|
na
|
None
|
Alternative Wealth Strategies, Inc.
|
130933
|
CT, NJ, NY
|
|
Anthony Kulhanek
|
1977093
|
Bennett Ross, Inc.
|
42850
|
TX
|
|
na
|
None
|
Berthel, Fisher & Company Financial Services, Inc.
|
13609
|
AZ, GA, IA, LA, MN, MO, TX
|
|
n/a
|
None
|
Calton & Associates, Inc.
|
20999
|
FL
|
|
na
|
None
|
Cape Securities
|
7072
|
AL, AZ, AR, CA, CO, CT, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MS, MO, MT, NV, NH, NJ, NM, NY, NC, OH, OK, OR, PA, PR, SC, SD, TN, TX, UT, VA, WA, WI, WY
|
|
Jerry Adams
|
822763
|
Capital Growth Resources
|
7779
|
TX
|
|
na
|
None
|
Capwest Securities, Inc.
|
30002
|
CA, CO, VA
|
|
na
|
None
|
Centaurus Financial, Inc.
|
30833
|
CA, CO, FL, MD, MI, NV, TN, TX, WI
|
|
Chester Harris
|
500745
|
Chester Harris & Company, Inc.
|
7116
|
NY
|
|
Melissa Mather
|
4697533
|
Crown Capital Securities, L.P.
|
6312
|
CA, LA, MI, NY
|
|
David Harris
|
500413
|
David Harris & Co., Inc.
|
45670
|
FL, NY, SC
|
|
na
|
None
|
Direct Capital Securities, Inc.
|
29639
|
TX
|
|
na
|
None
|
Empire Securities Corp.
|
2826
|
CA
|
|
na
|
None
|
Financial Advisors of America, LLC
|
142170
|
AL, AK, AZ, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI, WY
|
|
Jason LeBlanc
|
2483128
|
Girard Securities, Inc.
|
18697
|
NJ, TX
|
|
na
|
None
|
Grant Bettingen, Inc
|
16944
|
CA
|
|
Richard Woollen
|
1342719
|
Harrison Douglas, Inc.
|
16515
|
AZ, CA, CO, CT, FL, IN, LA, MD, MN, MO, NE, NY, NC, OH, SC, TN, VA, WY
|
|
na
|
None
|
IMS Securities, Inc.
|
35567
|
AZ, CA, FL, MI, OH, OR, TX
|
|
William Lowell
|
1158722
|
Lowell & Co., Inc.
|
24913
|
TX
|
|
na
|
None
|
MCL Financial Group, Inc.
|
41180
|
CO
|
|
na
|
None
|
Okoboji Financial Services, Inc.
|
33727
|
IA
|
|
na
|
None
|
Omni Brokerage, Inc.
|
16878
|
All States
|
|
na
|
None
|
Private Asset Group, Inc.
|
142541
|
CA, UT
|
|
na
|
None
|
Sammons Securities Company, LLC
|
115368
|
CA, CO, FL, IN, KS, KY, PA, UT
|
|
na
|
None
|
Sigma Financial Corporation
|
14303
|
GA, IL, IN, MD, MI, NJ, NY, OH, TX
|
|
na
|
None
|
Sunset Financial Services, Inc.
|
3538
|
MO
|
|
na
|
None
|
VSR Financial Services, Inc.
|
14503
|
All States
|
|
na
|
None
|
Waterford Investor Services, Inc.
|
46227
|
All States
|
|
na
|
None
|
Wilbanks Securities, Inc.
|
40673
|
AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, IL, IN, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, OH, OK, OR, PA, RI, SC, TN, TX, UT, VT, VA, WA, WV, WI, WY
|
|
na
|
None
|
Williams Financial Group Investments, Inc.
|
22704
|
TX
|
|
na
|
None
|
Workman Securities Corporation
|
31898
|
All States
|
|
Scott Clampit
|
1278576
|
American Equity Investment Corp
|
40199
|
IN, KY
|
|
Kevin Nevin
|
2460059
|
Capital Guardian LLC
|
137919
|
CO, ND, SD
|
|
David Harris
|
500413
|
Chester Harris & Co
|
7116
|
NY
|
|
Chester Harris
|
500745
|
David Harris & Co.
