| Debra Ann Hartsfield | On Investment Management Co other | Ridgeback Capital Management other | Other | Oct 19, 2006 | Oct 29, 2008 (741 d) |
| Scott Richard Werdebaugh | On Investment Management Co other | Msi Financial Services, Inc. other | Other | Sep 26, 2006 | Nov 21, 2006 (56 d) |
| Jeremiah David Mumm | On Investment Management Co other | Lawing Financial Inc other | Other | Aug 31, 2006 | Sep 5, 2006 |
| Fabiano Medrado De Franco | On Investment Management Co other | Medallion Advisory Services, LLC unclassified | Other | Jun 23, 2006 | Jul 6, 2007 (378 d) |
| Ty Matthew Wilkinson | On Investment Management Co other | Cetera Advisor Networks LLC other | Other | Jun 19, 2006 | Sep 28, 2006 (101 d) |
| Kurtis Jay Stroemel | On Investment Management Co other | Plymouth Advisors, LLC unclassified | Other | May 3, 2006 | May 17, 2005 |
| Brent Christopher Mcdonald | On Investment Management Co other | Omnistar Financial Group, Inc. other | Other | May 3, 2006 | May 23, 2006 |
| Clifford Blair Benjamin | On Investment Management Co other | Investacorp Advisory Services Inc other | Other | Apr 3, 2006 | Jun 9, 2008 (798 d) |
| David R Tuzson | On Investment Management Co other | Oneamerica Securities, Inc. BD affiliated | Other | Mar 28, 2006 | Jan 19, 2024 (6506 d) |
| Phillip Lloyd Clark | On Investment Management Co other | Omnistar Financial Group, Inc. other | Other | Feb 22, 2006 | Feb 22, 2006 |
| Douglas Anthony Rongo | On Investment Management Co other | Omnistar Financial Group, Inc. other | Other | Feb 22, 2006 | Feb 22, 2006 |
| Herschel Vincent Clanton | On Investment Management Co other | Chancellor Wealth Management, Inc. independent RIA | Other | Dec 31, 2005 | Jan 30, 2003 |
| Andrew Dennis Badertscher | On Investment Management Co other | Meaden & Moore Financial Services, Ltd. unclassified | Other | Dec 31, 2005 | Mar 23, 2007 (447 d) |
| Andy C Khoo | On Investment Management Co other | A.I.M. Financial Group, Inc. state registered | Other | Dec 31, 2005 | May 4, 2006 (124 d) |
| Stefan Joaquin Garcia | On Investment Management Co other | Lifetime Financial Advisors LLC state registered | Other | Dec 31, 2005 | Mar 25, 2005 |
| Phuong Thi Nguyen | On Investment Management Co other | Quality Wealth Care, LLC. state registered | Other | Dec 31, 2005 | Jan 1, 2006 |
| Brent Cunningham Gilmore | On Investment Management Co other | Legend Advisory, LLC other | Other | Jul 11, 2005 | Dec 12, 2008 (1250 d) |
| Thomas Peter Schmidtke | On Investment Management Co other | U.S. Bancorp Investments, Inc. other | Other | Jun 16, 2005 | Aug 17, 2010 (1888 d) |
| Roric Eugene Griffith | On Investment Management Co other | Principal Securities, Inc. other | Other | May 12, 2005 | May 12, 2005 |
| Juan Carlos Rosario | On Investment Management Co other | Brookstreet Securities Corporation unclassified | Other | Apr 4, 2005 | Jul 15, 2005 (102 d) |
| Brian Anthony Mulhall | On Investment Management Co other | The America Group Financial Advisory Services, LLC unclassified | Other | Jan 6, 2005 | Jun 13, 2005 (158 d) |
| Craig Mark Siminski | On Investment Management Co other | Msi Financial Services, Inc. other | Other | Dec 7, 2004 | Dec 10, 2004 |
| David John Stofflet | On Investment Management Co other | Coppell Advisory Solutions LLC other | Other | Jul 7, 2004 | May 8, 2014 (3592 d) |
| Steven Christopher Nelson | On Investment Management Co other | Lawing Financial Inc other | Other | Mar 9, 2004 | Apr 28, 2004 (50 d) |
| Randall Ernest Kerns | On Investment Management Co other | Voya Financial Advisors, Inc. other | Other | May 20, 2002 | Sep 2, 2004 (836 d) |