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Advisor, Portfolio Manager

Christopher Quentin Hugh Leverett

RBC Capital Markets, LLC

Rochester, NY

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Christopher Robert Lobo

RBC Capital Markets, LLC

Syracuse, NY

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Christopher William Beale

Purshe Kaplan Sterling Investments

Meriden, CT

IndependentNationalRetail

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Advisor Assistant

Chrysanthe V Pietramala

UBS Financial Services Inc.

Southampton, NY

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Clarence Earl Marshall

Ameriprise Financial Services, LLC

Mount Laurel, NJ

Dually RegisteredIndependentNational

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Advisor

Clifford Michaels

Cadaret, Grant & Co., Inc.

New York, NY

Dually RegisteredIndependentRegional

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Advisor

Colin Calvin Rath

Ameriprise Financial Services, LLC

Red Bank, NJ

Dually RegisteredIndependentNational

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Advisor

Craig Duncan Grant

UBS Financial Services Inc.

Short Hills, NJ

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor

Craig Steven Greenberg

Morgan Stanley

Purchase, NY

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Advisor

Cynthia Ann Lachnicht

Morgan Stanley

Paramus, NJ

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Unknown

Cynthia Eileen Vance

LPL Financial LLC

Buffalo, NY

BankClearing & Trade ExecutionClearing Firm

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Unknown

Dale Eugene Kramer

Commonwealth Financial Network

Massena, NY

BankDually RegisteredFund Distributor

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Unknown

Daniel Grieco

Cetera Advisors LLC

Eatontown, NJ

Dually RegisteredIndependentNational

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Advisor

Daniel Brendon Goggin

Oppenheimer & Co. Inc.

Stamford, CT

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Advisor, Planning Specialist, Portfolio Manager

Daniel D Moerschell

Morgan Stanley

Saratoga Springs, NY

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Advisor

Daniel John Harper

Ameriprise Financial Services, LLC

Red Bank, NJ

Dually RegisteredIndependentNational

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Unknown

Daniel Joseph Mullane

Herbert J. Sims & Co, Inc.

Fairfield, CT

Corporate FinanceInstitutionalInvestment Banking

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Advisor

Daniel Timothy Mahoney

Merrill Lynch, Pierce, Fenner & Smith Incorporated

West Nyack, NY

BankClearing & Trade ExecutionClearing Firm

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Advisor

Dante Peter Liberti

Ameriprise Financial Services, LLC

Saddle Brook, NJ

Dually RegisteredIndependentNational

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Advisor

Darlene Jean Lesch-Palmer

Morgan Stanley

Paramus, NJ

Clearing & Trade ExecutionClearing FirmCorporate Finance

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Advisor

David Mital

Cetera Financial Specialists LLC

Oakland, NJ

IndependentNationalRetail

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Unknown

David Alan Beckerman

David Lerner Associates, Inc.

Westport, CT

Multi StateRetailTraditional

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Advisor

David Alan Weiner

Stifel, Nicolaus & Company, Incorporated

West Harrison, NY

Clearing & Trade ExecutionCorporate FinanceDually Registered

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Other

David Alexander Porro

Purshe Kaplan Sterling Investments

Parsippany, NJ

IndependentNationalRetail

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