| Scott Daniel Schloegel | Cetera Advisors LLC other | Invest Financial Corporation other | Other | Jun 2, 2014 | Aug 11, 2014 (70 d) |
| Connor Snook | Cetera Advisors LLC other | Raymond James & Associates, Inc. national BD | Other | May 27, 2014 | Oct 29, 2014 (155 d) |
| Jade Aaron Rossback | Cetera Advisors LLC other | Advisory Alpha, LLC other | Other | May 12, 2014 | Jul 1, 2014 (50 d) |
| Jeffery Jay Seitz | Cetera Advisors LLC other | Strategic Wealth Advisors Group other | Other | May 3, 2014 | May 7, 2014 |
| Jeffrey Steven Hughes | Cetera Advisors LLC other | Investor Fan other | Other | Apr 8, 2014 | Jun 25, 2014 (78 d) |
| Kristin Kay Schroeder | Cetera Advisors LLC other | Voya Financial Advisors, Inc. other | Other | Mar 14, 2014 | Sep 18, 2014 (188 d) |
| Lauren Ashley Degroot | Cetera Advisors LLC other | Sequent Planning, LLC independent RIA | Other | Feb 25, 2014 | Feb 25, 2014 |
| Amy Martin | Cetera Advisors LLC other | Waddell & Reed other | Other | Feb 14, 2014 | Mar 3, 2014 |
| John Wai Cheang | Cetera Advisors LLC other | First Allied Advisory Services, Inc. other | Other | Feb 11, 2014 | Feb 7, 2014 |
| Benjamin William Belanger | Cetera Advisors LLC other | First Allied Advisory Services, Inc. other | Other | Feb 11, 2014 | Jan 31, 2014 |
| Preeti Shah | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Feb 11, 2014 | Feb 12, 2014 |
| Lindsay Jo Dockter-Holub | Cetera Advisors LLC other | Cetera Investment Advisers LLC other | Other | Jan 13, 2014 | Oct 19, 2012 |
| Sherry Wyble Campbell | Cetera Advisors LLC other | First Allied Advisory Services, Inc. other | Other | Jan 7, 2014 | Jan 6, 2014 |
| Timothy Kenneth Meyers | Cetera Advisors LLC other | Sagepoint Financial, Inc. other | Other | Jan 3, 2014 | Jul 3, 2014 (181 d) |
| Jeffrey Dee Scott | Cetera Advisors LLC other | Centaurus Financial, Inc. other | Other | Dec 31, 2013 | Jan 3, 2014 |
| Richard A Yemm | Cetera Advisors LLC other | Kovack Advisors, Inc. other | Other | Dec 26, 2013 | Jan 23, 2014 |
| Kathryn Ann Allen | Cetera Advisors LLC other | Aspen Wealth Management, LLC independent RIA | Other | Nov 2, 2013 | Jan 31, 2013 |
| Matthew Lawrence Darpel | Cetera Advisors LLC other | Independent Financial Partners other | Other | Oct 31, 2013 | Nov 4, 2013 |
| Katherine Kammerzell Vessenes | Cetera Advisors LLC other | Md Financial Advisors / Vestment Financial independent RIA | Other | Oct 22, 2013 | Sep 25, 2013 |
| Laura Beth Kiick | Cetera Advisors LLC other | Marcum Wealth, LLC other | Other | Oct 3, 2013 | Jan 10, 2014 (99 d) |
| Michael Jon Gheen | Cetera Advisors LLC other | Huntington Financial Advisors other | Other | Sep 30, 2013 | Dec 11, 2013 (72 d) |
| James Bryan Stark | Cetera Advisors LLC other | Commerce Brokerage Services, Inc other | Other | Aug 21, 2013 | Aug 26, 2013 |
| Randall J. Rawe | Cetera Advisors LLC other | Osaic Fs, Inc. other | Other | Aug 8, 2013 | Aug 5, 2013 |
| Bridget Aline Quijada | Cetera Advisors LLC other | Jmb Financial Managers, Inc. state registered | Other | Aug 1, 2013 | Sep 30, 2005 |
| Mark Albert Macumber | Cetera Advisors LLC other | Cetera Investment Advisers LLC other | Other | Jul 23, 2013 | Oct 18, 2012 |
| Bryan Jeffrey Koslow | Cetera Advisors LLC other | Commonwealth Financial Network national BD | Other | Jul 10, 2013 | Jul 31, 2013 |
| Mark Dennie Howard | Cetera Advisors LLC other | Scottrade Investment Management other | Other | Jul 10, 2013 | Dec 21, 2016 (1260 d) |
| Mark Steven Horstmann | Cetera Advisors LLC other | Geneos Wealth Management, Inc. other | Other | Jul 9, 2013 | Jul 9, 2013 |
| Catherine Anne Lopez | Cetera Advisors LLC other | Northpointe Financial, LLC unclassified | Other | Jul 5, 2013 | Jul 16, 2013 |
| Wesley Ben Holt | Cetera Advisors LLC other | Centaurus Financial, Inc. other | Other | May 24, 2013 | May 24, 2013 |
