| Frankie Ricardo Brin | Voya Financial Advisors, Inc. other | International Assets Investment Management, LLC other | Other | Aug 1, 2014 | Mar 2, 2015 (213 d) |
| Peter Randall Zierhut | Voya Financial Advisors, Inc. other | Level Four Advisory Services other | Other | Jul 28, 2014 | Jul 29, 2014 |
| Timothy Douglas Nelson | Voya Financial Advisors, Inc. other | MML Investors Services, LLC other | Other | Jul 21, 2014 | Aug 6, 2014 |
| Todd A Bertsch | Voya Financial Advisors, Inc. other | Asset Allocation Strategies, LLC other | Other | Jun 30, 2014 | Aug 19, 2014 (50 d) |
| Justin Pender | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 30, 2014 | Aug 8, 2014 (39 d) |
| Stan Carroll Emery | Voya Financial Advisors, Inc. other | Spc other | Other | Jun 24, 2014 | Jun 23, 2014 |
| Philip Alain Monnier | Voya Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Jun 24, 2014 | Jul 3, 2014 |
| Kyle James Temple | Voya Financial Advisors, Inc. other | Securities America Advisors, Inc. BD affiliated | Other | Jun 24, 2014 | May 15, 2018 (1421 d) |
| Patrick M Kenney | Voya Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 9, 2014 | Aug 5, 2014 (57 d) |
| Mark Farney | Voya Financial Advisors, Inc. other | Freestone Capital Management, LLC other | Other | Jun 5, 2014 | Jun 2, 2014 |
| Robert Eugene Cowgill | Voya Financial Advisors, Inc. other | Edward Jones national BD | Other | May 29, 2014 | Jun 13, 2014 |
| Don Pratt Ferguson | Voya Financial Advisors, Inc. other | Capital Investment Advisory Services, LLC other | Other | May 20, 2014 | May 20, 2014 |
| John William Clark Miller | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | May 20, 2014 | Jan 18, 2018 (1339 d) |
| William Francis Simpson | Voya Financial Advisors, Inc. other | Capital Investment Advisory Services, LLC other | Other | May 20, 2014 | May 20, 2014 |
| Gerald Roger Owens | Voya Financial Advisors, Inc. other | Capital Investment Advisory Services, LLC other | Other | May 20, 2014 | May 20, 2014 |
| James Edgar Bradley | Voya Financial Advisors, Inc. other | Mid Atlantic Financial Management, Inc. other | Other | Apr 18, 2014 | Apr 16, 2014 |
| Thomas Lee Harnish | Voya Financial Advisors, Inc. other | Mid Atlantic Financial Management, Inc. other | Other | Apr 17, 2014 | Apr 16, 2014 |
| Craig Alan Grover | Voya Financial Advisors, Inc. other | Mid Atlantic Financial Management, Inc. other | Other | Apr 17, 2014 | Apr 16, 2014 |
| Craig Arthur Joncas | Voya Financial Advisors, Inc. other | Mid Atlantic Financial Management, Inc. other | Other | Apr 17, 2014 | Apr 16, 2014 |
| Blake Alan Archibold | Voya Financial Advisors, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Apr 17, 2014 | Aug 14, 2014 (119 d) |
| Gilbert Todd Chase | Voya Financial Advisors, Inc. other | Invest Financial Corporation other | Other | Apr 11, 2014 | Apr 14, 2014 |
| Ernest Lino Jordan | Voya Financial Advisors, Inc. other | First Allied Advisory Services, Inc. other | Other | Apr 10, 2014 | Sep 16, 2015 (524 d) |
| Amy Marie Pavlis | Voya Financial Advisors, Inc. other | Bluespring Wealth Management, LLC other | Other | Apr 7, 2014 | Apr 28, 2014 |
| Brian Dale Johnson | Voya Financial Advisors, Inc. other | Midwest Financial no RAUM | Other | Apr 2, 2014 | Apr 1, 2014 |
| Dominick Cody | Voya Financial Advisors, Inc. other | Alliancebernstein L.P. other | Other | Mar 28, 2014 | May 2, 2014 (35 d) |
| Keista Lea Ransom | Voya Financial Advisors, Inc. other | Invest Financial Corporation other | Other | Mar 26, 2014 | Apr 7, 2014 |
| Yanelys Garcia Benham | Voya Financial Advisors, Inc. other | Advice And Planning Services other | Other | Mar 24, 2014 | Apr 24, 2014 (31 d) |
| Eli David Paul Cohen | Voya Financial Advisors, Inc. other | Pnc Wealth Management other | Other | Mar 24, 2014 | Mar 31, 2014 |
