| Aaron Timothy Winters | Securities America Advisors, Inc. other | MML Investors Services, LLC other | Other | Aug 13, 2013 | Sep 23, 2013 (41 d) |
| Gregory Allen Salvatore | Securities America Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Aug 8, 2013 | Mar 20, 2014 (224 d) |
| Christopher Syktich | Securities America Advisors, Inc. other | Sbr Financial Group unclassified | Other | Jul 17, 2013 | Jul 26, 2013 |
| Malik S Lee | Securities America Advisors, Inc. other | Henssler Financial other | Other | Jul 15, 2013 | Oct 30, 2013 (107 d) |
| Travis O'Dell Tullock | Securities America Advisors, Inc. other | Labrum Wealth Management, LLC other | Other | Jul 9, 2013 | Aug 16, 2016 (1134 d) |
| Brian Lee Heithoff | Securities America Advisors, Inc. other | Frontier Wealth Management, LLC other | Other | Jun 24, 2013 | Aug 9, 2013 (46 d) |
| Jason Robert Swiercek | Securities America Advisors, Inc. other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Jun 24, 2013 | Jun 4, 2013 |
| David Duane Bonebrake | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | May 31, 2013 | Jun 19, 2013 |
| W Stephen Jones | Securities America Advisors, Inc. other | Advantage Investment Management, LLC other | Other | May 24, 2013 | May 30, 2013 |
| Herbert Suekichi Shiraishi | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | May 9, 2013 | May 31, 2013 |
| Hans Caparas Medina | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | May 8, 2013 | May 17, 2013 |
| Jason Lloyd Wong | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | May 8, 2013 | Apr 29, 2013 |
| Kendall K.K. Kakugawa | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | May 8, 2013 | Apr 29, 2013 |
| Grant Tatsuro Arita | Securities America Advisors, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | May 8, 2013 | May 17, 2013 |
| Suzanne Lundeen Abrams | Securities America Advisors, Inc. other | Bergankdv Wealth Management, LLC other | Other | Apr 15, 2013 | Dec 9, 2013 (238 d) |
| Troy Laton Redstone | Securities America Advisors, Inc. other | Boulder Investment Group other | Other | Mar 28, 2013 | Jun 21, 2013 (85 d) |
| Jason Thomas Cyza | Securities America Advisors, Inc. other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Mar 18, 2013 | Jun 24, 2013 (98 d) |
| Nitin D Shah | Securities America Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 28, 2013 | Mar 13, 2013 |
| Emily Graham Stroud | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 27, 2013 | Feb 25, 2013 |
| Shannon London Smith | Securities America Advisors, Inc. other | Investment Centers Of America, Inc. other | Other | Feb 22, 2013 | Mar 27, 2013 (33 d) |
| Mark Brendan Sumner | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Feb 22, 2013 | Mar 4, 2013 |
| Shaun David Arnold | Securities America Advisors, Inc. other | MML Investors Services, LLC other | Other | Feb 20, 2013 | Mar 14, 2013 |
| Darrell Reagan | Securities America Advisors, Inc. other | T. Rowe Price Advisory Services, Inc. no RAUM | Other | Feb 14, 2013 | Mar 19, 2013 (33 d) |
| Patrick Neal Broome | Securities America Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 7, 2013 | Feb 6, 2013 |
| Nicholas C Brown | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Dec 20, 2012 | Sep 25, 2013 (279 d) |
| Chris Weston | Securities America Advisors, Inc. other | Waddell & Reed other | Other | Dec 18, 2012 | Dec 13, 2012 |
| Scott Deon Preece | Securities America Advisors, Inc. other | Foresters Equity Services, Inc. other | Other | Dec 7, 2012 | Dec 10, 2012 |
| Cody Ray Flatt | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC no RAUM | Other | Dec 5, 2012 | May 15, 2012 |
| Bryce Tadao Miyamoto | Securities America Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 29, 2012 | Dec 5, 2012 |
| Charles Edward Earle | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC no RAUM | Other | Nov 16, 2012 | Jan 24, 2012 |
| Michael J Calandruccio | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC no RAUM | Other | Nov 14, 2012 | Oct 5, 2012 |
