| Mark Christopher Trawick | Voya Financial Advisors, Inc. other | Gwn Securities Inc. other | Other | Aug 24, 2011 | Aug 23, 2011 |
| Anthony Lorin Pezent | Voya Financial Advisors, Inc. other | Gwn Securities Inc. other | Other | Aug 23, 2011 | Aug 16, 2011 |
| Hugh G Anderson | Voya Financial Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 23, 2011 | Aug 26, 2011 |
| Zachary Leonardo | Voya Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 23, 2011 | Jun 27, 2013 (674 d) |
| Richard Ronald Jensen | Voya Financial Advisors, Inc. other | Brs Financial LLC independent RIA | Other | Aug 11, 2011 | Aug 16, 2011 |
| Bradley W. Raines | Voya Financial Advisors, Inc. other | Brs Financial LLC independent RIA | Other | Aug 11, 2011 | Aug 16, 2011 |
| Karla Sue Middleton | Voya Financial Advisors, Inc. other | Kovack Advisors, Inc. other | Other | Jul 26, 2011 | Aug 15, 2011 |
| Derek Dennis Middleton | Voya Financial Advisors, Inc. other | Kovack Advisors, Inc. other | Other | Jul 26, 2011 | Aug 15, 2011 |
| Dennis Matthew Breier | Voya Financial Advisors, Inc. other | Citigroup Global Markets Inc. other | Other | Jul 19, 2011 | Jul 12, 2011 |
| Margherita Marie Johnson | Voya Financial Advisors, Inc. other | Lincoln Investment other | Other | Jul 13, 2011 | Jul 12, 2011 |
| David Russell St. John | Voya Financial Advisors, Inc. other | Vsr Advisory Services other | Other | Jul 6, 2011 | Jul 1, 2011 |
| Mohammed Zubairu | Voya Financial Advisors, Inc. other | Navy Federal Asset Management, LLC other | Other | Jun 28, 2011 | Mar 26, 2012 (272 d) |
| Christina Marie Lauria Gutt | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 22, 2011 | Jun 24, 2011 |
| Nathan James Fiser | Voya Financial Advisors, Inc. other | Cetera Advisors LLC other | Other | Jun 10, 2011 | May 16, 2011 |
| Andrew John O'Neill | Voya Financial Advisors, Inc. other | Gradient Advisors, LLC no RAUM | Other | Jun 10, 2011 | Jul 1, 2011 |
| Kevin Joseph Gray | Voya Financial Advisors, Inc. other | New York Life Investment Management LLC other | Other | Jun 9, 2011 | Sep 21, 2011 (104 d) |
| Catherine Elise Bock | Voya Financial Advisors, Inc. other | New England Securities Corporation other | Other | Jun 9, 2011 | Oct 20, 2011 (133 d) |
| Beth Ann Andrews | Voya Financial Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Jun 2, 2011 | Jun 3, 2011 |
| Walter Armand Eife | Voya Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | May 18, 2011 | Aug 1, 2011 (75 d) |
| Chester William Lee | Voya Financial Advisors, Inc. other | Pillar Wealth Management Co. independent RIA | Other | May 16, 2011 | May 6, 2011 |
| Stephen Thomas Mattar | Voya Financial Advisors, Inc. other | Spc other | Other | May 5, 2011 | May 2, 2011 |
| Anthony Joseph Mattar | Voya Financial Advisors, Inc. other | Spc other | Other | May 4, 2011 | May 2, 2011 |
| Amber Jean Bell | Voya Financial Advisors, Inc. other | Couch Hallum Financial Group other | Other | Apr 26, 2011 | Mar 12, 2012 (321 d) |
| Tracy Jon Mccary | Voya Financial Advisors, Inc. other | Access Financial Group, Inc. other | Other | Apr 19, 2011 | Apr 15, 2011 |
| Scott Kevin Warner | Voya Financial Advisors, Inc. other | Global Financial Private Capital, Inc. other | Other | Apr 13, 2011 | Apr 14, 2011 |
| Ryan A Storbrauck | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 12, 2011 | Jun 23, 2011 (72 d) |
| Andrew Justin Raudenbush | Voya Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Apr 11, 2011 | Apr 18, 2011 |
| Denise Marie Daugherty | Voya Financial Advisors, Inc. other | Integrity Alliance, LLC other | Other | Apr 4, 2011 | Apr 5, 2011 |
| Anthony Abruzzino | Voya Financial Advisors, Inc. other | Cetera Investment Advisers LLC other | Other | Mar 24, 2011 | Mar 15, 2011 |
| Koorosh Zartoshty | Voya Financial Advisors, Inc. other | Summit Financial Group Inc other | Other | Mar 22, 2011 | Mar 17, 2011 |
