Dwyer, William E. III
Boston, MA 02108
|
LPL Financial Corporation/President | $5,000 |
P | 02/03/2010 |
Averitt, Richard G.
St. Petersburg, FL 33716
|
Raymond James Financial Services, I | $2,500 |
P | 08/24/2009 |
Congemi, Frank
Howard Beach, NY 11414
|
Mutual Service Corp./Registered Fin | $1,000 |
P | 06/25/2009 |
Glassman, Barry Scott
McLean, VA 22102
|
Royal Alliance Associates/First Vic | $1,000 |
P | 06/26/2009 |
Brown, Valerie G.
El Segundo, CA 90245
|
ING Advisors Network/CEO | $1,000 |
P | 07/08/2009 |
Wilkinson, Wade
Knoxville, TN 37932
|
Securities Service Network, Inc./Pr | $1,000 |
P | 09/02/2009 |
Bass, Mark
Lubbock, TX 79423
|
Multi-Financial Securities Corp./OS | $1,000 |
P | 12/08/2009 |
Fulp, James A.
St. Petersburg, FL 33716
|
Raymond James Financial Svcs/EVP, D | $500 |
P | 05/08/2009 |
Towers, John H.
Plano, TX 75024
|
VSR Financial Services, Inc./Presid | $500 |
P | 05/08/2009 |
Baker, Vernon G.
Berlin, CT 06037
|
Royal Alliance Associates/Registere | $500 |
P | 12/18/2009 |
Clemans, Glen A.
Lake Oswego, OR 97035
|
Royal Alliance Associates/Financial | $500 |
P | 12/30/2009 |
Overton, Fred F.
Overland Park, KS 66211
|
FSC Securities Corp./President | $500 |
P | 01/07/2010 |
Kim-Epstein, Young S.
Manhattan Beach, CA 90266
|
NPB Financial Group, LLC/President | $500 |
P | 04/06/2010 |
Belville, Dorothy
Monterey, CA 93940
|
Pacific West Financial Group/Owner | $500 |
P | 04/19/2010 |
Baker, Vernon G.
Berlin, CT 06037
|
Royal Alliance Associates/Registere | $500 |
P | 04/20/2010 |
Law, Sally
Glen Echo, MD 20812
|
Raymond James Financial Services, I | $500 |
P | 04/23/2010 |
De Jong, Gregory
Naperville, IL 60563
|
Securities Service Network, Inc./Pr | $500 |
P | 04/27/2010 |
Fulp, James A.
Saint Petersburg, FL 33716
|
Raymond James Financial Services, I | $500 |
P | 05/07/2010 |
McGrath, Kevin B.
Westborough, MA 01581
|
Cambridge Investment Research/Regis | $500 |
P | 09/17/2010 |
Fulp, James A.
Saint Petersburg, FL 33716
|
Raymond James Financial Services, I | $500 |
P | 12/14/2010 |
Roberts, William W.
Greenville, SC 29615
|
Raymond James Financial Services, I | $331 |
P | 12/23/2009 |
Roberts, William W.
Greenville, SC 29615
|
Raymond James Financial Services, I | $331 |
P | 09/27/2010 |
Driscoll, Kevin
Jacksonville, FL 32216
|
Raymond James Financial Services, I | $300 |
P | 04/07/2010 |
Schab, Michael J.
Santa Monica, CA 90401
|
National Planning Corp./AVP, Compli | $250 |
P | 03/20/2009 |
Tracey, Michael A.
Janesville, WI 53548
|
Woodbury Financial Services, Inc./O | $250 |
P | 05/08/2009 |
Moran, Katherine Suzanne
Staunton, VA 24401
|
Raymond James Financial Services, I | $250 |
P | 06/26/2009 |
Henderson, James L.
Cincinnati, OH 45202
|
Great American Advisors, Inc./Presi | $250 |
P | 07/08/2009 |
McGrath, Kevin B.
Westborough, MA 01581
|
Mutual Service Corp./Financial Advi | $250 |
P | 07/08/2009 |
Towers, John H.
Plano, TX 75024
|
VSR Financial Services, Inc./Presid | $250 |
P | 07/08/2009 |
Webber, Amy L.
Fairfield, IA 52556
|
Cambridge Investment Research/Presi | $250 |
P | 07/08/2009 |
Ernst, John J.
