| Barrington Boyd | Advice And Planning Services other | Principal Securities, Inc. BD affiliated | Other | Mar 24, 2015 | Mar 16, 2020 (1819 d) |
| Amy J Aichholz Pachan | Advice And Planning Services other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Mar 19, 2015 | Apr 15, 2015 |
| Brian Paul Ford | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 19, 2015 | Jun 10, 2015 (83 d) |
| Steven L. Kennedy | Advice And Planning Services other | Private Advisor Group, LLC BD affiliated | Other | Mar 19, 2015 | May 24, 2021 (2258 d) |
| Benjamin Venturo | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 18, 2015 | Apr 22, 2015 (35 d) |
| David Peter Reynolds | Advice And Planning Services other | Mercer Global Advisors Inc. independent RIA | Other | Mar 18, 2015 | Nov 12, 2024 (3527 d) |
| Matthew A. Sandler | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Mar 18, 2015 | Mar 25, 2015 |
| Matthew William Mcclendon | Advice And Planning Services other | Vanguard Advisers, Inc. other | Other | Mar 12, 2015 | Jun 2, 2015 (82 d) |
| Leslie S Rion | Advice And Planning Services other | Meridian Wealth Management, LLC other | Other | Mar 11, 2015 | Apr 3, 2015 |
| Dawn Teree Stoffel | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Mar 11, 2015 | Apr 13, 2015 (33 d) |
| Brian Roettjer | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 11, 2015 | Apr 8, 2015 |
| Dean Mijalic | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 11, 2015 | Apr 8, 2015 |
| Bruce Corcoran | Advice And Planning Services other | Horace Mann Investors, Inc. no RAUM | Other | Mar 5, 2015 | Jul 7, 2016 (490 d) |
| Shawn Patrick Gallagher | Advice And Planning Services other | Frisch Financial Group, Inc. other | Other | Mar 5, 2015 | May 19, 2015 (75 d) |
| Alejandro Lopez-Lule | Advice And Planning Services other | Empower Advisory Group, LLC other | Other | Mar 5, 2015 | Oct 24, 2016 (599 d) |
| Brian F La Rocca | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Feb 12, 2015 | Feb 26, 2015 |
| Eric David Swanson | Advice And Planning Services other | Schwab Wealth Advisory, Inc. no RAUM | Other | Jan 21, 2015 | Aug 17, 2021 (2400 d) |
| Heidi Locastro | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Jan 15, 2015 | Apr 15, 2015 (90 d) |
| Reynaldo Arceno | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Jan 5, 2015 | Nov 2, 2015 (301 d) |
| Sandra Jean Rose | Advice And Planning Services other | Aspire Advisors, LLC independent RIA | Other | Dec 24, 2014 | Jun 10, 2019 (1629 d) |
| Anna M Storey | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Dec 24, 2014 | Nov 2, 2016 (679 d) |
| Jeffrey Michael Diefenthaler | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Dec 23, 2014 | Mar 28, 2024 (3383 d) |
| Jeffrey Lynn Baclawski | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Dec 19, 2014 | Jan 16, 2015 |
| Joseph Michael Scutts | Advice And Planning Services other | Td Ameritrade, Inc. no RAUM | Other | Dec 19, 2014 | Mar 3, 2015 (74 d) |
| Sharon Dvir | Advice And Planning Services other | Suntrust Investment Services, Inc. other | Other | Dec 11, 2014 | Jan 6, 2015 |
| Patrick Michael Conaway | Advice And Planning Services other | Allstate Financial Advisors, LLC no RAUM | Other | Dec 3, 2014 | Aug 18, 2016 (624 d) |
| Emily Maureen Everett | Advice And Planning Services other | Wintrust Investments other | Other | Nov 21, 2014 | Mar 16, 2015 (115 d) |
| David Fritz Wirth | Advice And Planning Services other | Savant Wealth Management other | Other | Nov 13, 2014 | Jan 14, 2015 (62 d) |
| Evan Jordan Kresman | Advice And Planning Services other | UBS Financial Services Inc. wirehouse | Other | Nov 13, 2014 | Aug 12, 2015 (272 d) |
| James Lowell Adams | Advice And Planning Services other | E*Trade Capital Management, LLC other | Other | Oct 30, 2014 | Apr 29, 2016 (547 d) |
