| Anthony G Schmidt | Avantax Advisory Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 3, 2005 | Jan 11, 2005 |
| Thomas George Malkoch | Avantax Advisory Services other | Voya Financial Advisors, Inc. other | Other | Feb 23, 2005 | Feb 8, 2005 |
| Todd Austin Smith | Avantax Advisory Services other | Eplanning Advisors Inc unclassified | Other | Jan 26, 2005 | Jan 6, 2005 |
| Joseph Solomon | Avantax Advisory Services other | Securities America Advisors, Inc. other | Other | Jan 11, 2005 | Dec 10, 2004 |
| Charles Paul Welde | Avantax Advisory Services other | Prosperity Capital Advisors other | Other | Jan 11, 2005 | Jan 19, 2012 (2564 d) |
| Thomas Schorn | Avantax Advisory Services other | First Allied Securities, Inc. other | Other | Jan 11, 2005 | Jan 11, 2005 |
| Melvyn Leroy Varrelman | Avantax Advisory Services other | Securities America Advisors, Inc. other | Other | Dec 16, 2004 | Dec 3, 2004 |
| Michael Vincent Addessi | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Dec 16, 2004 | Aug 18, 2004 |
| James Darrell Bowen | Avantax Advisory Services other | Mutual Service Corporation unclassified | Other | Dec 16, 2004 | Apr 1, 2005 (106 d) |
| Clarence Barney | Avantax Advisory Services other | Securities America Advisors, Inc. other | Other | Dec 13, 2004 | Nov 29, 2004 |
| Lillian Marie Meyers | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Dec 13, 2004 | Aug 18, 2004 |
| Christine Jane Mclean | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Dec 13, 2004 | Aug 18, 2004 |
| Douglass William List | Avantax Advisory Services other | Afton Advisors, LLC unclassified | Other | Dec 13, 2004 | Sep 8, 2005 (269 d) |
| Michael Arthur Crouch | Avantax Advisory Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 13, 2004 | Jan 20, 2005 (38 d) |
| Lloyd Vincent Naes | Avantax Advisory Services other | New England Securities Corporation other | Other | Sep 22, 2004 | Sep 23, 2004 |
| William Patrick Mcdonald | Avantax Advisory Services other | Retirement Planning Solutions, LLC state registered | Other | Aug 27, 2004 | Jul 28, 2004 |
| Michael Leonard Hicks | Avantax Advisory Services other | Invest Financial Corporation other | Other | Jul 28, 2004 | May 21, 2004 |
| Paul Edward Fritch | Avantax Advisory Services other | Brookstreet Securities Corporation unclassified | Other | Jul 14, 2004 | May 3, 2007 (1023 d) |
| John Frederick Desimone | Avantax Advisory Services other | Castleguard Wealth Management, Ltd unclassified | Other | Apr 26, 2004 | Apr 2, 2004 |
| Henry Frank Hache | Avantax Advisory Services other | Ai Financial, Inc. state registered | Other | Apr 19, 2004 | Jul 21, 2004 (93 d) |
| John William Stovall | Avantax Advisory Services other | Securities America Advisors, Inc. other | Other | Mar 30, 2004 | Mar 24, 2004 |
| John On-Kwok Lau | Avantax Advisory Services other | LPL Financial LLC other | Other | Mar 30, 2004 | Mar 1, 2004 |
| Barbara Weber Vincent | Avantax Advisory Services other | Carillon Investments, Inc. unclassified | Other | Mar 30, 2004 | Jun 14, 2004 (76 d) |
| Robert Wilson Morris | Avantax Advisory Services other | Rwm Asset Management, LLC state registered | Other | Mar 24, 2004 | Mar 24, 2004 |
| Gary Thomas Hess | Avantax Advisory Services other | Securities America Advisors, Inc. other | Other | Mar 8, 2004 | Mar 12, 2004 |
| Susan Lee Kendall | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Mar 1, 2004 | Oct 31, 2003 |
| Elizabeth Mae Winstedt | Avantax Advisory Services other | Cetera Investment Advisers LLC other | Other | Mar 1, 2004 | Mar 3, 2010 (2193 d) |
| Richard Charles Lacava | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Feb 18, 2004 | Nov 12, 2003 |
| Paul E Dillman | Avantax Advisory Services other | Mutual Service Corporation unclassified | Other | Feb 18, 2004 | Jan 22, 2009 (1800 d) |
| Dennis Scott Jackson | Avantax Advisory Services other | Beacon Financial Planning, LLC state registered | Other | Jan 8, 2004 | Feb 20, 2007 (1139 d) |
| Gregory Leon Shores | Avantax Advisory Services other | Invest Financial Corporation other | Other | Dec 10, 2003 | Oct 15, 2003 |
