| David Allegra | Osaic Wealth, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 22, 2016 | Aug 17, 2016 |
| Robert Wilfred Foley | Osaic Wealth, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 22, 2016 | Aug 17, 2016 |
| Robert Charles Waddell | Osaic Wealth, Inc. other | Wilbanks Securities Advisory other | Other | Jul 22, 2016 | Aug 12, 2016 |
| Edward Joseph Sullivan | Osaic Wealth, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Jul 21, 2016 | Jul 28, 2016 |
| Michael Rodger Pineda | Osaic Wealth, Inc. other | Pruco Securities, LLC other | Other | Jun 17, 2016 | Jul 14, 2016 |
| Daniel Nathan Steinberg | Osaic Wealth, Inc. other | Vantage Financial Group, Inc. other | Other | May 31, 2016 | Nov 1, 2017 (519 d) |
| Sean Patrick Craig | Osaic Wealth, Inc. other | Ipi Wealth Management, Inc. other | Other | May 4, 2016 | May 3, 2016 |
| James Charles Duncan | Osaic Wealth, Inc. other | Valic Financial Advisors, Inc. other | Other | May 2, 2016 | Aug 6, 2015 |
| Todd Richard Graham | Osaic Wealth, Inc. other | Msi Financial Services, Inc. other | Other | Apr 26, 2016 | Apr 25, 2016 |
| Jesse Philip Pellegrino | Osaic Wealth, Inc. other | Iam Advisory LLC no RAUM | Other | Apr 26, 2016 | Mar 9, 2020 (1413 d) |
| David Rodney Black | Osaic Wealth, Inc. other | Cantella & Co., Inc. other | Other | Apr 13, 2016 | Apr 8, 2016 |
| Justin N Gardiner | Osaic Wealth, Inc. other | LPL Financial LLC BD affiliated | Other | Apr 1, 2016 | Aug 15, 2025 (3423 d) |
| Daniel Patrick Schumann | Osaic Wealth, Inc. other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Mar 23, 2016 | Mar 24, 2016 |
| Jeffrey Scott Stuckert | Osaic Wealth, Inc. other | World Investment Advisors, LLC institutional | Other | Mar 16, 2016 | Oct 5, 2023 (2759 d) |
| William James Kenton | Osaic Wealth, Inc. other | World Investment Advisors, LLC institutional | Other | Mar 16, 2016 | Oct 6, 2023 (2760 d) |
| Timothy Dennis Mcgrath | Osaic Wealth, Inc. other | Financial Solutions, LLC other | Other | Mar 16, 2016 | Feb 5, 2013 |
| Kenneth Stuckert | Osaic Wealth, Inc. other | World Investment Advisors, LLC institutional | Other | Mar 16, 2016 | Oct 4, 2023 (2758 d) |
| W. Townsend Morris | Osaic Wealth, Inc. other | Nfp Advisor Services, LLC other | Other | Feb 29, 2016 | Feb 25, 2016 |
| Jack Lee Martin | Osaic Wealth, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jan 21, 2016 | Jan 19, 2016 |
| William Gale Stracener | Osaic Wealth, Inc. other | Summit Financial Group Inc other | Other | Nov 20, 2015 | Nov 18, 2015 |
| John Patrick Abriola | Osaic Wealth, Inc. other | United Capital Financial Advisors other | Other | Nov 6, 2015 | Oct 30, 2015 |
| Kenneth Jeffrey Hanna | Osaic Wealth, Inc. other | Select Financial Group, LLC other | Other | Nov 4, 2015 | Aug 17, 2011 |
| Michael Phillip Gurzi | Osaic Wealth, Inc. other | Summit Financial Group Inc other | Other | Oct 30, 2015 | Sep 30, 2015 |
| Kevin Todd Dichillo | Osaic Wealth, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 30, 2015 | Nov 13, 2015 |
| John Douglas Jones | Osaic Wealth, Inc. other | Eagle Strategies LLC other | Other | Sep 28, 2015 | Jan 11, 2016 (105 d) |
| Daniel Paul Cavise | Osaic Wealth, Inc. other | First Allied Advisory Services, Inc. other | Other | Sep 1, 2015 | Aug 28, 2015 |
| Justin Mathew Arnold | Osaic Wealth, Inc. other | Washpark Capital, LLC state registered | Other | Aug 20, 2015 | Jan 1, 2026 (3787 d) |
| Dee S Walker | Osaic Wealth, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 14, 2015 | Aug 13, 2015 |
| Kevin Charles Collignon | Osaic Wealth, Inc. other | Principal Securities, Inc. other | Other | Aug 4, 2015 | Aug 6, 2015 |
| Dennis Edward Marshall | Osaic Wealth, Inc. other | Jasmijn Capital Management, LLC other | Other | Jul 31, 2015 | Oct 17, 2007 |
