| Erika James | Spc other | Ameritas Advisory Services other | Other | Nov 4, 2009 | Nov 24, 2009 |
| David Alan Fowler | Spc other | Diversified Strategies LLC state registered | Other | Nov 4, 2009 | May 12, 2015 (2015 d) |
| Christopher Charles Kichurchak | Spc other | Noble Financial Services, LLC unclassified | Other | Oct 30, 2009 | Oct 29, 2009 |
| Laurence Marc Sobin | Spc other | Packerland Brokerage Services, Inc. other | Other | Oct 28, 2009 | Oct 28, 2009 |
| Richard Goodwin | Spc other | Titan Securities unclassified | Other | Sep 21, 2009 | Sep 21, 2009 |
| Tony Graybeal | Spc other | Suntrust Investment Services, Inc. other | Other | Jun 12, 2009 | Jul 31, 2013 (1510 d) |
| Alan Brokenburr Ray | Spc other | Nationwide Securities, LLC no RAUM | Other | May 11, 2009 | Mar 31, 2011 (689 d) |
| Stephen Maynard Alinikoff | Spc other | Prospera Financial Services, Inc. other | Other | Apr 27, 2009 | Apr 28, 2009 |
| John Nmn Salomon | Spc other | Commonwealth Financial Network national BD | Other | Apr 27, 2009 | Apr 15, 2010 (353 d) |
| Scott Wayne Clampitt | Spc other | Highland Financial Management, Inc unclassified | Other | Mar 16, 2009 | May 5, 2009 (50 d) |
| Brandon Scott Christy | Spc other | Christy Capital Management, Inc. independent RIA | Other | Mar 3, 2009 | Feb 20, 2009 |
| Mark Christopher Spooner | Spc other | Simplicity Wealth independent RIA | Other | Feb 2, 2009 | Nov 9, 2023 (5393 d) |
| Kevin Todd Clark | Spc other | Brookstone Capital Management LLC other | Other | Dec 31, 2008 | Feb 8, 2018 (3326 d) |
| Eric Edward Wegner | Spc other | Qa3 Financial LLC unclassified | Other | Dec 31, 2008 | Jan 8, 2009 |
| Steven Michael Davidowitz | Spc other | Chancellor Financial Group Wb LP no RAUM | Other | Dec 31, 2008 | Jul 9, 2015 (2381 d) |
| Regina M Beatty | Spc other | Osaic Fa, Inc. other | Other | Dec 8, 2008 | Dec 11, 2008 |
| Gilbert Lance Talbert | Spc other | Foresters Equity Services, Inc. other | Other | Nov 4, 2008 | Jan 4, 2017 (2983 d) |
| Robert Wayne Willsey | Spc other | Natcity Investments, Inc. unclassified | Other | Oct 31, 2008 | Nov 3, 2008 |
| Jeffrey Wayne Hansen | Spc other | Fsc Securities Corporation other | Other | Sep 19, 2008 | Nov 6, 2008 (48 d) |
| Kevin Auguste Carroll | Spc other | Berthel Fisher & Company Financial Services, Inc. other | Other | Sep 8, 2008 | Jun 25, 2010 (655 d) |
| Gregory John Spinazze | Spc other | Equitable Advisors, LLC national BD | Other | Aug 29, 2008 | Mar 17, 2010 (565 d) |
| Jeff Scott Boyd | Spc other | First Allied Securities, Inc. other | Other | Jun 27, 2008 | Jun 27, 2008 |
| Robert Franklin Hansen | Spc other | Eplanning Advisors Inc unclassified | Other | Jun 23, 2008 | Jun 24, 2008 |
| Daniel Bruce Goodwin | Spc other | Principal Securities, Inc. other | Other | May 7, 2008 | Jun 20, 2008 (44 d) |
| Virginia Audrey Cooke Lind | Spc other | Planmember Securities Corporation other | Other | Mar 19, 2008 | Apr 8, 2008 |
| James Paul Ball | Spc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 14, 2008 | Feb 15, 2008 |
| Bruce Lynn Allen | Spc other | Next Financial Group, Inc. other | Other | Jan 16, 2008 | Jan 11, 2008 |
| Thomas Lloyd Vanderheiden | Spc other | Vanderheiden Financial state registered | Other | Jan 9, 2008 | Jan 1, 2026 (6567 d) |
| Christopher Thomas Staples | Spc other | Wealth 360, LLC state registered | Other | Dec 31, 2007 | Feb 20, 2008 (51 d) |
| Michael R Schak | Spc other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 27, 2007 | Feb 27, 2008 (92 d) |
