| Meco Bobby Womack | Advice And Planning Services other | LPL Financial LLC other | Other | Apr 9, 2014 | Apr 8, 2014 |
| Kevin M Dillon | Advice And Planning Services other | Mercer Global Advisors Inc. other | Other | Mar 17, 2014 | Mar 13, 2014 |
| Lynette Sue Jones | Advice And Planning Services other | Hightower Advisors, LLC other | Other | Mar 7, 2014 | Mar 17, 2014 |
| Rock Navamuel | Advice And Planning Services other | Hsbc Securities (USA) Inc. other | Other | Mar 3, 2014 | Mar 24, 2014 |
| Nelson Arturo Goenaga | Advice And Planning Services other | Allspring Funds Management, LLC other | Other | Feb 24, 2014 | Feb 26, 2014 |
| Eric Miller | Advice And Planning Services other | Liberty One Investment Management asset manager | Other | Dec 6, 2013 | Jul 11, 2025 (4235 d) |
| Jason C. Powers | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 6, 2013 | Mar 13, 2014 (127 d) |
| Alan Cole | Advice And Planning Services other | Suntrust Investment Services, Inc. other | Other | Oct 30, 2013 | Dec 9, 2013 (40 d) |
| Ciara Corine Merriman | Advice And Planning Services other | Allstate Financial Advisors, LLC no RAUM | Other | Oct 23, 2013 | Aug 6, 2014 (287 d) |
| Cynthia Richards-Donald | Advice And Planning Services other | MML Investors Services, LLC other | Other | Oct 1, 2013 | Sep 11, 2014 (345 d) |
| Sean Alan Sunderlage | Advice And Planning Services other | Edelman Financial Services, LLC other | Other | Oct 1, 2013 | Nov 12, 2015 (772 d) |
| Joseph John Kelly | Advice And Planning Services other | Td Ameritrade Investment Management, LLC other | Other | Sep 24, 2013 | Nov 1, 2013 (38 d) |
| Dominica G. Mccann | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Sep 19, 2013 | Oct 11, 2013 |
| Sean Marcus Gallup | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Sep 16, 2013 | Oct 16, 2013 |
| Brennan Lee Reinert | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Sep 16, 2013 | Oct 16, 2013 |
| Thomas Kirby | Advice And Planning Services other | Cetera Investment Advisers LLC other | Other | Sep 11, 2013 | Feb 26, 2014 (168 d) |
| Sarah Jo Contino | Advice And Planning Services other | Ameriprise Financial Services, LLC national BD | Other | Sep 10, 2013 | Sep 25, 2013 |
| Seth Joseph Kelly | Advice And Planning Services other | Edelman Financial Services, LLC other | Other | Sep 4, 2013 | Sep 17, 2013 |
| Judy Adams Mchale | Advice And Planning Services other | Moneyfull state registered | Other | Aug 9, 2013 | Apr 14, 2014 (248 d) |
| Michael David Erbaio | Advice And Planning Services other | Invest Financial Corporation other | Other | Aug 7, 2013 | Feb 28, 2014 (205 d) |
| Linda Bailey | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 6, 2013 | Aug 21, 2013 |
| Gabriel John Goodhope | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Jul 30, 2013 | Oct 4, 2013 (66 d) |
| Fabio Vozila | Advice And Planning Services other | Suntrust Investment Services, Inc. other | Other | Jul 23, 2013 | Nov 25, 2013 (125 d) |
| Dores Dunn | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Jul 10, 2013 | Aug 5, 2013 |
| Jeremy Todd Zeichner | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Jul 5, 2013 | Jul 11, 2013 |
| Lee Garrett Willaford | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Jun 26, 2013 | Nov 12, 2013 (139 d) |
| John Jennings | Advice And Planning Services other | First Command Financial Planning, Inc. other | Other | Jun 24, 2013 | Jul 1, 2014 (372 d) |
| Paul Bailin | Advice And Planning Services other | Fidelity Personal And Workplace Advisors BD affiliated | Other | Jun 24, 2013 | Nov 18, 2024 (4165 d) |
| Melanie Dawn Jacyszyn | Advice And Planning Services other | Vanguard Advisers, Inc. other | Other | Jun 14, 2013 | Mar 12, 2014 (271 d) |
| Rowland Pepito | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Jun 14, 2013 | Jul 8, 2013 |
