| Ramon Alberto Rivera-Ramos | Cetera Advisor Networks LLC other | Kovack Advisors, Inc. other | Other | Jun 19, 2009 | Jun 24, 2009 |
| Ramon Antonio Gonzalez | Cetera Advisor Networks LLC other | Kovack Advisors, Inc. other | Other | Jun 17, 2009 | Jun 17, 2009 |
| Jose Juan Nieves | Cetera Advisor Networks LLC other | Kovack Advisors, Inc. other | Other | Jun 17, 2009 | Jun 17, 2009 |
| Rinaldo Diaz-Flores | Cetera Advisor Networks LLC other | Kovack Advisors, Inc. other | Other | Jun 17, 2009 | Jun 23, 2009 |
| Elvin Franceschi | Cetera Advisor Networks LLC other | Kovack Advisors, Inc. other | Other | Jun 17, 2009 | Feb 23, 2010 (251 d) |
| Rene Jose Villate-Cortes | Cetera Advisor Networks LLC other | Kovack Advisors, Inc. other | Other | Jun 17, 2009 | Jun 17, 2009 |
| Clinton Thomas Walkner | Cetera Advisor Networks LLC other | Securities America Advisors, Inc. other | Other | Jun 12, 2009 | Jun 12, 2009 |
| Jeremy Patrick Marshall | Cetera Advisor Networks LLC other | Securities America Advisors, Inc. other | Other | Jun 12, 2009 | Jun 12, 2009 |
| Nathan Michael Condon | Cetera Advisor Networks LLC other | Securities America Advisors, Inc. other | Other | Jun 12, 2009 | Jun 12, 2009 |
| Kevin M Bowyer | Cetera Advisor Networks LLC other | Carroll Financial Associates Inc other | Other | Jun 5, 2009 | Jun 9, 2009 |
| Kristen Janeene Hafner | Cetera Advisor Networks LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 1, 2009 | Jul 16, 2009 (45 d) |
| Anita Jaswantlal Patel | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. other | Other | May 22, 2009 | May 26, 2009 |
| Mattawe Philip Clements | Cetera Advisor Networks LLC other | Wealth Planning And Management unclassified | Other | May 21, 2009 | Feb 27, 2009 |
| Garth Anthony Ivey | Cetera Advisor Networks LLC other | Osaic Fs, Inc. other | Other | May 19, 2009 | Jun 12, 2009 |
| Gregory Joseph Zanetti | Cetera Advisor Networks LLC other | Talbot Financial, LLC other | Other | May 1, 2009 | Oct 21, 2010 (538 d) |
| Thomas Charles Corcimiglia | Cetera Advisor Networks LLC other | Private Advisor Group, LLC other | Other | Apr 23, 2009 | Jun 4, 2012 (1138 d) |
| Adria Meehan Siewert | Cetera Advisor Networks LLC other | Raymond James Financial Services Advisors, Inc other | Other | Apr 3, 2009 | May 12, 2009 (39 d) |
| Jeffrey Richard Vitt | Cetera Advisor Networks LLC other | Raymond James Financial Services Advisors, Inc other | Other | Mar 31, 2009 | Aug 27, 2010 (514 d) |
| Wallace Chi-Ho Chu | Cetera Advisor Networks LLC other | Associated Securities Corp. unclassified | Other | Mar 12, 2009 | Mar 13, 2009 |
| Yuenman Anne Mak | Cetera Advisor Networks LLC other | Associated Securities Corp. unclassified | Other | Mar 12, 2009 | Mar 13, 2009 |
| Sheri H. Pan | Cetera Advisor Networks LLC other | Associated Securities Corp. unclassified | Other | Mar 12, 2009 | Mar 13, 2009 |
| Gregory W Markman | Cetera Advisor Networks LLC other | LPL Financial LLC other | Other | Mar 9, 2009 | Aug 3, 2009 (147 d) |
| Bryan Jay Wertzer | Cetera Advisor Networks LLC other | Pension Planners Securities, Inc. unclassified | Other | Feb 17, 2009 | Jan 26, 2009 |
| Steven Roy Sutley | Cetera Advisor Networks LLC other | Pension Planners Securities, Inc. unclassified | Other | Feb 17, 2009 | Jan 26, 2009 |
| Danielle Marie Howard | Cetera Advisor Networks LLC other | Lighthouse Financial LLC other | Other | Jan 28, 2009 | Mar 30, 2007 |
| Michael R. Frie | Cetera Advisor Networks LLC other | Lighthouse Financial LLC other | Other | Jan 28, 2009 | Mar 30, 2007 |
| Charlotte Nanette Williams | Cetera Advisor Networks LLC other | Osaic Fs, Inc. other | Other | Jan 9, 2009 | Jan 12, 2009 |
| Jeffrey D Rimer | Cetera Advisor Networks LLC other | Osaic Fs, Inc. other | Other | Jan 9, 2009 | Jan 22, 2009 |
| Michael Anthony Pierson Schimek | Cetera Advisor Networks LLC other | Simon Capital Management other | Other | Jan 7, 2009 | Jun 30, 2010 (539 d) |
| Cathy Irene Jackson-Gent | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. other | Other | Dec 31, 2008 | Jan 8, 2009 |
