| Julie Ann Kern | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 30, 2010 | Jan 6, 2011 (98 d) |
| Nicholas L.M. De Peyster | Voya Financial Advisors, Inc. other | Clarent Advisors, LLC unclassified | Other | Sep 10, 2010 | Sep 16, 2010 |
| Anne Tahim | Voya Financial Advisors, Inc. other | Nms Capital Asset Management, Inc. other | Other | Sep 7, 2010 | May 31, 2011 (266 d) |
| Fu Lin | Voya Financial Advisors, Inc. other | Chase Investment Services Corp. other | Other | Aug 25, 2010 | Sep 8, 2010 |
| Neal Alexander Thompson | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 5, 2010 | Aug 18, 2010 |
| John Harold Campbell | Voya Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Aug 4, 2010 | Aug 8, 2011 (369 d) |
| Damon Darrell Walker | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 4, 2010 | Aug 2, 2010 |
| Matthew J Lebo | Voya Financial Advisors, Inc. other | LPL Financial LLC other | Other | Jul 30, 2010 | Sep 26, 2011 (423 d) |
| Brittany Elaine Cross | Voya Financial Advisors, Inc. other | Signator Financial Services, Inc. other | Other | Jul 20, 2010 | Apr 6, 2011 (260 d) |
| Barbara Jean Kubesh | Voya Financial Advisors, Inc. other | Principal Securities, Inc. other | Other | Jul 13, 2010 | Jul 15, 2010 |
| Donald Joel Fallenbaum | Voya Financial Advisors, Inc. other | Fallenbaum Cpa & Advisors, LLC state registered | Other | Jun 29, 2010 | Sep 2, 2010 (65 d) |
| Edward Vincent Barone | Voya Financial Advisors, Inc. other | M&T Securities, Inc. unclassified | Other | Jun 11, 2010 | Jul 8, 2010 |
| Jonda Kay Lowe | Voya Financial Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Jun 9, 2010 | Jul 20, 2010 (41 d) |
| Millard Lee Stewart | Voya Financial Advisors, Inc. other | USA Financial Securities LLC other | Other | May 26, 2010 | Jul 15, 2010 (50 d) |
| Jon Michael Mclain | Voya Financial Advisors, Inc. other | Precision Fiduciary Partners, LLC other | Other | Apr 30, 2010 | Apr 28, 2010 |
| Michael Anthony Pugliese | Voya Financial Advisors, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Apr 28, 2010 | May 24, 2010 |
| Michael Robert Palmisano | Voya Financial Advisors, Inc. other | Cl Wealth Management LLC other | Other | Apr 21, 2010 | Mar 23, 2011 (336 d) |
| Eric Dale Grant | Voya Financial Advisors, Inc. other | Fsc Securities Corporation other | Other | Apr 20, 2010 | May 4, 2010 |
| Mark Christopher Trawick | Voya Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Apr 14, 2010 | Apr 22, 2010 |
| Markku Taneli Happonen | Voya Financial Advisors, Inc. other | USA Financial Securities LLC other | Other | Apr 13, 2010 | Apr 14, 2010 |
| Susan Hanneman | Voya Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 1, 2010 | May 2, 2011 (396 d) |
| Steven Glynn Schramm | Voya Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Mar 4, 2010 | Mar 11, 2010 |
| Susan M Stephenson | Voya Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Feb 1, 2010 | Sep 5, 2014 (1677 d) |
| Brian Thomas White | Voya Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 1, 2010 | Sep 13, 2010 (224 d) |
| Paula Renae Johnston | Voya Financial Advisors, Inc. other | Waddell & Reed other | Other | Feb 1, 2010 | Jan 10, 2012 (708 d) |
| Marc Fredrick Zarro | Voya Financial Advisors, Inc. other | Longview Capital Management LLC other | Other | Jan 11, 2010 | Jan 11, 2010 |
| David Michael Schlossberg | Voya Financial Advisors, Inc. other | Fsic other | Other | Jan 5, 2010 | Jan 11, 2010 |
| Lawrence Peter Strzelecki | Voya Financial Advisors, Inc. other | Fsic other | Other | Jan 5, 2010 | Jan 4, 2010 |
| Eric Delonge Pettis | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Ellis Eugene Grossnickle | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 5, 2010 |
