| Kimberly Rubin | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 28, 2010 | Jul 13, 2010 (46 d) |
| Eric Wayne Seiferth | Advice And Planning Services other | Ironview Capital Management, LLC other | Other | May 21, 2010 | Jul 22, 2010 (62 d) |
| Herman Scriven | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Apr 23, 2010 | Sep 22, 2010 (152 d) |
| Michael John Mongin | Advice And Planning Services other | Suntrust Investment Services, Inc. other | Other | Apr 12, 2010 | Apr 22, 2015 (1836 d) |
| Mark Duane Steffe | Advice And Planning Services other | First Command Advisory Services other | Other | Mar 19, 2010 | Dec 15, 2015 (2097 d) |
| Caitlin Chen | Advice And Planning Services other | Edelman Financial Services, LLC other | Other | Mar 19, 2010 | May 6, 2010 (48 d) |
| Dore J Provda | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Mar 12, 2010 | May 25, 2012 (805 d) |
| Kenneth Charles Zimmerman | Advice And Planning Services other | Wells Fargo Advisors wirehouse | Other | Mar 12, 2010 | Mar 30, 2010 |
| Ronald Lee Philbrick | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Mar 5, 2010 | Mar 11, 2010 |
| Peter Charles Lupone | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Feb 25, 2010 | Sep 16, 2010 (203 d) |
| Shayna Lynne Harvey | Advice And Planning Services other | Simon Capital Management other | Other | Feb 8, 2010 | Jun 8, 2010 (120 d) |
| Stephen Michael Albritton | Advice And Planning Services other | Td Ameritrade Investment Management, LLC other | Other | Jan 22, 2010 | Apr 25, 2011 (458 d) |
| Thomas William Mooney | Advice And Planning Services other | Veritat Advisors unclassified | Other | Jan 22, 2010 | Jan 15, 2010 |
| Paul Michael Schaefer | Advice And Planning Services other | Securities America Advisors, Inc. other | Other | Dec 31, 2009 | Sep 30, 2010 (273 d) |
| Andrew Corwine Davis | Advice And Planning Services other | Court Place Advisors LLC other | Other | Dec 21, 2009 | Feb 2, 2010 (43 d) |
| James Lang | Advice And Planning Services other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 11, 2009 | Apr 29, 2010 (139 d) |
| George Frank Maniatis | Advice And Planning Services other | Thrivent Investment Management Inc. other | Other | Nov 9, 2009 | Jan 13, 2010 (65 d) |
| Jeremy Young | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Oct 12, 2009 | Aug 29, 2011 (686 d) |
| Alexander Victor Zourides | Advice And Planning Services other | Ameritas Advisory Services other | Other | Oct 2, 2009 | Jul 29, 2011 (665 d) |
| Jason Christopher Gresham | Advice And Planning Services other | Wealth Management Of The Bluegrass, LLC. independent RIA | Other | Sep 3, 2009 | Jul 28, 2017 (2885 d) |
| Keith Wayne Leece | Advice And Planning Services other | LPL Financial LLC other | Other | Sep 2, 2009 | Aug 16, 2010 (348 d) |
| Christopher Allen Esser | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Aug 28, 2009 | Apr 13, 2010 (228 d) |
| Harrison Todd Kephart | Advice And Planning Services other | Retirement Income Solutions, Inc. other | Other | Aug 14, 2009 | Aug 31, 2009 |
| John Henry Mitchell | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Jul 24, 2009 | Sep 15, 2009 (53 d) |
| Maynard L Miller | Advice And Planning Services other | Peak American Investment Advisors, Inc. independent RIA | Other | May 22, 2009 | Jan 6, 2010 (229 d) |
| Todd Christopher Wnuk | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | May 22, 2009 | Aug 9, 2010 (444 d) |
| Andrew Edward Fisher | Advice And Planning Services other | Truist Advisory Services, Inc. BD affiliated | Other | May 19, 2009 | Dec 3, 2020 (4216 d) |
| Elizabeth Cicolello Messina | Advice And Planning Services other | Biondo Investment Advisors LLC other | Other | May 1, 2009 | Apr 3, 2013 (1433 d) |
| Sarah Jane Walkinshaw | Advice And Planning Services other | Signator Investors, Inc. BD affiliated | Other | Apr 28, 2009 | Apr 17, 2018 (3276 d) |
| John P. Dunn | Advice And Planning Services other | UBS Financial Services Inc. wirehouse | Other | Mar 25, 2009 | Jan 25, 2011 (671 d) |
