| Joseph Edward Moorhead | Advice And Planning Services other | Northern Trust Securities, Inc BD affiliated | Other | Aug 29, 2012 | May 18, 2018 (2088 d) |
| Barry Kaiman | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Aug 13, 2012 | Nov 7, 2017 (1912 d) |
| Ralph David Janitell | Advice And Planning Services other | LPL Financial LLC other | Other | Jul 12, 2012 | Jul 24, 2012 |
| Richard All | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Jul 6, 2012 | Sep 24, 2012 (80 d) |
| Joseph Lynch | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 6, 2012 | Aug 7, 2012 (32 d) |
| Joseph Nick Grunwald | Advice And Planning Services other | Hefren-Tillotson, Inc. other | Other | Jul 3, 2012 | Jul 9, 2012 |
| Mauriel Alejandro Vega | Advice And Planning Services other | LPL Financial LLC other | Other | Jul 3, 2012 | Jul 2, 2012 |
| Christopher Adam Farish | Advice And Planning Services other | Morgan Stanley wirehouse | Other | Jun 8, 2012 | Jul 9, 2012 (31 d) |
| David Alderson | Advice And Planning Services other | Hefren-Tillotson, Inc. other | Other | Jun 2, 2012 | Jun 1, 2012 |
| Jennifer Lauren Brown | Advice And Planning Services other | Summer Creek Wealth Management, LLC other | Other | May 24, 2012 | Jul 15, 2021 (3339 d) |
| Helene Michele Moll | Advice And Planning Services other | Suntrust Investment Services, Inc. other | Other | May 9, 2012 | Jun 22, 2012 (44 d) |
| Corey J Burkhart | Advice And Planning Services other | Principal Securities, Inc. other | Other | Apr 24, 2012 | Jul 30, 2012 (97 d) |
| Thomas Francis Labrie | Advice And Planning Services other | Osaic Fa, Inc. other | Other | Mar 19, 2012 | Mar 21, 2012 |
| Savas Nick Constantinou | Advice And Planning Services other | Hsbc Securities (USA) Inc. other | Other | Jan 26, 2012 | Apr 10, 2012 (75 d) |
| Thomas Joseph Jennings | Advice And Planning Services other | Keen Capital, LLC independent RIA | Other | Jan 13, 2012 | Nov 11, 2025 (5051 d) |
| William Kyle Hunicke | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 13, 2012 | Aug 2, 2013 (567 d) |
| William Claude Evans | Advice And Planning Services other | Morgan Stanley wirehouse | Other | Jan 12, 2012 | Mar 9, 2012 (57 d) |
| Joseph S Sicchitano | Advice And Planning Services other | Suntrust Investment Services, Inc. other | Other | Dec 1, 2011 | Dec 15, 2011 |
| Debra S Hemphill | Advice And Planning Services other | T. Rowe Price Advisory Services, Inc. BD affiliated | Other | Nov 19, 2011 | Oct 11, 2024 (4710 d) |
| Sean K Heslin | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Nov 4, 2011 | Dec 14, 2011 (40 d) |
| Matthew Paul Cuiffo | Advice And Planning Services other | Edelman Financial Services, LLC other | Other | Oct 21, 2011 | May 2, 2014 (924 d) |
| Jay Cary Parker | Advice And Planning Services other | Nuveen Asset Management, LLC other | Other | Oct 4, 2011 | Mar 3, 2023 (4168 d) |
| Brett Michael Morris | Advice And Planning Services other | Td Ameritrade Investment Management, LLC other | Other | Oct 3, 2011 | Oct 17, 2011 |
| Joshua E Goldfarb | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Sep 22, 2011 | Nov 15, 2011 (54 d) |
| Michael Eugene Pearson | Advice And Planning Services other | Primerica Advisors national BD | Other | Aug 26, 2011 | Feb 8, 2013 (532 d) |
| Kevin Key | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 25, 2011 | Sep 30, 2011 (36 d) |
| Yolanda Tiffany Waters | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Aug 24, 2011 | Aug 29, 2011 |
| Janet Mccabe | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Aug 5, 2011 | Aug 18, 2011 |
| Edward Fennessey | Advice And Planning Services other | Ameriprise Financial Services, LLC national BD | Other | Jul 22, 2011 | Dec 13, 2013 (875 d) |
| Michael E Andrews | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Jul 7, 2011 | Nov 3, 2011 (119 d) |
