| Lee Flippen Courtright | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Nov 10, 2016 | Nov 9, 2016 |
| Marjorie Ann Opalski | Cetera Advisors LLC other | Capital Investment Advisors other | Other | Nov 4, 2016 | Nov 11, 2016 |
| Michael T Cleary | Cetera Advisors LLC other | Larimer Capital Corporation other | Other | Nov 2, 2016 | Feb 2, 2017 (92 d) |
| Porter R Draper | Cetera Advisors LLC other | Moloney Securities Asset Management LLC other | Other | Oct 31, 2016 | Jan 12, 2017 (73 d) |
| Kevin C. Casey | Cetera Advisors LLC other | Strategic Advisers LLC national BD | Other | Oct 25, 2016 | Nov 10, 2025 (3303 d) |
| Susan E. Whitlock-Mercado | Cetera Advisors LLC other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Oct 12, 2016 | Nov 15, 2016 (34 d) |
| Fred Francis Liebau | Cetera Advisors LLC other | Lg Advisory Group, LLC unclassified | Other | Oct 6, 2016 | Mar 19, 2019 (894 d) |
| Greg Charles Greer | Cetera Advisors LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 6, 2016 | Sep 30, 2016 |
| Fred Francis Liebau | Cetera Advisors LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Oct 6, 2016 | Sep 30, 2016 |
| Anthony Wilfredo Arias | Cetera Advisors LLC other | Esi Financial Advisors other | Other | Oct 6, 2016 | Oct 12, 2016 |
| Navarone Fernando Simpson | Cetera Advisors LLC other | Osaic Fa, Inc. other | Other | Sep 7, 2016 | Sep 7, 2016 |
| James Francis Mancuso | Cetera Advisors LLC other | Umb Financial Services, Inc. BD affiliated | Other | Aug 30, 2016 | Aug 27, 2018 (727 d) |
| James Christopher Bayard | Cetera Advisors LLC other | LPL Financial LLC other | Other | Aug 30, 2016 | Aug 30, 2016 |
| Ryan Christopher Gisclair | Cetera Advisors LLC other | LPL Financial LLC other | Other | Aug 30, 2016 | Aug 30, 2016 |
| Neil Thomas Daley | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 23, 2016 | Aug 2, 2016 |
| Nathaniel Hvid Running | Cetera Advisors LLC other | Strategic Wealth Group no RAUM | Other | Aug 11, 2016 | Aug 11, 2016 |
| Paul Stephan Burmeister | Cetera Advisors LLC other | Strategic Wealth Group no RAUM | Other | Aug 10, 2016 | Aug 11, 2016 |
| Tyler David Hirth | Cetera Advisors LLC other | Strategic Wealth Group no RAUM | Other | Aug 10, 2016 | Aug 11, 2016 |
| Terry Gene Hershey | Cetera Advisors LLC other | Integrated Advisors state registered | Other | Aug 9, 2016 | Aug 8, 2016 |
| Jonathan David Rienstra | Cetera Advisors LLC other | Strategic Wealth Group no RAUM | Other | Aug 8, 2016 | Aug 11, 2016 |
| Matthew Brent Longland | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Aug 3, 2016 | Aug 2, 2016 |
| Jeneen Sarah Slack | Cetera Advisors LLC other | Securian Financial Services, Inc. other | Other | Aug 2, 2016 | Aug 8, 2016 |
| Michelle Denise Boyd | Cetera Advisors LLC other | U.S. Bancorp Advisors, LLC BD affiliated | Other | Jul 25, 2016 | Jan 26, 2026 (3472 d) |
| Nigel Rohan Perryman | Cetera Advisors LLC other | Planmember Securities Corporation other | Other | Jul 25, 2016 | Jul 22, 2016 |
| James Joseph Obrien | Cetera Advisors LLC other | Ameriprise Financial Services, LLC national BD | Other | Jul 25, 2016 | Jul 15, 2016 |
| Carrie Ann Wells | Cetera Advisors LLC other | Huntington Financial Advisors other | Other | Jul 5, 2016 | Jul 18, 2016 |
| James E Roberts | Cetera Advisors LLC other | Commonwealth Financial Network national BD | Other | Jun 27, 2016 | Jun 27, 2016 |
| Estelle Arlene Gonzalez | Cetera Advisors LLC other | Voya Financial Advisors, Inc. other | Other | Jun 27, 2016 | Feb 5, 2018 (588 d) |
| Joseph Rice Spooner | Cetera Advisors LLC other | Raymond James Financial Services Advisors, Inc other | Other | Jun 6, 2016 | Jun 27, 2016 |
| Alison K Sabran | Cetera Advisors LLC other | Cetera Investment Advisers LLC other | Other | Jun 6, 2016 | Jan 21, 2014 |