| David Lahmer Dunn | Cetera Advisor Networks LLC other | Capital Planning, LLC other | Other | Dec 31, 2008 | Jan 22, 2014 (1848 d) |
| Michael Thomas | Cetera Advisor Networks LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2008 | Jan 2, 2009 |
| Joseph Michael Melenick | Cetera Advisor Networks LLC other | Cetera Investment Services LLC other | Other | Dec 18, 2008 | Dec 12, 2008 |
| David Alan Frank | Cetera Advisor Networks LLC other | Cetera Investment Advisers LLC other | Other | Dec 18, 2008 | Jan 21, 2014 (1860 d) |
| Robert Franklin Warwick | Cetera Advisor Networks LLC other | Fountain Financial Associates, Inc. independent RIA | Other | Dec 18, 2008 | Aug 2, 2018 (3514 d) |
| Kristen Yvonne Smith | Cetera Advisor Networks LLC other | Equitable Advisors, LLC national BD | Other | Dec 15, 2008 | Sep 9, 2019 (3920 d) |
| Shawn Mitchell Defoe | Cetera Advisor Networks LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 5, 2008 | Nov 25, 2008 |
| Kathy Riddick Burns | Cetera Advisor Networks LLC other | LPL Financial LLC other | Other | Nov 5, 2008 | Nov 3, 2008 |
| Dustin David Hall | Cetera Advisor Networks LLC other | LPL Financial LLC other | Other | Nov 5, 2008 | Nov 3, 2008 |
| Stephen James Landersman | Cetera Advisor Networks LLC other | Cuso Financial Services, L.P. other | Other | Oct 23, 2008 | Oct 20, 2008 |
| Ty Matthew Wilkinson | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Oct 21, 2008 | Nov 17, 2008 |
| William Andrew Steele | Cetera Advisor Networks LLC other | LPL Financial LLC independent RIA | Other | Oct 21, 2008 | Jul 16, 2018 (3555 d) |
| Ralph John Fetrow | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | Oct 21, 2008 | Oct 21, 2008 |
| George Michael Russell | Cetera Advisor Networks LLC other | Osaic Fs, Inc. other | Other | Oct 3, 2008 | Sep 5, 2008 |
| Kayvan Karoon | Cetera Advisor Networks LLC other | Osaic Fs, Inc. other | Other | Oct 3, 2008 | Sep 30, 2008 |
| Tiffany Elise Tippins | Cetera Advisor Networks LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 30, 2008 | Sep 29, 2008 |
| Stephen Lee Gaustad | Cetera Advisor Networks LLC other | Aegis Financial Group, Inc. unclassified | Other | Sep 17, 2008 | Sep 15, 2008 |
| Aaron Scott Buczek | Cetera Advisor Networks LLC other | Td Ameritrade Investment Management, LLC other | Other | Aug 19, 2008 | Nov 10, 2008 (83 d) |
| Thomas K. Turner | Cetera Advisor Networks LLC other | Northwest Financial Advisors LLC no RAUM | Other | Jul 17, 2008 | Aug 20, 2013 (1860 d) |
| John Archibald Oneill | Cetera Advisor Networks LLC other | Principal Securities, Inc. other | Other | Jul 11, 2008 | May 4, 2009 (297 d) |
| Dennis Eugene Priest | Cetera Advisor Networks LLC other | Osaic Wealth, Inc. other | Other | Jul 2, 2008 | Jul 11, 2008 |
| Brian Andrew Worley | Cetera Advisor Networks LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 1, 2008 | Jul 2, 2008 |
| Jared Hobert Brock | Cetera Advisor Networks LLC other | Banc Of America Investment Services, Inc. unclassified | Other | Jun 17, 2008 | Jul 21, 2008 (34 d) |
| Mark Howard Justice | Cetera Advisor Networks LLC other | United Planners' Financial Services Of America A Limited Partner other | Other | Jun 12, 2008 | Jun 13, 2008 |
| Matthew William Rohde | Cetera Advisor Networks LLC other | Financial Management Strategies, Inc. other | Other | Jun 3, 2008 | Aug 4, 2009 (427 d) |
| James D'Alessio | Cetera Advisor Networks LLC other | Zions Capital Advisors, Inc. other | Other | Jun 2, 2008 | Jul 15, 2008 (43 d) |
| R. David De La Rosa | Cetera Advisor Networks LLC other | LPL Financial LLC BD affiliated | Other | May 27, 2008 | Jan 21, 2020 (4256 d) |
| Marilyn Alise Wood | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | May 15, 2008 | May 23, 2008 |
| Sara Joy Arnold | Cetera Advisor Networks LLC other | Invest Financial Corporation other | Other | May 15, 2008 | May 19, 2008 |
| Jay H Kim | Cetera Advisor Networks LLC other | Charles Schwab & Co., Inc. national BD | Other | May 14, 2008 | Jun 3, 2008 |