Comments on Proposed Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 223

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Date Received
Date Letter Type Commenter Name
Public Comment Richard K. OKeefe, Chief Investment Officer, First Affirmative Financial Network, Colorado Springs, Colorado
Public Comment Roger W. Engel, CFP, Edina, Minnesota
Public Comment Rosemary Reed
Public Comment Scott Grittinger, CFP, Principal, McCarthy Grittinger Financial Group LLC, Milwaukee, Wisconsin
Public Comment Steven Bove, Cherry Hill, New Brunswick
Public Comment Steven P. Cariati, CFP, Albany, New York
Public Comment Steven Wachs, CFP, Plano, Texas
Public Comment Thomas H. Zimmerman, CFP, CEO, Zimmerman Wealth Management, LLC, Evanston, Illinois
Public Comment Alice Bryan, CFP
Public Comment Andrew Millard, Investment Advisory Principal, Main Street Financial Group, Inc., Tryon, North Carolina
Public Comment Annette F. Simon, fee-only financial advisor, Bethesda, Maryland
Public Comment Austin Gallaher, PFP, Financial Planner, Wealth Analytics, Inc., San Diego, California
Public Comment Barry L. Kohler, JD, CFP, Principal, BDMP Wealth Management, Portland, Maine
Public Comment Brad Rosley, CFP, Glen Ellyn, Illinois
Public Comment Brian R. Carlton, CFP, Lynchburg, Virginia
Public Comment Charles E. Sandmel, CFP, AIF, Investment Advisory Representative, First Affirmative Financial Network, Brookline, Massachusetts
Public Comment Charles Lesko, CFP, CEO, Lesko Securities, Inc. and Senior Vice President, Lesko Financial Services, Inc., Binghamton, New York
Public Comment Chase W. Armer, financial planner, Sacramento, California
Public Comment Christopher J. Olsen, CFP, American Express Financial Advisors, Lodi, California
Public Comment Cornelius H. Van Zutphen, Jr., Certified Financial Planner practitioner, Independent RIA, Mesa, Arizona
Public Comment Daniel L. DePietropaolo, MD, Wilmington, Delaware
Public Comment Daryl R. Goughnour, President, DRG Financial Services Inc., Burnsville, Minnesota
Public Comment David B. Jacobs, Ph.D., President of Pathfinder Financial Services, LLC, Kailua, Hawaii
Public Comment David L. Meckenstock , CFP, Senior Compliance Officer, independent broker dealer firm, Hays, Kansas
Public Comment David M. Taucher, CFP, Beachwood, Ohio
Public Comment David Morganstern, CFP, Member of National Association of Personal Financial Advisors and Financial Planning Association, Portland, Oregon
Public Comment Don B. Akridge, CPA, MBA, FPA, CPA, MBA, Canton, Georgia
Public Comment Edwin R. Baldrige, III, CFP, Baldrige Asset Management, Allentown, Pennsylvania
Public Comment Ellen R. Siegel, CFP, ChFC, CLU, CSA, Miam, Florida
Public Comment Elyse D. Foster, CFP, President, Harbor Financial Advisory, Inc., Boulder, Colorado

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
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