| Ryan Charles Bosler | On Investment Management Co other | Swisher Financial Concepts, Inc. independent RIA | Other | Feb 17, 2011 | Apr 16, 2010 |
| Craig Mark Siminski | On Investment Management Co other | Sagepoint Financial, Inc. other | Other | Feb 9, 2011 | Feb 11, 2011 |
| Jason Chris Hohenstein | On Investment Management Co other | Sagepoint Financial, Inc. other | Other | Feb 8, 2011 | Feb 8, 2011 |
| Kevin John Snow | On Investment Management Co other | Sagepoint Financial, Inc. other | Other | Dec 31, 2010 | Feb 8, 2011 (39 d) |
| Michael Winston Bain | On Investment Management Co other | Mbia Capital Advisors other | Other | Dec 31, 2010 | Apr 20, 2011 (110 d) |
| John Robert Mullett | On Investment Management Co other | Hummel Wealth Management, LLC other | Other | Dec 31, 2010 | Jun 16, 2010 |
| Hardev Prempuri Goswami | On Investment Management Co other | New England Securities Corporation other | Other | Dec 3, 2010 | Jan 12, 2011 (40 d) |
| Bobby Gene Junkin | On Investment Management Co other | Concourse Financial Group Advisors other | Other | Oct 29, 2010 | Oct 29, 2010 |
| Kerry Lee Lawing | On Investment Management Co other | Prevail Innovative Wealth Advisors, LLC independent RIA | Other | Jul 16, 2010 | Feb 9, 2021 (3861 d) |
| Casey Evan Clark | On Investment Management Co other | Capital Client Group, Inc. no RAUM | Other | Jul 15, 2010 | May 7, 2013 (1027 d) |
| Gregory James Pasler | On Investment Management Co other | Chase Investment Services Corp. other | Other | Apr 9, 2010 | Apr 14, 2010 |
| Eric Ray Heckman | On Investment Management Co other | Heckman Financial & Insurance Services, Inc. independent RIA | Other | Jan 28, 2010 | Jan 18, 2022 (4373 d) |
| Matthew Craig Queen | On Investment Management Co other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 28, 2010 | Feb 3, 2014 (1467 d) |
| Brian Keith Laspino | On Investment Management Co other | Allstate Financial Advisors, LLC BD affiliated | Other | Jan 5, 2010 | Aug 17, 2021 (4242 d) |
| William Ray Stagner | On Investment Management Co other | Woodbury Financial Services, Inc. other | Other | Jan 5, 2010 | Jan 8, 2010 |
| David Ralph Weber | On Investment Management Co other | Uniplan Financial Investments Inc. unclassified | Other | Dec 31, 2009 | Jul 26, 2010 (207 d) |
| Christopher Leo Arnold | On Investment Management Co other | Osaic Fa, Inc. BD affiliated | Other | Dec 31, 2009 | Jun 10, 2022 (4544 d) |
| Daniel Joseph Oconnell | On Investment Management Co other | New England Securities Corporation other | Other | Dec 31, 2009 | Dec 15, 2009 |
| Steven K Bennett | On Investment Management Co other | Hornor, Townsend & Kent, LLC other | Other | Dec 31, 2009 | May 31, 2011 (516 d) |
| Jason C Sanger | On Investment Management Co other | Wisconsin Financial Advisors, LLC unclassified | Other | Dec 31, 2009 | Apr 16, 2009 |
| Trevor John Bauer | On Investment Management Co other | Life Wise Planning Group LLC state registered | Other | Nov 2, 2009 | Jul 9, 2026 (6093 d) |
| Steven Michael Temple | On Investment Management Co other | Ameritas Advisory Services other | Other | Sep 24, 2009 | Mar 25, 2011 (547 d) |
| Douglas Adrian Emery | On Investment Management Co other | Woodbury Financial Services, Inc. other | Other | Aug 20, 2009 | Aug 26, 2009 |
| Michael John Falco | On Investment Management Co other | Integrity Alliance, LLC other | Other | Jul 27, 2009 | Jul 23, 2009 |
| Daniel Edward Mckelvey | On Investment Management Co other | Investment Centers Of America, Inc. other | Other | Jun 15, 2009 | Jun 15, 2009 |
| Sean Patrick Fahey | On Investment Management Co other | Investment Centers Of America, Inc. other | Other | Jun 15, 2009 | Jun 12, 2009 |
| William Sapp Merriken | On Investment Management Co other | LPL Financial LLC other | Other | May 15, 2009 | Jul 25, 2012 (1167 d) |
| Michelle Evard Moses | On Investment Management Co other | Innovative Advisory Group independent RIA | Other | Apr 24, 2009 | Aug 11, 2025 (5953 d) |
| Stephen Duane Stech | On Investment Management Co other | Gunnallen Financial, Inc unclassified | Other | Jan 15, 2009 | Jan 26, 2009 |
| Scott Richard Jensen | On Investment Management Co other | Hardy & Hardy Co LLC independent RIA | Other | Dec 31, 2008 | Aug 14, 2008 |
