| Susan Kaye Dvoracek | Invest Financial Corporation other | U.S. Bancorp Investments, Inc. other | Other | Apr 28, 2015 | May 18, 2015 |
| Hiram Nmn Hutchison | Invest Financial Corporation other | Independent Advisor Alliance, LLC other | Other | Apr 22, 2015 | Apr 21, 2015 |
| Joseph Parker Bennett | Invest Financial Corporation other | Independent Advisor Alliance, LLC other | Other | Apr 22, 2015 | Apr 21, 2015 |
| Megan Nicole Henry | Invest Financial Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Apr 22, 2015 | Jun 16, 2015 (55 d) |
| Jonathan Demayo | Invest Financial Corporation other | Raymond James Financial Services Advisors, Inc other | Other | Apr 10, 2015 | Jun 23, 2015 (74 d) |
| Craig David Rumler | Invest Financial Corporation other | Rg Capital independent RIA | Other | Apr 8, 2015 | Jul 29, 2015 (112 d) |
| Eric T Fritz | Invest Financial Corporation other | Cg Advisory Services other | Other | Mar 25, 2015 | Oct 4, 2016 (559 d) |
| Gregory Kessler Jr | Invest Financial Corporation other | MML Investors Services, LLC BD affiliated | Other | Mar 16, 2015 | Dec 20, 2018 (1375 d) |
| Nichol Lee Hoff | Invest Financial Corporation other | Cetera Investment Advisers LLC other | Other | Mar 10, 2015 | Mar 12, 2015 |
| Matthew Shannon Wilson | Invest Financial Corporation other | Pruco Securities, LLC other | Other | Mar 4, 2015 | Apr 23, 2015 (50 d) |
| George Marshall Smith | Invest Financial Corporation other | Partnervest Advisory Services LLC other | Other | Feb 18, 2015 | Mar 4, 2015 |
| Rene Louis Bruer | Invest Financial Corporation other | Partnervest Advisory Services LLC other | Other | Feb 18, 2015 | Feb 26, 2015 |
| Steven Michael Hiraga | Invest Financial Corporation other | Partnervest Advisory Services LLC other | Other | Feb 18, 2015 | Feb 26, 2015 |
| William Michael Girone | Invest Financial Corporation other | Nfp Advisor Services, LLC other | Other | Feb 13, 2015 | Mar 23, 2015 (38 d) |
| Joseph Robert Vartanian | Invest Financial Corporation other | Kestra Advisory Services, LLC other | Other | Feb 13, 2015 | Jun 14, 2016 (487 d) |
| Frank J Smith | Invest Financial Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 10, 2015 | Jan 30, 2015 |
| Jeannette Michelle Williams | Invest Financial Corporation other | LPL Financial LLC other | Other | Feb 10, 2015 | Feb 9, 2015 |
| Nathan Lee Hooker | Invest Financial Corporation other | Nfp Advisor Services, LLC other | Other | Feb 10, 2015 | Feb 2, 2015 |
| Kelsey Rae Summers | Invest Financial Corporation other | Advice And Planning Services other | Other | Feb 10, 2015 | Mar 30, 2015 (48 d) |
| Roy Sherwood Greer | Invest Financial Corporation other | Kestra Advisory Services, LLC other | Other | Feb 3, 2015 | Apr 29, 2016 (451 d) |
| Jonathon Christopher Schultheiss | Invest Financial Corporation other | Nfp Advisor Services, LLC other | Other | Feb 3, 2015 | Feb 2, 2015 |
| James A Halsch | Invest Financial Corporation other | Nfp Advisor Services, LLC other | Other | Feb 3, 2015 | Feb 2, 2015 |
| Marc Anthony Canovali | Invest Financial Corporation other | LPL Financial LLC other | Other | Jan 30, 2015 | Jan 30, 2015 |
| Jeremy Michael Remily | Invest Financial Corporation other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 28, 2015 | Feb 2, 2015 |
| Raymond W Mark | Invest Financial Corporation other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 22, 2015 | Jan 22, 2015 |
| Trevor Michael Conlon | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| William Richard Gallagher | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| Nicholas Robert Frake | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| Michael Jeffrey Connor | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| Theodore Quillen | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| Steven Zachary Dunn | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| Aileen F Defroda | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| Kevin B Harris | Invest Financial Corporation other | Commonwealth Financial Network national BD | Other | Jan 6, 2015 | Jan 5, 2015 |
