| Kurt Gary Underhill | Cetera Advisors LLC other | First Financial Group independent RIA | Other | Jul 9, 2012 | Jul 10, 2012 |
| Marcus Inmuk Hwong | Cetera Advisors LLC other | Chase Investment Services Corp. other | Other | Jun 8, 2012 | Jun 11, 2012 |
| Emilio Joseph Senesi | Cetera Advisors LLC other | LPL Financial LLC other | Other | Jun 1, 2012 | May 25, 2012 |
| Michael Raspallo | Cetera Advisors LLC other | LPL Financial LLC other | Other | Jun 1, 2012 | May 30, 2012 |
| Teresa Elizabeth Milner | Cetera Advisors LLC other | Principal Securities, Inc. other | Other | May 4, 2012 | May 25, 2012 |
| Daniel Winston Maurer | Cetera Advisors LLC other | Gerstein Fisher other | Other | Apr 23, 2012 | Sep 5, 2012 (135 d) |
| Marty Ray Henne | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Mar 21, 2012 | Mar 28, 2012 |
| Matthew Wyatt Wochos | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Mar 21, 2012 | Mar 28, 2012 |
| Alan Thomas Topolski | Cetera Advisors LLC other | Equitable Advisors, LLC national BD | Other | Dec 31, 2011 | Jan 17, 2012 |
| Elizabeth Ariel Ward | Cetera Advisors LLC other | First Financial Group independent RIA | Other | Dec 31, 2011 | Feb 20, 2013 (417 d) |
| Jeffrey Lynn Bangerter | Cetera Advisors LLC other | Global Financial Private Capital, Inc. other | Other | Nov 15, 2011 | Nov 28, 2011 |
| James Raymond Seaman | Cetera Advisors LLC other | Alphastar Capital Management other | Other | Nov 4, 2011 | Nov 7, 2011 |
| Jeffrey Garth Cram | Cetera Advisors LLC other | Financial Engines Advisor Center, LLC other | Other | Nov 3, 2011 | Oct 31, 2011 |
| Shannon Kelly Klug | Cetera Advisors LLC other | Osaic Wealth, Inc. other | Other | Oct 24, 2011 | Nov 16, 2011 |
| Henry Jay Guzzo | Cetera Advisors LLC other | Osaic Wealth, Inc. other | Other | Oct 24, 2011 | Nov 14, 2011 |
| Jill Syracuse | Cetera Advisors LLC other | Osaic Wealth, Inc. other | Other | Oct 24, 2011 | Nov 16, 2011 |
| Michael Roush | Cetera Advisors LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 13, 2011 | Dec 8, 2015 (1517 d) |
| Kimberly Kay Dale | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Sep 16, 2011 | Oct 15, 2012 (395 d) |
| Jeffrey Weldon Ivy | Cetera Advisors LLC other | Vestis Advisors, LLC state registered | Other | Sep 2, 2011 | Sep 2, 2011 |
| Patrick Jude Seaman | Cetera Advisors LLC other | Alphastar Capital Management other | Other | Aug 19, 2011 | Aug 25, 2011 |
| Gregory Allan Rutherford | Cetera Advisors LLC other | Riskx Investments LLC other | Other | Jul 5, 2011 | Jul 11, 2011 |
| Gabriel Scott Hanselman | Cetera Advisors LLC other | Schwab Wealth Advisory, Inc. other | Other | May 19, 2011 | Jan 3, 2012 (229 d) |
| Holly Elizabeth Villasi | Cetera Advisors LLC other | Keel Point, LLC other | Other | May 9, 2011 | May 9, 2011 |
| Sophie M Lancaster | Cetera Advisors LLC other | Brokersxpress LLC other | Other | Feb 17, 2011 | Jun 10, 2011 (113 d) |
| Michael Jon Gheen | Cetera Advisors LLC other | Raymond James Financial Services Advisors, Inc other | Other | Feb 9, 2011 | Sep 23, 2011 (226 d) |
| Lonnie Wayne Hood | Cetera Advisors LLC other | Transamerica Financial Advisors, LLC other | Other | Dec 31, 2010 | Jan 6, 2011 |
| Martin Wolf Rosenzveig | Cetera Advisors LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2010 | Jan 10, 2011 |
| William John Manby | Cetera Advisors LLC other | Smc Advisory Network, LLC unclassified | Other | Dec 31, 2010 | Mar 15, 2013 (805 d) |
| Bradley Tyson Ferney | Cetera Advisors LLC other | Capital Synergy Partners independent RIA | Other | Dec 31, 2010 | Jan 12, 2012 (377 d) |
| Jesse Ryan Davidson | Cetera Advisors LLC other | Montage Investments, LLC other | Other | Dec 10, 2010 | Jan 11, 2011 (32 d) |