| Tienchia Wang | On Investment Management Co other | Innovative Advisory Group independent RIA | Other | Dec 31, 2008 | May 4, 2021 (4507 d) |
| Conrad Stephen Kunkel | On Investment Management Co other | H. Beck, Inc. other | Other | Dec 31, 2008 | Jan 27, 2009 |
| Wesley K Brown | On Investment Management Co other | Park Avenue Securities LLC BD affiliated | Other | Dec 31, 2008 | Nov 6, 2017 (3232 d) |
| Roger Lee Gainer | On Investment Management Co other | Fmsi Advisers other | Other | Nov 6, 2008 | Nov 20, 2008 |
| Randall John Winkler | On Investment Management Co other | Bmo Harris Financial Advisors, Inc other | Other | Sep 24, 2008 | Sep 22, 2008 |
| Amy Jeanne Berry | On Investment Management Co other | Lawing Financial Inc other | Other | Aug 29, 2008 | Aug 28, 2008 |
| Ivan Obra Mattox | On Investment Management Co other | 1717 Capital Management Company unclassified | Other | Jun 19, 2008 | Jun 18, 2008 |
| Keith Wayne Reed | On Investment Management Co other | Cambridge Investment Research Advisors, Inc. other | Other | May 5, 2008 | Jan 10, 2018 (3537 d) |
| Enrique Jose Alvarez | On Investment Management Co other | Retirement Doctor, LLC unclassified | Other | Mar 5, 2008 | Feb 21, 2008 |
| James Boyd Speights | On Investment Management Co other | LPL Financial LLC other | Other | Feb 28, 2008 | Feb 26, 2008 |
| David B Schlabach | On Investment Management Co other | Hummel Wealth Management, LLC other | Other | Dec 31, 2007 | Apr 24, 2007 |
| Edgar Marvin Hawkins | On Investment Management Co other | Questar Asset Management, Inc. other | Other | Dec 31, 2007 | Jan 4, 2008 |
| Peter M Lampert | On Investment Management Co other | Lampert & Associates LLC unclassified | Other | Dec 31, 2007 | Aug 14, 2008 (227 d) |
| Alan Donald Cooper | On Investment Management Co other | Questar Asset Management, Inc. other | Other | Dec 5, 2007 | Jan 4, 2008 |
| Trevor John Bauer | On Investment Management Co other | Bauer Planning Group, LLC unclassified | Other | Oct 29, 2007 | Sep 16, 2004 |
| Winter Andrew Troxel | On Investment Management Co other | Investacorp Advisory Services Inc other | Other | Sep 4, 2007 | Sep 7, 2007 |
| John Erwin Fischer | On Investment Management Co other | The America Group Financial Advisory Services, LLC unclassified | Other | Jul 20, 2007 | Mar 7, 2005 |
| David Joshua Elliott | On Investment Management Co other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 19, 2007 | Jun 18, 2007 |
| Michelle Evard Moses | On Investment Management Co other | Me Financial, Pllc state registered | Other | Apr 3, 2007 | Mar 16, 2007 |
| Randall Gray Daniel | On Investment Management Co other | Woodbury Financial Services, Inc. other | Other | Mar 6, 2007 | Mar 9, 2007 |
| Scott David Sorum | On Investment Management Co other | The Master Planning Group, Inc. unclassified | Other | Jan 24, 2007 | Nov 19, 2004 |
| Richard Victor Finco | On Investment Management Co other | M&I Financial Advisors, Inc. no RAUM | Other | Jan 18, 2007 | Jan 25, 2007 |
| Peggy Lynn Farnworth | On Investment Management Co other | Afa Advisor Services LLC unclassified | Other | Dec 31, 2006 | Nov 21, 2007 (325 d) |
| Jeffrey Lee Stouffer | On Investment Management Co other | Capital Advisors unclassified | Other | Dec 31, 2006 | May 8, 2007 (128 d) |
| David Allen Treece | On Investment Management Co other | Workman Securities Corporation unclassified | Other | Dec 31, 2006 | Jan 8, 2007 |
| Edward Michael Grosko | On Investment Management Co other | Integrated Wealth Management, Inc. independent RIA | Other | Dec 31, 2006 | Aug 17, 2006 |
| Lyndon Richard Harrison | On Investment Management Co other | USA Financial Securities LLC other | Other | Dec 31, 2006 | Mar 9, 2007 (68 d) |
| John Thomas Cooper | On Investment Management Co other | Money Concepts Advisory Service other | Other | Dec 19, 2006 | Jan 10, 2007 |
| Michael Dennis Worch | On Investment Management Co other | Worch Financial Group, LLC state registered | Other | Nov 6, 2006 | Jan 1, 2026 (6996 d) |
| Jeremy Wilmes | On Investment Management Co other | Paulson Investment Company, LLC other | Other | Oct 31, 2006 | Nov 20, 2006 |