| David Michael Vaughan | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 4, 2009 | May 1, 2009 |
| Frank Anthony Virgallito | Osaic Wealth, Inc. other | The Elite Financial Network, Inc. unclassified | Other | May 4, 2009 | Jul 31, 2008 |
| Jacqueline Hanson Aime | Osaic Wealth, Inc. other | United Brokerage Services Inc other | Other | Apr 30, 2009 | Nov 25, 2009 (209 d) |
| Daniel Jordan Klein | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Apr 17, 2009 | Apr 9, 2009 |
| Albert Pingree Herzog | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Apr 14, 2009 | Apr 7, 2009 |
| Carl Dwayne Goodin | Osaic Wealth, Inc. other | Financial Planning Associates, Inc. state registered | Other | Apr 9, 2009 | Mar 24, 2017 (2906 d) |
| William Edward Spriggs | Osaic Wealth, Inc. other | Sterling Financial Services, Inc. unclassified | Other | Apr 8, 2009 | Jul 8, 1997 |
| Michael Eugene Horn | Osaic Wealth, Inc. other | Ipi Wealth Management, Inc. other | Other | Apr 3, 2009 | Apr 1, 2009 |
| Donald Jay Settina | Osaic Wealth, Inc. other | Don Settina, Inc. unclassified | Other | Mar 31, 2009 | Jan 14, 2003 |
| David Lee Lamie | Osaic Wealth, Inc. other | Sovereign Financial Services, LLC unclassified | Other | Mar 27, 2009 | May 23, 2008 |
| Robert Galindo | Osaic Wealth, Inc. other | Whjr Associates other | Other | Mar 23, 2009 | Jul 29, 2005 |
| Eric Todd Stuckey | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Mar 6, 2009 | Feb 18, 2009 |
| Thomas Wayne Gay | Osaic Wealth, Inc. other | Dasher & Padgett Finanical Advisors, Inc. unclassified | Other | Mar 5, 2009 | May 5, 2008 |
| Lisa Scott Lagorio | Osaic Wealth, Inc. other | Sterling Financial Services, Inc. unclassified | Other | Mar 4, 2009 | Jul 20, 2001 |
| Natalie A Leininger | Osaic Wealth, Inc. other | Sterling Financial Services, Inc. unclassified | Other | Mar 4, 2009 | Jul 20, 2001 |
| Heidi Barber | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 4, 2009 | Feb 19, 2009 |
| Ron Alan Silva | Osaic Wealth, Inc. other | Sterling Financial Services, Inc. unclassified | Other | Mar 4, 2009 | Sep 30, 2004 |
| Patrick Robert Macgrath | Osaic Wealth, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 4, 2009 | Feb 17, 2009 |
| Christopher Thomas Dupee | Osaic Wealth, Inc. other | Affiliated Advisors, Inc. unclassified | Other | Feb 24, 2009 | Mar 21, 2006 |
| Keith Motusesky | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Feb 12, 2009 | Feb 12, 2009 |
| Joseph William Conway | Osaic Wealth, Inc. other | Commonwealth Financial Network national BD | Other | Feb 11, 2009 | Feb 9, 2009 |
| Thomas Joseph Conway | Osaic Wealth, Inc. other | Commonwealth Financial Network national BD | Other | Feb 11, 2009 | Dec 5, 2022 (5045 d) |
| Thomas William Hoban | Osaic Wealth, Inc. other | Commonwealth Financial Network national BD | Other | Feb 11, 2009 | Feb 9, 2009 |
| Darin Andrew Stevens | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Feb 11, 2009 | Feb 18, 2009 |
| Anthony J Bertocchini | Osaic Wealth, Inc. other | Commonwealth Financial Network national BD | Other | Feb 11, 2009 | Feb 9, 2009 |
| Larry Marshall Mccarty | Osaic Wealth, Inc. other | Commonwealth Financial Network national BD | Other | Feb 10, 2009 | Feb 10, 2009 |
| Bryan Bartlett Rex | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Feb 9, 2009 | Feb 2, 2009 |
| Danny Lee Wilburn | Osaic Wealth, Inc. other | R.B. Smith Co. Inc. unclassified | Other | Feb 3, 2009 | Feb 25, 1999 |
| Patrick Brian Murray | Osaic Wealth, Inc. other | Key Group Management, Inc. independent RIA | Other | Jan 29, 2009 | May 7, 2008 |
| Colin Heafy | Osaic Wealth, Inc. other | Key Group Management, Inc. independent RIA | Other | Jan 29, 2009 | May 14, 2008 |
