| Tyler E Degeneffe | MML Investors Services, LLC other | Esi Financial Advisors other | Other | Aug 10, 2017 | Aug 7, 2017 |
| Edward Bruno Degeneffe | MML Investors Services, LLC other | Esi Financial Advisors other | Other | Aug 10, 2017 | Aug 7, 2017 |
| Steven Charles Foerschl | MML Investors Services, LLC other | Esi Financial Advisors other | Other | Aug 9, 2017 | Aug 25, 2017 |
| Gayle Marie Jendzejec | Lifetime Advisors Group unclassified | Esi Financial Advisors other | Other | Aug 2, 2017 | Sep 5, 2017 (34 d) |
| Brenda Louise Bridges | Equitable Advisors, LLC national BD | Esi Financial Advisors other | Other | Aug 2, 2017 | Aug 11, 2017 |
| George Chiu | Ameritas Advisory Services other | Esi Financial Advisors other | Other | Jul 28, 2017 | Jul 10, 2017 |
| Jenning Chenyin Chen | Ameritas Advisory Services other | Esi Financial Advisors other | Other | Jul 27, 2017 | Jul 12, 2017 |
| Janice Lang | Ameritas Advisory Services other | Esi Financial Advisors other | Other | Jul 24, 2017 | Jul 10, 2017 |
| John Joseph Cunningham | Boston Harbor Investment Management state registered | Esi Financial Advisors other | Other | Jun 2, 2017 | Aug 29, 2017 (88 d) |
| Cynthia Denise Reavis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Esi Financial Advisors other | Other | May 2, 2017 | May 10, 2017 |
| Frances Worthington | MML Investors Services, LLC other | Esi Financial Advisors other | Other | Mar 24, 2017 | Jul 27, 2017 (125 d) |
| James Michael Hunt | Morgan Stanley wirehouse | Esi Financial Advisors other | Other | Mar 6, 2017 | Mar 14, 2017 |
| Vincent Joseph Aimetti | Hornor, Townsend & Kent, LLC other | Esi Financial Advisors BD affiliated | Other | Mar 2, 2017 | Apr 5, 2021 (1495 d) |
| Stephen Lawrence Mathiason | Ameritas Advisory Services other | Esi Financial Advisors other | Other | Jan 13, 2017 | Jan 12, 2017 |
| Alicia Majeski | Strategic Advisers LLC national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2017 | Jun 26, 2018 (531 d) |
| Lawrence James Roemer | Signator Investors, Inc. other | Esi Financial Advisors other | Other | Dec 31, 2016 | Apr 19, 2017 (109 d) |
| Romonia Bradford Lee | Transamerica Financial Advisors, LLC other | Esi Financial Advisors BD affiliated | Other | Dec 31, 2016 | Jan 2, 2019 (732 d) |
| Daniel Robert Moruzzi | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Dec 7, 2016 | Dec 8, 2016 |
| Thomas Joseph Barbaccia | Osaic Fa, Inc. other | Esi Financial Advisors other | Other | Oct 21, 2016 | Jan 10, 2017 (81 d) |
| Scott Richard Solod | Santander Securities other | Esi Financial Advisors other | Other | Oct 14, 2016 | Oct 26, 2016 |
| Anthony Wilfredo Arias | Cetera Advisors LLC other | Esi Financial Advisors other | Other | Oct 6, 2016 | Oct 12, 2016 |
| Timothy James Dunneback | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Sep 1, 2016 | Sep 9, 2016 |
| Michael Pain | Hsbc Securities (USA) Inc. other | Esi Financial Advisors other | Other | Aug 31, 2016 | May 18, 2017 (260 d) |
| Michael Patrick Previti | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Aug 26, 2016 | Sep 13, 2016 |
| Nicola Riverso | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Aug 2, 2016 | Aug 1, 2016 |
| Jeffrey Ira Friedrich | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Aug 2, 2016 | Aug 1, 2016 |
| Benjamin Gerald Zarzycki | Northwestern Mutual Investment Services,LLC no RAUM | Esi Financial Advisors BD affiliated | Other | Jul 7, 2016 | Jul 27, 2022 (2211 d) |
| Richard S Hyams | Msi Financial Services, Inc. other | Esi Financial Advisors BD affiliated | Other | Jun 2, 2016 | Jun 22, 2021 (1846 d) |
| Karlyn Brittany Grasso | Msi Financial Services, Inc. other | Esi Financial Advisors BD affiliated | Other | May 3, 2016 | Jun 22, 2021 (1876 d) |
| Carey Ann Yukich | Oneamerica Securities, Inc. other | Esi Financial Advisors other | Other | Mar 18, 2016 | Mar 25, 2016 |
