| Eric Scott Colella | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Sep 30, 2016 |
| Ronald James Lomangino | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Sep 30, 2016 |
| William George James | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Sep 30, 2016 |
| William Andrew Grundig | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Oct 3, 2016 |
| Alfred Joseph Polizzotto | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Oct 3, 2016 |
| Alexander James Saulon | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Oct 3, 2016 |
| Kevin Hutnik | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Oct 3, 2016 |
| Jeffrey Michael Wolf | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Sep 30, 2016 |
| Ian Kahil | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2016 | Sep 30, 2016 |
| Trent Tyrone Solomon | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 23, 2016 | Oct 25, 2016 (32 d) |
| Steven Matthew Ellsworth | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC other | Other | Sep 20, 2016 | Sep 20, 2016 |
| Sergio Villa | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 16, 2016 | Oct 19, 2016 (33 d) |
| Rochelle M. Davis | Securities America Advisors, Inc. other | Nationwide Investment Advisors, LLC other | Other | Sep 15, 2016 | Nov 4, 2016 (50 d) |
| Joshua S Melda | Securities America Advisors, Inc. other | Osaic Fa, Inc. other | Other | Sep 14, 2016 | Sep 6, 2016 |
| Michael Arden Mccoy | Securities America Advisors, Inc. other | Osaic Fs, Inc. other | Other | Sep 7, 2016 | Sep 6, 2016 |
| Jenny Lynn Laurita | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Aug 10, 2016 | May 5, 2017 (268 d) |
| William Alan Mertins | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Aug 8, 2016 | Aug 16, 2016 |
| Kimberly Diane Tucker-Knotts | Securities America Advisors, Inc. other | Scf Investment Advisors, Inc. other | Other | Jul 28, 2016 | Aug 5, 2016 |
| Ryan James Draper | Securities America Advisors, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Jul 18, 2016 | Jul 22, 2016 |
| Christopher Nagel Hussar | Securities America Advisors, Inc. other | Navigate 401k, LLC no RAUM | Other | Jul 14, 2016 | Jul 30, 2020 (1477 d) |
| Timothy Paul Lata | Securities America Advisors, Inc. other | Wealth Management Services, LLC state registered | Other | Jun 24, 2016 | Dec 13, 2016 (172 d) |
| Dante Peter Liberti | Securities America Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 21, 2016 | Jun 20, 2016 |
| Terry Alan Helton | Securities America Advisors, Inc. other | Cetera Investment Advisers LLC other | Other | Jun 13, 2016 | Jun 10, 2016 |
| Carole Marie Perchal | Securities America Advisors, Inc. other | Mutual Of Omaha Investor Services, Inc. independent RIA | Other | Jun 13, 2016 | Sep 6, 2024 (3007 d) |
| Mary Lynne Yoder | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jun 7, 2016 | Jun 6, 2016 |
| Peggy Jo Rouillier | Securities America Advisors, Inc. other | Concourse Financial Group Advisors other | Other | Jun 7, 2016 | Jul 7, 2016 |
| Stephen Martin Hansen | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jun 7, 2016 | Jun 30, 2016 |
| Scott Kyle Swander | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jun 1, 2016 | Jun 8, 2016 |
| Philip Henry Sears | Securities America Advisors, Inc. other | Great Valley Advisor Group, LLC other | Other | May 19, 2016 | May 9, 2016 |
| Craig Stephen Korol | Securities America Advisors, Inc. other | Global Retirement Partners LLC other | Other | May 10, 2016 | Apr 29, 2016 |
| Tyler Edward Schultz | Securities America Advisors, Inc. other | Global Retirement Partners LLC other | Other | May 10, 2016 | Apr 29, 2016 |
