| David William Trende | Cetera Advisors LLC other | American Portfolios Advisors, Inc other | Other | Mar 10, 2008 | Aug 14, 2008 (157 d) |
| Richard Vaughan Dunstan | Cetera Advisors LLC other | LPL Financial LLC other | Other | Jan 30, 2008 | Feb 12, 2008 |
| Scott Edward Bretl | Cetera Advisors LLC other | Gwn Securities Inc. other | Other | Jan 30, 2008 | Jan 15, 2008 |
| Joshua Edward Bretl | Cetera Advisors LLC other | Gwn Securities Inc. other | Other | Jan 30, 2008 | Jan 15, 2008 |
| Dennis Leon Wallace | Cetera Advisors LLC other | Fortune Financial Advisors, LLC other | Other | Jan 16, 2008 | Dec 2, 2008 (321 d) |
| Lawrence Edward Hamtil | Cetera Advisors LLC other | Fortune Financial Advisors, LLC other | Other | Jan 16, 2008 | Dec 17, 2008 (336 d) |
| Troy Lane Stine | Cetera Advisors LLC other | Next Financial Group, Inc. other | Other | Jan 10, 2008 | Jan 7, 2008 |
| Lonnie Wayne Hood | Cetera Advisors LLC other | Ameritas Advisory Services other | Other | Dec 10, 2007 | Jan 25, 2008 (46 d) |
| Thomas William Chichester | Cetera Advisors LLC other | Financial Telesis, Inc. other | Other | Dec 5, 2007 | Nov 16, 2007 |
| Tilden Lester Sowdon | Cetera Advisors LLC other | Brookstone Investment Advisory Services other | Other | Nov 27, 2007 | Dec 1, 2007 |
| Michael Edward Miller | Cetera Advisors LLC other | Next Financial Group, Inc. other | Other | Nov 7, 2007 | Oct 29, 2007 |
| Ruth Denise Goldstein | Cetera Advisors LLC other | The Strategic Financial Alliance other | Other | Oct 29, 2007 | Nov 6, 2007 |
| Michael Wayne Shamburger | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Oct 24, 2007 | Oct 22, 2007 |
| Dana Andrew Czmer | Cetera Advisors LLC other | Morgan Stanley wirehouse | Other | Oct 24, 2007 | Sep 30, 2010 (1072 d) |
| Jennifer L Olsen | Cetera Advisors LLC other | Morgan Stanley wirehouse | Other | Oct 24, 2007 | Sep 30, 2010 (1072 d) |
| Mark John Digiovanni | Cetera Advisors LLC other | The Strategic Financial Alliance other | Other | Oct 18, 2007 | Oct 16, 2007 |
| Michael James Del Re | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Oct 11, 2007 | Sep 27, 2007 |
| Michael John Willis | Cetera Advisors LLC other | LPL Financial LLC other | Other | Oct 10, 2007 | Sep 27, 2007 |
| John Ross | Cetera Advisors LLC other | MML Investors Services, LLC other | Other | Sep 20, 2007 | May 26, 2017 (3536 d) |
| Kelly Lisa Monroe | Cetera Advisors LLC other | H. Beck, Inc. other | Other | Sep 19, 2007 | Sep 4, 2007 |
| Chad James Larsen | Cetera Advisors LLC other | Moreton Asset Management, LLC other | Other | Sep 12, 2007 | Jan 18, 2006 |
| Calvin Todd Halterman | Cetera Advisors LLC other | H. Beck, Inc. other | Other | Aug 28, 2007 | Aug 20, 2007 |
| John Joseph Coll | Cetera Advisors LLC other | Osaic Fa, Inc. other | Other | Aug 21, 2007 | Jan 2, 2008 (134 d) |
| Richard Scott Carver | Cetera Advisors LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 21, 2007 | Aug 22, 2007 |
| James Phillip Quinlan | Cetera Advisors LLC other | Invest Financial Corporation other | Other | Jul 26, 2007 | Jul 12, 2007 |
| Elizabeth Ann Belisle | Cetera Advisors LLC other | Commonwealth Financial Network national BD | Other | Jul 26, 2007 | Jul 17, 2007 |
| Deborah Ann Duemling | Cetera Advisors LLC other | Normandy Capital Management, LLC state registered | Other | Jul 3, 2007 | Jun 26, 2009 (724 d) |
| David Christopher Partheymuller | Cetera Advisors LLC other | Normandy Capital Management, LLC state registered | Other | Jul 3, 2007 | Mar 2, 2007 |
| John Eugene Anderson | Cetera Advisors LLC other | Normandy Capital Management, LLC state registered | Other | Jul 3, 2007 | Feb 19, 2025 (6441 d) |
| Gilbert Cornilus Varnes | Cetera Advisors LLC other | Voya Financial Advisors, Inc. other | Other | Jun 12, 2007 | Jan 10, 2008 (212 d) |