| Eric R Perkins | Voya Financial Advisors, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Mar 16, 2011 | Jun 29, 2023 (4488 d) |
| Katherine Elizabeth Lewis | Voya Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Mar 9, 2011 | Mar 1, 2011 |
| Jeremy Michael Soboleski | Voya Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | Mar 7, 2011 | Mar 3, 2011 |
| Stephen Joseph Peiffer | Voya Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Mar 4, 2011 | Mar 4, 2011 |
| William Schultz | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 24, 2011 | Mar 30, 2011 (34 d) |
| David Jason Garber | Voya Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Feb 18, 2011 | Feb 18, 2011 |
| Jason Ray Weber | Voya Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Feb 18, 2011 | Feb 18, 2011 |
| Rick Adam Danielowski | Voya Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Feb 18, 2011 | Feb 18, 2011 |
| Joseph Andrew Ventura | Voya Financial Advisors, Inc. other | Eden Advisory Services, LLC independent RIA | Other | Feb 4, 2011 | Jan 10, 2022 (3993 d) |
| Jessica Butler Butler | Voya Financial Advisors, Inc. other | Virtus Investment Advisers, LLC other | Other | Jan 21, 2011 | Oct 11, 2011 (263 d) |
| Kenneth David Loebel | Voya Financial Advisors, Inc. other | Cetera Investment Services LLC other | Other | Jan 19, 2011 | Jan 18, 2011 |
| Ryan Doyle Bosch | Voya Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Jan 7, 2011 | Jan 5, 2011 |
| Eric C Dittman | Voya Financial Advisors, Inc. other | Oneamerica Securities, Inc. other | Other | Jan 3, 2011 | Jan 19, 2011 |
| Frank J Smith | Voya Financial Advisors, Inc. other | Invest Financial Corporation other | Other | Dec 31, 2010 | Jan 3, 2011 |
| Paul Tobias Stracke | Voya Financial Advisors, Inc. other | Wealthone, LLC independent RIA | Other | Dec 31, 2010 | Jul 19, 2021 (3853 d) |
| Anatoly Khait | Voya Financial Advisors, Inc. other | First Allied Advisory Services, Inc. other | Other | Dec 14, 2010 | Sep 20, 2012 (646 d) |
| Brett Douglas Bogan | Voya Financial Advisors, Inc. other | Avantax Advisory Services other | Other | Dec 6, 2010 | Jun 15, 2011 (191 d) |
| Tamra A Shadlow | Voya Financial Advisors, Inc. other | Edward Jones national BD | Other | Dec 3, 2010 | Dec 8, 2010 |
| John Walsh | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 3, 2010 | Dec 1, 2011 (363 d) |
| Thomas Carlos Nieves | Voya Financial Advisors, Inc. other | Summit Financial Group Inc other | Other | Dec 1, 2010 | Mar 18, 2011 (107 d) |
| Ernest Brad Hatley | Voya Financial Advisors, Inc. other | Lincoln Investment other | Other | Nov 30, 2010 | Mar 10, 2011 (100 d) |
| Richard Alan Matthews | Voya Financial Advisors, Inc. other | Concourse Financial Group Advisors other | Other | Nov 23, 2010 | Jun 24, 2011 (213 d) |
| Patrick Charles Maher | Voya Financial Advisors, Inc. other | Chase Investment Services Corp. other | Other | Nov 19, 2010 | Jan 13, 2011 (55 d) |
| Bruno Luis Machado | Voya Financial Advisors, Inc. other | New York Life Investment Management LLC other | Other | Nov 15, 2010 | May 13, 2011 (179 d) |
| Jeffrey Carlisle Johnson | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Nov 2, 2010 | Dec 7, 2010 (35 d) |
| Robert William Drier | Voya Financial Advisors, Inc. other | Berthel Fisher & Company Financial Services, Inc. other | Other | Oct 26, 2010 | Nov 19, 2010 |
| Mark Richard Rupp | Voya Financial Advisors, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Oct 25, 2010 | Oct 22, 2010 |
| Daniel Fahringer | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Oct 19, 2010 | Oct 20, 2010 |
| Robert Frederic Katz | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Oct 11, 2010 | Oct 5, 2010 |
| David Jon Zupek | Voya Financial Advisors, Inc. other | Annex Wealth Management, LLC other | Other | Oct 4, 2010 | Oct 12, 2010 |