| Salvatore Mondello | Osaic Fa, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 14, 2013 | Nov 22, 2013 |
| Maureen W Decker | Fiduciary Asset Management LLC other | Hornor, Townsend & Kent, LLC BD affiliated | Other | Nov 5, 2013 | Oct 20, 2020 (2541 d) |
| Derek Nelson | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Hornor, Townsend & Kent, LLC independent RIA | Other | Oct 31, 2013 | Apr 30, 2026 (4564 d) |
| Davita Pray | H. Beck, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Oct 23, 2013 | Jul 15, 2014 (265 d) |
| Joseph Peter Pilla | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Oct 21, 2013 | Oct 23, 2013 |
| Kent P Von Der Vellen | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | Oct 15, 2013 | Oct 21, 2013 |
| David Norman Jacowitz | Eagle Strategies LLC other | Hornor, Townsend & Kent, LLC other | Other | Oct 10, 2013 | Mar 27, 2014 (168 d) |
| Adam J Skot | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Oct 8, 2013 | Oct 16, 2013 |
| Kyle Carrocino | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Oct 8, 2013 | Oct 16, 2013 |
| Ravishankar Balasubramaniam | Wells Fargo Advisors wirehouse | Hornor, Townsend & Kent, LLC other | Other | May 30, 2013 | Jan 22, 2014 (237 d) |
| John Thomas Conte | Eagle Strategies LLC other | Hornor, Townsend & Kent, LLC BD affiliated | Other | May 20, 2013 | Jan 8, 2020 (2424 d) |
| Bryce Martin | Edward Jones national BD | Hornor, Townsend & Kent, LLC other | Other | May 3, 2013 | Oct 31, 2013 (181 d) |
| Craig John Schafer | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Apr 19, 2013 | Jul 5, 2013 (77 d) |
| Robert Paul Wilson | LPL Financial LLC other | Hornor, Townsend & Kent, LLC other | Other | Mar 20, 2013 | Apr 12, 2013 |
| Michele Mongilutz Burkholder | MML Investors Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | Feb 21, 2013 | Mar 6, 2013 |
| David Lee Kunhardt | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Jan 23, 2013 | Jun 29, 2013 (157 d) |
| Timothy Nolan Donahue | 1914 Advisors other | Hornor, Townsend & Kent, LLC other | Other | Jan 18, 2013 | Feb 12, 2013 |
| Steven D Barbesh | Alliancebernstein L.P. other | Hornor, Townsend & Kent, LLC other | Other | Jan 7, 2013 | Mar 28, 2013 (80 d) |
| Neeraj Agarwal | Waddell & Reed other | Hornor, Townsend & Kent, LLC other | Other | Jan 3, 2013 | Jan 24, 2013 |
| Mary Smith Mcmahon | Pruco Securities, LLC other | Hornor, Townsend & Kent, LLC other | Other | Dec 20, 2012 | Apr 12, 2013 (113 d) |
| Lena Mccall Meredith | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Dec 13, 2012 | Apr 1, 2013 (109 d) |
| George Howard Beck | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Dec 7, 2012 | Dec 6, 2012 |
| John Caserta | MML Investors Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 30, 2012 | Jan 15, 2013 (46 d) |
| Daniel Mark Smith | Waddell & Reed other | Hornor, Townsend & Kent, LLC other | Other | Nov 27, 2012 | Mar 13, 2014 (471 d) |
| Robert Todd Valleau | Northwestern Mutual Investment Services,LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 21, 2012 | Jan 10, 2013 (50 d) |
| Thomas P Wilson | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 16, 2012 | Apr 10, 2013 (145 d) |
| Nathan Lee Price | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 5, 2012 | May 13, 2013 (189 d) |
| Gary Paul Johanson | Signator Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 1, 2012 | Jan 15, 2013 (75 d) |
| Gary Allen Harris | Nfp Advisor Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | Oct 29, 2012 | Mar 27, 2013 (149 d) |
| Kimberly Viner Place | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Oct 24, 2012 | Nov 2, 2012 |
| Stuart Franklin Gray | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Oct 23, 2012 | May 22, 2013 (211 d) |