| Gregory Beal | Cetera Advisors LLC other | Empower Advisory Group, LLC other | Other | May 16, 2016 | Jun 24, 2016 (39 d) |
| Daniel King Ott | Cetera Advisors LLC other | Strategic Wealth Advisors Group other | Other | May 13, 2016 | May 12, 2016 |
| Joseph A. Gass | Cetera Advisors LLC other | Strategic Wealth Advisors Group other | Other | May 13, 2016 | May 12, 2016 |
| Michael David Kolacz | Cetera Advisors LLC other | International Assets Investment Management, LLC other | Other | May 10, 2016 | May 26, 2016 |
| Bradley Merritt Epstein | Cetera Advisors LLC other | International Assets Investment Management, LLC other | Other | May 10, 2016 | Jun 1, 2016 |
| Laura Elizabeth Johnson | Cetera Advisors LLC other | Cambridge Investment Research Advisors, Inc. other | Other | May 5, 2016 | May 12, 2016 |
| Stephen Kerutis | Cetera Advisors LLC other | Bb&T Investment Services, Inc. other | Other | May 4, 2016 | May 4, 2016 |
| Timothy Ryan Boyle | Cetera Advisors LLC other | The Boyle Group Wealth Management unclassified | Other | Apr 29, 2016 | Nov 23, 2015 |
| Eric James Schindler | Cetera Advisors LLC other | LPL Financial LLC other | Other | Apr 22, 2016 | Apr 21, 2016 |
| Penny Jo Agnew | Cetera Advisors LLC other | LPL Financial LLC other | Other | Apr 22, 2016 | Apr 21, 2016 |
| Eric Michael Schindler | Cetera Advisors LLC other | LPL Financial LLC other | Other | Apr 21, 2016 | Apr 22, 2016 |
| Martin Earl Brooks | Cetera Advisors LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Apr 19, 2016 | Jun 15, 2016 (57 d) |
| John Eugene Marty | Cetera Advisors LLC other | Rb Capital Management, LLC other | Other | Apr 18, 2016 | Apr 1, 2016 |
| Gary Scott Demera | Cetera Advisors LLC other | Fsc Securities Corporation other | Other | Apr 18, 2016 | Apr 15, 2016 |
| Willington Tai Fong | Cetera Advisors LLC other | Fsc Securities Corporation other | Other | Apr 18, 2016 | Apr 18, 2016 |
| Bradley Steven Williams | Cetera Advisors LLC other | Bc Advisors, LLC other | Other | Apr 12, 2016 | Jul 11, 2016 (90 d) |
| Curtis Martin Hill | Cetera Advisors LLC other | Securities America Advisors, Inc. other | Other | Apr 11, 2016 | Apr 7, 2016 |
| Mark Malnar | Cetera Advisors LLC other | Gwn Securities Inc. other | Other | Apr 11, 2016 | Apr 12, 2016 |
| George Kastanis | Cetera Advisors LLC other | Arbor Point Advisors other | Other | Apr 7, 2016 | Apr 11, 2016 |
| David Andrew Schmidt | Cetera Advisors LLC other | Investacorp Advisory Services Inc other | Other | Apr 1, 2016 | Mar 29, 2016 |
| Lee Edward Taylor | Cetera Advisors LLC other | St. Bernard Financial Services, Inc. other | Other | Apr 1, 2016 | Jun 30, 2016 (90 d) |
| Louis Melvin Bell | Cetera Advisors LLC other | Ameriprise Financial Services, LLC national BD | Other | Mar 28, 2016 | Mar 30, 2016 |
| Kathryn Leigh Brownstein | Cetera Advisors LLC other | Truepoint, Inc. independent RIA | Other | Mar 14, 2016 | Mar 18, 2021 (1830 d) |
| Julie L Taylor | Cetera Advisors LLC other | Valmark Advisers, Inc. other | Other | Feb 8, 2016 | Mar 29, 2016 (50 d) |
| Tyler Simpson Camp | Cetera Advisors LLC other | Northwestern Mutual Investment Services,LLC other | Other | Feb 8, 2016 | Mar 10, 2016 (31 d) |
| Robert C Hayes | Cetera Advisors LLC other | Novem Group other | Other | Jan 19, 2016 | Jan 25, 2016 |
| Roger Alan Nicholls | Cetera Advisors LLC other | Ameriprise Financial Services, LLC national BD | Other | Jan 12, 2016 | Jan 13, 2016 |
| Sandra Kay Drennon | Cetera Advisors LLC other | Pacific West Financial Consultants Inc other | Other | Jan 6, 2016 | Mar 2, 2012 |
| William Frederick Schmidt | Cetera Advisors LLC other | Independent Financial Partners other | Other | Jan 6, 2016 | Jan 20, 2016 |
| Dawn Drewitz | Cetera Advisors LLC other | Avantax Advisory Services other | Other | Jan 4, 2016 | Feb 24, 2016 (51 d) |