| James M Hubbard | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 31, 2013 | Jun 5, 2013 |
| Laura Gilchrist | Advice And Planning Services other | LPL Financial LLC other | Other | May 24, 2013 | Jun 25, 2013 (32 d) |
| Michael Lyons Thomas | Advice And Planning Services other | Principal Securities, Inc. other | Other | May 1, 2013 | Jan 22, 2015 (631 d) |
| Joe S Chan | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Apr 26, 2013 | Apr 22, 2021 (2918 d) |
| Joseph Paul Cearley | Advice And Planning Services other | LPL Financial LLC other | Other | Apr 19, 2013 | Mar 27, 2014 (342 d) |
| Matthew James Rice | Advice And Planning Services other | Hufford Advisors, LLC other | Other | Apr 12, 2013 | Oct 8, 2013 (179 d) |
| Jim L Doyle | Advice And Planning Services other | Osaic Fa, Inc. other | Other | Apr 8, 2013 | Nov 7, 2013 (213 d) |
| Daniel Scott Worley | Advice And Planning Services other | UBS Financial Services Inc. wirehouse | Other | Mar 13, 2013 | Apr 10, 2013 |
| Chris A. Luttman | Advice And Planning Services other | Bok Financial Advisors other | Other | Mar 12, 2013 | Sep 23, 2013 (195 d) |
| Stephen F Maloney | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 8, 2013 | Apr 26, 2013 (49 d) |
| Susan C Wieck | Advice And Planning Services other | Waddell & Reed other | Other | Mar 8, 2013 | Jul 30, 2013 (144 d) |
| Brian Darrell Fylak | Advice And Planning Services other | Alight Financial Advisors, LLC other | Other | Mar 6, 2013 | Apr 1, 2013 |
| Mitchell Thomas Glasser | Advice And Planning Services other | J.P. Morgan Securities LLC wirehouse | Other | Mar 6, 2013 | Mar 5, 2013 |
| Lisa L. Purcell | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 1, 2013 | Aug 5, 2013 (157 d) |
| Scott Ashley Rucki | Advice And Planning Services other | Cetera Advisor Networks LLC other | Other | Mar 1, 2013 | Mar 18, 2013 |
| Scott Browning Coombes | Advice And Planning Services other | Cetera Investment Services LLC other | Other | Mar 1, 2013 | Mar 21, 2013 |
| Timothy Andrew Moore | Advice And Planning Services other | Ameriprise Financial Services, LLC national BD | Other | Mar 1, 2013 | Apr 12, 2013 (42 d) |
| Orlando Rosario | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Feb 15, 2013 | Oct 18, 2016 (1341 d) |
| Gregory Joseph Gassert | Advice And Planning Services other | Guardian Wealth Strategies, LLC independent RIA | Other | Jan 31, 2013 | Jan 6, 2025 (4358 d) |
| Ronald L Paulding | Advice And Planning Services other | Pnc Wealth Management other | Other | Jan 25, 2013 | Jun 5, 2013 (131 d) |
| John Boris Onufreiczuk | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 23, 2012 | Dec 6, 2012 |
| Jeffrey David Bittner | Advice And Planning Services other | Mainstay Capital Management, LLC other | Other | Nov 21, 2012 | Mar 27, 2013 (126 d) |
| Kevin J Taalman | Advice And Planning Services other | Allstate Financial Advisors, LLC no RAUM | Other | Nov 20, 2012 | May 3, 2013 (164 d) |
| Salvatore Steven Marino | Advice And Planning Services other | The Mutual Fund Store other | Other | Oct 12, 2012 | Nov 20, 2012 (39 d) |
| Heyden Arthur Pue | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Oct 12, 2012 | Jun 7, 2013 (238 d) |
| Thomas Joseph Raleigh | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Oct 8, 2012 | Nov 7, 2012 |
| Chris Mark Kolasinski | Advice And Planning Services other | Signator Investors, Inc. other | Other | Sep 27, 2012 | Oct 11, 2012 |
| Scott Andrew Birmingham | Advice And Planning Services other | Asset Management Resources, LLC independent RIA | Other | Sep 26, 2012 | May 1, 2019 (2408 d) |
| Michael Anthony Charles | Advice And Planning Services other | Wallington Asset Management other | Other | Sep 25, 2012 | Nov 21, 2012 (57 d) |
| Crystal Latorial Roseman | Advice And Planning Services other | Nationwide Investment Advisors, LLC other | Other | Sep 21, 2012 | Oct 4, 2012 |