| Jason Andrew Black | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Feb 19, 2013 | Jun 28, 2013 (129 d) |
| Derek Jay Sensenig | Eagle Strategies LLC other | LPL Financial LLC other | Other | Feb 8, 2013 | Feb 5, 2013 |
| Derek Edwin Woods | Eagle Strategies LLC other | Awm Asset Management LLC unclassified | Other | Feb 4, 2013 | Feb 20, 2013 |
| Daniel Patrick Rush | Eagle Strategies LLC other | Valmark Advisers, Inc. BD affiliated | Other | Jan 18, 2013 | Mar 3, 2020 (2601 d) |
| Brent Colby Mccrary | Eagle Strategies LLC other | Signator Investors, Inc. other | Other | Jan 18, 2013 | Jan 18, 2013 |
| Bradley Ray Dewald | Eagle Strategies LLC other | Investment Centers Of America, Inc. other | Other | Jan 11, 2013 | Jul 15, 2013 (185 d) |
| Francis Robert Surette | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Jan 8, 2013 | Feb 7, 2013 |
| Jamin Colin Kirkwood | Eagle Strategies LLC other | LPL Financial LLC other | Other | Jan 2, 2013 | Dec 18, 2012 |
| Steven Henry Pisano | Eagle Strategies LLC other | Hsbc Securities (USA) Inc. other | Other | Nov 14, 2012 | Nov 8, 2012 |
| Jordan Michael Guynn | Eagle Strategies LLC other | Wells Fargo Advisors wirehouse | Other | Oct 22, 2012 | Oct 25, 2012 |
| Dale Alan Bender | Eagle Strategies LLC other | Ameriprise Financial Services, LLC national BD | Other | Oct 19, 2012 | Oct 19, 2012 |
| Braelin Thornton | Eagle Strategies LLC other | Northwestern Mutual Investment Services,LLC other | Other | Sep 26, 2012 | Jan 2, 2013 (98 d) |
| Mahul Jitendra Balar | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | Sep 11, 2012 | Apr 3, 2013 (204 d) |
| Reid Martin Kellam | Eagle Strategies LLC other | Kellam Insurance And Financial Services LLC state registered | Other | Sep 7, 2012 | Jan 23, 2014 (503 d) |
| Daryl T Seaton | Eagle Strategies LLC other | Wfg Advisors, LP other | Other | Aug 16, 2012 | Aug 20, 2012 |
| Timothy Asche | Eagle Strategies LLC other | Fintegra, LLC other | Other | Aug 16, 2012 | Aug 20, 2012 |
| Joan Christine Gonzalez | Eagle Strategies LLC other | Winslow, Evans & Crocker, Inc. other | Other | Aug 8, 2012 | Jan 23, 2014 (533 d) |
| Rajesh Roodal Singh | Eagle Strategies LLC other | Td Ameritrade, Inc. no RAUM | Other | Aug 1, 2012 | Jun 13, 2014 (681 d) |
| David P Santoro | Eagle Strategies LLC other | Commonwealth Financial Network national BD | Other | Jul 27, 2012 | Sep 10, 2012 (45 d) |
| Gerri A Harrison | Eagle Strategies LLC other | Voya Financial Advisors, Inc. other | Other | Jul 26, 2012 | Aug 7, 2012 |
| Sandra Gail Childs | Eagle Strategies LLC other | Pruco Securities, LLC other | Other | Jul 19, 2012 | May 15, 2013 (300 d) |
| Melissa Gaye Albanese | Eagle Strategies LLC other | Ameriprise Financial Services, LLC national BD | Other | Jul 18, 2012 | Sep 27, 2012 (71 d) |
| David P Mchugh | Eagle Strategies LLC other | Edward Jones national BD | Other | Jun 20, 2012 | Jun 18, 2012 |
| Tai Yuan Chen | Eagle Strategies LLC other | World Investment Advisors, LLC other | Other | Jun 15, 2012 | Oct 28, 2025 (4883 d) |
| Bryant Shan Tchan | Eagle Strategies LLC other | Chase Investment Services Corp. other | Other | Jun 12, 2012 | Jun 13, 2012 |
| Nicholas Allen Hudson Cantrell | Eagle Strategies LLC other | LPL Financial LLC other | Other | Jun 6, 2012 | May 21, 2012 |
| Amelia Justice Harmon | Eagle Strategies LLC other | Stratos Wealth Partners, Ltd other | Other | Jun 4, 2012 | Jun 4, 2012 |
| Mark Paul Salamone | Eagle Strategies LLC other | Alpha Pension Group, Inc. no RAUM | Other | May 22, 2012 | Oct 27, 2014 (888 d) |
| Mary Ellen Cardenas | Eagle Strategies LLC other | LPL Financial LLC other | Other | May 14, 2012 | May 9, 2012 |
