| Benjamin David Johnson | Securities America Advisors, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2018 | May 17, 2018 |
| Ann Margaret Boyd | Securities America Advisors, Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 11, 2018 | Apr 27, 2018 |
| Steven Kim Mitchell | Securities America Advisors, Inc. BD affiliated | Innovation Partners LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2018 | May 18, 2018 |
| Alexander James Liss | Securities America Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 27, 2018 | Jun 29, 2023 (1889 d) |
| Nicholas Spangler | Securities America Advisors, Inc. BD affiliated | Chelsea Advisory Services, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2018 | Apr 26, 2018 |
| Emily Sue Harris | Securities America Advisors, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2018 | May 8, 2018 |
| Kevin Jay Larson | Securities America Advisors, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 12, 2018 | Jun 29, 2023 (1904 d) |
| Scott Joseph Lickteig | Securities America Advisors, Inc. BD affiliated | Ameritas Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2018 | Apr 20, 2018 |
| Michael Raymond Pozzi | Securities America Advisors, Inc. other | Cuna Brokerage Services, Inc. other | Other | Mar 16, 2018 | Mar 28, 2018 |
| Robert J Lewis | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Mar 12, 2018 | Mar 20, 2018 |
| Peter Stewart | Securities America Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Mar 9, 2018 | Jul 3, 2018 (116 d) |
| Kenneth Stafford | Securities America Advisors, Inc. other | LPL Financial LLC independent RIA | Other | Mar 7, 2018 | Mar 2, 2018 |
| Brady James Hall | Securities America Advisors, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Feb 26, 2018 | Mar 5, 2018 |
| Cynthia Sue Ortlieb | Securities America Advisors, Inc. other | Principal Securities, Inc. BD affiliated | Other | Feb 19, 2018 | Sep 5, 2024 (2390 d) |
| William John Powers | Securities America Advisors, Inc. other | Avantax Advisory Services other | Other | Jan 26, 2018 | Jan 24, 2018 |
| Joel Courtney White | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Jan 19, 2018 | Jan 19, 2018 |
| Matthew Morrison Borders | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc BD affiliated | Other | Jan 19, 2018 | Jan 19, 2018 |
| Julianne Chadwick | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. BD affiliated | Other | Jan 15, 2018 | Jan 12, 2018 |
| Lawrence Patrick Grill | Securities America Advisors, Inc. other | Lasalle St. Investment Advisors, L.L.C. BD affiliated | Other | Jan 12, 2018 | Jan 12, 2018 |
| Michael David Erbaio | Securities America Advisors, Inc. other | Spire Wealth Management, LLC other | Other | Jan 12, 2018 | Feb 15, 2018 (34 d) |
| Phillip Michael Krause | Securities America Advisors, Inc. other | Spire Wealth Management, LLC BD affiliated | Other | Jan 9, 2018 | Jan 1, 2025 (2549 d) |
| Birju R. Munshi | Securities America Advisors, Inc. other | Choreo, LLC independent RIA | Other | Jan 2, 2018 | May 2, 2019 (485 d) |
| Robert C Moore | Securities America Advisors, Inc. other | LPL Financial LLC independent RIA | Other | Dec 31, 2017 | Jan 2, 2018 |
| Jiahong Yan | Securities America Advisors, Inc. other | Realta Investment Advisors, Inc independent RIA | Other | Dec 20, 2017 | Apr 2, 2018 (103 d) |
| Jemal David Westbrook | Securities America Advisors, Inc. other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Dec 18, 2017 | Dec 20, 2017 |
| Joseph Anthony Zielinski | Securities America Advisors, Inc. other | Bluefin Financial independent RIA | Other | Dec 1, 2017 | Aug 7, 2017 |
| Vernon Grant Stewart | Securities America Advisors, Inc. other | Advantage Investment Management, LLC other | Other | Nov 30, 2017 | Jan 25, 2018 (56 d) |
| Walter Joseph Mccormac | Securities America Advisors, Inc. other | Bluefin Financial independent RIA | Other | Nov 30, 2017 | Aug 7, 2017 |
| Keo Cal Chao | Securities America Advisors, Inc. other | Pruco Securities, LLC BD affiliated | Other | Nov 30, 2017 | Apr 2, 2018 (123 d) |
| Thomas Michael Mclean | Securities America Advisors, Inc. other | American Portfolios Advisors, Inc independent RIA | Other | Nov 24, 2017 | Jul 25, 2018 (243 d) |