| William Steele Symons | Osaic Wealth, Inc. other | Eureka Financial Planners, LLC state registered | Other | Jul 28, 2015 | Jul 24, 2015 |
| Gary W Lavallee | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 24, 2015 | Jun 19, 2015 |
| Joseph Allen Armstrong | Osaic Wealth, Inc. other | Msi Financial Services, Inc. other | Other | May 20, 2015 | May 20, 2015 |
| Matthew John Fevola | Osaic Wealth, Inc. other | Stark Financial Advisers, Inc. independent RIA | Other | Mar 6, 2015 | Jun 25, 2015 (111 d) |
| Andrew Robert Torelli | Osaic Wealth, Inc. other | Nfp Advisor Services, LLC other | Other | Feb 24, 2015 | Feb 19, 2015 |
| Raymond Bradley Brown | Osaic Wealth, Inc. other | Pension Builders And Consultants other | Other | Feb 17, 2015 | Feb 4, 2015 |
| Jonathan Lee Deeringer | Osaic Wealth, Inc. other | Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC other | Other | Jan 14, 2015 | Jan 13, 2015 |
| Kristopher Olsen | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Jan 13, 2015 | Oct 28, 2015 (288 d) |
| Glenn Ward Leboeuf | Osaic Wealth, Inc. other | Garden State Investment Advisory Services, LLC other | Other | Jan 9, 2015 | Mar 18, 2015 (68 d) |
| Susan Shepard Moseley | Osaic Wealth, Inc. other | LPL Financial LLC BD affiliated | Other | Jan 7, 2015 | Jun 16, 2026 (4178 d) |
| Michael John Stone | Osaic Wealth, Inc. other | First Allied Advisory Services, Inc. other | Other | Dec 23, 2014 | Jan 2, 2015 |
| Brian Scott Simmons | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Dec 18, 2014 | Dec 18, 2014 |
| Mary Turner Masters | Osaic Wealth, Inc. other | Cuso Financial Services, L.P. other | Other | Sep 26, 2014 | Oct 21, 2014 |
| Daniel Gordon Mussack | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Sep 17, 2014 | Sep 18, 2014 |
| Roger Brown Deal | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Sep 17, 2014 | Sep 15, 2014 |
| Brian Patrick Mcguire | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Sep 17, 2014 | Sep 18, 2014 |
| Desiree Marvel Sii | Osaic Wealth, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Sep 8, 2014 | Nov 14, 2014 (67 d) |
| Heidi Sarah Hirsh | Osaic Wealth, Inc. other | Centaurus Financial, Inc. other | Other | Aug 11, 2014 | Sep 9, 2014 |
| Patricia Adrian | Osaic Wealth, Inc. other | Wells Fargo Advisors wirehouse | Other | Jul 8, 2014 | Jul 7, 2014 |
| Tony W Toombs | Osaic Wealth, Inc. other | Securian Financial Services, Inc. other | Other | Jul 3, 2014 | Apr 24, 2015 (295 d) |
| Charles Vincent Belfiori | Osaic Wealth, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Apr 16, 2014 | Apr 17, 2014 |
| Angelo Talebi | Osaic Wealth, Inc. other | Independent Financial Group, LLC other | Other | Apr 11, 2014 | Apr 21, 2014 |
| Ronald Lee Nalven | Osaic Wealth, Inc. other | Investors Capital Advisory other | Other | Apr 3, 2014 | Mar 28, 2014 |
| Richard Douglas Weinstein | Osaic Wealth, Inc. other | Hornor, Townsend & Kent, LLC other | Other | Mar 7, 2014 | Sep 9, 2014 (186 d) |
| Bret Patrick Boudreaux | Osaic Wealth, Inc. other | Cetera Investment Advisers LLC other | Other | Feb 28, 2014 | May 19, 2015 (445 d) |
| David Man Foon Chan | Osaic Wealth, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Feb 19, 2014 | Feb 27, 2014 |
| Rajer I. Choobak | Osaic Wealth, Inc. other | Clarity Capital Partners other | Other | Feb 10, 2014 | Nov 10, 2010 |
| William Tyler Montell | Osaic Wealth, Inc. other | Meridian Wealth Management, LLC other | Other | Feb 7, 2014 | Feb 11, 2014 |
| John Thomas Taylor | Osaic Wealth, Inc. other | Independent Financial Group, LLC other | Other | Feb 3, 2014 | Jan 27, 2014 |
| Mary C Huntley | Osaic Wealth, Inc. other | Independent Financial Group, LLC other | Other | Feb 3, 2014 | Feb 12, 2014 |