| Patrick Kristofor Hansen | Voya Financial Advisors, Inc. other | Certior Financial Group, LLC no RAUM | Other | Oct 31, 2016 | Nov 1, 2016 |
| Nicholas Joseph Colantuono | Voya Financial Advisors, Inc. other | Integrated Wealth Concepts LLC no RAUM | Other | Oct 24, 2016 | Oct 21, 2016 |
| Stephen Nicholas Colantuono | Voya Financial Advisors, Inc. other | Integrated Wealth Concepts LLC no RAUM | Other | Oct 24, 2016 | Oct 25, 2016 |
| John J Kalendek | Voya Financial Advisors, Inc. other | Corecap Advisors other | Other | Oct 18, 2016 | Oct 14, 2016 |
| David Miles Szabla | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 13, 2016 | Oct 31, 2016 |
| Mark Ryszard Ciecko | Voya Financial Advisors, Inc. other | Voya Retirement Advisors, LLC other | Other | Oct 10, 2016 | Jul 11, 2023 (2465 d) |
| Luke Tyler Austin | Voya Financial Advisors, Inc. other | Signator Investors, Inc. other | Other | Oct 10, 2016 | Oct 7, 2016 |
| Henry Barrett Jones | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Oct 4, 2016 | Dec 2, 2016 (59 d) |
| Julia Denise Jackson | Voya Financial Advisors, Inc. other | Voya Retirement Advisors, LLC other | Other | Sep 29, 2016 | Jul 14, 2023 (2479 d) |
| Theresa Ann Sherman | Voya Financial Advisors, Inc. other | Securian Financial Services, Inc. other | Other | Sep 21, 2016 | Oct 24, 2016 (33 d) |
| Joseph Francis Batkiewicz | Voya Financial Advisors, Inc. other | Efs Advisors other | Other | Sep 7, 2016 | Sep 8, 2016 |
| Jonathan Moser Spatz | Voya Financial Advisors, Inc. other | Epic Financial Advisors LLC unclassified | Other | Sep 2, 2016 | Sep 7, 2016 |
| Jennifer Adamson | Voya Financial Advisors, Inc. other | Principal Securities, Inc. other | Other | Sep 2, 2016 | Sep 29, 2016 |
| Daniel Enrique Tapia | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Aug 26, 2016 | Aug 25, 2016 |
| Mickey Shawn Bryan | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Aug 26, 2016 | Aug 25, 2016 |
| Daniel Joseph O'Keefe | Voya Financial Advisors, Inc. other | Wealthone, LLC independent RIA | Other | Aug 22, 2016 | Apr 6, 2018 (592 d) |
| Edward Arthur Mckelvey | Voya Financial Advisors, Inc. other | 215 Advisors, LLC unclassified | Other | Aug 11, 2016 | Aug 8, 2016 |
| Xiuhong Du | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Aug 11, 2016 | Feb 7, 2017 (180 d) |
| Rachel Lee Sloan | Voya Financial Advisors, Inc. other | Sloan Advisory Group, Inc. no RAUM | Other | Aug 5, 2016 | Jan 3, 2017 (151 d) |
| Adam James Olson | Voya Financial Advisors, Inc. other | Packerland Brokerage Services, Inc. other | Other | Aug 4, 2016 | Aug 2, 2016 |
| Natalie A Connelly | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 26, 2016 | Aug 18, 2016 |
| Kristin Kay Schroeder | Voya Financial Advisors, Inc. other | Fruitful Stewardship LLC unclassified | Other | Jul 14, 2016 | Apr 30, 2018 (655 d) |
| Edward Shaffer | Voya Financial Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Jul 1, 2016 | Jul 6, 2016 |
| Angela Shaw | Voya Financial Advisors, Inc. other | Pnc Wealth Management other | Other | Jun 22, 2016 | Aug 17, 2016 (56 d) |
| Ryan Blair Hill | Voya Financial Advisors, Inc. other | Huntington Financial Advisors other | Other | Jun 16, 2016 | Jun 16, 2016 |
| Karen Marie Norrman | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 6, 2016 | Jun 20, 2016 |
| Ruben M Hernandez | Voya Financial Advisors, Inc. other | Quintes Financial Services, LLC institutional | Other | May 23, 2016 | Oct 5, 2017 (500 d) |
| Michael Edward Shelton | Voya Financial Advisors, Inc. other | 360 Financial Solutions, LLC unclassified | Other | May 19, 2016 | May 19, 2016 |
| Patrick Mccusker | Voya Financial Advisors, Inc. other | Td Ameritrade, Inc. no RAUM | Other | May 17, 2016 | Jun 13, 2016 |
| Daniel Scott Miller | Voya Financial Advisors, Inc. other | USA Financial Securities LLC other | Other | May 13, 2016 | May 13, 2016 |
