| Christopher Bradley Milton | Osaic Fs, Inc. other | Financial Advisers Of America, LLC other | Other | Oct 6, 2008 | Oct 1, 2008 |
| Pamela Sue Ghezzi | Osaic Fs, Inc. other | Fmr Wealth Management, LLC unclassified | Other | Sep 23, 2008 | Jun 20, 2008 |
| Shawn Michael Bragdon | Osaic Fs, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Aug 22, 2008 | Nov 3, 2008 (73 d) |
| Ryan Christopher Hughes | Osaic Fs, Inc. other | Tucker Asset Management LLC independent RIA | Other | Aug 18, 2008 | Sep 21, 2023 (5512 d) |
| E Allen Hancock | Osaic Fs, Inc. other | Independent Advisor Alliance, LLC other | Other | Aug 4, 2008 | Jul 19, 2017 (3271 d) |
| Richard Gerard Lewis | Osaic Fs, Inc. other | Cincinnati Analysts, Inc other | Other | Jun 25, 2008 | Jul 17, 2008 |
| Krista L Kirby | Osaic Fs, Inc. other | James Kirby Accountancy Corporation unclassified | Other | Jun 5, 2008 | Jun 4, 2008 |
| Joan Allison White-Mccain | Osaic Fs, Inc. other | LPL Financial LLC other | Other | May 15, 2008 | May 13, 2008 |
| Mark Elmer Stevenson | Osaic Fs, Inc. other | Concourse Financial Group Advisors other | Other | May 6, 2008 | May 6, 2008 |
| Ronald Allen Freeman | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Apr 18, 2008 | Feb 10, 2009 (298 d) |
| Robert John Lobdell | Osaic Fs, Inc. other | Concourse Financial Group Advisors other | Other | Apr 15, 2008 | Apr 21, 2008 |
| Mitchell Keith Smith | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 2, 2008 | Apr 7, 2008 |
| Connie John Reha | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Apr 1, 2008 | Apr 4, 2008 |
| Joseph Arthur Garcia | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Mar 31, 2008 | Jan 24, 2000 |
| Joel Wayne Josephs | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 31, 2008 | Mar 18, 2008 |
| Christopher George Nichols | Osaic Fs, Inc. other | Nfp Advisor Services, LLC other | Other | Mar 31, 2008 | Mar 18, 2008 |
| Arthur Cole Garcia | Osaic Fs, Inc. other | Concourse Financial Group Advisors other | Other | Mar 31, 2008 | Mar 31, 2008 |
| Lauretta A Burkhart | Osaic Fs, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 10, 2008 | May 21, 2008 (72 d) |
| Jchristopher Boyd | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Mar 5, 2008 | Mar 30, 1998 |
| Patrick J. Shanley | Osaic Fs, Inc. other | Msi Financial Services, Inc. other | Other | Feb 29, 2008 | Mar 12, 2008 |
| James Min Yoo | Osaic Fs, Inc. other | Cetera Investment Services LLC other | Other | Feb 26, 2008 | Feb 21, 2008 |
| John Milton Zinaich | Osaic Fs, Inc. other | Founders Financial Securities, LLC other | Other | Feb 22, 2008 | Feb 20, 2008 |
| Gregory E. Homesley | Osaic Fs, Inc. other | The Advisors Group other | Other | Feb 15, 2008 | Jul 8, 2008 (144 d) |
| William Samuel Allen | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Feb 6, 2008 | Jul 20, 2007 |
| Robert Stowers Morrow | Osaic Fs, Inc. other | New England Securities Corporation other | Other | Feb 4, 2008 | Feb 20, 2008 |
| Kevin Michael Crowley | Osaic Fs, Inc. other | Estate Planners Of New England, LLC other | Other | Feb 4, 2008 | Dec 16, 2004 |
| Stephen Albert Brophy | Osaic Fs, Inc. other | Brophy Wealth Management, LLC other | Other | Dec 31, 2007 | Jan 5, 2007 |
| Gregory Ross Lamonica | Osaic Fs, Inc. other | Edward Jones national BD | Other | Dec 31, 2007 | Jan 15, 2008 |
| Anthony Michael Hanley | Osaic Fs, Inc. other | Center Street Advisors, Inc. no RAUM | Other | Dec 21, 2007 | Jan 30, 2015 (2597 d) |
| Michael Anthony Tedone | Osaic Fs, Inc. other | Filomeno Wealth Management, LLC other | Other | Dec 20, 2007 | Dec 4, 2008 (350 d) |
