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Richard Ivan Greenspan

UBS Financial Services Inc.

Stamford, CT

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Richard Jay Rustic

Commonwealth Financial Network

Bristol, CT

BankDually RegisteredFund Distributor

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Richard Joseph Cooney

LPL Financial LLC

Syracuse, NY

BankClearing & Trade ExecutionClearing Firm

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Advisor

Richard Joseph Green

Pinnacle Investments, LLC

East Syracuse, NY

Dually RegisteredLocalRetail

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Advisor

Richard Joseph Rizzuto

Craft Capital Management LLC

Garden City, NY

InstitutionalLocalPlacement Agent

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Richard Laurence Schneider

Morgan Stanley

New York, NY

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Richard Mcarthur Mitchell

Ameriprise Financial Services, LLC

Montclair, NJ

Dually RegisteredIndependentNational

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Advisor

Richard Michael Marlin

Edward Jones

Webster, NY

Corporate FinanceDually RegisteredInstitutional

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Advisor

Richard Michael Morris

LPL Financial LLC

Monroe Township, NJ

BankClearing & Trade ExecutionClearing Firm

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Advisor

Richard Paul Giordano

UBS Financial Services Inc.

Greenwich, CT

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Richard Scott Dorfman

Morgan Stanley

Melville, NY

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Advisor

Richard Scott Gordon

Morgan Stanley

New York, NY

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Advisor

Richard Scott Saperstein

HighTower Securities, LLC

Chicago, IL

Multi StateRetailTraditional

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Advisor

Richard Stephen Briggs

RBC Capital Markets, LLC

Buffalo, NY

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Richard Willdon Barnes

Kestra Investment Services, LLC

Port Jefferson Station, NY

IndependentNationalRetail

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Advisor

Robert Alan Reuben

Ameriprise Financial Services, LLC

New York, NY

Dually RegisteredIndependentNational

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Advisor

Robert Alexander Karpinski

Morgan Stanley

Red Bank, NJ

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Advisor

Robert Anthony Beckett

Purshe Kaplan Sterling Investments

Danbury, CT

IndependentNationalRetail

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Advisor

Robert Carl Bouza

Ameriprise Financial Services, LLC

Staten Island, NY

Dually RegisteredIndependentNational

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Advisor

Robert David Cohen

Stifel, Nicolaus & Company, Incorporated

Melville, NY

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Robert David Traitz

Stifel, Nicolaus & Company, Incorporated

Hackensack, NJ

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Robert Francis Fahey

Cadaret, Grant & Co., Inc.

Buffalo, NY

Dually RegisteredIndependentRegional

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Advisor

Robert Gary Brochu

LPL Financial LLC

Farmington, CT

BankClearing & Trade ExecutionClearing Firm

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Advisor

Robert Goodhill Rood

LPL Financial LLC

Camillus, NY

BankClearing & Trade ExecutionClearing Firm

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