| Lindsay Graham Whetton | Advice And Planning Services other | Edelman Financial Engines independent RIA | Other | Jul 6, 2011 | May 20, 2026 (5432 d) |
| Samuel L Kirby | Advice And Planning Services other | Captrust other | Other | Jul 6, 2011 | Apr 15, 2015 (1379 d) |
| Michael John Filing | Advice And Planning Services other | LPL Financial LLC other | Other | Jun 27, 2011 | Jul 18, 2011 |
| Annie Mussoni Morrison | Advice And Planning Services other | LPL Financial LLC other | Other | Jun 3, 2011 | Jun 13, 2011 |
| James S Milholen | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | May 24, 2011 | Jun 30, 2011 (37 d) |
| Phoebe Chao | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | May 23, 2011 | Jun 7, 2011 |
| Adam Perry Sanders | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | May 11, 2011 | Aug 25, 2011 (106 d) |
| Juan Angel Cardenas | Advice And Planning Services other | Post Advisory Group, LLC other | Other | Apr 8, 2011 | May 27, 2011 (49 d) |
| Glenn Eric Caldwell | Advice And Planning Services other | Suntrust Investment Services, Inc. other | Other | Apr 1, 2011 | Jul 1, 2011 (91 d) |
| Torey Bernard Franklin | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Mar 14, 2011 | Apr 19, 2011 (36 d) |
| Craig A Shipman | Advice And Planning Services other | Cuso Financial Services, L.P. other | Other | Mar 11, 2011 | Apr 26, 2011 (46 d) |
| Joseph Anthony Disciullo | Advice And Planning Services other | Vanguard Advisers, Inc. other | Other | Mar 8, 2011 | Nov 28, 2017 (2457 d) |
| Jason Dimitri Nicoloff | Advice And Planning Services other | Osaic Fa, Inc. other | Other | Mar 7, 2011 | May 19, 2011 (73 d) |
| William B Cannon | Advice And Planning Services other | LPL Financial LLC other | Other | Mar 7, 2011 | Mar 22, 2011 |
| Randy Dominic Cruz | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Jan 31, 2011 | Mar 11, 2011 (39 d) |
| Suzana Bogoevska | Advice And Planning Services other | Pnc Wealth Management other | Other | Jan 28, 2011 | Jul 25, 2014 (1274 d) |
| Patrick O'Hare Newcombe | Advice And Planning Services other | Calder Financial Group independent RIA | Other | Jan 5, 2011 | Jan 1, 2026 (5475 d) |
| Roger Stan Bracken | Advice And Planning Services other | Td Ameritrade Investment Management, LLC other | Other | Nov 12, 2010 | Oct 7, 2011 (329 d) |
| Michael Neil Brown | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Oct 22, 2010 | Dec 21, 2010 (60 d) |
| Jason Sean Kass | Advice And Planning Services other | Hsbc Securities (USA) Inc. other | Other | Oct 15, 2010 | Nov 3, 2010 |
| Julie Thomas Sward | Advice And Planning Services other | Moneta Group Investment Advisors, LLC other | Other | Oct 14, 2010 | Jan 14, 2011 (92 d) |
| George Douglas Prosser | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Oct 8, 2010 | Nov 8, 2010 (31 d) |
| Ryan Charles Stout | Advice And Planning Services other | Wambolt & Associates, LLC other | Other | Oct 7, 2010 | Oct 7, 2010 |
| Greg J Selg | Advice And Planning Services other | American Portfolios Advisors, Inc other | Other | Oct 5, 2010 | Oct 12, 2010 |
| Kurt Schaefer | Advice And Planning Services other | Key Investment Services LLC other | Other | Sep 24, 2010 | Nov 9, 2010 (46 d) |
| Alana M Jennings | Advice And Planning Services other | Trueplan Benefit And Retirement Advisors institutional | Other | Sep 24, 2010 | Aug 27, 2024 (5086 d) |
| John Burton Goff | Advice And Planning Services other | Retirement Income Solutions, Inc. other | Other | Aug 6, 2010 | Aug 25, 2010 |
| John Michael Loper | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Jul 9, 2010 | Sep 15, 2010 (68 d) |
| Matthew Apgar Balady | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Jun 14, 2010 | Nov 15, 2010 (154 d) |
| Jeffrey Steven Chipper | Advice And Planning Services other | MML Investors Services, LLC BD affiliated | Other | Jun 4, 2010 | Jul 25, 2018 (2973 d) |