| Gary Carl Sanson | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 7, 2010 |
| Scott Allan Derr | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Steven Roger Sanson | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Scott Owen Bombeck | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Daniel Joseph Brixius | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Brian H Hines | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Nathan Adam Hockley | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Joseph Anthony Cooper | Voya Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Ethan Alexander William Quirin | Voya Financial Advisors, Inc. other | Geneos Wealth Management, Inc. other | Other | Dec 17, 2009 | Jan 6, 2010 |
| Matthew Thomas Lavin | Voya Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | Dec 10, 2009 | Feb 21, 2020 (3725 d) |
| Robert Alfred Brockland | Voya Financial Advisors, Inc. other | On Investment Management Co other | Other | Dec 8, 2009 | Feb 3, 2010 (57 d) |
| Michelle Baum Bradford | Voya Financial Advisors, Inc. other | Usaa Financial Planning Services no RAUM | Other | Dec 8, 2009 | Jul 7, 2011 (576 d) |
| Matthew Scott Noska | Voya Financial Advisors, Inc. other | Stancorp Investment Advisers, Inc. other | Other | Nov 23, 2009 | Jan 29, 2010 (67 d) |
| Michael John Omelio | Voya Financial Advisors, Inc. other | Chase Investment Services Corp. other | Other | Nov 17, 2009 | Dec 16, 2009 |
| Aaron Mckinley Baker | Voya Financial Advisors, Inc. other | Signator Financial Services, Inc. other | Other | Nov 16, 2009 | Feb 12, 2010 (88 d) |
| Jeffrey Thomas Cutter | Voya Financial Advisors, Inc. other | Horter Investment Management, LLC other | Other | Nov 16, 2009 | Oct 20, 2011 (703 d) |
| Robert Wallace Stauder | Voya Financial Advisors, Inc. other | Advice And Planning Services other | Other | Nov 13, 2009 | Oct 23, 2015 (2170 d) |
| Jasper Carl Schanna | Voya Financial Advisors, Inc. other | Questar Asset Management, Inc. other | Other | Nov 13, 2009 | Nov 16, 2009 |
| William Joseph Weikart | Voya Financial Advisors, Inc. other | Weikart Advisory Services LLC state registered | Other | Nov 13, 2009 | Jan 11, 2010 (59 d) |
| Gary Frank Klaric | Voya Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Nov 12, 2009 | Nov 12, 2009 |
| Robert Henry Cathcart | Voya Financial Advisors, Inc. other | Harvest Capital Advisors, LLC unclassified | Other | Nov 9, 2009 | Jul 7, 2011 (605 d) |
| Gilbert Cornilus Varnes | Voya Financial Advisors, Inc. other | Gcvsvc1 LLC state registered | Other | Nov 2, 2009 | Jan 1, 2026 (5904 d) |
| Paul Laurence Miller | Voya Financial Advisors, Inc. other | Longview Capital Management LLC other | Other | Nov 2, 2009 | Nov 3, 2009 |
| Gwendolyn Sue O'Connell | Voya Financial Advisors, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Nov 2, 2009 | Nov 10, 2009 |
| Timothy Albert Rudy | Voya Financial Advisors, Inc. other | Next Financial Group, Inc. other | Other | Oct 30, 2009 | Nov 2, 2009 |
| Chad Michael Fletcher | Voya Financial Advisors, Inc. other | Fletcher Financial, LLC unclassified | Other | Oct 30, 2009 | Feb 21, 2013 (1210 d) |
| Rey Louie Carandang | Voya Financial Advisors, Inc. other | Comerica Securities other | Other | Oct 30, 2009 | Mar 29, 2011 (515 d) |
| Jeffrey Scott Smith | Voya Financial Advisors, Inc. other | Compass Financial, LLC state registered | Other | Oct 28, 2009 | Feb 18, 2010 (113 d) |
| Matthew John Stewart | Voya Financial Advisors, Inc. other | Forestview Financial Partners, LLC state registered | Other | Oct 5, 2009 | Mar 13, 2017 (2716 d) |
| Arnold Loren Tang | Voya Financial Advisors, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Sep 25, 2009 | Jun 29, 2023 (5025 d) |