| Yoon C Chang | Osaic Fs, Inc. other | Pruco Securities, LLC other | Other | Dec 13, 2007 | Jun 2, 2008 (172 d) |
| Jaret Clinton Mutter | Osaic Fs, Inc. other | Suntrust Investment Services, Inc. other | Other | Dec 12, 2007 | Dec 19, 2007 |
| Kevin C. Kuehn | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Nov 19, 2007 | Nov 8, 2007 |
| Norman Eugene Webb | Osaic Fs, Inc. other | Lake Street Advisors, LLC other | Other | Oct 22, 2007 | Oct 30, 2007 |
| Anne Hackett Murray | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Sep 10, 2007 | Aug 30, 2007 |
| Joe Malave | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Aug 24, 2007 | Aug 28, 2007 |
| Nalin Bhatt | Osaic Fs, Inc. other | Quest Capital Strategies, Inc. other | Other | Jul 31, 2007 | Jan 7, 2008 (160 d) |
| John Joseph Berzellini | Osaic Fs, Inc. other | Jba Financial Advisors state registered | Other | Jul 30, 2007 | Jul 3, 2007 |
| Michael D Bird | Osaic Fs, Inc. other | Gaam Wealth Advisors, Inc. other | Other | Jul 6, 2007 | Jan 17, 2008 (195 d) |
| Noel Fields | Osaic Fs, Inc. other | First Citizens Asset Management, Inc other | Other | Jun 15, 2007 | Mar 11, 2009 (635 d) |
| Douglas Dean Alden | Osaic Fs, Inc. other | Liberated Investor Advisors, LLC state registered | Other | Jun 14, 2007 | Jun 18, 2007 |
| Kevin Mcdermott | Osaic Fs, Inc. other | LPL Financial LLC other | Other | May 8, 2007 | May 2, 2007 |
| Michael S. Shirley | Osaic Fs, Inc. other | A. G. Edwards & Sons, Inc. unclassified | Other | May 7, 2007 | May 16, 2007 |
| Peter M Jawidzik | Osaic Fs, Inc. other | Uvest Financial Services Group, Inc. unclassified | Other | Apr 5, 2007 | Oct 22, 2008 (566 d) |
| William Thomas Wright | Osaic Fs, Inc. other | Voya Financial Advisors, Inc. other | Other | Apr 3, 2007 | Apr 27, 2007 |
| Frederick Charles Taylor | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Mar 26, 2007 | Dec 16, 2005 |
| Shawn Patrick Harrison | Osaic Fs, Inc. other | 1st Global Advisors Inc other | Other | Mar 16, 2007 | Mar 8, 2007 |
| Gerald Alphonse Beaullieu | Osaic Fs, Inc. other | 1st Global Advisors Inc other | Other | Mar 16, 2007 | Mar 8, 2007 |
| John Franklin Thomas | Osaic Fs, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 12, 2007 | Feb 5, 2007 |
| John Clark Stults | Osaic Fs, Inc. other | Ameritas Advisory Services, LLC BD affiliated | Other | Jan 29, 2007 | Nov 1, 2021 (5390 d) |
| David Ashley Iobst | Osaic Fs, Inc. other | Tower Square Securities, Inc. other | Other | Jan 11, 2007 | Feb 22, 2007 (42 d) |
| John Ralph Frongillo | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Jan 10, 2007 | Jan 22, 2007 |
| Stewart Jay Weissman | Osaic Fs, Inc. other | First Heartland Consultants, Inc. other | Other | Dec 20, 2006 | Jun 21, 2007 (183 d) |
| William Judson Hendrickson | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Dec 20, 2006 | Oct 1, 2008 (651 d) |
| Allen Kent Broyles | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Dec 19, 2006 | Dec 13, 2006 |
| Michael Trombetta | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Nov 27, 2006 | Nov 20, 2006 |
| Mark Christopher Spooner | Osaic Fs, Inc. other | Spc other | Other | Nov 17, 2006 | Nov 14, 2008 (728 d) |
| Gary Charles Haack | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Nov 14, 2006 | Nov 7, 2006 |
| Heather Catherine Freeman | Osaic Fs, Inc. other | Banc Of America Investment Services, Inc. unclassified | Other | Sep 29, 2006 | Oct 4, 2006 |
| Steven Craig Sovde | Osaic Fs, Inc. other | Allegiant Financial Advisors, LLC state registered | Other | Sep 21, 2006 | Jun 25, 2007 (277 d) |