| Michael Joseph Kowal | Osaic Wealth, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 3, 2011 | Aug 1, 2011 |
| Tommy Lik- Kwan Lam | Osaic Wealth, Inc. other | Capital One Financial Advisors LLC unclassified | Other | Jul 20, 2011 | Oct 6, 2011 (78 d) |
| Arthur Garofalo | Osaic Wealth, Inc. other | Osaic Institutions, Inc. other | Other | Jun 27, 2011 | Jun 23, 2011 |
| Stephanie Marie Motzkus-Bakan | Osaic Wealth, Inc. other | Td Ameritrade Investment Management, LLC other | Other | May 6, 2011 | Jun 3, 2011 |
| Bruce James Thomas | Osaic Wealth, Inc. other | Bruce James Thomas Jr state registered | Other | Apr 1, 2011 | May 14, 2020 (3331 d) |
| James Rex Ivie | Osaic Wealth, Inc. other | Financial Guard, LLC no RAUM | Other | Jan 18, 2011 | Mar 10, 2011 (51 d) |
| Vincent Paul Dipietro | Osaic Wealth, Inc. other | Private Wealth & Retirement Services unclassified | Other | Dec 31, 2010 | Feb 17, 2011 (48 d) |
| Stephanie Anne Nilsen | Osaic Wealth, Inc. other | Rehmann Wealth other | Other | Dec 31, 2010 | Aug 27, 2010 |
| Christopher Kurt Lutzel | Osaic Wealth, Inc. other | Creativeone Securities, LLC other | Other | Dec 14, 2010 | Nov 5, 2012 (692 d) |
| Maja Stojanovic | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 6, 2010 | Mar 8, 2012 (458 d) |
| James William Schultz | Osaic Wealth, Inc. other | American Portfolios Advisors, Inc other | Other | Nov 16, 2010 | Jan 11, 2011 (56 d) |
| Earl Barney Hartley | Osaic Wealth, Inc. other | Pacific West Financial Consultants Inc other | Other | Nov 12, 2010 | Nov 5, 2010 |
| Steve Grossbard | Osaic Wealth, Inc. other | Ic Advisory Services, Inc. other | Other | Oct 28, 2010 | Oct 25, 2010 |
| David Jay Grossbard | Osaic Wealth, Inc. other | Ic Advisory Services, Inc. other | Other | Oct 28, 2010 | Oct 25, 2010 |
| Bryan Paul Hopkins | Osaic Wealth, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Sep 10, 2010 | Apr 21, 2022 (4241 d) |
| Jill Taylor Gordon | Osaic Wealth, Inc. other | Taylor Financial Consulting state registered | Other | Sep 9, 2010 | Jul 6, 2017 (2492 d) |
| Eugene Hubert Huang | Osaic Wealth, Inc. other | Voya Financial Advisors, Inc. other | Other | Sep 8, 2010 | Mar 9, 2016 (2009 d) |
| Leah Odonell Ryan | Osaic Wealth, Inc. other | Capital Client Group, Inc. no RAUM | Other | Jun 24, 2010 | Oct 21, 2021 (4137 d) |
| David W Briley | Osaic Wealth, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 17, 2010 | Jun 18, 2010 |
| Sean Francis Oflaherty | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Jun 8, 2010 | Aug 16, 2010 (69 d) |
| James C Deminno | Osaic Wealth, Inc. other | Cetera Investment Advisers LLC other | Other | May 27, 2010 | Mar 27, 2018 (2861 d) |
| Benjamin Thomas Newhouse | Osaic Wealth, Inc. other | First Allied Securities, Inc. other | Other | May 26, 2010 | May 26, 2010 |
| Richard Alan Benson | Osaic Wealth, Inc. other | First Allied Securities, Inc. other | Other | May 26, 2010 | May 26, 2010 |
| Jennifer Hope Newhouse | Osaic Wealth, Inc. other | Integrated Advisors Network LLC other | Other | May 26, 2010 | Jan 6, 2016 (2051 d) |
| Richard Joseph Augustine | Osaic Wealth, Inc. other | Cl Wealth Management LLC other | Other | May 6, 2010 | Aug 12, 2011 (463 d) |
| Steven Ira Kolinsky | Osaic Wealth, Inc. other | Kolinsky Wealth Management, LLC other | Other | Apr 29, 2010 | Jun 29, 2010 (61 d) |
| David Louis Ciano | Osaic Wealth, Inc. other | Kolinsky Wealth Management, LLC other | Other | Apr 29, 2010 | May 7, 2010 |
| Daniel Michael Rodgers | Osaic Wealth, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 10, 2010 | Mar 5, 2010 |
| Warren Samuel Wernick | Osaic Wealth, Inc. other | Wells Fargo Advisors wirehouse | Other | Mar 4, 2010 | Feb 26, 2010 |
