| Todd Allen Rustman | Osaic Wealth, Inc. other | Clarity Capital Partners other | Other | Nov 13, 2013 | Sep 3, 2010 |
| Samuel Ramos | Osaic Wealth, Inc. other | Equitable Advisors, LLC national BD | Other | Nov 11, 2013 | Nov 20, 2013 |
| Peter Dominic Recchia | Osaic Wealth, Inc. other | 4wealth Advisors, Inc. independent RIA | Other | Sep 16, 2013 | Apr 30, 2004 |
| Rita Diana Bunch | Osaic Wealth, Inc. other | 4wealth Advisors, Inc. independent RIA | Other | Sep 13, 2013 | Apr 30, 2004 |
| Hally Maria Dunn | Osaic Wealth, Inc. other | 4wealth Advisors, Inc. independent RIA | Other | Sep 13, 2013 | Feb 25, 2005 |
| Christopher G Siracusa | Osaic Wealth, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Sep 12, 2013 | Sep 6, 2013 |
| Gregory Ralph Metcalf | Osaic Wealth, Inc. other | First Allied Advisory Services, Inc. other | Other | Sep 6, 2013 | Sep 4, 2013 |
| Richard Frederick Trasport | Osaic Wealth, Inc. other | Voya Financial Advisors, Inc. other | Other | Aug 28, 2013 | Sep 5, 2013 |
| Erika James | Osaic Wealth, Inc. other | Foundations Investment Advisors LLC other | Other | Aug 13, 2013 | Mar 23, 2017 (1318 d) |
| Scott Nicholas Beesley | Osaic Wealth, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Jul 18, 2013 | Apr 16, 2015 (637 d) |
| Nabil Bouab | Osaic Wealth, Inc. other | Lantern Wealth Advisors, LLC other | Other | Jul 5, 2013 | Jul 2, 2013 |
| Steven Todd Nearpass | Osaic Wealth, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Jun 28, 2013 | Nov 3, 2014 (493 d) |
| Carl Hicks White | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Jun 20, 2013 | Jun 6, 2013 |
| Michelle Marie Tomei | Osaic Wealth, Inc. other | Legend Advisory, LLC other | Other | Jun 18, 2013 | Jun 11, 2013 |
| Steven Edward Hacker | Osaic Wealth, Inc. other | World Advisory Services other | Other | May 13, 2013 | May 10, 2013 |
| Steven Ballantyne | Osaic Wealth, Inc. other | Strategic Advisers LLC national BD | Other | Apr 22, 2013 | May 13, 2013 |
| Joseph Daniel Neary | Osaic Wealth, Inc. other | Park Avenue Securities LLC other | Other | Apr 15, 2013 | May 9, 2013 |
| William Eugene Hauenstein | Osaic Wealth, Inc. other | Crown Capital Securities, L.P. other | Other | Mar 7, 2013 | Mar 4, 2013 |
| Nancy Ann Pyzel | Osaic Wealth, Inc. other | Whjr Associates other | Other | Feb 5, 2013 | Jan 11, 2011 |
| Ernest J Reyes | Osaic Wealth, Inc. other | Fsc Securities Corporation other | Other | Feb 5, 2013 | May 13, 2013 (97 d) |
| Judy Wei Chang | Osaic Wealth, Inc. other | Pacrim Advisory Services state registered | Other | Feb 5, 2013 | Jan 3, 2017 (1428 d) |
| Thomas Philip Greuner | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Jan 18, 2013 | Jan 15, 2013 |
| Matthew Paul Allgeyer | Osaic Wealth, Inc. other | Vsr Advisory Services other | Other | Jan 18, 2013 | Jan 18, 2013 |
| Mary Winch | Osaic Wealth, Inc. other | Stratos Wealth Partners, Ltd other | Other | Dec 21, 2012 | Dec 21, 2012 |
| Robert Craig Jilek | Osaic Wealth, Inc. other | J. W. Cole Advisors, Inc. other | Other | Nov 9, 2012 | Nov 8, 2012 |
| Sweyden Ernest Dibble | Osaic Wealth, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Oct 19, 2012 | Oct 26, 2012 |
| Paul E Bestehorn | Osaic Wealth, Inc. other | L.M. Kohn & Company other | Other | Sep 24, 2012 | Jan 25, 2013 (123 d) |
| Brian C. Shevland | Osaic Wealth, Inc. other | Bluestone Capital Management, LLC other | Other | Sep 20, 2012 | Feb 14, 2013 (147 d) |
| Hughroy Daley | Osaic Wealth, Inc. other | Capital One Financial Advisors LLC unclassified | Other | Sep 5, 2012 | Sep 19, 2012 |
| Jennifer Renee Lee | Osaic Wealth, Inc. other | H. Beck, Inc. other | Other | Aug 20, 2012 | Aug 17, 2012 |