|
45670
|
NY
|
|
Taseer Badar
|
2704754
|
EDI Financial Inc
|
15699
|
TX
|
|
na
|
None
|
Fortune Securities, Inc
|
40821
|
CA, CO
|
|
Douglas Shaner
|
1699415
|
Independent Financial Group LLC
|
7717
|
CA
|
|
Zoltan Posa
|
4277093
|
Independent Financial Group LLC
|
7717
|
CA
|
|
Paul Berkemper
|
2222925
|
National Planning Corp
|
29604
|
MO
|
|
John Moriarity
|
2720704
|
National Planning Corp
|
29604
|
MO
|
|
n/a
|
None
|
Newbridge Securities Corp
|
104065
|
AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI, WY
|
|
Steven Brodt
|
1757324
|
Newport Coast Securities, Inc.
|
16944
|
NY
|
|
Ray Kim
|
4446196
|
Newport Coast Securities, Inc.
|
16944
|
CA
|
|
Aaron Heimowitz
|
241866
|
Newport Coast Seciruties, Inc.
|
16944
|
NJ, NY
|
|
James Kent, Jr
|
2255753
|
Newport Coast Securities, Inc.
|
16944
|
FL
|
|
Scott Barringer
|
1385168
|
Newport Coast Securities, Inc.
|
16944
|
CO
|
|
Les Anderson
|
873403
|
Wilson-Davis & Co., Inc.
|
3777
|
UT
|
|
na
|
None
|
(Wilson) Williams Financial Group
|
22704
|
CA, FL, TX
|
|
Dell Raymond Hughes
|
1804123
|
Wilbanks Securities, Inc.
|
40673
|
OK
|
|
William Brooks
|
4856808
|
Wilbanks Securities, Inc.
|
46227
|
DE, OK
|
|
Ivan Norman
|
349137
|
Regal Securities, Inc.
|
7279
|
NY
|
|
Bruce Beetz
|
1527269
|
Oak Tree Securities
|
18126
|
CA
|
|
na
|
None
|
Fortune Securities, Inc.
|
40821
|
CA, CO
|
|
David Harris
|
500745
|
Chester Harris & Co.
|
7116
|
NY
|
|
Vernon Lucas Albright
|
1346110
|
Workman Securities Corp.
|
31898
|
CA, CO, IL
|
|
Michael Ruff
|
1988736
|
Sunset Financial Services, Inc.
|
3538
|
TX
|
|
na
|
None
|
United Equity Securities LLC
|
47261
|
AZ, AR, CA, CO, CT, FL, GA, HI, IL, IN, IA, KS, KY, LA, MD, MI, MN, MO, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SD, TX, VA, WA, WI, WY
|
|
na
|
None
|
Steven Falk & Assoc., Inc.
|
None
|
AZ, CA, CO, CT, DC, FL, IL, MD, MA, MI, MO, NV, NH, NY, OR, PA, RI, TX, UT, VA, WA, WI
|
|
Mark Tidwell
|
2612587
|
Sunbelt Securities
|
42180
|
TX
|
|
Sang Shin
|
4411872
|
Wilbanks Securities, Inc.
|
40673
|
IL
|
|
Jeremy Winters
|
4441549
|
Wilbanks Securities, Inc.
|
46227
|
GA
|
|
Jamie Ellis
|
2246996
|
Calton & Associates, INc.
|
20999
|
CO
|
|
R. William Manning
|
4493368
|
MCL Financial Group Inc.
|
41180
|
CO
|
|
Gene walter
|
851987
|
MCL Financial Gruop
|
41180
|
CO
|
|
Yi-Chen Yang
|
4024717
|
MCL Financial Group
|
41180
|
CO
|
|
David Carpinello
|
3256507
|
MCL Financial Group, Inc.
|
41180
|
CO
|
|
Gregory Anderson
|
1722546
|
MCL Financial Group
|
41180
|
CO
|
|
James Gingus
|
1332507
|
MCL Financial Group
|
41180
|
NM
|