|
Cape Securities Inc.
|
7072
|
None
|
None
|
All States
|
|
Colorado Financial Service Corporation
|
104343
|
None
|
None
|
AL, AK, AZ, AR, 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
|
|
IBN Financial Services, Inc.
|
42360
|
None
|
None
|
AL, AZ, AR, 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, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, VA, WA, WI
|
|
Newbridge Securities Corporation
|
104065
|
None
|
None
|
AL, AK, AZ, AR, 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
|
|
TCFG Wealth Management, LLC
|
164153
|
None
|
None
|
AL, AK, AZ, AR, CA, CO, CT, DE, 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, RI, SC, SD, TN, TX, UT, VA, WA, WV, WI, WY
|
|
James Lee Torti
|
7011095
|
Colorado Financial Service Corporeation
|
104343
|
IL
|
|
Jeffrey Smitherman
|
7646807
|
Saxony Securities, Inc.
|
115547
|
CO
|
|
Douglas M. Zator
|
6321246
|
Emerson Equity, LLC
|
130032
|
WI
|
|
William LaPiana
|
4580411
|
Newbridge Securities Corporation
|
104065
|
FL
|
|
Bradford Lee Watt
|
2565438
|
Saxony Securities, Inc.
|
115547
|
CO
|
|
Steven Alan Arnold
|
710263
|
Emerson Equity LLC
|
130032
|
FL
|
|
Stacey Jim Morimoto
|
4420782
|
Stax Capital
|
300607
|
CA
|
|
Stanford Graham Simmons
|
1018907
|
Saxony Securities, Inc.
|
115547
|
WA
|
|
Jason Finley
|
6602034
|
Stax Capital
|
300607
|
CA
|
|
Lucas K. Lofman
|
5718121
|
Saxony Securities, Inc.
|
115547
|
NY
|
|
Joseph F. Eschleman
|
3237843
|
Purshe Kaplan Sterling Investments
|
35747
|
CA
|
|
Lawrence B. Miller
|
335166
|
Emerson Equity LLC
|
130032
|
CA
|
|
Vincent J. Klein
|
6405729
|
Saxony Securities, Inc.
|
115547
|
MO
|
|
John D. Williamson
|
2357023
|
Alexander Capital, LP.
|
40077
|
WA
|
|
Edward Fernandez
|
2956661
|
Capulent LLC
|
155155
|
CT
|
|
Troy Thomas
|
4691720
|
McDermott Investment Services, LLC
|
154926
|
AZ
|
|
Ronald Stillman Cole
|
1434325
|
Emerson Equity LLC
|
130032
|
CT
|
|
Scott David Offerman
|
4619093
|
TCFG Wealth Management, LLC
|
164153
|
FL, NY
|
|
Sam Bhushan
|
4884714
|
Cabin Securities, Inc.
|
137608
|
CA
|
|
Debra Jo Schleining
|
2768752
|
McDermott Investment Services, LLC
|
154926
|
CA
|
|
Trawnegan Gall
|
6266415
|
Wealthforge Securities, LLC
|
152550
|
TX
|
|
David Christian Waal
|
1226437
|
Emerson Equity LLC
|
130032
|
CO
|
|
Karen Templeton
|
6461480
|
Innovation Partners LLC
|
146344
|
CA
|
|
Mark Richard Baran
|
870541
|
McDermott Investment Services, LLC
|
154926
|
NJ
|
|
Mathias Eduardo Ichaso
|
6598007
|
Lighthouse Capital Group, LLC
|
1691351
|
MO
|
|
Roger William Bowlin
|
1905652
|
Aurora Securities
|
46147
|
CA, WA
|
|
Ryan Walter Charles Thomas
|
5090417
|
Lighthouse Capital Group, LLC
|
169135
|
CA
|
|
John Paul Ledesma
|
2379751
|
Emerson Equity
|
130032
|
CA, VT
|
|
Craig E. Fernsler
|
5558907
|
McDermott Investment Services, LLC
|
154926
|
NJ
|
|
Quinn Akira Morimoto
|
71440545
|
Stax Capital
|
300607
|
CA
|
|
Susan Jane Gitt
|
5580509
|
Great Point Capital LLC
|
114203
|
MO
|
|
Andres Pablo Ichaso
|
6265351
|
Lighthouse Capital Group, LLC
|
169135
|
CA
|
|
James Min Woo
|
4640401
|
Colorado Financial Services Corporation
|
104343
|
CA
|
|
Kirsten Rebecca Eriksson
|
7475882
|
Cabin Securities, Inc.
