| Michael Alexandre | Invest Financial Corporation other | Scottrade Investment Management other | Other | Jan 6, 2016 | Mar 28, 2017 (447 d) |
| Renee Anne Benoit | Invest Financial Corporation other | The Strategic Financial Alliance other | Other | Jan 4, 2016 | Jan 15, 2016 |
| Thomas Kim | Invest Financial Corporation other | Santander Securities other | Other | Dec 28, 2015 | Jan 21, 2016 |
| Lara Karmel Desotel | Invest Financial Corporation other | Financial Plans & Strategies, Inc. other | Other | Dec 18, 2015 | Oct 6, 2017 (658 d) |
| Patrick Myers Sullivan | Invest Financial Corporation other | Financial Plans & Strategies, Inc. other | Other | Dec 18, 2015 | Aug 16, 2016 (242 d) |
| Michael Timothy Tarrant | Invest Financial Corporation other | Ifg Advisory, LLC other | Other | Dec 15, 2015 | Dec 15, 2015 |
| Ralph John Fetrow | Invest Financial Corporation other | Castleview Partners, LLC other | Other | Dec 11, 2015 | Jan 13, 2016 (33 d) |
| Melinda Perez | Invest Financial Corporation other | Raymond James & Associates, Inc. national BD | Other | Dec 7, 2015 | Dec 21, 2015 |
| Gloria Patterson Dubose | Invest Financial Corporation other | LPL Financial LLC other | Other | Dec 2, 2015 | Dec 14, 2015 |
| Michael Carbajal | Invest Financial Corporation other | Raymond James Financial Services Advisors, Inc other | Other | Nov 24, 2015 | Oct 11, 2016 (322 d) |
| Joanna Bryant Smith | Invest Financial Corporation other | Rather & Kittrell, Inc. other | Other | Nov 23, 2015 | Apr 8, 2016 (137 d) |
| Brian Joseph Mulkeen | Invest Financial Corporation other | World Investment Advisors, LLC other | Other | Nov 16, 2015 | Oct 7, 2025 (3613 d) |
| Ashish Vijay Phansopkar | Invest Financial Corporation other | Ameriprise Financial Services, LLC national BD | Other | Nov 12, 2015 | Jan 11, 2016 (60 d) |
| Aurelio Tiangco Callope | Invest Financial Corporation other | LPL Financial LLC other | Other | Nov 6, 2015 | Nov 18, 2015 |
| April Lynn Breheim | Invest Financial Corporation other | Great Valley Advisor Group, LLC independent RIA | Other | Oct 30, 2015 | Jul 2, 2021 (2072 d) |
| Granville Joseph Knowles | Invest Financial Corporation other | American Portfolios Advisors, Inc other | Other | Oct 30, 2015 | Nov 6, 2015 |
| Silas Levi Peters | Invest Financial Corporation other | Blue Marlin Advisors, LLC state registered | Other | Oct 28, 2015 | Apr 29, 2022 (2375 d) |
| Catherine Adele Kipling | Invest Financial Corporation other | Kipling & Co. state registered | Other | Oct 16, 2015 | Nov 19, 2015 (34 d) |
| Manuel Calderon | Invest Financial Corporation other | LPL Financial LLC other | Other | Oct 13, 2015 | Nov 12, 2015 |
| Sara L Lawson | Invest Financial Corporation other | Bell Rock Capital, LLC other | Other | Oct 9, 2015 | Oct 16, 2015 |
| Donald A Mcleod | Invest Financial Corporation other | Cg Advisory Services other | Other | Oct 6, 2015 | Dec 23, 2015 (78 d) |
| John Christopher Woodrome | Invest Financial Corporation other | Msi Financial Services, Inc. other | Other | Sep 29, 2015 | Nov 4, 2015 (36 d) |
| John Michael Genova | Invest Financial Corporation other | Fsc Securities Corporation other | Other | Sep 18, 2015 | Sep 17, 2015 |
| Richard Allen Grider | Invest Financial Corporation other | Lindner Capital Advisors, Inc. other | Other | Sep 11, 2015 | Jul 7, 2016 (300 d) |
| Michael Gerard Mccabe | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 10, 2015 | Sep 8, 2015 |
| David Martin Tauber | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 10, 2015 | Sep 8, 2015 |
| Jeffrey D Snyder | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 10, 2015 | Sep 29, 2015 |
| Scott Michael Nanney | Invest Financial Corporation other | Investment Professionals, Inc. other | Other | Sep 4, 2015 | Sep 18, 2015 |
| Michael Nobile | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 3, 2015 | Sep 1, 2015 |
| Philip Kerry Ludwig | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 3, 2015 | Nov 6, 2015 (64 d) |
