| Mark William Chamberlain | Lakeside Wealth Management Group, LLC mixed wealth | First Allied Advisory Services, Inc. other | Other | Jun 30, 2020 | Jan 1, 2007 |
| Melinda Malek Reineke | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Thomas Francis Muldowney | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Eugene Christopher Ylo | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Gerald Edward Mang | Lakeside Wealth Management Group, LLC mixed wealth | First Allied Advisory Services, Inc. other | Other | Jun 30, 2020 | Jan 3, 2007 |
| Timothy David Rice | Lakeside Wealth Management Group, LLC mixed wealth | First Allied Advisory Services, Inc. other | Other | Jun 30, 2020 | Jan 3, 2007 |
| Kirk Lewis Futrell | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Jocelyn Hibshman | Lakeside Wealth Management Group, LLC mixed wealth | First Allied Advisory Services, Inc. other | Other | Jun 30, 2020 | Jan 3, 2007 |
| Craig Edward Draper | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| John Joseph Masterson | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Aaron Adcock | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Timothy James Verschure | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Nicholas Walding | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Michael Nathaniel Deleon | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Edward A Cheatham | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Christopher James Frain | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Megan Elizabeth Marshall | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Kristopher John Hornyak | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Cory Michael Helmbrecht | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Hunter M Mang | Lakeside Wealth Management Group, LLC mixed wealth | Captrust institutional | Other | Jun 30, 2020 | May 6, 2020 |
| Jennifer Erin San Fillippo | Lakeside Wealth Management Group, LLC mixed wealth | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 15, 2020 | Nov 12, 2020 (150 d) |
| Shanna Jean Kehoe | Lakeside Wealth Management Group, LLC mixed wealth | Cwm, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 26, 2020 | Oct 18, 2019 |
| Scott Newhouse | Lakeside Wealth Management Group, LLC other | Western International Securities other | Other | Mar 13, 2017 | Jun 15, 2017 (94 d) |
| Joshua Peter Kozel | Lakeside Wealth Management Group, LLC other | LPL Financial LLC other | Other | Feb 10, 2015 | Jun 27, 2011 |
| Joseph David Gastaldi | Lakeside Wealth Management Group, LLC other | Korhorn Financial Group other | Other | Aug 16, 2013 | Oct 16, 2013 (61 d) |
| Gregory Paul Farrall | Lakeside Wealth Management Group, LLC other | First Allied Advisory Services, Inc. other | Other | Jun 22, 2010 | Jan 3, 2007 |
| Keith Edward Maurer | Lakeside Wealth Management Group, LLC other | Morgan Stanley wirehouse | Other | Mar 29, 2010 | Mar 23, 2011 (359 d) |