| Jeffrey Michael Isom | Securities America Advisors, Inc. other | Creative Planning other | Other | May 9, 2016 | May 20, 2016 |
| Natalie Meharey | Securities America Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 9, 2016 | Sep 22, 2016 (136 d) |
| Richard Todd Holden | Securities America Advisors, Inc. other | Cuso Financial Services, L.P. other | Other | May 2, 2016 | May 2, 2016 |
| Brenda Rose Aslyn | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC other | Other | Apr 28, 2016 | Apr 1, 2016 |
| Craig C Gabel | Securities America Advisors, Inc. other | Principal Securities, Inc. other | Other | Apr 11, 2016 | Apr 25, 2016 |
| Yoon C Chang | Securities America Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 7, 2016 | Jul 21, 2016 (105 d) |
| Timothy Asche | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC other | Other | Apr 7, 2016 | Apr 7, 2016 |
| Amy Robin Raisman | Securities America Advisors, Inc. other | Bb&T Securities, LLC other | Other | Mar 17, 2016 | Mar 21, 2016 |
| Fu Lin | Securities America Advisors, Inc. other | MML Investors Services, LLC other | Other | Mar 11, 2016 | Jun 28, 2016 (109 d) |
| Michael Blake Gallion | Securities America Advisors, Inc. other | One Degree Advisors, Inc. no RAUM | Other | Mar 7, 2016 | May 5, 2014 |
| Robert John Worrell | Securities America Advisors, Inc. other | Source Capital Group, Inc. other | Other | Mar 3, 2016 | May 23, 2016 (81 d) |
| Brian David Kraus | Securities America Advisors, Inc. other | Kraus Capital Management, LLC no RAUM | Other | Mar 3, 2016 | Mar 2, 2016 |
| Troy Wayne Hendricks | Securities America Advisors, Inc. other | Gwn Securities Inc. other | Other | Feb 2, 2016 | Feb 10, 2016 |
| Tracy Diane Taylor | Securities America Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 2, 2016 | Mar 17, 2016 (44 d) |
| Timothy Alan Kalien | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Jan 29, 2016 | Jan 28, 2016 |
| Mark Stuart Schaffer | Securities America Advisors, Inc. other | 3d Asset Management, Inc. other | Other | Jan 28, 2016 | May 5, 2016 (98 d) |
| Jessica Danielle Silver | Securities America Advisors, Inc. other | Stratos Wealth Partners, Ltd other | Other | Jan 26, 2016 | Apr 17, 2017 (447 d) |
| James Joseph Burdett | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 22, 2016 | Aug 18, 2017 (574 d) |
| Eugene Michael Pinks | Securities America Advisors, Inc. other | Edward Jones national BD | Other | Jan 19, 2016 | Feb 1, 2016 |
| Heather Lynn Smart | Securities America Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Jan 19, 2016 | Apr 13, 2016 (85 d) |
| Scott Walker Daniel | Securities America Advisors, Inc. other | World Investment Advisors, LLC other | Other | Jan 14, 2016 | Jan 20, 2016 |
| David Michael Miller | Securities America Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Jan 12, 2016 | Jan 12, 2016 |
| Paul Douglas Duncan | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Jan 12, 2016 | Jan 11, 2016 |
| John Robert Roessig | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner independent RIA | Other | Jan 4, 2016 | Mar 4, 2019 (1155 d) |
| Thomas Alan Ren | Securities America Advisors, Inc. other | Crown Capital Securities, L.P. other | Other | Dec 31, 2015 | Jan 4, 2016 |
| Ryan Charles Beasley | Securities America Advisors, Inc. other | Ameritas Advisory Services other | Other | Dec 31, 2015 | Jan 25, 2016 |
| Joseph Ellis | Securities America Advisors, Inc. other | Diversify Advisory Services, LLC BD affiliated | Other | Dec 18, 2015 | Dec 22, 2023 (2926 d) |
| Adam Frank Kint | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 17, 2015 | Dec 17, 2015 |
| Donald Leonhard Hartmann | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 11, 2015 | Dec 11, 2015 |