| Jeffrey L Goff | Eagle Strategies LLC other | New England Securities Corporation other | Other | Apr 19, 2012 | May 14, 2012 |
| Michael Christopher Hall | Eagle Strategies LLC other | Waverly Advisors, LLC other | Other | Apr 13, 2012 | Apr 26, 2012 |
| Jason Hollis Johnson | Eagle Strategies LLC other | Woodbury Financial Services, Inc. other | Other | Apr 12, 2012 | Apr 10, 2012 |
| Neal Allen Hiett | Eagle Strategies LLC other | Pnc Managed Account Solutions, Inc. other | Other | Apr 5, 2012 | Jun 12, 2017 (1894 d) |
| John A Ware | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Apr 5, 2012 | May 2, 2012 |
| Annie Cronin | Eagle Strategies LLC other | Allstate Financial Advisors, LLC no RAUM | Other | Mar 23, 2012 | Mar 6, 2013 (348 d) |
| Nixon D James | Eagle Strategies LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 22, 2012 | Mar 27, 2012 |
| Christopher Ray Lewis | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Feb 23, 2012 | Dec 20, 2012 (301 d) |
| Natalie Lynn Chandler | Eagle Strategies LLC other | Retirement Planners Of America other | Other | Feb 6, 2012 | Jan 30, 2012 |
| Jamie William Mcdonald | Eagle Strategies LLC other | Heacock & Jones Financial Services, Inc. other | Other | Jan 18, 2012 | Jan 20, 2016 (1463 d) |
| Jennifer Paige Mann | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Jan 11, 2012 | May 7, 2012 (117 d) |
| Charles Eugene Pascu | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | Nov 29, 2011 | Mar 14, 2012 (106 d) |
| Pamela Sue Harrison | Eagle Strategies LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 23, 2011 | Nov 29, 2011 |
| Daniel Jay Twogood | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | Nov 8, 2011 | Nov 3, 2011 |
| Thomas Nelson Kikly | Eagle Strategies LLC other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Nov 7, 2011 | Feb 3, 2012 (88 d) |
| Christopher Michael Trainor | Eagle Strategies LLC other | Raymond James Financial Services Advisors, Inc other | Other | Oct 3, 2011 | Oct 22, 2014 (1115 d) |
| Jonathon Patrick Krikie | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Sep 9, 2011 | Oct 12, 2011 (33 d) |
| Daniel H Rosenberg | Eagle Strategies LLC other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Aug 12, 2011 | Nov 3, 2011 (83 d) |
| Michael Louis Tacchella | Eagle Strategies LLC other | Signator Financial Services, Inc. other | Other | Aug 5, 2011 | Aug 4, 2011 |
| Michael Roush | Eagle Strategies LLC other | Chase Investment Services Corp. other | Other | Aug 2, 2011 | Aug 5, 2011 |
| Margaret Susan English | Eagle Strategies LLC other | LPL Financial LLC other | Other | Jul 8, 2011 | Jul 18, 2011 |
| Timothy Paul Evans | Eagle Strategies LLC other | UBS Financial Services Inc. wirehouse | Other | May 25, 2011 | Jun 6, 2011 |
| Jason Grant Buck | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |
| John Michael Braun | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |
| David Lee Spence | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Sep 28, 2011 (127 d) |
| Anthony Marco Gaudiosi | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |
| Andrew William Capaccio | Eagle Strategies LLC other | New York Life Investment Management LLC asset manager | Other | May 24, 2011 | Oct 28, 2021 (3810 d) |
| Carrie Kirk Schroen | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Sep 29, 2011 (128 d) |
| Henry Asemota | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |
| Eric Matthew Halpern | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Sep 28, 2011 (127 d) |
| David I Friedman | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |