| William R Davis | Avantax Advisory Services other | Swbc Investment Company other | Other | Oct 2, 2015 | Sep 24, 2015 |
| Susan Obrien Curran | Avantax Advisory Services other | Curran Financial Partners, LLC state registered | Other | Sep 30, 2015 | Sep 30, 2015 |
| Jeffrey Lynn Tiona | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Sep 30, 2015 | Sep 30, 2015 |
| Frank Michael Galzarano | Avantax Advisory Services other | Good Life Advisors, LLC other | Other | Sep 14, 2015 | Sep 9, 2015 |
| Kevin Allen Bernard | Avantax Advisory Services other | Equitable Advisors, LLC national BD | Other | Sep 10, 2015 | Sep 28, 2015 |
| Kaitlin Michele Krozel | Avantax Advisory Services other | Krozel Capital Management, LLC state registered | Other | Sep 8, 2015 | Jul 24, 2017 (685 d) |
| Alan David Shannon-Breslin | Avantax Advisory Services other | Ameriprise Financial Services, LLC national BD | Other | Aug 28, 2015 | Aug 21, 2015 |
| Frank Stephen Freni | Avantax Advisory Services other | Wells Fargo Advisors wirehouse | Other | Aug 10, 2015 | Aug 28, 2015 |
| Bret Eugene Travis | Avantax Advisory Services other | Melia Wealth LLC independent RIA | Other | Jul 27, 2015 | Jan 1, 2025 (3446 d) |
| Tanner Lemaster | Avantax Advisory Services other | LPL Financial LLC other | Other | Jul 10, 2015 | Jan 7, 2016 (181 d) |
| Renee Collins | Avantax Advisory Services other | Sagepoint Financial, Inc. other | Other | Jun 24, 2015 | Jun 15, 2015 |
| Shonty Aye Spatola | Avantax Advisory Services other | Pacific Oak Financial Planning LLC state registered | Other | Jun 16, 2015 | Apr 16, 2021 (2131 d) |
| Charles Chiu | Avantax Advisory Services other | World Advisory Services other | Other | Jun 5, 2015 | Jul 30, 2015 (55 d) |
| Jason Rush Witcher | Avantax Advisory Services other | Strategic Wealth Management Group, LLC unclassified | Other | Jun 5, 2015 | Jun 9, 2015 |
| Robert Bryan Cannon | Avantax Advisory Services other | Advisory Services Network other | Other | Jun 4, 2015 | Jun 4, 2015 |
| Robert Clark Armstrong | Avantax Advisory Services other | Advisory Services Network other | Other | Jun 4, 2015 | Sep 9, 2015 (97 d) |
| Barbara Ann Bell | Avantax Advisory Services other | Advisory Services Network other | Other | Jun 4, 2015 | Jun 4, 2015 |
| John Daniel Davidson | Avantax Advisory Services other | Ameriprise Financial Services, LLC national BD | Other | May 29, 2015 | May 22, 2015 |
| Nathan Kenneth Davidson | Avantax Advisory Services other | Ameriprise Financial Services, LLC national BD | Other | May 29, 2015 | May 22, 2015 |
| Adam D Davidson | Avantax Advisory Services other | Ameriprise Financial Services, LLC national BD | Other | May 29, 2015 | May 22, 2015 |
| Timothy Joseph Davidson | Avantax Advisory Services other | Ameriprise Financial Services, LLC national BD | Other | May 29, 2015 | May 22, 2015 |
| Mark Stephen Coletta | Avantax Advisory Services other | Raymond James Financial Services Advisors, Inc other | Other | May 22, 2015 | May 15, 2015 |
| Ronald Edwin Odom | Avantax Advisory Services other | Archer Investment Corporation other | Other | May 15, 2015 | Jun 5, 2015 |
| Glen Howard Chester | Avantax Advisory Services other | Scf Investment Advisors, Inc. other | Other | May 1, 2015 | Apr 23, 2015 |
| Dawn Drewitz | Avantax Advisory Services other | Cetera Advisors LLC other | Other | Apr 6, 2015 | May 15, 2015 (39 d) |
| Matthew Anthony Tully | Avantax Advisory Services other | Catalyst Capital Advisors LLC other | Other | Mar 6, 2015 | Apr 21, 2016 (412 d) |
| Brian G Phipps | Avantax Advisory Services other | Park Avenue Securities LLC other | Other | Feb 16, 2015 | Mar 3, 2015 |
| Jaclyn R Hackett | Avantax Advisory Services other | Ameriprise Financial Services, LLC national BD | Other | Feb 16, 2015 | Feb 2, 2015 |
| Jefferson John Nash | Avantax Advisory Services other | Hornor, Townsend & Kent, LLC other | Other | Jan 27, 2015 | Sep 24, 2015 (240 d) |
| Staci Marie Murphy | Avantax Advisory Services other | Financial Dimensions Group, Inc. other | Other | Dec 31, 2014 | Feb 18, 2015 (49 d) |
