| Dan Boyd Roberts | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | May 7, 2012 | Apr 18, 2012 |
| Kyle Wade Hendrickson | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | May 4, 2012 | Oct 16, 2012 (165 d) |
| Bryan Alan Hummel | Securities America Advisors, Inc. other | Planmember Securities Corporation other | Other | Apr 30, 2012 | May 4, 2012 |
| Gage Thomsen | Securities America Advisors, Inc. other | Curian Capital, LLC other | Other | Apr 23, 2012 | Apr 2, 2013 (344 d) |
| Richard Eric Stram | Securities America Advisors, Inc. other | Msa Financial other | Other | Apr 17, 2012 | Jun 14, 2011 |
| Paul M. Marino | Securities America Advisors, Inc. other | Msa Financial other | Other | Apr 17, 2012 | Jun 14, 2011 |
| Michael Paul Cammarata | Securities America Advisors, Inc. other | Msa Financial other | Other | Apr 17, 2012 | Jun 14, 2011 |
| Denise Elizabeth Del Monaco | Securities America Advisors, Inc. other | Msa Financial other | Other | Apr 17, 2012 | Jun 15, 2011 |
| Bruce Allan Favorat | Securities America Advisors, Inc. other | Ssn Advisory, Inc. other | Other | Apr 4, 2012 | Apr 4, 2012 |
| Ian Ross Tomlinson | Securities America Advisors, Inc. other | First Choice Financial Planning, LLC state registered | Other | Apr 3, 2012 | May 3, 2017 (1856 d) |
| Jeremy Patrick Marshall | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Mar 19, 2012 | Mar 16, 2012 |
| Sydney P. Riccio | Securities America Advisors, Inc. other | Cooper Mcmanus other | Other | Feb 29, 2012 | Feb 22, 2012 |
| Andee Christine Vorel | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 28, 2012 | Feb 25, 2014 (728 d) |
| Gregory Jon Clemens | Securities America Advisors, Inc. other | Pnc Wealth Management other | Other | Feb 6, 2012 | Feb 10, 2012 |
| Thomas J Goodson | Securities America Advisors, Inc. other | Sagepoint Financial, Inc. other | Other | Jan 18, 2012 | Jan 18, 2012 |
| Diana Youa Heu | Securities America Advisors, Inc. other | Sagepoint Financial, Inc. other | Other | Jan 18, 2012 | Jan 19, 2012 |
| Justin Robert Anderson | Securities America Advisors, Inc. other | Sagepoint Financial, Inc. other | Other | Jan 18, 2012 | Jan 18, 2012 |
| Michael James Shonsey | Securities America Advisors, Inc. other | Cetera Advisors LLC other | Other | Jan 17, 2012 | Jan 20, 2012 |
| Bradford Thomas Tom | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Jan 12, 2012 | Jan 23, 2012 |
| Clinton Thomas Walkner | Securities America Advisors, Inc. other | Walkner Condon Financial Advisors LLC no RAUM | Other | Jan 12, 2012 | Jan 10, 2012 |
| Nathan Michael Condon | Securities America Advisors, Inc. other | Walkner Condon Financial Advisors LLC no RAUM | Other | Jan 12, 2012 | Jan 12, 2012 |
| Benjamin James Marshall | Securities America Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jan 10, 2012 | Jan 25, 2012 |
| Aura Lewanna Carmi | Securities America Advisors, Inc. other | Edelman Financial Services, LLC other | Other | Jan 9, 2012 | Jan 11, 2012 |
| Helene Shafiyan | Securities America Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Dec 31, 2011 | Jan 27, 2012 |
| Douglas Lindsley Schutte | Securities America Advisors, Inc. other | First Allied Advisory Services, Inc. other | Other | Dec 31, 2011 | Nov 28, 2011 |
| Brad Martin Barrett | Securities America Advisors, Inc. other | One Capital Management, LLC other | Other | Dec 16, 2011 | Dec 20, 2011 |
| Mark Alan Vosika | Securities America Advisors, Inc. other | Sunset Financial Services, Inc. other | Other | Dec 14, 2011 | Jan 3, 2012 |
| Jarrett Paul Mehalik | Securities America Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Dec 2, 2011 | Apr 8, 2013 (493 d) |
| Jason Wynn Crowe | Securities America Advisors, Inc. other | Next Financial Group, Inc. other | Other | Nov 28, 2011 | Nov 28, 2011 |
