| Joseph William Feinberg | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 19, 2015 | Feb 10, 2025 (3341 d) |
| Tamara Megan Stein | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Dec 19, 2015 | Dec 17, 2015 |
| Peter Hexter Riskind | New Vernon Wealth Management LLC other | Hightower Advisors, LLC other | Other | Nov 3, 2015 | Aug 18, 2015 |
| Melissa Anderson Duffy | LPL Financial LLC other | Hightower Advisors, LLC other | Other | Sep 9, 2015 | Aug 27, 2015 |
| Paige Elizabeth Batchelder | LPL Financial LLC other | Hightower Advisors, LLC other | Other | Sep 9, 2015 | Aug 27, 2015 |
| Jeffrey R Lagusch | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Aug 27, 2015 | Aug 21, 2015 |
| Don Brian Saulic | MML Investors Services, LLC other | Hightower Advisors, LLC BD affiliated | Other | Aug 4, 2015 | Apr 11, 2025 (3538 d) |
| Brendan Michael Sullivan | Charles Schwab & Co., Inc. national BD | Hightower Advisors, LLC other | Other | Jul 28, 2015 | Aug 3, 2015 |
| Michelle Lenae Murray | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Jul 22, 2015 | Jul 23, 2015 |
| Joseph Michael West | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Jul 22, 2015 | Jul 14, 2015 |
| Leah Jane Jones | Citigroup Global Markets Inc. other | Hightower Advisors, LLC other | Other | May 22, 2015 | May 11, 2015 |
| Marta Ewa Jankowski | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 20, 2015 | Jul 2, 2015 (43 d) |
| Isabel Katarzyna Chudzik | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Apr 30, 2015 | Apr 27, 2015 |
| Carol Beth Nulman | Oppenheimer & Co. Inc. other | Hightower Advisors, LLC other | Other | Apr 20, 2015 | Apr 17, 2015 |
| Brian Thomas Szytel | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 15, 2015 | Jan 5, 2026 (3918 d) |
| Robert Eastridge Graham | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Apr 15, 2015 | Apr 3, 2015 |
| Deiya Pernas | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Apr 15, 2015 | Apr 3, 2015 |
| Kimberlee Ann Davis | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 15, 2015 | Jan 1, 2026 (3914 d) |
| David Lyle Bahnsen | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 14, 2015 | Jan 31, 2025 (3580 d) |
| Brian Seth Crawley | Sparrow Wealth Management other | Hightower Advisors, LLC other | Other | Apr 8, 2015 | Jul 5, 2016 (454 d) |
| Larry Lars Knudsen | Triad other | Hightower Advisors, LLC other | Other | Jan 29, 2015 | Jul 28, 2014 |
| Daniel Todd Stober | Triad other | Hightower Advisors, LLC other | Other | Jan 29, 2015 | Jul 25, 2014 |
| Randall Williams-Gurian | Triad other | Hightower Advisors, LLC other | Other | Jan 29, 2015 | Jul 25, 2014 |
| Peter M Byrne | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 13, 2015 | Mar 18, 2021 (2256 d) |
| Spencer Norman Betts | Dietz & Lynch Capital unclassified | Hightower Advisors, LLC BD affiliated | Other | Dec 31, 2014 | Apr 5, 2023 (3017 d) |
| Andrew Harrison Betts | Dietz & Lynch Capital unclassified | Hightower Advisors, LLC BD affiliated | Other | Dec 31, 2014 | Apr 5, 2023 (3017 d) |
| Eric Henes Schoener | M&T Securities, Inc. unclassified | Hightower Advisors, LLC other | Other | Dec 26, 2014 | Dec 17, 2014 |
| Douglas George Conklin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 9, 2014 | Jan 19, 2026 (4059 d) |
| Anthony Richard Surber | Invest Financial Corporation other | Hightower Advisors, LLC other | Other | Nov 3, 2014 | May 27, 2015 (205 d) |
| Thomas M. Regan | Lenox Wealth Management, Inc. other | Hightower Advisors, LLC other | Other | Oct 9, 2014 | Sep 25, 2015 (351 d) |
| William Bartly Wolf | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 2, 2014 | Jan 13, 2026 (4151 d) |
| Ethan Collins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Sep 2, 2014 | Sep 5, 2014 |
| Steven Kuzmanoski | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Sep 2, 2014 | Sep 2, 2014 |
| Chad Jeremy Wilson | Psa Financial Advisors Inc other | Hightower Advisors, LLC other | Other | Aug 25, 2014 | Aug 22, 2014 |
| Jania Elaine Stout | Psa Financial Advisors Inc other | Hightower Advisors, LLC other | Other | Aug 19, 2014 | Aug 15, 2014 |
| Pamela Lynn Abraham | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Aug 12, 2014 | Oct 26, 2016 (806 d) |
| Jack Edward Thomas | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Aug 12, 2014 | Oct 6, 2014 (55 d) |
| Benita Hayden Alstatt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Aug 12, 2014 | Aug 8, 2014 |
| Mathew Verrengia | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Aug 12, 2014 | Oct 13, 2014 (62 d) |
| Trevor R Swartz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2014 | Jan 1, 2025 (3795 d) |
| Robert D Warren | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Aug 5, 2014 | Jul 25, 2014 |
| Cheryl D. Callahan | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Jun 25, 2014 | Jun 30, 2014 |
| Jason B. Ezzell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 27, 2014 | Jan 16, 2025 (3887 d) |
| Alec Weston Fisher | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 27, 2014 | May 27, 2014 |
| Joel Jason Guth | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | May 19, 2014 | May 5, 2014 |
| Catherine Zweig Cory | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | May 14, 2014 | May 2, 2014 |
| Angelo Manzo | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | May 14, 2014 | May 2, 2014 |
| Jason Michael Edelson | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | Apr 29, 2014 | Apr 25, 2014 |
| Brian Matthew Sabo | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | Apr 28, 2014 | Apr 25, 2014 |
| John David Morgan | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | Apr 28, 2014 | Apr 25, 2014 |
| Lynette Sue Jones | Advice And Planning Services other | Hightower Advisors, LLC other | Other | Mar 7, 2014 | Mar 17, 2014 |
| Jeffrey Scott Vogel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 25, 2014 | Mar 18, 2021 (2578 d) |
| Ruth Elise Berger | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 25, 2014 | Mar 18, 2021 (2578 d) |
| Sadie Patrice Lanzet | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 25, 2014 | Mar 18, 2021 (2578 d) |
| Christopher Dicostanzi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 25, 2014 | Mar 18, 2021 (2578 d) |
| Amanda Rae Plonski | U.S. Financial Advisors other | Hightower Advisors, LLC other | Other | Feb 20, 2014 | Feb 20, 2014 |
| Rodolfo Razo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Feb 18, 2014 | Mar 14, 2014 |
| Christine M Torrey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 26, 2013 | Jan 6, 2026 (4424 d) |
| Karman Tong | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Nov 26, 2013 | Nov 25, 2013 |
| Laurie Carol Kamhi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 26, 2013 | Mar 18, 2021 (2669 d) |