| Patrick Sturmer Paxton | Veravest Investment Advisors, Inc. unclassified | Esi Financial Advisors other | Other | Nov 14, 2003 | Dec 11, 2003 |
| Christine A Cilley | A. G. Edwards & Sons, Inc. unclassified | Esi Financial Advisors other | Other | Oct 31, 2003 | Dec 1, 2003 (31 d) |
| Martin Edward Wilhelmy | Equitable Advisors, LLC national BD | Esi Financial Advisors other | Other | Oct 3, 2003 | Oct 20, 2003 |
| Jeffrey Alan Parsons | Park Avenue Securities LLC other | Esi Financial Advisors other | Other | Oct 2, 2003 | Nov 4, 2003 (33 d) |
| Brian Keith Dennis | Avantax Advisory Services other | Esi Financial Advisors other | Other | Sep 22, 2003 | Oct 30, 2003 (38 d) |
| John Patrick Rafferty | Park Avenue Securities LLC other | Esi Financial Advisors other | Other | Sep 10, 2003 | Sep 29, 2003 |
| Owen Francis Mulhern | Bb&T Investment Services, Inc. no RAUM | Esi Financial Advisors other | Other | Sep 4, 2003 | Nov 11, 2003 (68 d) |
| Kyle Steven Bigler | Mony Securities Corporation unclassified | Esi Financial Advisors other | Other | Aug 29, 2003 | Dec 11, 2003 (104 d) |
| Carl A Castanho | Osaic Fs, Inc. other | Esi Financial Advisors other | Other | Jul 29, 2003 | Sep 3, 2003 (36 d) |
| John Meneses Tan | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Esi Financial Advisors other | Other | May 21, 2003 | May 4, 2004 (349 d) |
| Douglas William Gow | 1717 Capital Management Company unclassified | Esi Financial Advisors other | Other | Mar 27, 2003 | Apr 7, 2003 |
| Jeremiah Frank Mccarthy | Equitable Advisors, LLC national BD | Esi Financial Advisors other | Other | Mar 18, 2003 | Mar 21, 2003 |
| Daniel Earl Wolodkiewicz | Equitable Advisors, LLC national BD | Esi Financial Advisors other | Other | Mar 11, 2003 | Mar 19, 2003 |
| Derek Angelo Butler | Morgan Stanley Dw Inc. unclassified | Esi Financial Advisors other | Other | Mar 10, 2003 | Dec 21, 2007 (1747 d) |
| Neil Howard Resnik | New England Securities Corporation other | Esi Financial Advisors other | Other | Mar 7, 2003 | Apr 13, 2016 (4786 d) |
| Michael Christopher Seeley | Holmes Investment Management, Inc. state registered | Esi Financial Advisors BD affiliated | Other | Jan 6, 2003 | Jun 22, 2021 (6742 d) |
| Gal Sherman | LPL Financial LLC other | Esi Financial Advisors other | Other | Oct 21, 2002 | Oct 24, 2002 |
| Raymond Evan Levitre | The Insight Group, Inc. other | Esi Financial Advisors other | Other | Oct 10, 2002 | Oct 15, 2002 |
| Steven Joseph Toto | New England Securities Corporation other | Esi Financial Advisors other | Other | Sep 10, 2002 | Nov 14, 2002 (65 d) |
| Robert Gene Berger | New England Securities Corporation other | Esi Financial Advisors other | Other | Sep 3, 2002 | Oct 7, 2002 (34 d) |