| James Howard Meaders | Foresters Equity Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Aug 27, 2012 | Mar 31, 2014 (581 d) |
| Anthony Paul Hernandez | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Aug 15, 2012 | Mar 5, 2014 (567 d) |
| William Pack Holmes | Estate Strategies, Inc. unclassified | Hornor, Townsend & Kent, LLC other | Other | Jul 12, 2012 | Nov 5, 2003 |
| Jonathan Wardenburg | Securian Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Jul 5, 2012 | Nov 5, 2012 (123 d) |
| Travis Matthew Ewell | Securian Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | May 25, 2012 | Jul 17, 2012 (53 d) |
| David Michael Chaney | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | May 10, 2012 | Jan 29, 2013 (264 d) |
| Michael Dean Pendergrass | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | May 10, 2012 | May 21, 2012 |
| Thomas Edward Landy | Cetera Advisor Networks LLC other | Hornor, Townsend & Kent, LLC other | Other | Apr 17, 2012 | May 8, 2012 |
| Richard F Micliz | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 20, 2012 | May 29, 2012 (70 d) |
| Barbara Rose Davis | Concourse Financial Group Advisors other | Hornor, Townsend & Kent, LLC BD affiliated | Other | Feb 29, 2012 | Jan 8, 2019 (2505 d) |
| Scott A Lowe | MML Investors Services, LLC other | Hornor, Townsend & Kent, LLC other | Other | Feb 9, 2012 | Apr 3, 2012 (54 d) |
| Larry Jamie Mcgrory | Signator Investors, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Feb 3, 2012 | Feb 3, 2012 |
| John Thomas Holcombe | Wells Fargo Advisors wirehouse | Hornor, Townsend & Kent, LLC other | Other | Feb 1, 2012 | May 7, 2012 (96 d) |
| Dawn Marie Santoriello | On Investment Management Co other | Hornor, Townsend & Kent, LLC other | Other | Jan 31, 2012 | Feb 1, 2012 |
| Azeez Namazi | Northwestern Mutual Investment Services,LLC other | Hornor, Townsend & Kent, LLC other | Other | Jan 30, 2012 | Feb 6, 2012 |
| Derrick K T Kim | Osaic Fa, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Jan 27, 2012 | Jan 31, 2012 |
| Larry G Sun | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC BD affiliated | Other | Jan 18, 2012 | Jul 24, 2019 (2744 d) |
| Sonya Johnson Troullier | Wealth Development Strategies Investment Advisory, Inc. state registered | Hornor, Townsend & Kent, LLC other | Other | Dec 31, 2011 | Apr 2, 2007 |
| Charles Chizoba Adi | Wealth Development Strategies Investment Advisory, Inc. state registered | Hornor, Townsend & Kent, LLC other | Other | Dec 31, 2011 | Dec 19, 2011 |
| Heath Ryan Davis | Cetera Advisor Networks LLC other | Hornor, Townsend & Kent, LLC other | Other | Dec 16, 2011 | Jun 11, 2012 (178 d) |
| Michael Dogum | Cetera Advisor Networks LLC other | Hornor, Townsend & Kent, LLC other | Other | Dec 8, 2011 | Dec 8, 2011 |
| Christopher Todd Chilcoat | Deutsche Bank Securities Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 23, 2011 | Dec 12, 2011 |
| Faye Michael Sykes | Northwestern Mutual Investment Services,LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 11, 2011 | Nov 15, 2011 |
| Glenn William Nelson | Sii Investments, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Nov 1, 2011 | Nov 1, 2011 |
| Kathryn H Vunic | Equitable Advisors, LLC national BD | Hornor, Townsend & Kent, LLC other | Other | Oct 17, 2011 | Oct 7, 2011 |
| Aaron Benjamin Safier | Morgan Stanley wirehouse | Hornor, Townsend & Kent, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 14, 2011 | Mar 19, 2021 (3444 d) |
| Rolly Randolph White | Msi Financial Services, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Oct 14, 2011 | Oct 24, 2011 |
| Trevin J Panaia | Cetera Advisor Networks LLC other | Hornor, Townsend & Kent, LLC other | Other | Sep 30, 2011 | Oct 14, 2011 |
| Brian Joseph Weyman | Cetera Advisor Networks LLC other | Hornor, Townsend & Kent, LLC other | Other | Sep 30, 2011 | Oct 17, 2011 |