| Martin Barry Lader | Securities America Advisors, Inc. other | Private Advisor Group, LLC other | Other | Nov 4, 2011 | May 27, 2014 (935 d) |
| Matthew R Liefer | Securities America Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Nov 4, 2011 | Nov 14, 2011 |
| Joseph William Leuchtmann | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Nov 3, 2011 | Oct 31, 2011 |
| Anton James Bayer | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Nov 2, 2011 | Nov 1, 2011 |
| Casey Richard Long | Securities America Advisors, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Oct 28, 2011 | Mar 21, 2024 (4528 d) |
| Edward Thomas Eyer Foster | Securities America Advisors, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Oct 25, 2011 | Mar 21, 2024 (4531 d) |
| Jeffrey William Stclair | Securities America Advisors, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Oct 24, 2011 | Mar 21, 2024 (4532 d) |
| David Walter Miller | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Oct 21, 2011 | Oct 24, 2011 |
| Bruce William Anesi | Securities America Advisors, Inc. other | Private Advisor Group, LLC other | Other | Oct 13, 2011 | Oct 14, 2011 |
| Tucker Tsuyoshi Torigoe | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Oct 7, 2011 | Sep 30, 2011 |
| Daryl Kent Weeden | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Oct 4, 2011 | Oct 4, 2011 |
| James Edward Tyrrell | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2011 | Oct 31, 2011 (31 d) |
| Scott James Leclaire | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2011 | Oct 31, 2011 (31 d) |
| Russell Kingsley Bell | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2011 | Sep 30, 2011 |
| John Arthur Raudat | Securities America Advisors, Inc. other | Private Advisor Group, LLC other | Other | Sep 30, 2011 | Oct 3, 2011 |
| Jay Russell Tibball | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2011 | Sep 30, 2011 |
| Paula Ann Fischer | Securities America Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Sep 30, 2011 | Oct 7, 2011 |
| Lance Paul Parker | Securities America Advisors, Inc. other | Lance Parker Wealth Management state registered | Other | Sep 28, 2011 | Mar 30, 2018 (2375 d) |
| Denise Lynnette Storm | Securities America Advisors, Inc. other | Sagepoint Financial, Inc. other | Other | Sep 21, 2011 | Sep 22, 2011 |
| Jason Dodzik | Securities America Advisors, Inc. other | Next Financial Group, Inc. other | Other | Sep 21, 2011 | Sep 2, 2011 |
| Jennifer Lynn Oakland | Securities America Advisors, Inc. other | Morgan Stanley wirehouse | Other | Sep 21, 2011 | Oct 10, 2011 |
| Michael John Argiro | Securities America Advisors, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Sep 20, 2011 | Mar 21, 2024 (4566 d) |
| Albert Armendariz | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 14, 2011 | Sep 26, 2011 |
| David John Carroll | Securities America Advisors, Inc. other | Palisade Financial state registered | Other | Sep 7, 2011 | Sep 15, 2011 |
| Andrew Ellis Oster | Securities America Advisors, Inc. other | Triton Wealth Advisors, LLC unclassified | Other | Sep 6, 2011 | Apr 21, 2011 |
| David L Ediger | Securities America Advisors, Inc. other | Principal Securities, Inc. other | Other | Sep 2, 2011 | Sep 6, 2011 |
| Shawn M Doty | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Sep 2, 2011 | Sep 19, 2011 |
| Louis James Leyes | Securities America Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 1, 2011 | Sep 1, 2011 |
| Michael Stephen Wallman | Securities America Advisors, Inc. other | Investors Capital Advisory other | Other | Aug 30, 2011 | Oct 3, 2011 (34 d) |
| Nathaniel John Louderback | Securities America Advisors, Inc. other | Waddell & Reed other | Other | Aug 29, 2011 | Sep 21, 2011 |
| Theodore Lum | Securities America Advisors, Inc. other | LPL Financial LLC other | Other | Aug 19, 2011 | Aug 15, 2011 |