East Longmeadow, MA 01028
|
Commonwealth Financial Network/Fina | $250 |
P | 07/17/2009 |
Sella, Edward G.
Rockville, MD 20852
|
Raymond James Financial Services, I | $250 |
P | 07/29/2009 |
Bass, Mark
Lubbock, TX 79423
|
Multi-Financial Securities Corp./OS | $250 |
P | 08/05/2009 |
Robson, Bruce W.
Salisbury, MD 21801
|
Multi-Financial Securities Corp./Re | $250 |
P | 11/11/2009 |
Oujo, Jack D.
Wall, NJ 07719
|
H.D. Vest Financial Services/Owner/ | $250 |
P | 12/18/2009 |
Lefton, Michael A.
Tucson, AZ 85751
|
ING Financial Partners/Owner | $250 |
P | 12/30/2009 |
Slovin, Clive
Atlanta, GA 30345
|
The Strategic Financial Alliance, I | $250 |
P | 12/30/2009 |
Johnson, Jeff
Arroyo Grande, CA 93420
|
National Planning Corp./Financial A | $250 |
P | 01/07/2010 |
Decker, David D.
College Station, TX 77840
|
Raymond James Financial Services, I | $250 |
P | 01/08/2010 |
Muskat, William Alfred
Simi Valley, CA 93065
|
Commonwealth Financial Network/Prin | $250 |
P | 03/29/2010 |
Peckham, Charles
Exeter, NH 03833
|
Commonwealth Financial Network/Pres | $250 |
P | 03/29/2010 |
Eastin, Jeff
Huntsville, AL 35802
|
MWA Financial Services, Inc./Financ | $250 |
P | 04/06/2010 |
Dodds, Andrew T.
Englewood, CO 80112
|
LPL Financial Corporation/Owner | $250 |
P | 04/07/2010 |
Gross, Irwin
Weston, FL 33326
|
Commonwealth Financial Network/Pres | $250 |
P | 04/07/2010 |
Pennington, Lee D.
Lubbock, TX 79423
|
Multi-Financial Securities Corp./Pa | $250 |
P | 04/07/2010 |
Levis, Paul A.
Yonkers, NY 10710
|
Cadaret, Grant & Co., Inc./Presiden | $250 |
P | 04/15/2010 |
Bewley, Philip A.
Aptos, CA 95003
|
Sorrento Pacific/Financial Advisor | $250 |
P | 04/19/2010 |
Clemans, Glen A.
Lake Oswego, OR 97035
|
Royal Alliance Associates/Financial | $250 |
P | 04/20/2010 |
Curtis, Joyce E.
North Reading, MA 01864
|
INVEST Financial/Financial Advisor | $250 |
P | 04/20/2010 |
Wagner, Donavon
Bismarck, ND 58502
|
Woodbury Financial Services, Inc./R | $250 |
P | 04/20/2010 |
Mapes, William G.
Santa Rosa, CA 95401
|
Financial Network Investment Corp./ | $250 |
P | 04/23/2010 |
Sterk, Mary
Dakota Dunes, SD 57049
|
Woodbury Financial Services, Inc./P | $250 |
P | 04/23/2010 |
Adams, Joel B.
Asheville, NC 28804
|
Raymond James Financial Services, I | $250 |
P | 05/03/2010 |
McOwen, Gordon
Amarillo, TX 79109
|
Raymond James Financial Services, I | $250 |
P | 05/11/2010 |
Johnson, Stephen W.
Draper, UT 84020
|
Raymond James Financial Services, I | $250 |
P | 06/16/2010 |
Rountree, Sharla D.
Lakewood, CO 80215
|
Royal Alliance Associates/Financial | $250 |
P | 06/25/2010 |
Moran, Kathy Suzanne
Staunton, VA 24401
|
Raymond James Financial Services, I | $250 |
P | 06/28/2010 |
McGrath, Kevin B.
Westborough, MA 01581
|
Cambridge Investment Research/Regis | $250 |
P | 07/07/2010 |
Voege, Wallace J.
Clearwater, FL 33763
|
Investacorp, Inc./Registered Rep | $250 |
P | 07/22/2010 |
Bass, Mark
Lubbock, TX 79423
|
Multi-Financial Securities Corp./OS | $250 |
P | 08/09/2010 |
Hadley, Donald Witt
Knightdale, NC 27545
|
Capital Analysts, Inc./President | $250 |
P | 12/21/2010 |