| Zachary Lane Stuck | Securities America Advisors, Inc. other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 24, 2017 | Feb 5, 2018 (73 d) |
| Justin Derick Savich | Securities America Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Nov 17, 2017 | Nov 20, 2017 |
| Ryan Alan Zimmerman | Securities America Advisors, Inc. other | Msa Financial other | Other | Nov 15, 2017 | Nov 15, 2017 |
| Michael Edward Andries | Securities America Advisors, Inc. other | Creativeone Securities, LLC other | Other | Nov 14, 2017 | Nov 13, 2017 |
| Ivan Havrylyan | Securities America Advisors, Inc. other | Outside The Box Financial Planning, LLC state registered | Other | Nov 10, 2017 | Jan 2, 2018 (53 d) |
| Steven James Lind | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Nov 7, 2017 | Nov 7, 2017 |
| Timothy Jon Robinson | Securities America Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Nov 7, 2017 | Nov 7, 2017 |
| Ronald Joseph Carazo | Securities America Advisors, Inc. other | Spire Wealth Management, LLC other | Other | Nov 3, 2017 | Nov 27, 2017 |
| Michael Curt Schwartz | Securities America Advisors, Inc. other | Mz Capital, LLC independent RIA | Other | Oct 27, 2017 | Aug 10, 2023 (2113 d) |
| Ashley W Owens | Securities America Advisors, Inc. other | Osaic Institutions, Inc. other | Other | Oct 25, 2017 | Oct 25, 2017 |
| Thomas Michael Abboud | Securities America Advisors, Inc. other | Abboud Financial Planning, Inc. state registered | Other | Oct 19, 2017 | Jan 1, 2026 (2996 d) |
| David Robert Coughlin | Securities America Advisors, Inc. other | Scf Investment Advisors, Inc. other | Other | Oct 16, 2017 | Oct 16, 2017 |
| Nicole Mandich | Securities America Advisors, Inc. other | Raymond James & Associates, Inc. national BD | Other | Oct 16, 2017 | Dec 20, 2019 (795 d) |
| Paul Martin Betenbaugh | Securities America Advisors, Inc. other | Creative Financial Designs, Inc. BD affiliated | Other | Sep 28, 2017 | May 24, 2018 (238 d) |
| Theodore Michael Suleski | Securities America Advisors, Inc. other | Bluefin Financial independent RIA | Other | Sep 26, 2017 | Aug 7, 2017 |
| Sean Anthony Zapp | Securities America Advisors, Inc. other | Ameritas Advisory Services, LLC BD affiliated | Other | Sep 8, 2017 | Nov 1, 2021 (1515 d) |
| Donald Marcel Roy | Securities America Advisors, Inc. other | Boston Harbor Wealth Advisors, LLC other | Other | Aug 30, 2017 | Aug 28, 2017 |
| Timothy Gerard Hermesch | Securities America Advisors, Inc. other | Financial Gravity Asset Management, Inc. other | Other | Aug 25, 2017 | Sep 7, 2017 |
| Chris Castro | Securities America Advisors, Inc. other | Cetera Investment Advisers LLC other | Other | Aug 16, 2017 | Mar 6, 2018 (202 d) |
| Robert Vincent Kromer | Securities America Advisors, Inc. other | Rk Retirement Solutions LLC state registered | Other | Aug 15, 2017 | Aug 21, 2017 |
| Sheila Renee Quattlander | Securities America Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Aug 11, 2017 | May 30, 2018 (292 d) |
| William Walter Zurek | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Aug 10, 2017 | Aug 8, 2017 |
| Jeffrey Scott Patterson | Securities America Advisors, Inc. other | Cutter & Company, Inc. other | Other | Jul 17, 2017 | Jul 25, 2017 |
| Rachel Edith Smith | Securities America Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Jul 14, 2017 | Jul 25, 2017 |
| Charles Halbert Dingman | Securities America Advisors, Inc. other | Brookstone Wealth Advisors, LLC other | Other | Jul 6, 2017 | Jul 12, 2017 |
| Jennifer Ann Killilea | Securities America Advisors, Inc. other | Johnson Brunetti independent RIA | Other | Jun 26, 2017 | Sep 27, 2023 (2284 d) |
| James Edmond Clements | Securities America Advisors, Inc. other | Ameritas Advisory Services other | Other | Jun 23, 2017 | Jun 30, 2017 |
| Timothy Wayne Hicks | Securities America Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Jun 6, 2017 | Jun 7, 2017 |
| Kevin James Leblanc | Securities America Advisors, Inc. other | Center Street Advisors, Inc. other | Other | Jun 5, 2017 | Jun 2, 2017 |
| Scott Eric Beaty | Securities America Advisors, Inc. other | Center Street Advisors, Inc. other | Other | Jun 5, 2017 | Jun 2, 2017 |