| Hector Mendez | Eagle Strategies LLC other | T. Rowe Price Associates, Inc. asset manager | Other | May 24, 2011 | Jan 2, 2019 (2780 d) |
| Andrew Olatunde Oladipo | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Mar 8, 2012 (289 d) |
| Janet Koh | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Sep 28, 2011 (127 d) |
| Brett William Reeder | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Sep 29, 2011 (128 d) |
| Derek Edward Fecteau | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |
| Henry Espinosa | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |
| James Richard Korn | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Oct 3, 2011 (132 d) |
| Maya Gorokhovskiy | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | May 24, 2011 |
| Amanda Chomyszak | Eagle Strategies LLC other | New York Life Investment Management LLC other | Other | May 24, 2011 | Feb 14, 2014 (997 d) |
| Robert John Smith | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | May 17, 2011 | Jun 9, 2011 |
| Michael Brett Giles | Eagle Strategies LLC other | Valic Financial Advisors, Inc. other | Other | May 6, 2011 | Jun 28, 2011 (53 d) |
| Peter Monks | Eagle Strategies LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 11, 2011 | Jun 1, 2011 (51 d) |
| Douglas Arthur Clermont | Eagle Strategies LLC other | Principal Securities, Inc. other | Other | Apr 8, 2011 | Apr 19, 2011 |
| William Robert Crossan | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Mar 18, 2011 | Apr 4, 2011 |
| Todd Michael Cour | Eagle Strategies LLC other | Onyx Wealth Advisors, Inc. other | Other | Feb 24, 2011 | Feb 22, 2011 |
| Lynette B Melcher | Eagle Strategies LLC other | Allstate Financial Advisors, LLC no RAUM | Other | Feb 18, 2011 | Feb 28, 2012 (375 d) |
| Jeremy Wilmes | Eagle Strategies LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 11, 2011 | Mar 2, 2011 |
| Julie L Taylor | Eagle Strategies LLC other | Cetera Advisors LLC other | Other | Jan 31, 2011 | Feb 22, 2011 |
| Robert James Thevenet | Eagle Strategies LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 28, 2011 | Jan 19, 2011 |
| Steven Julian Garry | Eagle Strategies LLC other | American Portfolios Advisors, Inc other | Other | Jan 20, 2011 | Sep 23, 2010 |
| Nicholas A Garry | Eagle Strategies LLC other | American Portfolios Advisors, Inc other | Other | Jan 20, 2011 | Oct 1, 2010 |
| Robert M Olson | Eagle Strategies LLC other | M Holdings Securities, Inc. other | Other | Jan 14, 2011 | Feb 11, 2011 |
| Matthew Gerard Sebenoler | Eagle Strategies LLC other | Allstate Financial Advisors, LLC no RAUM | Other | Jan 6, 2011 | Feb 18, 2011 (43 d) |
| Matthew John Mundy | Eagle Strategies LLC other | LPL Financial LLC other | Other | Jan 6, 2011 | Feb 3, 2011 |
| Carlos Herman Lowenberg | Eagle Strategies LLC other | Lowenberg Wealth Management Group, LLC unclassified | Other | Nov 11, 2010 | May 8, 2003 |
| Brandon Brooke | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Oct 26, 2010 | Dec 13, 2010 (48 d) |
| Grover Edward Stults | Eagle Strategies LLC other | Avantax Advisory Services other | Other | Oct 18, 2010 | Sep 29, 2010 |
| Jennifer Lea Pals | Eagle Strategies LLC other | American Portfolios Advisors, Inc other | Other | Oct 5, 2010 | Feb 2, 2011 (120 d) |
| Tracy Janette Flanagan | Eagle Strategies LLC other | American Portfolios Advisors, Inc other | Other | Oct 5, 2010 | Feb 2, 2011 (120 d) |
| John Manuel Valenzuela | Eagle Strategies LLC other | Equitable Advisors, LLC national BD | Other | Oct 1, 2010 | Oct 20, 2010 |
| Ryan Jeffrey Walker | Eagle Strategies LLC other | Fisher Investments other | Other | Sep 22, 2010 | Oct 5, 2010 |