| Domenico Dimaio | Avantax Advisory Services other | Pnc Wealth Management other | Other | Nov 11, 2014 | Nov 24, 2014 |
| Colin Flinn Gorman | Avantax Advisory Services other | 1st Global Advisors Inc other | Other | Oct 10, 2014 | Sep 30, 2014 |
| Craig Lewis Andres | Avantax Advisory Services other | Pnc Wealth Management other | Other | Sep 25, 2014 | May 7, 2015 (224 d) |
| Mike John Masunas | Avantax Advisory Services other | A.G.P / Alliance Global Partners other | Other | Sep 19, 2014 | Sep 18, 2014 |
| Judith Wolcott Frantz | Avantax Advisory Services other | Msi Financial Services, Inc. other | Other | Sep 19, 2014 | Sep 12, 2014 |
| James Joseph Mahoney | Avantax Advisory Services other | Kestra Advisory Services, LLC other | Other | Sep 19, 2014 | Apr 29, 2016 (588 d) |
| Larry Dale Worden | Avantax Advisory Services other | Bfc Planning, Inc. other | Other | Sep 19, 2014 | Sep 11, 2014 |
| James Lavern Cox | Avantax Advisory Services other | Sii Investments, Inc. other | Other | Aug 13, 2014 | Aug 1, 2014 |
| Eric James Viavattene | Avantax Advisory Services other | Sageguard Financial Group, LLC other | Other | Jun 23, 2014 | Jun 9, 2014 |
| Thomas Joseph Harkins | Avantax Advisory Services other | Pruco Securities, LLC other | Other | Apr 16, 2014 | May 29, 2014 (43 d) |
| Frank Coulson Speace | Avantax Advisory Services other | Raymond James Financial Services Advisors, Inc other | Other | Apr 1, 2014 | Apr 2, 2014 |
| Matthew Paul Didomenico | Avantax Advisory Services other | Raymond James Financial Services Advisors, Inc other | Other | Apr 1, 2014 | Apr 3, 2014 |
| Richard Anthony Ciuba | Avantax Advisory Services other | Argus Investors' Counsel, Inc. institutional | Other | Feb 24, 2014 | Aug 27, 2020 (2376 d) |
| Warren M Schneider | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Jan 27, 2014 | Jan 28, 2014 |
| Keith Allen Barfield | Avantax Advisory Services other | Signal Securities, Inc. other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Larry L Gurewitz | Avantax Advisory Services other | The William Allan Corporation independent RIA | Other | Dec 20, 2013 | Feb 4, 2014 (46 d) |
| Richard Carl Sexton | Avantax Advisory Services other | Msi Financial Services, Inc. other | Other | Dec 19, 2013 | Dec 8, 2015 (719 d) |
| Jacqueline Seena Zweig | Avantax Advisory Services other | B. Riley Wealth Advisors, Inc. other | Other | Dec 6, 2013 | Jul 10, 2015 (581 d) |
| Vincent Dagostino | Avantax Advisory Services other | Cambridge Investment Research Advisors, Inc. other | Other | Nov 29, 2013 | Nov 21, 2013 |
| Michael Christopher Krueger | Avantax Advisory Services other | Cambridge Investment Research Advisors, Inc. other | Other | Nov 29, 2013 | Nov 21, 2013 |
| Johnnie Lewis Brooks | Avantax Advisory Services other | J.P. Morgan Securities LLC wirehouse | Other | Nov 26, 2013 | Jan 21, 2014 (56 d) |
| Morgan Jo Webb | Avantax Advisory Services other | Cfo4life, L.P. other | Other | Nov 18, 2013 | May 15, 2014 (178 d) |
| Richard Barry Johnson | Avantax Advisory Services other | Sfmg Wealth Advisors other | Other | Oct 4, 2013 | May 29, 2002 |
| Sean Power | Avantax Advisory Services other | Charles Schwab & Co., Inc. national BD | Other | Sep 13, 2013 | Oct 30, 2013 (47 d) |
| Michael Tsiaklides | Avantax Advisory Services other | Private Label Money Management, Inc. unclassified | Other | Sep 13, 2013 | Sep 27, 2013 |
| Harold Charles Morrow | Avantax Advisory Services other | Signature Investments, Inc. other | Other | Aug 5, 2013 | Aug 2, 2013 |
| Andrew Joseph Ash | Avantax Advisory Services other | Wells Fargo Advisors wirehouse | Other | Aug 5, 2013 | Aug 5, 2013 |
| Karen Sue Corcoran | Avantax Advisory Services other | Corcoran Wealth Management no RAUM | Other | Jul 25, 2013 | Apr 7, 2015 (621 d) |
| Jennifer Lee Radford | Avantax Advisory Services other | Waddell & Reed other | Other | Jul 22, 2013 | Jul 19, 2013 |
| Daniel Machado | Avantax Advisory Services other | J.P. Morgan Securities LLC wirehouse | Other | Jul 16, 2013 | Jul 22, 2013 |