| Richard Joseph Durkee | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Apr 23, 2015 | Apr 30, 2015 |
| John David Iammarino | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Apr 21, 2015 | Apr 20, 2015 |
| Felton Thomas Mosley | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Apr 7, 2015 | Apr 9, 2015 |
| April Reed Crews | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Apr 6, 2015 | Apr 29, 2015 |
| Daniel George Crews | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Apr 6, 2015 | Apr 29, 2015 |
| Richard Scott Ehrlich | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Mar 30, 2015 | Apr 30, 2015 (31 d) |
| Don P Cloud | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Mar 23, 2015 | Mar 24, 2015 |
| Germi Lamar Cloud | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Mar 23, 2015 | Mar 24, 2015 |
| Fred Todd Schwendiman | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Mar 23, 2015 | Mar 10, 2015 |
| Charles Harriman | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Mar 23, 2015 | Mar 24, 2015 |
| Sharon Beth Evans | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 27, 2015 | Feb 25, 2015 |
| Jeffrey Thomas Cutter | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Feb 5, 2015 | Feb 5, 2015 |
| Susan Johanna Roman | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Feb 5, 2015 | Feb 17, 2015 |
| Pete Alexander Lang | Horter Investment Management, LLC other | Vann Equity Management LLC no RAUM | Other | Feb 4, 2015 | Feb 5, 2015 |
| John Brian Winterowd | Horter Investment Management, LLC other | Portfolio Medics, LLC independent RIA | Other | Oct 23, 2014 | Oct 18, 2014 |
| Frederick Smids | Horter Investment Management, LLC other | Brookstone Wealth Advisors, LLC other | Other | Oct 23, 2014 | Oct 29, 2014 |
| Steven Ronald Hoak | Horter Investment Management, LLC other | Brookstone Wealth Advisors, LLC other | Other | Oct 3, 2014 | Oct 7, 2014 |
| Adam L. Goodman | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Oct 2, 2014 | Sep 2, 2014 |
| Norman Carl Johnson | Horter Investment Management, LLC other | Managed Asset Wealth Management LLC state registered | Other | Aug 18, 2014 | Aug 20, 2014 |
| Myles Patrick O'Reilly | Horter Investment Management, LLC other | Brookstone Wealth Advisors, LLC other | Other | Aug 15, 2014 | Oct 21, 2014 (67 d) |
| Sean Randolph Stevens | Horter Investment Management, LLC other | Gradient Advisors, LLC other | Other | Aug 12, 2014 | Nov 13, 2014 (93 d) |
| Daniel Franklin Peacock | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Aug 5, 2014 | Aug 6, 2014 |
| Justin Dale Young | Horter Investment Management, LLC other | Waddell & Reed other | Other | Jul 22, 2014 | Sep 12, 2014 (52 d) |
| Daniel Heaton Mann | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Apr 14, 2014 | Apr 21, 2014 |
| Paul Daniel Spurlock | Horter Investment Management, LLC other | Brookstone Wealth Advisors, LLC other | Other | Feb 28, 2014 | Feb 25, 2014 |
| Todd Aaron Schneider | Horter Investment Management, LLC other | Prosperity Capital Advisors other | Other | Feb 25, 2014 | Feb 25, 2014 |
| Guy Daniel Gohn | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Feb 14, 2014 | Feb 14, 2014 |
| Ralph Anthony Grauso | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Feb 4, 2014 | Mar 31, 2014 (55 d) |
| Kenneth Brian Schrauben | Horter Investment Management, LLC other | Research Money Management, LLC unclassified | Other | Jan 10, 2014 | Jan 31, 2014 |
| Michelle R Brown | Horter Investment Management, LLC other | Brown Financial Group state registered | Other | Jan 2, 2014 | Dec 23, 2013 |
| Dariusz Godlewski | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Jul 30, 2013 | Aug 1, 2013 |
| Linda Lou Gardner | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Jul 23, 2013 | Jul 24, 2013 |