| Jennifer Lynn Mcbee | Spc other | Nuance Investments, LLC other | Other | Nov 23, 2007 | Jun 28, 2016 (3140 d) |
| Raymond Patrick Oconnell | Spc other | Altus Wealth Stragtegies, Inc. unclassified | Other | Nov 13, 2007 | Feb 27, 2006 |
| Rasheedah Basmah El-Amin | Spc other | Valic Financial Advisors, Inc. other | Other | Nov 1, 2007 | Oct 18, 2007 |
| Bruce Carl Gilmore | Spc other | Packerland Brokerage Services, Inc. other | Other | Oct 31, 2007 | Oct 31, 2007 |
| Sharon Lee Egan | Spc other | North Star Investment Management Corporation other | Other | Oct 24, 2007 | May 1, 2012 (1651 d) |
| Scott Paul Zwierzynski | Spc other | Packerland Brokerage Services, Inc. independent RIA | Other | Sep 26, 2007 | Jan 1, 2025 (6307 d) |
| James Edward Eastwood | Spc other | Msi Financial Services, Inc. other | Other | Jul 27, 2007 | Sep 26, 2007 (61 d) |
| Kevin Murray Smith | Spc other | Msi Financial Services, Inc. other | Other | Jul 19, 2007 | Jul 12, 2007 |
| Russell Stuart Gilfix | Spc other | Wind & Rose, LLC state registered | Other | Jul 3, 2007 | Jul 9, 2007 |
| Jared F. Thompson | Spc other | Valmark Advisers, Inc. other | Other | Jun 5, 2007 | Jun 5, 2007 |
| Gal Gali Horev | Spc other | Financial West Group other | Other | Mar 30, 2007 | Oct 16, 2008 (566 d) |
| Jay Anthony Riggs | Spc other | Merit Financial Advisors independent RIA | Other | Mar 9, 2007 | May 30, 2025 (6657 d) |
| Peter Julian Taurinskas | Spc other | Mutual Trust Asset Mgmt., Inc. other | Other | Feb 28, 2007 | Jan 22, 2014 (2520 d) |
| Gerald E Shaw | Spc other | Asset & Financial Planning, Ltd other | Other | Feb 12, 2007 | Feb 9, 2007 |
| Jason Bryce Vanclef | Spc other | Madison Avenue Advisors, Inc. unclassified | Other | Feb 8, 2007 | Feb 8, 2007 |
| Matthew David Martin | Spc other | Mrk Asset Management, LLC. unclassified | Other | Dec 31, 2006 | Mar 2, 2011 (1522 d) |
| Bruce Wayne Roberts | Spc other | Regal Capital Management, Inc. state registered | Other | Nov 30, 2006 | Jun 20, 2003 |
| Jay Thomas Harbison | Spc other | G & W Equity Sales, Inc. unclassified | Other | Nov 13, 2006 | Nov 20, 2006 |
| Brian David Havermann | Spc other | Geneos Wealth Management, Inc. other | Other | Nov 7, 2006 | Nov 7, 2006 |
| Vicki K Schapp | Spc other | MML Investors Services, LLC other | Other | Nov 1, 2006 | Nov 14, 2006 |
| David William Ryan | Spc other | Packerland Brokerage Services, Inc. other | Other | Oct 30, 2006 | Oct 30, 2006 |
| Robert Dean Foutty | Spc other | Packerland Brokerage Services, Inc. other | Other | Oct 18, 2006 | Oct 23, 2006 |
| Jordan Dean Main | Spc other | Ae Wealth Management, LLC independent RIA | Other | Sep 11, 2006 | Dec 21, 2017 (4119 d) |
| Clark R Piper | Spc other | Chase Investment Services Corp. other | Other | Aug 21, 2006 | Aug 31, 2006 |
| Jason Alan Coldicott | Spc other | Ameriprise Financial Services, LLC national BD | Other | Jul 17, 2006 | Nov 4, 2015 (3397 d) |
| David Stuart Westphal | Spc other | Wells Fargo Advisors wirehouse | Other | Jun 15, 2006 | Oct 14, 2010 (1582 d) |
| Gary William Medley | Spc other | Rehmann Wealth other | Other | May 16, 2006 | Feb 20, 2007 (280 d) |
| James William Winslow | Spc other | LPL Financial LLC other | Other | Mar 14, 2006 | Oct 31, 2005 |
| Donald Carl Nestor | Spc other | Delta Advisory Group, Inc. other | Other | Dec 31, 2005 | Jan 5, 2006 |
| Rodney Lee Holloway | Spc other | Cfci other | Other | Dec 31, 2005 | Jun 18, 2004 |