hightower Advisors, LLC BD affiliated | Other | Sep 21, 2017 | Feb 16, 2023 (1974 d) |
| Gregory Lee Burks | Edward Jones national BD | Hightower Advisors, LLC other | Other | Sep 5, 2017 | Oct 25, 2017 (50 d) |
| Andrew James Hill | Truist Advisory Services, Inc. other | Hightower Advisors, LLC other | Other | Aug 25, 2017 | Sep 13, 2017 |
| Christina Urbini Andrzejewski | Truist Advisory Services, Inc. other | Hightower Advisors, LLC BD affiliated | Other | Aug 25, 2017 | Dec 21, 2017 (118 d) |
| Natalie Perdomo | Truist Advisory Services, Inc. other | Hightower Advisors, LLC BD affiliated | Other | Aug 25, 2017 | Dec 21, 2017 (118 d) |
| Kara Coville Boyd | Old North State Trust, LLC other | Hightower Advisors, LLC BD affiliated | Other | Aug 14, 2017 | Feb 1, 2019 (536 d) |
| Ryan Barge Green | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Aug 3, 2017 | Aug 8, 2017 |
| David Ashley Tucker | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Aug 2, 2017 | Aug 1, 2017 |
| Louis A Perino | Park Avenue Securities LLC other | Hightower Advisors, LLC other | Other | Jul 28, 2017 | Jun 28, 2017 |
| Michelle Lynn Taylor | Charles Schwab & Co., Inc. national BD | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 19, 2017 | Jun 19, 2019 (700 d) |
| Joseph Keyes Nelson | Blackrock Financial Management, Inc other | Hightower Advisors, LLC BD affiliated | Other | Jul 11, 2017 | Jun 27, 2019 (716 d) |
| Thomas Michael White | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Jun 19, 2017 | Jun 30, 2017 |
| Patrick M Dugan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 24, 2017 | Jul 12, 2017 (49 d) |
| Thomas X Parker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 23, 2017 | Sep 1, 2017 (101 d) |
| Thomas Xavier Parker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 22, 2017 | Sep 15, 2017 (116 d) |
| Paul Dulin Spencer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 22, 2017 | Jul 12, 2017 (51 d) |
| William Anthony Mercer | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | May 16, 2017 | May 5, 2017 |
| Heidi R Reyes | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | May 15, 2017 | Apr 21, 2017 |
| Jack T. T York | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | May 2, 2017 | Apr 21, 2017 |
| Carolyn Kay Hall | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | May 2, 2017 | May 1, 2017 |
| Mark F Burns | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | May 2, 2017 | May 1, 2017 |
| Robert Danson Forest | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | May 2, 2017 | Apr 21, 2017 |
| Marion Todd Baker | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 2, 2017 | Jan 29, 2025 (2829 d) |
| Bradley Scott Harvey | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | May 2, 2017 | Apr 21, 2017 |
| Jordann Andrusiak | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 2, 2017 | Jan 2, 2026 (3167 d) |
| Eric Matthew Nahat | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | May 2, 2017 | May 1, 2017 |
| Lanna Lynn Schroeder | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Apr 26, 2017 | Apr 21, 2017 |
| Alex Garner Mcdonald | Omnistar Financial Group, Inc. other | Hightower Advisors, LLC other | Other | Apr 26, 2017 | May 3, 2017 |
| James R Young | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Apr 24, 2017 | Apr 21, 2017 |
| Thomas Dante Volpini | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 18, 2017 | May 29, 2019 (771 d) |
| Derek Lynn Bock | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 18, 2017 | Mar 18, 2021 (1430 d) |
| Douglas Baker Littlewood | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 18, 2017 | Jun 5, 2019 (778 d) |
| Kerry E Chambers | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Apr 5, 2017 | Apr 21, 2017 |
| Deborah Jean Frazier | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 4, 2017 | Jun 21, 2019 (808 d) |
| Neal David Furlong | V Wealth Advisors LLC other | Hightower Advisors, LLC other | Other | Mar 24, 2017 | Mar 28, 2017 |
| Omar R Qureshi | V Wealth Advisors LLC other | Hightower Advisors, LLC other | Other | Mar 24, 2017 | Mar 24, 2017 |
| Brian Daniel Copeland | V Wealth Advisors LLC other | Hightower Advisors, LLC other | Other | Mar 24, 2017 | Mar 24, 2017 |
| Laura Jeanne Boedges | V Wealth Advisors LLC other | Hightower Advisors, LLC other | Other | Mar 24, 2017 | Mar 24, 2017 |
| David Raymond Hartness | Irongate Partners, Inc. other | Hightower Advisors, LLC other | Other | Mar 21, 2017 | Oct 28, 2016 |
| Christopher Scott Jones | Irongate Partners, Inc. other | Hightower Advisors, LLC other | Other | Mar 21, 2017 | Oct 28, 2016 |
| Lil Minton Mercer | Irongate Partners, Inc. other | Hightower Advisors, LLC other | Other | Mar 21, 2017 | Oct 28, 2016 |
| Cleve Ericson Nordeen | Irongate Partners, Inc. other | Hightower Advisors, LLC other | Other | Mar 21, 2017 | Oct 28, 2016 |
| James Evan Cumalander | Irongate Partners, Inc. other | Hightower Advisors, LLC other | Other | Mar 21, 2017 | Oct 28, 2016 |