| Robert Valdez | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 7, 2012 | Apr 11, 2012 (35 d) |
| Ryan Perri | Voya Financial Advisors, Inc. other | Delaware Capital Management Advisers, Inc no RAUM | Other | Mar 7, 2012 | Jan 4, 2017 (1764 d) |
| Arthur Ring Best | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Feb 28, 2012 | Feb 24, 2012 |
| Michael Bo Hansen | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 24, 2012 | Feb 21, 2012 |
| Mary Catherine Hanson | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Feb 24, 2012 | Feb 21, 2012 |
| Lance Aaron Presley | Voya Financial Advisors, Inc. other | Cetera Advisors LLC other | Other | Feb 21, 2012 | Feb 29, 2012 |
| Darren Patrick Farrell | Voya Financial Advisors, Inc. other | Kms Financial Services, Inc other | Other | Feb 17, 2012 | Feb 16, 2012 |
| Ryan Smarr | Voya Financial Advisors, Inc. other | Copper Financial other | Other | Feb 16, 2012 | Feb 17, 2017 (1828 d) |
| Charles Jefferson Christian | Voya Financial Advisors, Inc. other | Silver Oak Securities, Inc. other | Other | Feb 8, 2012 | Feb 3, 2012 |
| Mary Elizabeth Cromleigh | Voya Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | Feb 8, 2012 | Apr 24, 2013 (441 d) |
| Christopher Alex Cokinis | Voya Financial Advisors, Inc. other | Fortitude Advisory Group L.L.C. other | Other | Feb 3, 2012 | Mar 22, 2012 (48 d) |
| Kris Richard Geary | Voya Financial Advisors, Inc. other | Kestra Advisory Services, LLC other | Other | Jan 30, 2012 | Apr 18, 2016 (1540 d) |
| Timothy James Caldwell | Voya Financial Advisors, Inc. other | Kestra Advisory Services, LLC other | Other | Jan 30, 2012 | Apr 19, 2016 (1541 d) |
| James Paul Cooney | Voya Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jan 26, 2012 | Mar 27, 2012 (61 d) |
| James Francis Lohnes | Voya Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Jan 12, 2012 | Jun 7, 2012 (147 d) |
| Jeffrey P Clemente | Voya Financial Advisors, Inc. other | Jacobi Capital Management, LLC other | Other | Jan 10, 2012 | Jun 23, 2015 (1260 d) |
| Janel Marie Cross | Voya Financial Advisors, Inc. other | Commonwealth Financial Network national BD | Other | Jan 5, 2012 | Jan 3, 2012 |
| Jeffrey Scott Helgeson | Voya Financial Advisors, Inc. other | Sterne Agee Investment Advisor Services, Inc. other | Other | Dec 31, 2011 | Jan 3, 2012 |
| Meredith Ruth Moore | Voya Financial Advisors, Inc. other | Nfp Advisor Services, LLC other | Other | Dec 31, 2011 | Mar 1, 2012 (61 d) |
| Derek Ray Huff | Voya Financial Advisors, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Dec 31, 2011 | Oct 19, 2012 (293 d) |
| Alexis Steffanie Resnick | Voya Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Dec 31, 2011 | Jan 6, 2012 |
| Kevin James Cicci | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Dec 21, 2011 | Jan 3, 2012 |
| Jeffrey Wright | Voya Financial Advisors, Inc. other | Esi Financial Advisors other | Other | Dec 16, 2011 | Apr 24, 2012 (130 d) |
| Michael James Shevlino | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 15, 2011 | Jan 30, 2012 (46 d) |
| Joseph M Arena | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 12, 2011 | Jan 30, 2012 (49 d) |
| Clarence Edmund Blanton | Voya Financial Advisors, Inc. other | Resource Horizons Investment Advisory, Inc. other | Other | Nov 29, 2011 | Nov 21, 2011 |
| James B O'Donoghue | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 25, 2011 | Feb 1, 2012 (68 d) |
| Richard Aram Avdoyan | Voya Financial Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Nov 25, 2011 | Dec 5, 2011 |
| Scott Robert England | Voya Financial Advisors, Inc. other | LPL Financial LLC BD affiliated | Other | Nov 23, 2011 | Jul 12, 2024 (4615 d) |