| Dawn Michelle Edwards | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Oct 22, 2014 | Sep 19, 2016 (698 d) |
| Sara Radigan | Advice And Planning Services other | LPL Financial LLC other | Other | Oct 22, 2014 | Nov 6, 2014 |
| Michael Edward Collins | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Oct 14, 2014 | Oct 31, 2014 |
| Maurice Schaefer | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Oct 13, 2014 | Nov 5, 2014 |
| Spencer Moyles Brown | Advice And Planning Services other | Bok Financial Advisors other | Other | Oct 9, 2014 | Dec 2, 2014 (54 d) |
| Jose M Garza | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Oct 9, 2014 | Nov 21, 2014 (43 d) |
| Catherine Harstick | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Sep 23, 2014 | Sep 24, 2014 |
| Matthew Louis Mattheisen | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Sep 9, 2014 | Sep 24, 2014 |
| Kevin Dale Frank | Advice And Planning Services other | Td Ameritrade, Inc. no RAUM | Other | Aug 28, 2014 | Jan 29, 2016 (519 d) |
| Peggy-Sue Marie Mcnier | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Aug 21, 2014 | Oct 9, 2014 (49 d) |
| Daniel Simon Gallagher | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Aug 21, 2014 | Oct 6, 2014 (46 d) |
| Brian E. O'Neil | Advice And Planning Services other | Karsten Advisors other | Other | Aug 15, 2014 | Sep 25, 2014 (41 d) |
| Robert Lee Evans | Advice And Planning Services other | Transamerica Retirement Advisors, LLC other | Other | Aug 15, 2014 | Aug 8, 2016 (724 d) |
| Robert K Ruby | Advice And Planning Services other | Waddell & Reed other | Other | Aug 14, 2014 | Aug 8, 2014 |
| Mark Sean Kelly | Advice And Planning Services other | Principal Securities, Inc. other | Other | Aug 7, 2014 | May 27, 2015 (293 d) |
| Christy Elaine Pedersen | Advice And Planning Services other | Whitnell & Co other | Other | Aug 6, 2014 | Sep 25, 2014 (50 d) |
| Anne Theresa Garrity | Advice And Planning Services other | Voya Financial Advisors, Inc. other | Other | Aug 1, 2014 | Oct 14, 2015 (439 d) |
| Alfred Erwin Braun | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Jul 30, 2014 | Jan 22, 2016 (541 d) |
| Anthony Henry Jagers | Advice And Planning Services other | Pnc Wealth Management other | Other | Jul 17, 2014 | Dec 4, 2014 (140 d) |
| Kristen Lee Mackenzie | Advice And Planning Services other | LPL Financial LLC independent RIA | Other | Jul 17, 2014 | Sep 12, 2022 (2979 d) |
| Teofilo O Ferreira | Advice And Planning Services other | Wingate Wealth Advisors, Inc. other | Other | Jul 2, 2014 | Jul 28, 2015 (391 d) |
| Ronny Inniger | Advice And Planning Services other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 26, 2014 | Jul 21, 2014 |
| Samuel Choi | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Jun 26, 2014 | Jan 2, 2015 (190 d) |
| Brendan Patrick Byrne | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Jun 13, 2014 | Jun 27, 2014 |
| Robert Eliot Jean | Advice And Planning Services other | MML Investors Services, LLC other | Other | Jun 12, 2014 | Oct 7, 2014 (117 d) |
| Ralph Oscar Himpel | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Jun 12, 2014 | Aug 4, 2014 (53 d) |
| Naomi Sue Roberts | Advice And Planning Services other | Raymond James Financial Services Advisors, Inc other | Other | May 29, 2014 | Jul 2, 2014 (34 d) |
| Michael Wu | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | May 6, 2014 | Jun 5, 2014 |
| Robert Neil Wood | Advice And Planning Services other | Nuveen Asset Management, LLC other | Other | Apr 25, 2014 | Apr 21, 2016 (727 d) |
| James Collin Mckenna | Advice And Planning Services other | LPL Financial LLC other | Other | Apr 15, 2014 | Apr 25, 2014 |