| Timothy Jon Robinson | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC no RAUM | Other | Nov 14, 2012 | Oct 1, 2012 |
| Robert Edward Skinner | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC no RAUM | Other | Nov 14, 2012 | Aug 30, 2012 |
| Kevin C Fifield | Securities America Advisors, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 12, 2012 | Feb 22, 2013 (102 d) |
| Jerome Joseph Repovz | Securities America Advisors, Inc. other | Summit Financial Group Inc other | Other | Nov 6, 2012 | Dec 11, 2012 (35 d) |
| Bryan David Glancy | Securities America Advisors, Inc. other | Spinnaker Financial Group, LLC state registered | Other | Nov 5, 2012 | Nov 15, 2012 |
| Danielle Fosmer | Securities America Advisors, Inc. other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Oct 25, 2012 | Nov 6, 2012 |
| Richard Yancy Kars | Securities America Advisors, Inc. other | Schwab Wealth Advisory, Inc. BD affiliated | Other | Oct 22, 2012 | Jan 2, 2020 (2628 d) |
| Carol Lynn Knowlton-Chirko | Securities America Advisors, Inc. other | Cooper Mcmanus other | Other | Oct 19, 2012 | Aug 13, 2012 |
| Terry Donald Deever | Securities America Advisors, Inc. other | Colorado Financial Service Corporation no RAUM | Other | Oct 18, 2012 | Oct 3, 2012 |
| Veronica L. Schulz | Securities America Advisors, Inc. other | Raymond James & Associates, Inc. national BD | Other | Oct 9, 2012 | Oct 23, 2012 |
| Naaleialoha Julia Keaunui | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Oct 9, 2012 | Oct 5, 2012 |
| Geoffrey Gordon Glazier | Securities America Advisors, Inc. other | Pinnacle Wealth Management, Inc. other | Other | Sep 28, 2012 | Jul 16, 2012 |
| Matthew Paul Belcher | Securities America Advisors, Inc. other | Pnc Wealth Management other | Other | Sep 21, 2012 | Sep 24, 2012 |
| Devery Rustin Cagle | Securities America Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 17, 2012 | Aug 21, 2012 |
| Matthew Jordan Van Name | Securities America Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Aug 17, 2012 | Jun 21, 2013 (308 d) |
| Joshua Adam Parke | Securities America Advisors, Inc. other | Sagepoint Financial, Inc. other | Other | Aug 10, 2012 | Aug 8, 2012 |
| Keith Joseph Glushek | Securities America Advisors, Inc. other | Lincoln Investment other | Other | Aug 3, 2012 | Sep 28, 2012 (56 d) |
| Jeremy J Newton | Securities America Advisors, Inc. other | Synovus Securities, Inc. other | Other | Jul 27, 2012 | Mar 31, 2014 (612 d) |
| Eric Andrew Swalla | Securities America Advisors, Inc. other | Spc BD affiliated | Other | Jul 20, 2012 | Jan 12, 2026 (4924 d) |
| Thomas Edwin Hellings | Securities America Advisors, Inc. other | Girard Advisory Services, LLC other | Other | Jul 19, 2012 | Sep 15, 2016 (1519 d) |
| Gene Austin Tabb | Securities America Advisors, Inc. other | Scf Investment Advisors, Inc. other | Other | Jul 10, 2012 | Jun 4, 2012 |
| Joseph Philip Sarappo | Securities America Advisors, Inc. other | Retirement Planning Specialists other | Other | Jul 2, 2012 | Jul 29, 2011 |
| Jill Lauren Henson | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jul 2, 2012 | Mar 22, 2013 (263 d) |
| Christopher M Sacco | Securities America Advisors, Inc. other | Retirement Planning Specialists other | Other | Jul 2, 2012 | Jul 29, 2011 |
| Walter James Billodeaux | Securities America Advisors, Inc. other | Usadvisors Wealth Management, LLC no RAUM | Other | Jun 19, 2012 | Jun 19, 2012 |
| Leia Elizabeth Farmer | Securities America Advisors, Inc. other | Raymond James & Associates, Inc. national BD | Other | Jun 4, 2012 | Sep 18, 2018 (2297 d) |
| Ryan Lee Brott | Securities America Advisors, Inc. other | Td Ameritrade, Inc. no RAUM | Other | May 29, 2012 | Apr 17, 2014 (688 d) |
| Dennis Eugene Pascarella | Securities America Advisors, Inc. other | Cerity Partners Ocio LLC other | Other | May 17, 2012 | May 17, 2012 |
| Paul Michael Schaefer | Securities America Advisors, Inc. other | Questar Asset Management, Inc. other | Other | May 9, 2012 | Jun 11, 2012 (33 d) |