| Jeffrey Richard Kreinbring | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Nov 23, 2011 | Jan 4, 2012 (42 d) |
| Michelle Marie Prybil | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Nov 23, 2011 | Jan 4, 2012 (42 d) |
| Phillip John Johnson | Voya Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 23, 2011 | Nov 21, 2011 |
| Todd Alan Johnson | Voya Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 22, 2011 | Nov 21, 2011 |
| John Charles Von Nessen | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Nov 22, 2011 | Dec 19, 2011 |
| Patrick Copeland Currall | Voya Financial Advisors, Inc. other | Citigroup Global Markets Inc. other | Other | Nov 18, 2011 | Nov 18, 2011 |
| Bret William Bell | Voya Financial Advisors, Inc. other | Packerland Brokerage Services, Inc. other | Other | Nov 14, 2011 | Nov 15, 2011 |
| Keith Alan Bohle | Voya Financial Advisors, Inc. other | Packerland Brokerage Services, Inc. other | Other | Nov 14, 2011 | Nov 14, 2011 |
| Tillman Ralph Meetze | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Nov 11, 2011 | Dec 7, 2011 |
| Carlos Amilcar Farelo | Voya Financial Advisors, Inc. other | Osaic Wealth, Inc. other | Other | Nov 7, 2011 | Jul 20, 2012 (256 d) |
| Laura L Coats | Voya Financial Advisors, Inc. other | Principal Securities, Inc. other | Other | Nov 3, 2011 | Nov 14, 2011 |
| Lawrence M Sasso | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Nov 2, 2011 | Nov 14, 2011 |
| James Frederick Kimmel | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Nov 1, 2011 | Nov 8, 2011 |
| Elizabeth Kathleen Skoglund | Voya Financial Advisors, Inc. other | Alphastar Capital Management other | Other | Nov 1, 2011 | Aug 19, 2013 (657 d) |
| Michael Scott Wade | Voya Financial Advisors, Inc. other | Foresters Equity Services, Inc. other | Other | Oct 24, 2011 | Oct 25, 2011 |
| Eric Walter Thomas | Voya Financial Advisors, Inc. other | M Holdings Securities, Inc. other | Other | Oct 19, 2011 | Mar 6, 2012 (139 d) |
| Daniel Wade Williams | Voya Financial Advisors, Inc. other | Wellfleet Wealth Advisors LLC unclassified | Other | Sep 27, 2011 | Sep 22, 2011 |
| David Dee Fullmer | Voya Financial Advisors, Inc. other | Alphastar Capital Management other | Other | Sep 23, 2011 | Oct 19, 2011 |
| Steven Glynn Schramm | Voya Financial Advisors, Inc. other | Gwn Securities Inc. other | Other | Sep 21, 2011 | Sep 14, 2011 |
| Nicholas Edward Donaldson | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Sep 21, 2011 | Nov 29, 2011 (69 d) |
| Emilio Rafael Rangel Jr | Voya Financial Advisors, Inc. other | Citigroup Global Markets Inc. other | Other | Sep 19, 2011 | Sep 13, 2011 |
| Phillip Matthew Bell | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 15, 2011 | Sep 9, 2011 |
| Dreama Ann Long | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 14, 2011 | Sep 29, 2011 |
| Ronald Kenneth Stack | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 14, 2011 | Sep 9, 2011 |
| Richard Robert Krafcik | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 14, 2011 | Sep 9, 2011 |
| Allison Balmores | Voya Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Sep 13, 2011 | Aug 13, 2012 (335 d) |
| Ellen Rose Schriver | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Sep 12, 2011 | Oct 19, 2011 (37 d) |
| James Kenneth Nichols | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 9, 2011 | Sep 9, 2011 |
| Patrick Joseph Betley | Voya Financial Advisors, Inc. other | Strategic Advisers LLC national BD | Other | Sep 9, 2011 | Oct 5, 2011 |
| Matthew Harold Hill | Voya Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | Sep 8, 2011 | Dec 7, 2011 (90 d) |
| Jamie Lawrence Wing | Voya Financial Advisors, Inc. other | Gradient Advisors, LLC no RAUM | Other | Aug 31, 2011 | Sep 12, 2011 |