| Brian A Karahalios | J. W. Cole Advisors, Inc. other | Pnc Managed Account Solutions, Inc. other | Other | Jan 26, 2011 | May 31, 2011 (125 d) |
| Kimson Huu Cao | J. W. Cole Advisors, Inc. other | Edward Jones national BD | Other | Dec 1, 2010 | Nov 1, 2010 |
| Matt Branstetter | J. W. Cole Advisors, Inc. other | Concorde Asset Management, LLC other | Other | Nov 29, 2010 | Nov 27, 2013 (1094 d) |
| Joshua Charles Peters | J. W. Cole Advisors, Inc. other | Braevest unclassified | Other | Nov 29, 2010 | Apr 6, 2009 |
| Kenneth Raymond Savage | J. W. Cole Advisors, Inc. other | Triumph Wealth Advisors, Inc. other | Other | Nov 12, 2010 | Mar 22, 2011 (130 d) |
| Travis Blue Smith | J. W. Cole Advisors, Inc. other | Brookstone Capital Management LLC other | Other | Nov 12, 2010 | May 31, 2016 (2027 d) |
| Daniel Mark Saccal | J. W. Cole Advisors, Inc. other | Sicor Securities Inc unclassified | Other | Sep 10, 2010 | Jun 14, 2011 (277 d) |
| Tara Elizabeth Nolan | J. W. Cole Advisors, Inc. other | Tara Nolan Advisory Services, Ltd state registered | Other | Sep 10, 2010 | Dec 23, 2010 (104 d) |
| Marc Lawrence Delia | J. W. Cole Advisors, Inc. other | Park Avenue Securities LLC other | Other | Aug 18, 2010 | Sep 15, 2010 |
| Andrew Gerard Starosta | J. W. Cole Advisors, Inc. other | Cetera Investment Services LLC other | Other | May 11, 2010 | Nov 23, 2010 (196 d) |
| Lori Eshbach Comanich | J. W. Cole Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Mar 31, 2010 | Apr 12, 2010 |
| Anthony Park | J. W. Cole Advisors, Inc. other | Newport Coast Asset Management other | Other | Mar 30, 2010 | Jun 15, 2010 (77 d) |
| William Steven Parsch | J. W. Cole Advisors, Inc. other | Wellspring Capital Group, Ltd. state registered | Other | Jan 20, 2010 | Jan 11, 2010 |
| Stewart Alan Macdonald | J. W. Cole Advisors, Inc. other | Independent Financial Partners other | Other | Dec 21, 2009 | Jul 19, 2010 (210 d) |
| Lawrence A Tantilla | J. W. Cole Advisors, Inc. other | Plexus Financial Services, LLC other | Other | Nov 23, 2009 | Dec 3, 2010 (375 d) |
| David Gregory Wurster | J. W. Cole Advisors, Inc. other | Cape Investment Advisory, Inc. other | Other | Sep 25, 2009 | May 5, 2010 (222 d) |
| Donald Dean Mccormick | J. W. Cole Advisors, Inc. other | Insight Wealth Strategies, LP other | Other | Aug 7, 2009 | Oct 26, 2009 (80 d) |
| Sufia Setjoadi | J. W. Cole Advisors, Inc. other | Great American Advisors, Inc. other | Other | Jul 15, 2009 | Sep 10, 2009 (57 d) |
| Robert David Bray | J. W. Cole Advisors, Inc. other | Jaffe Tilchin Investment Partners, LLC other | Other | Dec 31, 2008 | Jan 3, 2008 |
| Michael Scott Jones | J. W. Cole Advisors, Inc. other | Jaffe Tilchin Investment Partners, LLC other | Other | Dec 31, 2008 | Apr 25, 2007 |
| Louis Meyers Tilchin | J. W. Cole Advisors, Inc. other | Jaffe Tilchin Investment Partners, LLC other | Other | Dec 31, 2008 | Jun 15, 2007 |
| Donald Michael Rhomberg | J. W. Cole Advisors, Inc. other | Jaffe Tilchin Investment Partners, LLC other | Other | Dec 31, 2008 | Oct 10, 2008 |
| Dano W. Lopresti | J. W. Cole Advisors, Inc. other | Triad Advisors, LLC other | Other | Dec 31, 2008 | Jan 9, 2009 |
| Michael Todd Jankowski | J. W. Cole Advisors, Inc. other | Lasalle St. Investment Advisors, L.L.C. other | Other | Aug 15, 2008 | Sep 15, 2008 (31 d) |
| Harry Redmond Greene | J. W. Cole Advisors, Inc. other | Packerland Brokerage Services, Inc. other | Other | Jul 24, 2008 | Aug 4, 2008 |
| Peter Andrew Blatt | J. W. Cole Advisors, Inc. other | Center For Asset Management, LLC independent RIA | Other | Jun 26, 2008 | Oct 3, 2008 (99 d) |
| David P Antioho | J. W. Cole Advisors, Inc. other | Horter Investment Management, LLC other | Other | Apr 10, 2008 | Sep 7, 2007 |
| Mark Augustine Kollar | J. W. Cole Advisors, Inc. other | Allegiant Financial Advisors, LLC state registered | Other | Jan 2, 2008 | Jan 4, 2008 |
| Armando G. Roman | J. W. Cole Advisors, Inc. other | Independent Financial Group, LLC other | Other | Jul 27, 2006 | Aug 23, 2006 |
| John Hardy Stanford | J. W. Cole Advisors, Inc. other | Uvest Financial Services Group, Inc. unclassified | Other | May 8, 2006 | May 4, 2006 |
| Elizabeth Ann Belisle | J. W. Cole Advisors, Inc. other | Cetera Advisors LLC other | Other | Jun 18, 2004 | Jun 17, 2004 |
| Raymond Paul Virgilio | J. W. Cole Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | Oct 24, 2002 | Oct 14, 2005 (1086 d) |