| Karen Goersch | Private Advisor Group, LLC other | Ameriprise Financial Services, LLC national BD | Other | Mar 25, 2014 | Mar 24, 2014 |
| Michael Gary Edwards | Private Advisor Group, LLC other | Cwm, LLC other | Other | Mar 21, 2014 | Mar 20, 2014 |
| Amy Jo Bouchie | Private Advisor Group, LLC other | Level Four Advisory Services other | Other | Feb 27, 2014 | Mar 28, 2014 |
| John Charles Mann | Private Advisor Group, LLC other | Trinity Wealth Management, LLC no RAUM | Other | Feb 25, 2014 | Feb 18, 2014 |
| Ryan Masterson | Private Advisor Group, LLC other | Ameriprise Financial Services, LLC national BD | Other | Feb 25, 2014 | Feb 25, 2014 |
| Michael Lawrence Simonich | Private Advisor Group, LLC other | Vantage Point Wealth Management other | Other | Dec 31, 2013 | Jan 14, 2014 |
| Neal Anthony Mcgrath | Private Advisor Group, LLC other | Cwm, LLC other | Other | Dec 10, 2013 | Dec 9, 2013 |
| Thomas Scott Brown | Private Advisor Group, LLC other | Cwm, LLC other | Other | Dec 10, 2013 | Dec 10, 2013 |
| Benjamin Louis Lodico | Private Advisor Group, LLC other | Cwm, LLC other | Other | Dec 10, 2013 | Dec 10, 2013 |
| D. G. (Chip) Kensinger | Private Advisor Group, LLC other | Bcg Securities, Inc. other | Other | Sep 16, 2013 | Oct 25, 2013 (39 d) |
| Justin Nicholson Kensinger | Private Advisor Group, LLC other | Bcg Securities, Inc. other | Other | Sep 16, 2013 | Oct 25, 2013 (39 d) |
| Anthony Joseph Marino | Private Advisor Group, LLC other | Ameriprise Financial Services, LLC national BD | Other | Apr 10, 2013 | Apr 12, 2013 |
| Linda Louise Borst | Private Advisor Group, LLC other | Wells Fargo Advisors wirehouse | Other | Nov 19, 2012 | Nov 16, 2012 |
| Raymond Zong | Private Advisor Group, LLC other | Kovack Advisors, Inc. other | Other | Oct 22, 2012 | Nov 30, 2012 (39 d) |
| Richard Brian Welsh | Private Advisor Group, LLC other | LPL Financial LLC other | Other | Aug 29, 2012 | May 31, 2012 |