| Peter Emerson Trinidad | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Jun 26, 2013 | Jun 27, 2013 |
| Calvin Peter Goetz | Horter Investment Management, LLC other | Strategy Financial Group independent RIA | Other | Apr 2, 2013 | Apr 24, 2013 |
| Anthony Eugene Olson | Horter Investment Management, LLC other | Strategy Financial Group independent RIA | Other | Apr 2, 2013 | Apr 24, 2013 |
| Mark Jackson Myers | Horter Investment Management, LLC other | Wfg Advisors, LP other | Other | Feb 27, 2013 | Mar 6, 2013 |
| Josiah Grauso | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Oct 2, 2012 | May 23, 2013 (233 d) |
| Robert Travis Evans | Horter Investment Management, LLC other | Quartermaster Wealth Management, LLC no RAUM | Other | Aug 31, 2012 | May 24, 2013 (266 d) |
| Ramona Ann Purvis | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Aug 26, 2011 | Aug 3, 2011 |
| Jared Lozano Davis | Horter Investment Management, LLC other | Brookstone Capital Management LLC other | Other | Aug 26, 2011 | Aug 3, 2011 |
| Christopher Kendall Abts | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 17, 2011 | May 24, 2011 |
| Lisa Ann Bussenger | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 15, 2011 | May 31, 2011 |
| Timothy James Spyrnal | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 6, 2011 | Jun 8, 2011 |
| Jennifer Denise Morton | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | May 25, 2011 | May 13, 2011 |
| Troy Frazier | Horter Investment Management, LLC other | USA Financial Securities LLC other | Other | Feb 16, 2011 | Feb 7, 2011 |
| Kenneth Darrell Stephenson | Horter Investment Management, LLC other | Quest 10 Wealth Builders, Inc. independent RIA | Other | Sep 2, 2010 | Sep 2, 2010 |
| Douglas A Clancy | Horter Investment Management, LLC other | Regal Investment Advisors LLC other | Other | Sep 2, 2010 | Jan 12, 2011 (132 d) |
| Mark Thomas Shelby | Horter Investment Management, LLC other | Vertical Wealth Management state registered | Other | Sep 2, 2010 | Mar 23, 2011 (202 d) |
| Joseph Paul Daly | Horter Investment Management, LLC other | Redhawk Wealth Advisors, Inc. other | Other | Aug 19, 2010 | Aug 23, 2010 |
| Bryan Michael Rich | Horter Investment Management, LLC other | Redhawk Wealth Advisors, Inc. other | Other | Aug 2, 2010 | Mar 30, 2010 |
| Richard Duane Loek | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Jun 18, 2010 | Jun 22, 2010 |
| Jeff Brian Mitchell | Horter Investment Management, LLC other | Crossroads Capital Management, Inc. unclassified | Other | Apr 5, 2010 | Jul 29, 2010 (115 d) |
| James Allen Reyes | Horter Investment Management, LLC other | Crossroads Capital Management, Inc. unclassified | Other | Apr 5, 2010 | Jul 29, 2010 (115 d) |
| Michael Anthony Lange | Horter Investment Management, LLC other | Redhawk Wealth Advisors, Inc. other | Other | Mar 22, 2010 | Mar 30, 2010 |
| John Robert Deitrick | Horter Investment Management, LLC other | Global Financial Private Capital, Inc. other | Other | Feb 16, 2010 | Feb 18, 2010 |
| Michael T Moore | Horter Investment Management, LLC other | Sandlapper Wealth Management, LLC other | Other | Oct 13, 2009 | Mar 1, 2011 (504 d) |
| Jason D Provost | Horter Investment Management, LLC other | Integrity Alliance, LLC other | Other | Aug 27, 2009 | Aug 28, 2009 |
| Diane Brewer | Horter Investment Management, LLC other | Ridgeway Conger Advisory Services other | Other | Sep 17, 2008 | Oct 9, 2009 (387 d) |
| Robert John Knox | Horter Investment Management, LLC other | Venn Wealth & Benefit Services, LLC state registered | Other | Aug 25, 2008 | Aug 19, 2008 |
| Peter Jose' D'Arruda | Horter Investment Management, LLC other | Capital Financial Advisory Group, LLC state registered | Other | Aug 25, 2008 | Oct 20, 2008 (56 d) |