| Steven Mark Clott | Avantax Advisory Services other | Dedicated Investment Advisers LLC state registered | Other | Nov 13, 2003 | Oct 24, 2003 |
| Stephen Bien | Avantax Advisory Services other | Cliftonlarsonallen Wealth Advisors, LLC other | Other | Nov 11, 2003 | Aug 9, 2010 (2463 d) |
| Randy Allen Risler | Avantax Advisory Services other | Cliftonlarsonallen Wealth Advisors, LLC other | Other | Nov 11, 2003 | Jan 18, 2005 (434 d) |
| Ron Mastrangelo | Avantax Advisory Services other | Commonwealth Financial Network national BD | Other | Oct 2, 2003 | Sep 17, 2003 |
| Charles Steve Henry | Avantax Advisory Services other | Csh Investment Management state registered | Other | Oct 2, 2003 | Oct 20, 2003 |
| Joshua Wayne Randolph | Avantax Advisory Services other | Arvest Wealth Management other | Other | Oct 2, 2003 | Oct 3, 2003 |
| Brian Keith Dennis | Avantax Advisory Services other | Esi Financial Advisors other | Other | Sep 22, 2003 | Oct 30, 2003 (38 d) |
| Tom Toshiyuki Teraoka | Avantax Advisory Services other | 1st Global Advisors Inc other | Other | Sep 22, 2003 | May 4, 2005 (590 d) |
| Christopher Joseph Perry | Avantax Advisory Services other | Edward Jones national BD | Other | Sep 16, 2003 | Jan 3, 2007 (1205 d) |
| Chris Michael Christensen | Avantax Advisory Services other | American General Securities Incorporated unclassified | Other | Sep 11, 2003 | Sep 9, 2003 |
| Jason Marc Altman | Avantax Advisory Services other | Eastern Point Advisors Inc. unclassified | Other | Jul 14, 2003 | Jun 23, 2003 |
| Kenneth Wayne Patton | Avantax Advisory Services other | Equitable Advisors, LLC national BD | Other | Jun 11, 2003 | Jun 26, 2003 |
| Ken Zhang | Avantax Advisory Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 30, 2003 | Feb 23, 2016 (4652 d) |
| Brett Warren Buonadonna | Avantax Advisory Services other | Comprehensive Programs, Inc. other | Other | Apr 14, 2003 | Feb 24, 2003 |
| Gregory Scott Bonzelaar | Avantax Advisory Services other | Gunnallen Financial, Inc unclassified | Other | Mar 31, 2003 | Feb 14, 2005 (686 d) |
| Gordon Leroy Cannoles | Avantax Advisory Services other | Cannoles Asset Management, Inc. state registered | Other | Feb 27, 2003 | Aug 14, 2002 |
| Anthony Joseph Caltabilota | Avantax Advisory Services other | New Century Financial Group, LLC other | Other | Jan 28, 2003 | Feb 12, 2003 |
| Brenda Jean Janikowski | Avantax Advisory Services other | Wealth Advisors Network, Inc. other | Other | Jan 28, 2003 | Aug 6, 2004 (556 d) |
| Daniel Dean Ross | Avantax Advisory Services other | 1st Global Advisors Inc other | Other | Jan 28, 2003 | Jul 20, 2007 (1634 d) |
| Chad Michael Hemphill | Avantax Advisory Services other | Osaic Fa, Inc. other | Other | Jan 2, 2003 | Jan 9, 2003 |
| Gary Michael Gainspoletti | Avantax Advisory Services other | LPL Financial LLC other | Other | Dec 20, 2002 | Oct 31, 2002 |
| Cathy Guiying Mu | Avantax Advisory Services other | MML Investors Services, LLC BD affiliated | Other | Dec 20, 2002 | Sep 16, 2020 (6480 d) |
| Wayne W Howell | Avantax Advisory Services other | Osaic Fa, Inc. other | Other | Dec 20, 2002 | Jan 26, 2004 (402 d) |
| Richard John Callahan | Avantax Advisory Services other | Park Avenue Securities LLC other | Other | Dec 9, 2002 | Jan 3, 2005 (756 d) |
| Kristen Marie Wilson | Avantax Advisory Services other | Park Avenue Securities LLC other | Other | Dec 4, 2002 | Oct 20, 2006 (1416 d) |
| Nicholas Ralph Camp | Avantax Advisory Services other | First Advisors National, LLC other | Other | Nov 7, 2002 | Apr 7, 2014 (4169 d) |
| David A Hamilton | Avantax Advisory Services other | Concourse Financial Group Advisors other | Other | Nov 7, 2002 | Feb 2, 2006 (1183 d) |
| James M Coll | Avantax Advisory Services other | Ameriprise Financial Services, LLC national BD | Other | Oct 25, 2002 | Dec 2, 2016 (5152 d) |
| Timothy Lyle Johnson | Avantax Advisory Services other | Cetera Investment Advisers LLC other | Other | Oct 10, 2002 | Oct 11, 2002 |