| Jack Anthony Forlenza | Osaic Wealth, Inc. other | Sterne Agee Asset Management, Inc. other | Other | Feb 23, 2010 | Nov 9, 2010 (259 d) |
| Thomas Albert Mccormick | Osaic Wealth, Inc. other | J. W. Cole Advisors, Inc. other | Other | Feb 4, 2010 | Feb 1, 2010 |
| Gerald Philip Sheridan | Osaic Wealth, Inc. other | Financial Telesis, Inc. other | Other | Feb 2, 2010 | Feb 26, 2010 |
| Tray A Wiltse | Osaic Wealth, Inc. other | Integrated Wealth Advisory Services, Inc. other | Other | Jan 15, 2010 | Nov 22, 2005 |
| Louis James Cammisa | Osaic Wealth, Inc. other | Commonwealth Financial Network national BD | Other | Jan 12, 2010 | Jan 8, 2010 |
| Krist Hammargren | Osaic Wealth, Inc. other | Fnb Brokerage Services, Inc. unclassified | Other | Jan 8, 2010 | Jan 19, 2010 |
| Brian James Murphy | Osaic Wealth, Inc. other | Fisher Investments other | Other | Jan 7, 2010 | Dec 10, 2013 (1433 d) |
| Michael Martin Wasylyshyn | Osaic Wealth, Inc. other | Nca Financial Planners other | Other | Nov 5, 2009 | Dec 7, 1999 |
| James Ray Julian | Osaic Wealth, Inc. other | Concourse Financial Group Advisors other | Other | Nov 3, 2009 | Feb 24, 2010 (113 d) |
| Samuel A Julian | Osaic Wealth, Inc. other | Concourse Financial Group Advisors other | Other | Nov 3, 2009 | Nov 10, 2009 |
| Gilbert Ray Zepeda | Osaic Wealth, Inc. other | Wfg Advisors, LP other | Other | Oct 28, 2009 | Oct 27, 2009 |
| Nigel Brian Taylor | Osaic Wealth, Inc. other | Taylor & Associates state registered | Other | Oct 19, 2009 | Oct 26, 2011 (737 d) |
| Derek Ryan Williams | Osaic Wealth, Inc. other | Williams Wealth Management Group, Inc. independent RIA | Other | Oct 2, 2009 | Jun 18, 2008 |
| Michael James Ottman | Osaic Wealth, Inc. other | Ottman Financial Group, Inc. unclassified | Other | Sep 15, 2009 | Aug 4, 2009 |
| Jennifer A. Zaat-Wright | Osaic Wealth, Inc. other | Chase Investment Services Corp. other | Other | Sep 10, 2009 | Oct 6, 2009 |
| Jessica Rada Ness | Osaic Wealth, Inc. other | Glassman Wealth Services, LLC other | Other | Sep 4, 2009 | Sep 17, 2009 |
| Dennis Michael Spratt | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Sep 1, 2009 | Sep 1, 2009 |
| Gary Alvin Nagel | Osaic Wealth, Inc. other | Geneos Wealth Management, Inc. other | Other | Sep 1, 2009 | Sep 1, 2009 |
| Randolph P Doerr | Osaic Wealth, Inc. other | Primerica Advisors national BD | Other | Aug 31, 2009 | Aug 22, 2011 (721 d) |
| Steven Patrick Ford | Osaic Wealth, Inc. other | Financial Advisers Of America, LLC other | Other | Aug 14, 2009 | Aug 12, 2009 |
| Robert J Keyes | Osaic Wealth, Inc. other | Tricor Advisory Services, LLC other | Other | Jun 15, 2009 | Jun 16, 2009 |
| Jeffrey Bruce Smith | Osaic Wealth, Inc. other | Affinity Investment Services, LLC unclassified | Other | Jun 11, 2009 | Jun 10, 2009 |
| James Edward Blazer | Osaic Wealth, Inc. other | Associated Securities Corp. unclassified | Other | May 14, 2009 | Apr 27, 2009 |
| Daniel Louis Cairo | Osaic Wealth, Inc. other | The Elite Financial Network, Inc. unclassified | Other | May 4, 2009 | Jul 31, 2008 |
| Craig Anthony Wong | Osaic Wealth, Inc. other | The Elite Financial Network, Inc. unclassified | Other | May 4, 2009 | Jul 31, 2008 |
| Daryl Andrew Cole | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | Apr 30, 2009 |
| Vayle Floria | Osaic Wealth, Inc. other | The Elite Financial Network, Inc. unclassified | Other | May 4, 2009 | Jul 31, 2008 |
| Noah Sheehan Boatright | Osaic Wealth, Inc. other | The Elite Financial Network, Inc. unclassified | Other | May 4, 2009 | Jul 31, 2008 |
| Brian Russell Bedord | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |
| Jeromy Andrew Park | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |
| Donna D Lea | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |