| Matthew Paul Diehl | Eagle Strategies LLC other | Advice And Planning Services other | Other | Aug 11, 2014 | Aug 26, 2014 |
| Scott Andrew Cleveland | Eagle Strategies LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 6, 2014 | Aug 5, 2014 |
| Jack Shaw | Eagle Strategies LLC other | Oneamerica Securities, Inc. other | Other | Aug 4, 2014 | May 19, 2016 (654 d) |
| Andrew Bryant Meinbresse | Eagle Strategies LLC other | Valic Financial Advisors, Inc. other | Other | Aug 1, 2014 | Jul 28, 2014 |
| Marcus Jearl Ham | Eagle Strategies LLC other | True North Advisors, LLC independent RIA | Other | Jul 10, 2014 | Jun 27, 2018 (1448 d) |
| James Harrison Waugh | Eagle Strategies LLC other | Global Financial Private Capital, Inc. other | Other | Jul 1, 2014 | Dec 16, 2014 (168 d) |
| Jeffrey Benton Kimball | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Jun 10, 2014 | Jun 24, 2014 |
| Joel Michael Greenberg | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Jun 9, 2014 | Jun 23, 2014 |
| James Theodore Dekoschak | Eagle Strategies LLC other | Strategic Advisers LLC national BD | Other | Jun 5, 2014 | Jul 29, 2014 (54 d) |
| Timothy A Francis | Eagle Strategies LLC other | Transamerica Financial Advisors, LLC other | Other | Jun 3, 2014 | Jul 11, 2014 (38 d) |
| Robert Edmund Matricardi | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | May 30, 2014 | Apr 16, 2015 (321 d) |
| Robert Grant Hendrickson | Eagle Strategies LLC other | Principal Securities, Inc. other | Other | May 29, 2014 | Jun 16, 2014 |
| Amy Lynn Colton | Eagle Strategies LLC other | LPL Financial LLC other | Other | May 13, 2014 | May 8, 2014 |
| Scott Gregory Ayers | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | May 9, 2014 | Jun 11, 2014 (33 d) |
| Paul Cohn Mcclung | Eagle Strategies LLC other | Barclays Capital Inc. other | Other | May 9, 2014 | May 15, 2014 |
| Fernando Efrain Recalde | Eagle Strategies LLC other | Esi Financial Advisors other | Other | May 9, 2014 | May 6, 2014 |
| Matthew Franken Kok | Eagle Strategies LLC other | LPL Financial LLC other | Other | Apr 23, 2014 | Apr 21, 2014 |
| Matthew Blair Costello | Eagle Strategies LLC other | Woodbury Financial Services, Inc. other | Other | Apr 23, 2014 | Apr 18, 2014 |
| Ellen M Myers | Eagle Strategies LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 18, 2014 | May 20, 2014 (32 d) |
| Fate Kellum Spurlock | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Apr 14, 2014 | Jun 9, 2014 (56 d) |
| Tomonari Yamanaka | Eagle Strategies LLC other | Citigroup Global Markets Inc. other | Other | Apr 11, 2014 | Apr 14, 2014 |
| Emil Musgrove | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Apr 1, 2014 | Jul 21, 2017 (1207 d) |
| Kiet Gia Hua | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Apr 1, 2014 | Jun 10, 2014 (70 d) |
| Laurel Ruth Hostetler | Eagle Strategies LLC other | Edelman Financial Services, LLC other | Other | Mar 20, 2014 | Aug 17, 2015 (515 d) |
| Mark Allen Gash | Eagle Strategies LLC other | Lawing Financial Inc other | Other | Mar 6, 2014 | Mar 7, 2014 |
| Frank Rogers Jones | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | Jan 31, 2014 | Feb 3, 2015 (368 d) |
| Mark Anthony Avant | Eagle Strategies LLC other | Avant Capital, LLC independent RIA | Other | Jan 22, 2014 | Jan 17, 2014 |
| Chang Baek Chun | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Jan 9, 2014 | Feb 20, 2014 (42 d) |
| Thomas Joseph Scanlan | Eagle Strategies LLC other | Investacorp Advisory Services Inc other | Other | Jan 3, 2014 | Mar 25, 2014 (81 d) |
| Jeffrey S Waters | Eagle Strategies LLC other | Ameriprise Financial Services, LLC national BD | Other | Dec 20, 2013 | Dec 10, 2013 |
| Elizabeth Marie Torres | Eagle Strategies LLC other | Global Financial Private Capital, Inc. other | Other | Dec 20, 2013 | Dec 11, 2015 (721 d) |
