| Kevin Michael Cuff | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Feb 21, 2012 | Feb 17, 2012 |
| Michael R Hoffman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Feb 21, 2012 | Feb 17, 2012 |
| James Jay Hausberg | Presidio Capital Advisors LLC other | Hightower Advisors, LLC BD affiliated | Other | Feb 21, 2012 | Jan 1, 2026 (5063 d) |
| Darren Alan Evans | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Feb 7, 2012 | Jan 23, 2012 |
| Jonathan C Lamar | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jan 6, 2012 | Jan 4, 2012 |
| Jeffrey Scott Greer | Cypress Capital Group other | Hightower Advisors, LLC other | Other | Nov 14, 2011 | Aug 12, 2010 |
| Stuart J Riemer | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 12, 2011 | Mar 18, 2021 (3445 d) |
| Ann T Rieder | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Oct 10, 2011 | Oct 6, 2011 |
| Donald William Stellin | Stifel, Nicolaus & Company, Incorporated national BD | Hightower Advisors, LLC other | Other | Oct 10, 2011 | Nov 21, 2011 (42 d) |
| Jacqueline Lonnerdal | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 28, 2011 | Jan 1, 2025 (4844 d) |
| Jeffrey Elliott Leventhal | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Sep 27, 2011 | Sep 21, 2011 |
| Evan Ives Nowack | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 27, 2011 | Jan 28, 2025 (4872 d) |
| Kristina Adelaide Palangi | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Sep 27, 2011 | Sep 16, 2011 |
| Maggie Shriver | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Aug 2, 2011 | Aug 3, 2011 |
| Stephen Peter Wathen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Aug 2, 2011 | Aug 3, 2011 |
| David William Karp | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Aug 2, 2011 | Jul 29, 2011 |
| Ashley Anne Galvin | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jul 29, 2011 | Jul 8, 2011 |
| Richard William Weeks IV | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jul 27, 2011 | Jul 8, 2011 |
| John Miller Verfurth | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jul 27, 2011 | Jul 8, 2011 |
| Jeffrey Scott Grinspoon | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jul 27, 2011 | Jul 8, 2011 |
| Michelle Kuzma Kempf | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jul 27, 2011 | Jul 8, 2011 |
| Suzanne Winona Berringer | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jul 25, 2011 | Jul 8, 2011 |
| Robert Lawrence Schein | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 3, 2011 | Jan 27, 2025 (4987 d) |
| Brian Paul Amidei | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 3, 2011 | Apr 29, 2011 |
| Joseph Giorgio Romano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 3, 2011 | Apr 29, 2011 |
| Brett Carlton D'Orlando | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 3, 2011 | Apr 29, 2011 |
| Augustino Suafoa | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 3, 2011 | May 3, 2011 |
| Michael Dean Nestman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 3, 2011 | May 3, 2011 |
| Mark David Lofgren | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Mar 23, 2011 | May 6, 2011 (44 d) |
| Mark W Masterson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Mar 23, 2011 | May 2, 2011 (40 d) |
| David Anaclethe Emma | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Mar 23, 2011 | May 6, 2011 (44 d) |
| Grey M Terry | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Feb 24, 2011 | Feb 18, 2011 |
| Michael Simmons | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Feb 22, 2011 | Feb 18, 2011 |
| Michael Anthony Morgia | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 13, 2010 | Feb 14, 2021 (3716 d) |
| Evan Wirkkala | Convergent Wealth Advisors, LLC other | Hightower Advisors, LLC BD affiliated | Other | Nov 30, 2010 | Oct 1, 2025 (5419 d) |
| Dean Riley Moody | Morgan Keegan & Company, LLC other | Hightower Advisors, LLC BD affiliated | Other | Nov 23, 2010 | May 14, 2026 (5651 d) |
| Chris F Parker | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Nov 1, 2010 | Oct 27, 2010 |
| Michael Eugene Deggelman | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Nov 1, 2010 | Oct 26, 2010 |
| Thomas Joseph Mcguirk | Martin Thomas Wealth Management unclassified | Hightower Advisors, LLC other | Other | Sep 27, 2010 | Sep 28, 2010 |
| Michael Antoni Denevi | Martin Thomas Wealth Management unclassified | Hightower Advisors, LLC other | Other | Sep 27, 2010 | Sep 27, 2010 |
| Michael Paul Parker | LPL Financial LLC other | Hightower Advisors, LLC other | Other | Sep 13, 2010 | Sep 15, 2010 |
| Robert C White | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 16, 2010 | Mar 18, 2021 (3867 d) |
| Justin Edward Towey | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 13, 2010 | Mar 18, 2021 (3870 d) |
| Andrew Richard Morse | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 13, 2010 | Mar 18, 2021 (3870 d) |
| Susan Daly | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Jun 10, 2010 | May 28, 2010 |
| Russell Swift Sims | Riverpoint Capital Management, Inc. other | Hightower Advisors, LLC BD affiliated | Other | Apr 28, 2010 | Jul 17, 2020 (3733 d) |
| Anne Hawley | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Apr 14, 2010 | Mar 22, 2010 |
| Barnaby Jason Levin | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Apr 13, 2010 | Jan 7, 2013 (1000 d) |
| Steven Michael Ayer | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Mar 12, 2010 | Feb 12, 2010 |
| Douglas Joseph Messina | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Mar 12, 2010 | Feb 12, 2010 |
| Angela Crilly Grannan | Chase Investment Services Corp. other | Hightower Advisors, LLC BD affiliated | Other | Feb 4, 2010 | Jul 23, 2019 (3456 d) |
| Carmine Pezzella | Realta Investment Advisors, Inc other | Hightower Advisors, LLC other | Other | Nov 3, 2009 | Oct 13, 2009 |
| Steven Michael Tresnan | Ameriprise Financial Services, LLC national BD | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2009 | Mar 18, 2021 (4159 d) |
| William George Hains | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Sep 4, 2009 | Nov 17, 2010 (439 d) |
| Matthew Bryan Harvey | Woodbury Financial Services, Inc. other | Hightower Advisors, LLC other | Other | Jul 23, 2009 | Jul 21, 2009 |
| David John D'Amico | J.P. Morgan Securities LLC wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 28, 2009 | Mar 18, 2021 (4312 d) |
| Richard Scott Saperstein | J.P. Morgan Securities LLC wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 22, 2009 | Mar 18, 2021 (4318 d) |
| Blair Alan Anderson | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Mar 4, 2009 | Feb 28, 2014 (1822 d) |
| Richard Manuel Rosa | Eastern Athletic Referral Systems, LLC unclassified | Hightower Advisors, LLC other | Other | Dec 31, 2008 | Oct 27, 2015 (2491 d) |
| David Edgar Wisehaupt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Dec 16, 2008 | Jun 30, 2009 (196 d) |