| Wendy Joan Richardson | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 2, 2015 | Sep 25, 2015 |
| Kim Elizabeth Wawrzynowicz | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 2, 2015 | Sep 28, 2015 |
| Scott Timothy Hinchey | Invest Financial Corporation other | Investacorp Advisory Services Inc other | Other | Sep 1, 2015 | Sep 1, 2015 |
| Stephen J Landa | Invest Financial Corporation other | Mighty Oak Management LLC state registered | Other | Aug 28, 2015 | Oct 1, 2009 |
| James Alexander Mitchell | Invest Financial Corporation other | Mighty Oak Management LLC state registered | Other | Aug 24, 2015 | Nov 4, 2015 (72 d) |
| Joseph John Mandujano | Invest Financial Corporation other | Investors Capital Advisory other | Other | Aug 11, 2015 | Aug 19, 2015 |
| Eric Roger Williams | Invest Financial Corporation other | Bb&T Investment Services, Inc. no RAUM | Other | Aug 10, 2015 | Aug 4, 2015 |
| Scott Rossiter Perrone | Invest Financial Corporation other | LPL Financial LLC other | Other | Aug 10, 2015 | Aug 3, 2015 |
| Jarrett Andrew Krienes | Invest Financial Corporation other | Fifth Third Securities, Inc. other | Other | Jul 24, 2015 | Jul 30, 2015 |
| Todd L Phillips | Invest Financial Corporation other | Navy Federal Asset Management, LLC other | Other | Jul 24, 2015 | Aug 19, 2015 |
| Paul Edgar Erickson | Invest Financial Corporation other | Cg Advisory Services other | Other | Jul 21, 2015 | Jun 1, 2011 |
| James Brendahl Westwood | Invest Financial Corporation other | Cg Advisory Services other | Other | Jul 20, 2015 | Jun 1, 2011 |
| Eric R Stein | Invest Financial Corporation other | Signator Investors, Inc. other | Other | Jul 17, 2015 | Mar 15, 2017 (607 d) |
| Aquilino Alfredo Mayo | Invest Financial Corporation other | Sagepoint Financial, Inc. other | Other | Jul 17, 2015 | Jul 17, 2015 |
| Robert Charles Mulcahy | Invest Financial Corporation other | Royal Oak Financial Advisors, LLC independent RIA | Other | Jul 2, 2015 | Dec 5, 2017 (887 d) |
| Steven Paul Boatner | Invest Financial Corporation other | Cetera Investment Advisers LLC other | Other | Jun 29, 2015 | Jul 13, 2015 |
| David Dennis Peters | Invest Financial Corporation other | Cg Advisory Services other | Other | Jun 23, 2015 | Sep 12, 2012 |
| Gary Michael Casciola | Invest Financial Corporation other | Private Advisor Group, LLC other | Other | Jun 8, 2015 | Jun 8, 2015 |
| Mark Andrew Casciola | Invest Financial Corporation other | Private Advisor Group, LLC other | Other | Jun 8, 2015 | Jun 8, 2015 |
| Dana Christopher Go | Invest Financial Corporation other | LPL Financial LLC other | Other | Jun 8, 2015 | Jun 9, 2015 |
| John Joseph Van Ermen | Invest Financial Corporation other | Cetera Investment Advisers LLC other | Other | Jun 1, 2015 | Feb 1, 2018 (976 d) |
| Frederick Gary Wotruba | Invest Financial Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 29, 2015 | May 26, 2015 |
| Mark William Vroman | Invest Financial Corporation other | Barr Financial Services, LLC other | Other | May 22, 2015 | Jun 2, 2015 |
| Michelle L Titus | Invest Financial Corporation other | Forvis Mazars Wealth Advisors, LLC other | Other | May 20, 2015 | Jun 12, 2015 |
| Vincent Charles Montanti | Invest Financial Corporation other | Fsc Securities Corporation other | Other | May 19, 2015 | May 15, 2015 |
| Jonathan Lee Cohen | Invest Financial Corporation other | Cg Advisory Services other | Other | May 18, 2015 | Sep 24, 2010 |
| Kenneth Patrick Evangelista | Invest Financial Corporation other | Cg Advisory Services other | Other | May 18, 2015 | Jan 13, 2011 |
| Scott Christopher Brady | Invest Financial Corporation other | Cg Advisory Services other | Other | May 18, 2015 | Sep 24, 2010 |
| John H Reid | Invest Financial Corporation other | Park Avenue Securities LLC other | Other | May 12, 2015 | May 1, 2015 |
| Daniel Rodriguez Ortiz | Invest Financial Corporation other | Raymond James & Associates, Inc. national BD | Other | May 4, 2015 | May 14, 2015 |