| Daryl Charles Debol | Cetera Advisors LLC other | First Allied Securities, Inc. other | Other | Dec 1, 2010 | Dec 1, 2010 |
| Jason Michael Smith | Cetera Advisors LLC other | Creative Planning Institutional Advisors, LLC other | Other | Nov 26, 2010 | Dec 1, 2010 |
| Megan Bracey Resch | Cetera Advisors LLC other | Private Advisor Group, LLC other | Other | Nov 16, 2010 | Oct 26, 2012 (710 d) |
| Chad Wayne Reed | Cetera Advisors LLC other | Awh Financial, LLC no RAUM | Other | Nov 12, 2010 | Apr 15, 2024 (4903 d) |
| Tyler Gene Harrelson | Cetera Advisors LLC other | Sagepoint Financial, Inc. other | Other | Oct 22, 2010 | Dec 9, 2010 (48 d) |
| Nicole Ann Cantrill | Cetera Advisors LLC other | Northwestern Mutual Investment Services,LLC other | Other | Sep 14, 2010 | Oct 14, 2010 |
| Michael Peter Pash | Cetera Advisors LLC other | Pure Financial Advisors, LLC other | Other | Jul 1, 2010 | Jul 9, 2010 |
| Christopher Warren Wright | Cetera Advisors LLC other | Wright Wealth Management Group state registered | Other | Jun 4, 2010 | Feb 11, 2015 (1713 d) |
| Matthew David Peterman | Cetera Advisors LLC other | LPL Financial LLC other | Other | Apr 26, 2010 | Apr 23, 2010 |
| Laura Sternheimer | Cetera Advisors LLC other | Dawson Wealth Management unclassified | Other | Mar 15, 2010 | Mar 28, 2008 |
| David C Barth | Cetera Advisors LLC other | Dawson Wealth Management unclassified | Other | Mar 15, 2010 | Jul 19, 2007 |
| Kyong H Kim | Cetera Advisors LLC other | Brookstone Investment Advisory Services other | Other | Mar 1, 2010 | Mar 9, 2010 |
| Richard David Peck | Cetera Advisors LLC other | Circle One Wealth Management, LLC other | Other | Feb 2, 2010 | Mar 22, 2010 (48 d) |
| Brent Edward Shimman | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 11, 2010 | Jan 8, 2010 |
| Frank Joseph Dobnikar | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 11, 2010 | Jan 8, 2010 |
| Philip Brian Bullard | Cetera Advisors LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2009 | Jan 18, 2011 (383 d) |
| Kevin Cabot Carmony | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 18, 2009 | Dec 18, 2009 |
| David Michael Baum | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 8, 2009 | Dec 8, 2009 |
| Richard Allen Ganim | Cetera Advisors LLC other | H. Beck, Inc. other | Other | Nov 12, 2009 | Nov 17, 2009 |
| Mitchell Lewis Bloom | Cetera Advisors LLC other | Qa3 Financial LLC unclassified | Other | Nov 2, 2009 | Nov 9, 2009 |
| Craig R. Dumas | Cetera Advisors LLC other | Klr Investment Advisors, LLC independent RIA | Other | Oct 28, 2009 | Nov 28, 2006 |
| Peri Ann Aptaker | Cetera Advisors LLC other | Baldwin Wealth Partners, LLC independent RIA | Other | Oct 28, 2009 | Jul 1, 2024 (5360 d) |
| Michael Christopher Patton | Cetera Advisors LLC other | Lockton Investment Advisors, LLC no RAUM | Other | Sep 30, 2009 | Oct 19, 2009 |
| John Allen Whiteknight | Cetera Advisors LLC other | MML Investors Services, LLC other | Other | Sep 28, 2009 | Jun 11, 2010 (256 d) |
| Timothy Joseph Kulick | Cetera Advisors LLC other | Symphonic Financial Advisors LLC other | Other | Sep 18, 2009 | Sep 17, 2009 |
| Joseph Adam Uhrig | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Sep 14, 2009 | Sep 14, 2009 |
| Steven D Harpham | Cetera Advisors LLC other | Next Financial Group, Inc. other | Other | Sep 14, 2009 | Sep 1, 2010 (352 d) |
| Alecia Dawn Wellen | Cetera Advisors LLC other | Alps Advisors, Inc. other | Other | Aug 17, 2009 | Aug 20, 2009 |
| Frank Stuart Blackard | Cetera Advisors LLC other | Triton Financial, LLC unclassified | Other | Aug 10, 2009 | Oct 16, 2009 (67 d) |
| Nicholas Jay Cordle | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 17, 2009 | Jul 17, 2009 |