| Sven Liane | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Mar 25, 2009 | Apr 14, 2009 |
| Clinton Ford Demming | Advice And Planning Services other | The Holben Group, LLC other | Other | Mar 25, 2009 | Mar 16, 2009 |
| Brandon Larry Cauley | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Mar 13, 2009 | Apr 7, 2009 |
| Eric Scott Williford | Advice And Planning Services other | Cetera Investment Advisers LLC BD affiliated | Other | Dec 31, 2008 | Jun 29, 2023 (5293 d) |
| Valerie Lesane Rattigan | Advice And Planning Services other | Vanguard Advisers, Inc. BD affiliated | Other | Dec 31, 2008 | Sep 16, 2021 (4642 d) |
| Kenneth J Conway | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Dec 24, 2008 | Mar 9, 2009 (75 d) |
| Christian Matthew Brown | Advice And Planning Services other | Cookson Peirce Wealth Management other | Other | Dec 23, 2008 | Mar 27, 2009 (94 d) |
| Greg Warren | Advice And Planning Services other | Pruco Securities, LLC other | Other | Dec 9, 2008 | Jun 25, 2009 (198 d) |
| Ronald Francis Mack | Advice And Planning Services other | Eagle Strategies LLC other | Other | Nov 12, 2008 | Jan 19, 2011 (798 d) |
| Daniel Pecoraro | Advice And Planning Services other | B. Riley Wealth Advisors, Inc. other | Other | Nov 12, 2008 | Jan 4, 2010 (418 d) |
| Amy Susan Hanophy | Advice And Planning Services other | Principal Securities, Inc. other | Other | Nov 12, 2008 | Jan 13, 2009 (62 d) |
| Rory Patrick Collins | Advice And Planning Services other | Gotham Asset Management, LLC other | Other | Nov 5, 2008 | Mar 20, 2009 (135 d) |
| Gregory John Adams | Advice And Planning Services other | UBS Financial Services Inc. wirehouse | Other | Nov 5, 2008 | Nov 18, 2008 |
| Michael James Maniscalco | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Oct 23, 2008 | Nov 15, 2013 (1849 d) |
| Steven Lee Ouellette | Advice And Planning Services other | Charles Schwab & Co., Inc. national BD | Other | Oct 23, 2008 | Nov 18, 2008 |
| Teresa Valencia Schlafly | Advice And Planning Services other | Usaa Financial Planning Services no RAUM | Other | Oct 23, 2008 | May 20, 2010 (574 d) |
| Daniel M Kelly | Advice And Planning Services other | Fai Wealth Management independent RIA | Other | Oct 16, 2008 | Aug 10, 2020 (4316 d) |
| Gregory Garrard Padgitt | Advice And Planning Services other | LPL Financial LLC other | Other | Oct 16, 2008 | Oct 1, 2014 (2176 d) |
| Mark Winfield Hotchkiss | Advice And Planning Services other | First Command Financial Planning, Inc. other | Other | Sep 17, 2008 | Sep 18, 2008 |
| Bradley Gene Pagliaro | Advice And Planning Services other | LPL Financial LLC BD affiliated | Other | Sep 10, 2008 | Dec 19, 2025 (6309 d) |
| Michael E Mcgriff | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Sep 4, 2008 | Aug 5, 2010 (700 d) |
| Eleftherios Aris | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Sep 4, 2008 | Nov 6, 2008 (63 d) |
| Dirk Duff Ockerlander | Advice And Planning Services other | LPL Financial LLC other | Other | Sep 4, 2008 | Sep 10, 2008 |
| Robert Brady Siegrist | Advice And Planning Services other | Janiczek Wealth Management other | Other | Sep 4, 2008 | Oct 17, 2008 (43 d) |
| Richard Christopher Jakotowicz | Advice And Planning Services other | Centaurus Financial, Inc. other | Other | Aug 28, 2008 | Jan 28, 2014 (1979 d) |
| Chad F Patten | Advice And Planning Services other | Strategic Advisers LLC national BD | Other | Aug 13, 2008 | Dec 12, 2013 (1947 d) |
| George Charles Grant | Advice And Planning Services other | E*Trade Capital Management, LLC other | Other | Aug 12, 2008 | Jan 20, 2016 (2717 d) |
| Shalisa Green Beck | Advice And Planning Services other | Waddell & Reed other | Other | Aug 11, 2008 | May 11, 2011 (1003 d) |
| John White | Advice And Planning Services other | Chase Investment Services Corp. other | Other | Aug 5, 2008 | Oct 7, 2008 (63 d) |
| Shane William Galino | Advice And Planning Services other | Uvest Financial Services Group, Inc. unclassified | Other | Aug 5, 2008 | Sep 8, 2008 (34 d) |