|
137608
|
CA
|
|
Stephen Haskell
|
6864948
|
FNEX Capital, LLC
|
166316
|
CA
|
|
Jonathan Andrew Taylor
|
7086106
|
Lighthouse Capital Group, LLC
|
169135
|
NV
|
|
Joshua David Chapin
|
5825638
|
Emerson Equity LLC
|
130032
|
CA
|
|
Gabriel D. Candea
|
5531840
|
Emerson Equity LLC
|
130032
|
CA, VT
|
|
Ran Fuchs
|
5593133
|
IDB Capital Corp.
|
106032
|
PA
|
|
Maureen Linda Verduyn
|
1239558
|
Great Point Capital LLC
|
114203
|
NY
|
|
Nicholas J. Gardner
|
5777904
|
Great Point Capital LL
|
114203
|
NY
|
|
Orrin Foster Barrow
|
6784158
|
FNEX Capital, LLC
|
166316
|
IL
|
|
Matthew Douglas McFarland
|
6675310
|
FNEX Capital, LLC
|
1661316
|
OR
|
|
Justin Wayne Fordice
|
7328445
|
Lighthouse Capital Group, LLC
|
169135
|
CA
|
|
David Andrew Kangas
|
6591398
|
Wealthforge Securities, LLC
|
152550
|
CA, KS, NJ, NY, UT, WA
|
|
Randolph Alan Barmache
|
4607939
|
American Trust Investment Services, Inc.
|
3001
|
CA
|
|
Michael Hunter
|
6765821
|
Wealthforge Securities, LLC
|
152550
|
CA
|
|
John Danh Nguyen
|
4919629
|
Money Concepts Capital Corp
|
12963
|
CA, FL
|
|
Daniel Edward Nemeth
|
6150953
|
McDermott Investment Securities, LLC
|
154926
|
PA
|
|
Brian Forrest Stokes
|
1060238
|
Emerson Equity LLC
|
130032
|
CA
|
|
Alex Madden Sanford
|
7089201
|
FNEX Capital, LLC
|
166316
|
CA, NH, NJ, VA
|
|
Robert Scott Smith
|
1412333
|
Emerson Equity LLC
|
130032
|
MN
|
|
Kyle Thomas Kadish
|
4864706
|
IBN Financial Services, Inc.
|
42360
|
NH
|
|
Ehud Gerstein
|
7066119
|
Arkadios Capital
|
282710
|
CA
|
|
John Butler Marvin
|
1951436
|
Investment Security Corporation
|
47536
|
UT
|
|
Andrew Arne Lee
|
2588504
|
Money Concepts Capital Corp.
|
12963
|
KS
|
|
Kevin Jerold Clifford
|
1281831
|
Money Concepts Capital Corp.
|
12963
|
KS
|
|
David George Bulger
|
3180806
|
Arkadios Capital
|
282710
|
FL
|
|
Rena Bonnie Morrison
|
4867589
|
Emerson Equity LLC
|
130032
|
CA
|
|
Robert Langhorst
|
1832998
|
Aurora Securities
|
46147
|
MO
|
|
Ashley Quinn Romiti
|
7636987
|
Arkadios Capital
|
282710
|
CA
|
|
Alexander Vincent Lagerborg
|
2373366
|
Saxony Securities, Inc.
|
115547
|
CO
|
|
John Paul Harvey
|
4227692
|
Wealthforge Securities, LLC
|
152550
|
CA
|
|
Nicholas Robert Snyder
|
7138151
|
FNEX Capital, LLC
|
166316
|
CA
|