| Peter Michael Burton | Osaic Wealth, Inc. other | Burton Enright Welch other | Other | Aug 16, 2012 | May 8, 2002 |
| Robert Daniel Enright | Osaic Wealth, Inc. other | Burton Enright Welch other | Other | Aug 16, 2012 | Jul 7, 2011 |
| Matthew Jay Dernis | Osaic Wealth, Inc. other | Dernis Financial unclassified | Other | Aug 2, 2012 | Jul 7, 2005 |
| Jerry Snyder | Osaic Wealth, Inc. other | Retirement Strategies, Ltd. no RAUM | Other | Jul 6, 2012 | Jul 3, 2012 |
| Francis Thomas Boyle | Osaic Wealth, Inc. other | Investors Capital Advisory other | Other | Jul 6, 2012 | Jul 2, 2012 |
| James A Lindner | Osaic Wealth, Inc. other | Retirement Strategies, Ltd. no RAUM | Other | Jul 6, 2012 | Jul 2, 2012 |
| Michael Christopher Owens | Osaic Wealth, Inc. other | Carolina Financial Services Group, Inc. state registered | Other | May 31, 2012 | Jun 29, 2012 |
| Christian M Oconnor | Osaic Wealth, Inc. other | Nfp Advisor Services, LLC other | Other | May 25, 2012 | Jun 27, 2012 (33 d) |
| James Joseph Carden | Osaic Wealth, Inc. other | Pruco Securities, LLC other | Other | May 11, 2012 | May 8, 2012 |
| Nycole Loraine Sones | Osaic Wealth, Inc. other | Citigroup Global Markets Inc. BD affiliated | Other | Apr 13, 2012 | Apr 30, 2019 (2573 d) |
| Arthur Thomas Bertolina | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2012 | Mar 30, 2012 |
| Joseph Fernandes | Osaic Wealth, Inc. other | American Portfolios Advisors, Inc other | Other | Mar 30, 2012 | Apr 23, 2012 |
| Anthony Pallotta | Osaic Wealth, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Mar 7, 2012 | Jun 29, 2023 (4131 d) |
| James Steven Smola | Osaic Wealth, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Mar 7, 2012 | Jun 29, 2023 (4131 d) |
| Stephen James Dzurec | Osaic Wealth, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 7, 2012 | Mar 5, 2012 |
| Kenneth John Hargreaves | Osaic Wealth, Inc. other | Capital Client Group, Inc. no RAUM | Other | Mar 2, 2012 | Jun 24, 2013 (479 d) |
| William James Riddick | Osaic Wealth, Inc. other | Fortitude Advisory Group L.L.C. other | Other | Feb 10, 2012 | Apr 5, 2012 (55 d) |
| Michael P Loftus | Osaic Wealth, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 9, 2012 | Feb 7, 2012 |
| David C Paulson | Osaic Wealth, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 30, 2012 | Jan 27, 2012 |
| Christopher John Cone | Osaic Wealth, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 30, 2012 | Feb 29, 2012 |
| Jason Thomas Connolly | Osaic Wealth, Inc. other | Prime Capital Financial mixed wealth | Other | Dec 22, 2011 | Mar 5, 2025 (4822 d) |
| Todd Robert Fincannon | Osaic Wealth, Inc. other | Perpetual Wealth Capital Management, LLC unclassified | Other | Dec 19, 2011 | Feb 7, 2012 (50 d) |
| Peter Lang Stevens | Osaic Wealth, Inc. other | Dernis Financial unclassified | Other | Dec 15, 2011 | Apr 5, 2010 |
| Kelly L. Vostal | Osaic Wealth, Inc. other | World Investment Advisors, LLC other | Other | Dec 13, 2011 | Oct 30, 2025 (5070 d) |
| Jeffrey Lawrence Hedberg | Osaic Wealth, Inc. other | Morgan Stanley wirehouse | Other | Nov 30, 2011 | Nov 28, 2011 |
| Sharla Dae Rountree | Osaic Wealth, Inc. other | Kestra Advisory Services, LLC BD affiliated | Other | Oct 28, 2011 | Aug 27, 2018 (2495 d) |
| Kathleen Ann Smith | Osaic Wealth, Inc. other | Morgan Stanley wirehouse | Other | Oct 14, 2011 | Jan 24, 2012 (102 d) |
| James Michael Mcdonnell | Osaic Wealth, Inc. other | Voya Financial Advisors, Inc. other | Other | Sep 28, 2011 | Oct 4, 2011 |
| Raul Valencia | Osaic Wealth, Inc. other | Frost Investment Services other | Other | Sep 19, 2011 | Oct 6, 2017 (2209 d) |
| Robert Fay Cruise | Osaic Wealth, Inc. other | H. Beck, Inc. other | Other | Aug 24, 2011 | Aug 29, 2011 |