| Philip James Paschang | Cetera Advisors LLC other | V Wealth Advisors LLC other | Other | May 21, 2013 | May 22, 2013 |
| Melissa P Figeac-Nanez | Cetera Advisors LLC other | V Wealth Advisors LLC other | Other | May 21, 2013 | May 17, 2013 |
| Paul Michael Costa | Cetera Advisors LLC other | On Investment Management Co other | Other | May 16, 2013 | May 16, 2013 |
| Shoug Mayson | Cetera Advisors LLC other | Santander Securities other | Other | May 9, 2013 | May 6, 2013 |
| Grant Michael Trimble | Cetera Advisors LLC other | V Wealth Advisors LLC other | Other | May 7, 2013 | May 6, 2013 |
| Frederick Peter Baerenz | Cetera Advisors LLC other | Aog Wealth Management no RAUM | Other | May 2, 2013 | May 3, 2013 |
| James Thomas Ortlip | Cetera Advisors LLC other | Aog Wealth Management no RAUM | Other | May 2, 2013 | May 3, 2013 |
| David Paul Cervone | Cetera Advisors LLC other | Smc Advisory Network, LLC unclassified | Other | May 2, 2013 | Dec 13, 2013 (225 d) |
| Gregory Neil Mayes | Cetera Advisors LLC other | LPL Financial LLC other | Other | Apr 19, 2013 | Apr 17, 2013 |
| James Stuart Linderer | Cetera Advisors LLC other | Integrity Alliance, LLC other | Other | Mar 26, 2013 | Nov 12, 2013 (231 d) |
| Michael Kent Thompson | Cetera Advisors LLC other | Key Investment Services LLC other | Other | Mar 4, 2013 | Feb 28, 2013 |
| Brian Sun Eagleheart Mcdowell | Cetera Advisors LLC other | J.P. Morgan Securities LLC wirehouse | Other | Feb 28, 2013 | Mar 1, 2013 |
| Scott Richard Bishop | Cetera Advisors LLC other | Raymond James & Associates, Inc. national BD | Other | Feb 12, 2013 | Feb 26, 2013 |
| Christopher John Taylor | Cetera Advisors LLC other | Pruco Securities, LLC other | Other | Feb 12, 2013 | Feb 5, 2013 |
| Dale Russell Teachout | Cetera Advisors LLC other | Investor Fan other | Other | Jan 28, 2013 | Jan 30, 2013 |
| Marie Sharon Everitt | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 10, 2013 | Jan 8, 2013 |
| Thomas Edward Boles | Cetera Advisors LLC other | Cetera Investment Advisers LLC BD affiliated | Other | Jan 9, 2013 | Mar 21, 2024 (4089 d) |
| Michael Todd Rossi | Cetera Advisors LLC other | Smc Advisory Network, LLC unclassified | Other | Dec 31, 2012 | Dec 13, 2012 |
| Larry Lund Qvistgaard | Cetera Advisors LLC other | Smc Advisory Network, LLC unclassified | Other | Dec 31, 2012 | Dec 13, 2012 |
| John Michael Shelton | Cetera Advisors LLC other | Smc Advisory Network, LLC unclassified | Other | Dec 31, 2012 | Jan 7, 2013 |
| James Reed Davis | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Dec 20, 2012 | Dec 21, 2012 |
| Allen Bronton | Cetera Advisors LLC other | Clear Financial Strategies, LLC unclassified | Other | Sep 12, 2012 | Nov 16, 2016 (1526 d) |
| Jean Paulette Larsen | Cetera Advisors LLC other | Questar Asset Management, Inc. other | Other | Sep 10, 2012 | Oct 2, 2012 |
| Michael S Reid | Cetera Advisors LLC other | Cetera Investment Advisers LLC BD affiliated | Other | Aug 31, 2012 | Mar 21, 2024 (4220 d) |
| Pamela Kay Ahlers | Cetera Advisors LLC other | Harbour Investments, Inc. other | Other | Aug 29, 2012 | Oct 16, 2012 (48 d) |
| Michael Everardo Camacho | Cetera Advisors LLC other | Valic Financial Advisors, Inc. other | Other | Aug 29, 2012 | Aug 28, 2012 |
| Kalman David Muchnick | Cetera Advisors LLC other | Financial Telesis, Inc. other | Other | Aug 24, 2012 | Aug 23, 2012 |
| Nicholas Jay Cordle | Cetera Advisors LLC other | Morgan Stanley wirehouse | Other | Jul 20, 2012 | Aug 6, 2012 |
| Mark Anbuhl Carlton | Cetera Advisors LLC other | Trademark Financial Management, LLC other | Other | Jul 17, 2012 | Jan 24, 2013 (191 d) |
| Tommy Glynn Lewis | Cetera Advisors LLC other | First Financial Group independent RIA | Other | Jul 9, 2012 | Jul 10, 2012 |