| Timothy Mark Conboy | Osaic Wealth, Inc. other | Key Group Management, Inc. independent RIA | Other | Jan 29, 2009 | Jan 21, 2009 |
| Noah Robert Sanders | Osaic Wealth, Inc. other | Key Group Management, Inc. independent RIA | Other | Jan 29, 2009 | Jan 15, 2009 |
| Gary Coley Meyerer | Osaic Wealth, Inc. other | Key Group Management, Inc. independent RIA | Other | Jan 29, 2009 | Jan 21, 2009 |
| Michael Robin Scott | Osaic Wealth, Inc. other | Invest Financial Corporation other | Other | Jan 26, 2009 | Feb 2, 2009 |
| Michael S Akins | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Dec 31, 2008 | Jan 13, 2009 |
| R Anthony Cioffari | Osaic Wealth, Inc. other | Key Group Management, Inc. independent RIA | Other | Dec 18, 2008 | Jan 15, 2009 |
| Stephen Zelcer | Osaic Wealth, Inc. other | Park Avenue Securities LLC other | Other | Dec 11, 2008 | Jun 5, 2009 (176 d) |
| Charles Arthur Kerwood | Osaic Wealth, Inc. other | LPL Financial LLC other | Other | Nov 26, 2008 | Jan 19, 2012 (1149 d) |
| Larry Ronald Blair | Osaic Wealth, Inc. other | Personal Benefit Financial unclassified | Other | Nov 26, 2008 | Jan 1, 1999 |
| John Robert Kirwan | Osaic Wealth, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 13, 2008 | Nov 13, 2008 |
| Julian Trent Busby | Osaic Wealth, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 13, 2008 | Nov 13, 2008 |
| Walker Franklin Davidson | Osaic Wealth, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Nov 13, 2008 | Nov 13, 2008 |
| Kirk Ronald Chisholm | Osaic Wealth, Inc. other | Innovative Advisory Group independent RIA | Other | Nov 12, 2008 | Nov 12, 2008 |
| Ted William Drost | Osaic Wealth, Inc. other | Fragasso Financial Advisors other | Other | Nov 3, 2008 | Sep 22, 2015 (2514 d) |
| James Robert Haas | Osaic Wealth, Inc. other | Vsr Advisory Services other | Other | Oct 28, 2008 | Oct 29, 2008 |
| John Joseph Kostic | Osaic Wealth, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Oct 24, 2008 | Oct 24, 2008 |
| Ronald Henry Franzen | Osaic Wealth, Inc. other | Equitable Advisors, LLC national BD | Other | Oct 13, 2008 | Sep 30, 2008 |
| Stephen Paul August | Osaic Wealth, Inc. other | Cornerstone Financial Services, Inc. other | Other | Oct 8, 2008 | May 19, 2009 (223 d) |
| Ronald Alan Dukes | Osaic Wealth, Inc. other | Vsr Advisory Services other | Other | Oct 3, 2008 | Oct 14, 2008 |
| Gregory Alan Lowe | Osaic Wealth, Inc. other | Lowe Fs unclassified | Other | Oct 1, 2008 | Dec 4, 2002 |
| Harold Alan Lowe | Osaic Wealth, Inc. other | Lowe Fs unclassified | Other | Oct 1, 2008 | Dec 4, 2002 |
| Jeffrey Buczek | Osaic Wealth, Inc. other | Spc other | Other | Sep 19, 2008 | Jan 15, 2009 (118 d) |
| John Edward Connolly | Osaic Wealth, Inc. other | United Securities Alliance, Inc. unclassified | Other | Sep 15, 2008 | Apr 27, 2007 |
| John Scott Costa | Osaic Wealth, Inc. other | Npa Asset Management, LLC other | Other | Sep 11, 2008 | Sep 9, 2008 |
| Brian S. Boffa | Osaic Wealth, Inc. other | Sagepoint Financial, Inc. other | Other | Jul 24, 2008 | Aug 13, 2008 |
| Christopher Frank Rich | Osaic Wealth, Inc. other | Securities America Advisors, Inc. other | Other | Jul 9, 2008 | Jul 3, 2008 |
| Gregory Charles O'Donnell | Osaic Wealth, Inc. other | Liberty Wealth Management, LLC other | Other | May 21, 2008 | May 23, 2008 |
| Craig Brimhall Nelson | Osaic Wealth, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 28, 2008 | Apr 24, 2008 |
| Lawrence Paul Finch | Osaic Wealth, Inc. other | Adrian & Associates Inc unclassified | Other | Apr 25, 2008 | Mar 31, 2008 |
| Christopher Stephen Scott | Osaic Wealth, Inc. other | Cscott Financial, Inc. unclassified | Other | Apr 24, 2008 | Jan 1, 1999 |