| Kaleb Robuck | Voya Financial Advisors, Inc. other | USA Financial Securities LLC other | Other | May 13, 2016 | May 13, 2016 |
| Jacob G Versteeg | Voya Financial Advisors, Inc. other | Cuna Brokerage Services, Inc. other | Other | May 11, 2016 | May 23, 2016 |
| Karen Laura Caulfield | Voya Financial Advisors, Inc. other | Hilltop Securities Inc. other | Other | May 9, 2016 | Oct 7, 2016 (151 d) |
| Michael John Garofalo | Voya Financial Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | May 9, 2016 | May 3, 2016 |
| Lance Aaron Presley | Voya Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | May 9, 2016 | May 17, 2016 |
| Jimmy Stephen Martin | Voya Financial Advisors, Inc. other | Martin Wealth Solutions independent RIA | Other | May 9, 2016 | May 9, 2016 |
| Jarrett Tod Suddarth | Voya Financial Advisors, Inc. other | Teckmeyer Financial Services, L.L.C. state registered | Other | May 9, 2016 | Mar 28, 2018 (688 d) |
| Darrell Dwayne Williams | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | May 3, 2016 | Apr 29, 2016 |
| Claiborne Brunot Lagrone | Voya Financial Advisors, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Apr 28, 2016 | Apr 21, 2016 |
| Ryan S Raposa | Voya Financial Advisors, Inc. other | Empower Advisory Group, LLC other | Other | Apr 26, 2016 | Jun 3, 2021 (1864 d) |
| Richard Robert Dwyer | Voya Financial Advisors, Inc. other | World Equity Group, Inc. other | Other | Apr 25, 2016 | May 3, 2016 |
| Betty Jean Albitz | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 22, 2016 | Apr 20, 2016 |
| Brian Lee Mikkelson | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 22, 2016 | Apr 20, 2016 |
| Lori Ann Grams | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 22, 2016 | Apr 20, 2016 |
| Michael Alan Litch | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 22, 2016 | Apr 21, 2016 |
| Thomas Jeffrey Berg | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 22, 2016 | Apr 20, 2016 |
| William Joseph Cooper | Voya Financial Advisors, Inc. other | Dtrt Advisors, LLC unclassified | Other | Apr 20, 2016 | May 10, 2016 |
| Elizabeth Lee Whitteberry | Voya Financial Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Apr 18, 2016 | Apr 18, 2016 |
| Stephanie Cadenhead | Voya Financial Advisors, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Apr 18, 2016 | May 23, 2016 (35 d) |
| Sandy Kaye Derby | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Mar 15, 2016 | Mar 16, 2016 |
| James H Mooney | Voya Financial Advisors, Inc. other | Santander Securities other | Other | Feb 3, 2016 | Feb 10, 2016 |
| Lawrence Patrick Decker | Voya Financial Advisors, Inc. other | Ameritas Advisory Services, LLC BD affiliated | Other | Jan 22, 2016 | Nov 1, 2021 (2110 d) |
| Thomas Scott Nevitt | Voya Financial Advisors, Inc. other | Fbl Wealth Management, LLC BD affiliated | Other | Jan 7, 2016 | Oct 23, 2023 (2846 d) |
| James Vincent Mari | Voya Financial Advisors, Inc. other | Invest Financial Corporation other | Other | Jan 4, 2016 | Jan 15, 2016 |
| Clifford Michael Gould | Voya Financial Advisors, Inc. other | Gwn Securities Inc. other | Other | Dec 31, 2015 | Jan 4, 2016 |
| Crawford Brown Edwards | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Dec 28, 2015 | Jan 9, 2017 (378 d) |
| William Kenneth Mitchell | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Dec 26, 2015 | Jan 5, 2015 |
| Charles Michael Moore | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Dec 26, 2015 | Jan 5, 2015 |
| William Brian Dunker | Voya Financial Advisors, Inc. other | Principal Securities, Inc. other | Other | Dec 21, 2015 | Jan 27, 2016 (37 d) |
| Edward James Dougherty | Voya Financial Advisors, Inc. other | Bfc Planning, Inc. other | Other | Dec 21, 2015 | Dec 21, 2015 |