| Matthew Patrick Murphy | Eagle Strategies LLC other | Strategic Advisers LLC national BD | Other | Sep 14, 2010 | Dec 17, 2010 (94 d) |
| Brian Gerard Ferguson | Eagle Strategies LLC other | Voya Financial Advisors, Inc. other | Other | Sep 10, 2010 | Mar 8, 2011 (179 d) |
| Daniel Bennett Goldman Levine | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Sep 9, 2010 | Oct 22, 2010 (43 d) |
| Jim Bryan Pulley | Eagle Strategies LLC other | Questar Asset Management, Inc. other | Other | Aug 20, 2010 | Aug 27, 2010 |
| Ali Abbas Nasser | Eagle Strategies LLC other | Valmark Advisers, Inc. other | Other | Aug 20, 2010 | Aug 23, 2010 |
| Robert James Joseph | Eagle Strategies LLC other | LPL Financial LLC other | Other | Aug 17, 2010 | Sep 24, 2010 (38 d) |
| Andrew Schiro | Eagle Strategies LLC other | Hmb Stonebridge, Inc. unclassified | Other | Aug 12, 2010 | Aug 16, 2010 |
| Andrew Leland Semrau | Eagle Strategies LLC other | Signator Financial Services, Inc. other | Other | Jul 12, 2010 | Jul 1, 2010 |
| Barbara Jean Norman | Eagle Strategies LLC other | LPL Financial LLC other | Other | Jul 9, 2010 | Jun 23, 2010 |
| David Christopher Lebrun | Eagle Strategies LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 24, 2010 | Nov 2, 2020 (3784 d) |
| Jamal Benjamin Brooks | Eagle Strategies LLC other | J. Brooks & Company, LLC state registered | Other | Jun 24, 2010 | Jan 12, 2012 (567 d) |
| George Coleman Cox | Eagle Strategies LLC other | Osaic Fs, Inc. other | Other | May 13, 2010 | May 13, 2010 |
| Ivan Michael Nalibotsky | Eagle Strategies LLC other | Regal Investment Advisors LLC BD affiliated | Other | Apr 1, 2010 | Aug 31, 2023 (4900 d) |
| Allison Anne Lyons | Eagle Strategies LLC other | Scf Private Wealth Holdings, LLC other | Other | Mar 31, 2010 | May 3, 2010 (33 d) |
| Gregory Owen Mccurry | Eagle Strategies LLC other | Msi Financial Services, Inc. other | Other | Mar 12, 2010 | May 10, 2010 (59 d) |
| Michelle D Hoyle | Eagle Strategies LLC other | LPL Financial LLC other | Other | Mar 10, 2010 | Feb 25, 2010 |
| Joseph Scott Messinger | Eagle Strategies LLC other | Capstone Wealth Partners independent RIA | Other | Dec 24, 2009 | Oct 8, 2021 (4306 d) |
| Ryan Lee Sheppard | Eagle Strategies LLC other | Capstone Wealth Partners independent RIA | Other | Oct 14, 2009 | Jan 21, 2010 (99 d) |
| Scott A Heevner | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | Sep 2, 2009 | Sep 11, 2009 |
| Richard Anthony Mcgrath | Eagle Strategies LLC other | Osaic Fs, Inc. other | Other | Jul 16, 2009 | Jul 16, 2009 |
| James Beaton Erben | Eagle Strategies LLC other | Erben Associates, LLC independent RIA | Other | Jun 22, 2009 | Feb 11, 2009 |
| Molly Ann Keegan | Eagle Strategies LLC other | LPL Financial LLC other | Other | Jun 2, 2009 | Aug 21, 2013 (1541 d) |
| Darin Joseph Alexander | Eagle Strategies LLC other | Voya Financial Advisors, Inc. other | Other | May 29, 2009 | Jul 8, 2009 (40 d) |
| Douglas Merrill Bartol | Eagle Strategies LLC other | Cambridge Investment Research Advisors, Inc. other | Other | May 22, 2009 | May 13, 2009 |
| Kenneth Alfred Moraif | Eagle Strategies LLC other | Cambridge Investment Research Advisors, Inc. other | Other | May 22, 2009 | May 13, 2009 |
| Elias Robert Dragon | Eagle Strategies LLC other | Cambridge Investment Research Advisors, Inc. other | Other | May 22, 2009 | May 13, 2009 |
| Charles Douglas Dyer | Eagle Strategies LLC other | Cambridge Investment Research Advisors, Inc. other | Other | May 22, 2009 | May 13, 2009 |
| Francis M Evans | Eagle Strategies LLC other | MML Investors Services, LLC other | Other | May 20, 2009 | Mar 23, 2011 (672 d) |
| James Michael Mcdonnell | Eagle Strategies LLC other | Osaic Wealth, Inc. other | Other | Mar 26, 2009 | Mar 25, 2009 |