| Christopher Paul Carelli | Eagle Strategies LLC other | Private Advisor Group, LLC other | Other | Dec 20, 2013 | Dec 16, 2013 |
| Christopher Staub | Eagle Strategies LLC other | The Capital Group Investment Advisory Services, LLC no RAUM | Other | Dec 11, 2013 | Dec 6, 2013 |
| Christopher Michael Obrien | Eagle Strategies LLC other | Santander Securities other | Other | Dec 10, 2013 | Dec 23, 2013 |
| Jeran Scott Van Alfen | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | Dec 6, 2013 | Dec 6, 2013 |
| Robert Frank Gollnick | Eagle Strategies LLC other | Td Ameritrade Investment Management, LLC other | Other | Nov 6, 2013 | Mar 21, 2014 (135 d) |
| Jesse Rendell Blom | Eagle Strategies LLC other | Lorintine Capital state registered | Other | Nov 6, 2013 | Nov 13, 2013 |
| Allix C Dennis | Eagle Strategies LLC other | M Holdings Securities, Inc. other | Other | Nov 1, 2013 | Oct 28, 2013 |
| Diron Michael Insley | Eagle Strategies LLC other | White Oak Wealth LLC state registered | Other | Oct 22, 2013 | Apr 19, 2021 (2736 d) |
| Gregory Michael Rickert | Eagle Strategies LLC other | Westpark Wealth Advisors, Inc. other | Other | Oct 14, 2013 | Oct 4, 2013 |
| James Robert Davis | Eagle Strategies LLC other | Westpark Wealth Advisors, Inc. other | Other | Oct 11, 2013 | Oct 4, 2013 |
| Clay Marshall Carter | Eagle Strategies LLC other | Blue Waters Advisory Group, LLC state registered | Other | Oct 10, 2013 | Sep 15, 2011 |
| David Norman Jacowitz | Eagle Strategies LLC other | Hornor, Townsend & Kent, LLC other | Other | Oct 10, 2013 | Mar 27, 2014 (168 d) |
| Pamela Kay Mckenzie | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Sep 26, 2013 | Nov 19, 2013 (54 d) |
| Susan Anne Knox | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Sep 13, 2013 | Nov 11, 2013 (59 d) |
| Daniel Clayton Caswell | Eagle Strategies LLC other | Integrated Wealth Strategies, LLC independent RIA | Other | Aug 16, 2013 | Aug 30, 2013 |
| Matthew Louis Rzepka | Eagle Strategies LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 14, 2013 | Aug 8, 2013 |
| Michael Joseph Cheleuitte | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | Aug 13, 2013 | Sep 16, 2013 (34 d) |
| Richard Gnau | Eagle Strategies LLC other | J.P. Morgan Securities LLC wirehouse | Other | Aug 2, 2013 | Jul 29, 2013 |
| Richard Thaddeus Lincoln | Eagle Strategies LLC other | Awm Asset Management LLC unclassified | Other | Jul 19, 2013 | Jul 25, 2013 |
| Steven Douglas Makinson | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Jun 5, 2013 | Nov 22, 2013 (170 d) |
| John Thomas Conte | Eagle Strategies LLC other | Hornor, Townsend & Kent, LLC BD affiliated | Other | May 20, 2013 | Jan 8, 2020 (2424 d) |
| Sean Patrick Swanson | Eagle Strategies LLC other | Ameritas Advisory Services other | Other | May 16, 2013 | Aug 13, 2013 (89 d) |
| Stephen Jude Wilson | Eagle Strategies LLC other | Citizens Securities, Inc. other | Other | May 16, 2013 | May 3, 2013 |
| Mark J Mcadams | Eagle Strategies LLC other | Erben Associates, LLC independent RIA | Other | Apr 11, 2013 | Apr 3, 2013 |
| Steven David Chafin | Eagle Strategies LLC other | Concourse Financial Group Advisors other | Other | Apr 4, 2013 | Jun 17, 2013 (74 d) |
| Amelia Morgan | Eagle Strategies LLC other | J.P. Morgan Securities LLC wirehouse | Other | Mar 28, 2013 | Mar 21, 2013 |
| Michael Stephen Conk | Eagle Strategies LLC other | Principal Securities, Inc. other | Other | Mar 13, 2013 | Mar 25, 2013 |
| Susan Marie Iverson | Eagle Strategies LLC other | First Allied Advisory Services, Inc. other | Other | Mar 11, 2013 | Mar 5, 2013 |
| Bradley Gatewood Geise | Eagle Strategies LLC other | Signator Investors, Inc. other | Other | Feb 27, 2013 | Mar 15, 2013 |