| Martyn Joseph Ballestero | Invest Financial Corporation other | J. W. Cole Advisors, Inc. other | Other | Jan 6, 2015 | Jan 16, 2015 |
| John Phillip Siciliano | Invest Financial Corporation other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 12, 2014 | Dec 11, 2014 |
| Donald Ashley Butcher | Invest Financial Corporation other | Wells Fargo Advisors wirehouse | Other | Dec 9, 2014 | Dec 18, 2014 |
| William Burford Magenheimer | Invest Financial Corporation other | Oneamerica Securities, Inc. other | Other | Dec 1, 2014 | Nov 6, 2015 (340 d) |
| Lucas Alan Burton | Invest Financial Corporation other | Osaic Fs, Inc. other | Other | Dec 1, 2014 | Feb 5, 2015 (66 d) |
| Daniel Fahringer | Invest Financial Corporation other | Msi Financial Services, Inc. other | Other | Nov 28, 2014 | Jan 15, 2015 (48 d) |
| Erin Kennealy Fox | Invest Financial Corporation other | Morgan Stanley wirehouse | Other | Nov 21, 2014 | Aug 5, 2015 (257 d) |
| Jonathan Michael Bartholomew | Invest Financial Corporation other | LPL Financial LLC other | Other | Nov 14, 2014 | Dec 19, 2014 (35 d) |
| Anthony Richard Surber | Invest Financial Corporation other | Hightower Advisors, LLC other | Other | Nov 3, 2014 | May 27, 2015 (205 d) |
| Chadwick M Mangum | Invest Financial Corporation other | Transamerica Financial Advisors, LLC other | Other | Oct 22, 2014 | Oct 23, 2014 |
| Matthew Jon Frederick | Invest Financial Corporation other | State Farm Investment Management Corp. asset manager | Other | Oct 16, 2014 | Nov 28, 2018 (1504 d) |
| Teresa Dawn Clements | Invest Financial Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 14, 2014 | Nov 26, 2014 (43 d) |
| Christopher Paul Cantrell | Invest Financial Corporation other | Raymond James Financial Services Advisors, Inc other | Other | Oct 10, 2014 | Oct 14, 2014 |
| Brian Edward Adams | Invest Financial Corporation other | Masterplan Retirement Consultants state registered | Other | Sep 15, 2014 | Sep 17, 2014 |
| Jeremy Brandon Joiner | Invest Financial Corporation other | Strategic Advisory Services, L.L.C. other | Other | Sep 9, 2014 | Jun 26, 2012 |
| Richard Allen Grbac | Invest Financial Corporation other | Strategic Advisory Services, L.L.C. other | Other | Sep 3, 2014 | Jun 20, 2012 |
| Carson Skottowe Wannamaker | Invest Financial Corporation other | Dixon Hughes Goodman Wealth Advisors LLC other | Other | Aug 20, 2014 | Aug 18, 2014 |
| Bryan Edward Brenden | Invest Financial Corporation other | Edward Jones national BD | Other | Aug 14, 2014 | Aug 18, 2014 |
| David Ross Brinkley | Invest Financial Corporation other | Cetera Advisors LLC other | Other | Jul 22, 2014 | Oct 20, 2014 (90 d) |
| Keista Lea Ransom | Invest Financial Corporation other | Voya Financial Advisors, Inc. other | Other | Jul 21, 2014 | May 4, 2015 (287 d) |
| Daniel Gaines | Invest Financial Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 10, 2014 | Jul 23, 2014 |
| Elizabeth Ann Williams | Invest Financial Corporation other | Executive Wealth Management, LLC other | Other | Jul 7, 2014 | Sep 12, 2012 |
| Edward Lawrence Strauss | Invest Financial Corporation other | B. Riley Wealth Advisors, Inc. other | Other | Jun 18, 2014 | Nov 26, 2014 (161 d) |
| Brian Ashley Mullins | Invest Financial Corporation other | Private Advisor Group, LLC other | Other | Jun 16, 2014 | Jun 16, 2014 |
| Kimberly Jo Cox | Invest Financial Corporation other | Lincoln Investment other | Other | May 29, 2014 | Oct 24, 2014 (148 d) |
| Alexander Russo | Invest Financial Corporation other | J.P. Morgan Securities LLC wirehouse | Other | May 15, 2014 | May 22, 2014 |
| Michael David Erbaio | Invest Financial Corporation other | Shamrock Asset Management LLC other | Other | May 7, 2014 | May 27, 2014 |