| Andrew Elwood Gift | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | May 8, 2007 | May 4, 2007 |
| Matthew Theodore Stroia | Cetera Advisors LLC other | Investment Network, Inc. state registered | Other | May 2, 2007 | Apr 17, 2015 (2907 d) |
| John Michael Genova | Cetera Advisors LLC other | Invest Financial Corporation other | Other | Apr 11, 2007 | Apr 10, 2007 |
| Steven Douglas White | Cetera Advisors LLC other | Investors Capital Advisory other | Other | Mar 16, 2007 | Mar 9, 2007 |
| Joseph Irvin Wells | Cetera Advisors LLC other | Voya Financial Advisors, Inc. other | Other | Feb 2, 2007 | Jan 1, 2004 |
| Thomas Hugh Lee | Cetera Advisors LLC other | The Strategic Financial Alliance other | Other | Jan 12, 2007 | Jan 5, 2007 |
| Jason Hollander | Cetera Advisors LLC other | Citigroup Global Markets Inc. other | Other | Jan 12, 2007 | Jan 3, 2007 |
| Michael Glenn Chandler | Cetera Advisors LLC other | The Strategic Financial Alliance other | Other | Jan 12, 2007 | Jan 5, 2007 |
| Jacqueline Noveck | Cetera Advisors LLC other | Sterne Agee Investment Advisor Services, Inc. other | Other | Dec 31, 2006 | Jan 18, 2007 |
| James Rodney Gandy | Cetera Advisors LLC other | Post Oak Financial, LLC state registered | Other | Dec 31, 2006 | Mar 26, 2012 (1912 d) |
| Gary Charles Noveck | Cetera Advisors LLC other | Sterne Agee Investment Advisor Services, Inc. other | Other | Dec 31, 2006 | Jan 18, 2007 |
| Jay Robert Penney | Cetera Advisors LLC other | Usf Advisors, LLC unclassified | Other | Dec 20, 2006 | Dec 19, 2006 |
| Thomas Neal Tillery | Cetera Advisors LLC other | Paraklete Financial, Inc. state registered | Other | Dec 4, 2006 | Feb 13, 2007 (71 d) |
| R. David De La Rosa | Cetera Advisors LLC other | Cetera Advisor Networks LLC other | Other | Nov 22, 2006 | Nov 6, 2006 |
| Susan Priester Leonard | Cetera Advisors LLC other | Cetera Investment Advisers LLC BD affiliated | Other | Nov 2, 2006 | Mar 21, 2024 (6349 d) |
| Richard Wayne Balhoff | Cetera Advisors LLC other | Triad Advisors, LLC other | Other | Nov 1, 2006 | Nov 1, 2006 |
| Monica Ie Tan | Cetera Advisors LLC other | Advice And Planning Services BD affiliated | Other | Sep 26, 2006 | May 17, 2025 (6808 d) |
| Jeffrey Mark Hochwalt | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 1, 2006 | Aug 12, 2008 (711 d) |
| Deborah Joan Mansfield | Cetera Advisors LLC other | Citigroup Global Markets Inc. other | Other | Aug 28, 2006 | Aug 29, 2006 |
| Douglas Earl Reed | Cetera Advisors LLC other | Prosperity Network, Inc unclassified | Other | Aug 9, 2006 | Jul 9, 2004 |
| Sandra Seal Knox | Cetera Advisors LLC other | Cetera Investment Advisers LLC BD affiliated | Other | Jul 6, 2006 | Mar 21, 2024 (6468 d) |
| Shannon Thomas Sulewski | Cetera Advisors LLC other | Associated Planners Investment Advisory Inc unclassified | Other | Apr 20, 2006 | Apr 24, 2006 |
| Sheryl Lynn Olson | Cetera Advisors LLC other | Geneos Wealth Management, Inc. other | Other | Mar 2, 2006 | Mar 2, 2006 |
| Jeremy Joseph Hudson | Cetera Advisors LLC other | Wbi Investments, LLC other | Other | Feb 14, 2006 | Mar 8, 2005 |
| Christopher Derek Sweeney | Cetera Advisors LLC other | Spc other | Other | Feb 9, 2006 | Jan 24, 2006 |
| James Eric Hutchby | Cetera Advisors LLC other | Traverse Wealth unclassified | Other | Jan 19, 2006 | Jul 21, 2006 (183 d) |
| Christopher Raymond Peitz | Cetera Advisors LLC other | Capital Financial Services, Inc. other | Other | Dec 31, 2005 | Jul 16, 2010 (1658 d) |
| Evan Peter Welch | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2005 | Apr 16, 2013 (2663 d) |
| Alan Blaine Shouse | Cetera Advisors LLC other | Invest Financial Corporation other | Other | Dec 15, 2005 | Nov 17, 2005 |
| David Bronzal Dennis | Cetera Advisors LLC other | Sagepoint Financial, Inc. other | Other | Dec 13, 2005 | Mar 5, 2015 (3369 d) |