| Peter Tomlinson Roe | Cetera Advisors LLC other | Triton Financial, LLC unclassified | Other | Jul 6, 2009 | Jul 17, 2009 |
| Garrett Stewart Hoge | Cetera Advisors LLC other | H Financial Management other | Other | Jun 17, 2009 | Feb 24, 2009 |
| Michael John Sloan | Cetera Advisors LLC other | Regal Investment Advisors LLC other | Other | Jun 17, 2009 | Feb 19, 2014 (1708 d) |
| Ian C Dick | Cetera Advisors LLC other | Compass Financial Advisors LLC other | Other | Jun 17, 2009 | Jul 10, 2009 |
| Richard Paul Kundracik | Cetera Advisors LLC other | Wbi Investments, LLC other | Other | May 21, 2009 | Aug 4, 2009 (75 d) |
| Mark Vaughn Snider | Cetera Advisors LLC other | Nfp Advisor Services, LLC other | Other | May 4, 2009 | May 1, 2009 |
| Joseph Sean Arnold | Cetera Advisors LLC other | Dawson Wealth Management unclassified | Other | Mar 23, 2009 | May 3, 2007 |
| Catherine Bernice Young | Cetera Advisors LLC other | LPL Financial LLC other | Other | Mar 20, 2009 | Mar 19, 2009 |
| Michael Wayne Word | Cetera Advisors LLC other | Vere Asset Management, Inc. other | Other | Mar 17, 2009 | Apr 18, 2013 (1493 d) |
| Gary Paul Haindel | Cetera Advisors LLC other | Sterne Agee Asset Management, Inc. other | Other | Mar 17, 2009 | Mar 26, 2009 |
| Jacqueline Latrice Reinert | Cetera Advisors LLC other | Waddell & Reed other | Other | Dec 31, 2008 | Jan 14, 2009 |
| Joshua Reed Stein | Cetera Advisors LLC other | H Financial Management other | Other | Dec 19, 2008 | Feb 27, 2009 (70 d) |
| John David Haller | Cetera Advisors LLC other | Brokersxpress LLC other | Other | Dec 10, 2008 | Dec 9, 2008 |
| Jennifer Fisher | Cetera Advisors LLC other | MML Investors Services, LLC other | Other | Oct 23, 2008 | Nov 20, 2008 |
| Kendall Charles Lovett | Cetera Advisors LLC other | Sii Investments, Inc. other | Other | Sep 29, 2008 | Sep 26, 2008 |
| John Essigman | Cetera Advisors LLC other | Money Concepts Advisory Service other | Other | Sep 26, 2008 | Sep 30, 2008 |
| Marijo Tase Harding | Cetera Advisors LLC other | D.H. Hill Advisors, Inc. independent RIA | Other | Sep 25, 2008 | Sep 29, 2008 |
| Michael John Kreft | Cetera Advisors LLC other | Transamerica Financial Advisors, Inc. unclassified | Other | Sep 10, 2008 | Feb 9, 2009 (152 d) |
| Margaret Marie Rose | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 3, 2008 | Sep 2, 2008 |
| Bradley Scott Montgomery | Cetera Advisors LLC other | Leonard And Company other | Other | Sep 2, 2008 | Feb 24, 2010 (540 d) |
| Kevin Lynn Way | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 25, 2008 | Aug 22, 2008 |
| John David James Lapham | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 25, 2008 | Aug 22, 2008 |
| Tammy R Hafner | Cetera Advisors LLC other | Cetera Investment Advisers LLC BD affiliated | Other | Aug 22, 2008 | Mar 21, 2024 (5690 d) |
| Christopher Paul Polk | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 12, 2008 | Aug 11, 2008 |
| Dante Peter Liberti | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Sep 22, 2008 (42 d) |
| Kurt Douglas Cambier | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 11, 2008 | Aug 11, 2008 |
| Eric Scott Colella | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 8, 2008 |
| Donald Charles Madigan | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 8, 2008 |
| Richard Michael Caruso | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 15, 2008 |
| Christopher Kurt Bahr | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 11, 2008 | Aug 11, 2008 |
| Jonathan Bryn Krueger | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 11, 2008 | Aug 11, 2008 |
| Ronald James Lomangino | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 8, 2008 |
| William George James | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 8, 2008 |
| William Andrew Grundig | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 8, 2008 |
| Alexander James Saulon | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 8, 2008 |
| Kevin Hutnik | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 11, 2008 | Aug 9, 2008 |
| John Lewis Smallwood | Cetera Advisors LLC other | Smallwood Capital Management unclassified | Other | Aug 6, 2008 | Nov 1, 2004 |
| William Clayton Conerly | Cetera Advisors LLC other | Harbor Financial Services, LLC other | Other | Aug 5, 2008 | Aug 11, 2008 |
| Robert John Maw | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 4, 2008 | Aug 1, 2008 |
| Seth Erik Grano | Cetera Advisors LLC other | Centaurus Financial, Inc. other | Other | Aug 4, 2008 | Nov 7, 2011 (1190 d) |
| John Bodnar | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 7, 2008 | Jul 7, 2008 |
| Russell George Kyncl | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 27, 2008 | Jun 26, 2008 |
| Glen Edward Viditz-Ward | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 27, 2008 | Jun 26, 2008 |
| Magdalena Eberhardt | Cetera Advisors LLC other | Public Safety Financial/Galloway other | Other | Jun 27, 2008 | Jul 15, 2008 |
| Thomas Alan Burk | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 27, 2008 | Jun 26, 2008 |
| John David Fitzgerald | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 27, 2008 | Jul 10, 2008 |
| Jack Armstrong Derby | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 27, 2008 | Jul 28, 2008 (31 d) |
| Michael Jeffrey Galloway | Cetera Advisors LLC other | Public Safety Financial/Galloway other | Other | Jun 27, 2008 | Jul 20, 2006 |
| Brian Joseph Rellihan | Cetera Advisors LLC other | Public Safety Financial/Galloway other | Other | Jun 27, 2008 | Jul 21, 2008 |
| Claudia Francine Rivers | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 27, 2008 | Jun 26, 2008 |
| Christopher Alan Hoerchler | Cetera Advisors LLC other | Public Safety Financial/Galloway other | Other | Jun 27, 2008 | Jul 7, 2008 |
| David Tyler Heymann | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 26, 2008 | Jun 19, 2008 |
| Patricia Ann Lloyd | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 26, 2008 | Jun 19, 2008 |
| James Milton Mound | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 24, 2008 | Jun 19, 2008 |
| Jayson Call Walker | Cetera Advisors LLC other | LPL Financial LLC other | Other | May 19, 2008 | Nov 25, 2009 (555 d) |
| Dennis Charles Clark | Cetera Advisors LLC other | First Allied Securities, Inc. other | Other | May 15, 2008 | May 16, 2008 |
| Matthew David Hickey | Cetera Advisors LLC other | First Allied Securities, Inc. other | Other | May 15, 2008 | May 14, 2008 |
| Brian Michael Gross | Cetera Advisors LLC other | Qa3 Financial LLC unclassified | Other | May 8, 2008 | May 5, 2008 |
| David Don Semersky | Cetera Advisors LLC other | Ameriprise Financial Services, LLC national BD | Other | May 7, 2008 | Dec 10, 2009 (582 d) |
| Frances Worthington | Cetera Advisors LLC other | Lincoln Financial Distributors, Inc. unclassified | Other | Apr 21, 2008 | Apr 17, 2008 |