| Aquilino Alfredo Mayo | Sagepoint Financial, Inc. other | Esi Financial Advisors other | Other | Mar 3, 2016 | Mar 9, 2016 |
| Rebecca Nassar Dunne | Hornor, Townsend & Kent, LLC other | Esi Financial Advisors other | Other | Feb 2, 2016 | Jul 20, 2016 (169 d) |
| Jon Michael Bartholomew | Cbiz Retirement Plan Advisory Services other | Esi Financial Advisors other | Other | Jan 15, 2016 | Sep 21, 2016 (250 d) |
| Tara Jean Showalter | Sagepoint Financial, Inc. other | Esi Financial Advisors other | Other | Jan 13, 2016 | Apr 29, 2016 (107 d) |
| Keith Jeffrey Maeder | Osaic Fa, Inc. other | Esi Financial Advisors other | Other | Jan 13, 2016 | Mar 20, 2017 (432 d) |
| Timothy Van Ryder | 1st Global Advisors Inc other | Esi Financial Advisors other | Other | Dec 23, 2015 | Feb 1, 2016 (40 d) |
| Jay William Weyers | Oneamerica Securities, Inc. other | Esi Financial Advisors other | Other | Nov 23, 2015 | Nov 24, 2015 |
| Scott S Mckeever | Oneamerica Securities, Inc. other | Esi Financial Advisors other | Other | Nov 23, 2015 | Nov 23, 2015 |
| Mary Elizabeth Specht | Morgan Stanley wirehouse | Esi Financial Advisors other | Other | Nov 19, 2015 | Nov 30, 2015 |
| Jonathan Andrew Hoffman | Concourse Financial Group Advisors other | Esi Financial Advisors other | Other | Oct 28, 2015 | Oct 26, 2015 |
| Samantha Brandon Beverley | Commonwealth Financial Network national BD | Esi Financial Advisors other | Other | Oct 19, 2015 | Sep 18, 2017 (700 d) |
| Bradley J. Hansing | Oneamerica Securities, Inc. other | Esi Financial Advisors other | Other | Oct 8, 2015 | Oct 28, 2015 |
| Neal O Regino | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Esi Financial Advisors other | Other | Sep 11, 2015 | Dec 10, 2015 (90 d) |
| Rodolfo Ernesto Rodriguez | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Sep 8, 2015 | Sep 29, 2015 |
| John David Flynn | Pruco Securities, LLC other | Esi Financial Advisors other | Other | Aug 17, 2015 | Aug 19, 2015 |
| Michael Puttmann | Formidable Asset Management, LLC other | Esi Financial Advisors independent RIA | Other | Jul 14, 2015 | Jun 20, 2025 (3629 d) |
| Vincent Mallon | J.P. Morgan Securities LLC wirehouse | Esi Financial Advisors other | Other | Jul 6, 2015 | Jan 21, 2016 (199 d) |
| Michael V Marino | Pruco Securities, LLC other | Esi Financial Advisors other | Other | Jun 5, 2015 | Jun 10, 2015 |
| Tyron Blake Draper | Equitable Advisors, LLC national BD | Esi Financial Advisors other | Other | Apr 30, 2015 | Apr 29, 2015 |
| Andrew James Nida | LPL Financial LLC other | Esi Financial Advisors other | Other | Apr 2, 2015 | Apr 1, 2015 |
| James Norman Riley | Lantern Wealth Advisors, LLC other | Esi Financial Advisors other | Other | Apr 1, 2015 | Apr 2, 2015 |
| John Henry Repass | Pks Investment Advisors LLC other | Esi Financial Advisors other | Other | Mar 16, 2015 | Mar 23, 2015 |
| Michael Sellitto | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Jan 20, 2015 | Mar 26, 2015 (65 d) |
| David Norman Jacowitz | Hornor, Townsend & Kent, LLC other | Esi Financial Advisors other | Other | Jan 15, 2015 | Jul 3, 2017 (900 d) |
| Schane Pierce Goheen | Pruco Securities, LLC other | Esi Financial Advisors other | Other | Jan 14, 2015 | Jan 12, 2015 |
| Peter Swansen | Msi Financial Services, Inc. other | Esi Financial Advisors BD affiliated | Other | Dec 23, 2014 | Jun 22, 2021 (2373 d) |
| Mark Paul De Guzman Juloya | Pruco Securities, LLC other | Esi Financial Advisors other | Other | Dec 23, 2014 | Jan 20, 2015 |
| Guy Abbott Alderdice | Msi Financial Services, Inc. other | Esi Financial Advisors other | Other | Dec 9, 2014 | Dec 10, 2014 |
| Steve Ray Mone | Edward Jones national BD | Esi Financial Advisors other | Other | Dec 9, 2014 | Apr 15, 2015 (127 d) |
| Charles Lewis Green | LPL Financial LLC other | Esi Financial Advisors other | Other | Nov 25, 2014 | May 8, 2015 (164 d) |