| Todd Duane Porterfield | Voya Financial Advisors, Inc. other | Fairchild Capital LLC unclassified | Other | Mar 19, 2014 | May 8, 2014 (50 d) |
| Jon D Stacy | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Mar 17, 2014 | Mar 13, 2014 |
| Ivan G Usztics | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Mar 7, 2014 | Mar 11, 2014 |
| Daniel D Murphy | Voya Financial Advisors, Inc. other | Lincoln Investment other | Other | Mar 6, 2014 | Aug 18, 2015 (530 d) |
| Robert Alan Brooks | Voya Financial Advisors, Inc. other | The Financial Group no RAUM | Other | Feb 25, 2014 | Feb 18, 2014 |
| Kevin Gibson | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 19, 2014 | Apr 4, 2014 (44 d) |
| Stephen John Grothjan | Voya Financial Advisors, Inc. other | Money Concepts Advisory Service other | Other | Feb 18, 2014 | Feb 14, 2014 |
| James Livingston Thompson | Voya Financial Advisors, Inc. other | Northern Trust Investments, Incorporated other | Other | Feb 4, 2014 | Aug 19, 2015 (561 d) |
| Robert Vincent Protesto | Voya Financial Advisors, Inc. other | Pnc Wealth Management other | Other | Feb 4, 2014 | Jan 30, 2014 |
| Troy Canner Sorel | Voya Financial Advisors, Inc. other | Emerald Asset Advisors LLC other | Other | Jan 28, 2014 | Feb 5, 2014 |
| Lisa Marie Troutman | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Jan 27, 2014 | Nov 2, 2015 (644 d) |
| Paul Dellino | Voya Financial Advisors, Inc. other | Edward Jones national BD | Other | Jan 15, 2014 | Feb 10, 2014 |
| Craig Wayne Moncey | Voya Financial Advisors, Inc. other | Ipi Wealth Management, Inc. other | Other | Jan 14, 2014 | Jan 9, 2014 |
| Ryan Thomas Cleaveland | Voya Financial Advisors, Inc. other | Swbc Investment Company other | Other | Jan 2, 2014 | Jan 2, 2014 |
| James Paul Smith | Voya Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 31, 2013 | Jan 6, 2014 |
| Joseph Reid Gilleland | Voya Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Jeffrey Ottwin Anderson | Voya Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 31, 2013 | Jan 6, 2014 |
| Mark Robert Scherer | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2013 | Jan 2, 2014 |
| Jeffrey William Kolasinski | Voya Financial Advisors, Inc. other | Tlg Advisors, Inc. other | Other | Dec 31, 2013 | Jul 1, 2015 (547 d) |
| Amber Donn Eduvigen | Voya Financial Advisors, Inc. other | Investors Capital Advisory other | Other | Dec 31, 2013 | Jan 21, 2014 |
| James Russell Scott | Voya Financial Advisors, Inc. other | Bright Owl Investment Advisors no RAUM | Other | Dec 31, 2013 | Jan 8, 2014 |
| Dean E Fox | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Dec 31, 2013 | Feb 28, 2014 (59 d) |
| Jonathan Sherman | Voya Financial Advisors, Inc. other | J.P. Morgan Securities LLC wirehouse | Other | Dec 19, 2013 | Mar 4, 2014 (75 d) |
| Roger Jyhjung Chang | Voya Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Dec 18, 2013 | Dec 18, 2013 |
| Winnie Yuen Yee Leong | Voya Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Dec 18, 2013 | Dec 18, 2013 |
| Peggine Troy Tellez | Voya Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Dec 18, 2013 | Dec 18, 2013 |
| Jeremy Wingo Withers | Voya Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Dec 16, 2013 | Jan 9, 2014 |
| Thomas Edward Clark | Voya Financial Advisors, Inc. other | UBS Financial Services Inc. wirehouse | Other | Dec 13, 2013 | Sep 16, 2014 (277 d) |
| Carol Ann Whelan | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Dec 12, 2013 | Dec 9, 2013 |
| James Michael Mcdonnell | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Dec 12, 2013 | Dec 16, 2013 |
| Brian Edward Aukes | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Dec 2, 2013 | Dec 2, 2013 |
| Robin Michael Slaughter | Voya Financial Advisors, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Nov 15, 2013 | Nov 25, 2013 |