| Ann M. Covington | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Jul 20, 2012 | Jul 16, 2012 |
| Chelsea Nichole Rexing | Osaic Fs, Inc. other | Morgan Stanley wirehouse | Other | Jul 20, 2012 | Jul 19, 2012 |
| Albert Frank Chernay | Osaic Fs, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Jun 27, 2012 | Jul 6, 2012 |
| Richard Anthony Mcgrath | Osaic Fs, Inc. other | Deeproot Wealth Advisors, LLC unclassified | Other | May 18, 2012 | Sep 12, 2014 (847 d) |
| Roderic Lamarr Smith | Osaic Fs, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 26, 2012 | Apr 17, 2012 |
| Michael Jon Macdonald | Osaic Fs, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Apr 26, 2012 | Apr 18, 2012 |
| Kayvan Karoon | Osaic Fs, Inc. other | B. Riley Wealth Advisors, Inc. other | Other | Apr 13, 2012 | Apr 10, 2012 |
| Coby Van Harper | Osaic Fs, Inc. other | M Holdings Securities, Inc. other | Other | Apr 11, 2012 | Apr 2, 2012 |
| George Michael Russell | Osaic Fs, Inc. other | B. Riley Wealth Advisors, Inc. other | Other | Apr 11, 2012 | Apr 14, 2012 |
| Paul Joseph Smith | Osaic Fs, Inc. other | Foresters Equity Services, Inc. other | Other | Mar 22, 2012 | Mar 23, 2012 |
| David Joseph Kiniry | Osaic Fs, Inc. other | Securian Financial Services, Inc. other | Other | Mar 20, 2012 | Apr 5, 2012 |
| Simler Creig Batcheler | Osaic Fs, Inc. other | Trustmont Advisory Group, Inc. other | Other | Mar 6, 2012 | Mar 6, 2012 |
| Carla Nadine Souther | Osaic Fs, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Mar 1, 2012 | Mar 1, 2012 |
| Paul David Gregory | Osaic Fs, Inc. other | Waddell & Reed other | Other | Mar 1, 2012 | Mar 14, 2012 |
| John Randolph Peelle | Osaic Fs, Inc. other | Peelle Wealth Management, LLC state registered | Other | Feb 21, 2012 | Feb 17, 2012 |
| Adam Keith Hruby | Osaic Fs, Inc. other | Raymond James & Associates, Inc. national BD | Other | Feb 9, 2012 | Oct 23, 2019 (2813 d) |
| Shawn Michael Bragdon | Osaic Fs, Inc. other | Tlg Advisors, Inc. other | Other | Feb 8, 2012 | Feb 15, 2017 (1834 d) |
| Pedro Sergio Chavez | Osaic Fs, Inc. other | Pnc Managed Account Solutions, Inc. other | Other | Dec 31, 2011 | Mar 14, 2016 (1535 d) |
| Marlon D Miles | Osaic Fs, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 18, 2011 | Oct 31, 2011 |
| David Cummins Mcmanus | Osaic Fs, Inc. other | Highland Capital Advisors , LLC state registered | Other | Aug 19, 2011 | Oct 21, 2011 (63 d) |
| Philip Joseph Bongiorno | Osaic Fs, Inc. other | Regal Investment Advisors LLC other | Other | Jul 29, 2011 | Sep 9, 2014 (1138 d) |
| James Ardmore Bradley | Osaic Fs, Inc. other | Securian Financial Services, Inc. other | Other | Jul 1, 2011 | Nov 16, 2011 (138 d) |
| Charles Lloyd Gorenberg | Osaic Fs, Inc. other | Belpointe Asset Management LLC independent RIA | Other | Jun 24, 2011 | Feb 14, 2019 (2792 d) |
| Dwight Lamont Ferguson | Osaic Fs, Inc. other | Questar Asset Management, Inc. other | Other | May 18, 2011 | May 12, 2011 |
| Thomas Morris Martin | Osaic Fs, Inc. other | LPL Financial LLC other | Other | May 11, 2011 | Apr 29, 2011 |
| Eduardo Rafael Iniguez | Osaic Fs, Inc. other | Workman Securities Corporation unclassified | Other | May 2, 2011 | Apr 20, 2011 |
| Richard Neil Younts | Osaic Fs, Inc. other | Southeast Investments, N.C., Inc. state registered | Other | Apr 20, 2011 | Aug 9, 2012 (477 d) |
| Donald Eugene Bentley | Osaic Fs, Inc. other | Global Financial Private Capital, Inc. other | Other | Apr 1, 2011 | Apr 15, 2011 |
| William Albert Martin | Osaic Fs, Inc. other | Sterne Agee Investment Advisor Services, Inc. other | Other | Feb 18, 2011 | Feb 4, 2011 |
| Charles Kendall Debenon | Osaic Fs, Inc. other | Lifeplan Financial Services, LP state registered | Other | Feb 4, 2011 | Jun 1, 2011 (117 d) |
| Marty Michael Martinez | Osaic Fs, Inc. other | Tricor Advisory Services, LLC other | Other | Jan 25, 2011 | Apr 17, 2012 (448 d) |
| Kimberly Viner Place | Osaic Fs, Inc. other | Msi Financial Services, Inc. other | Other | Jan 21, 2011 | Feb 8, 2011 |
| Robert Michael Burkarth | Osaic Fs, Inc. other | Oppenheimer & Co. Inc. other | Other | Jan 19, 2011 | Jan 24, 2011 |
| Daniel Thomas Scalzi | Osaic Fs, Inc. other | Oppenheimer & Co. Inc. other | Other | Jan 19, 2011 | Jan 24, 2011 |
| Lise Marie Robinson | Osaic Fs, Inc. other | Oppenheimer & Co. Inc. other | Other | Jan 19, 2011 | Jan 19, 2011 |
| Adrian Trent Podsednik | Osaic Fs, Inc. other | Level Four Advisory Services other | Other | Dec 17, 2010 | Dec 20, 2010 |
| Michele Marie Lantz | Osaic Fs, Inc. other | Independent Financial Partners other | Other | Dec 14, 2010 | Dec 13, 2010 |
| Stephen Frederick Hill | Osaic Fs, Inc. other | Stephen F. Hill And Associates L.L.C. state registered | Other | Nov 26, 2010 | Jan 14, 2013 (780 d) |
| Mark Alan Chandik | Osaic Fs, Inc. other | Valmark Advisers, Inc. other | Other | Oct 22, 2010 | Nov 19, 2010 |
| Christopher Michael Cice | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Oct 14, 2010 | Apr 6, 2010 |
| Quentin Leon Ledford | Osaic Fs, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 20, 2010 | Sep 9, 2010 |
| James Warren | Osaic Fs, Inc. other | Level Four Advisory Services other | Other | Sep 7, 2010 | Sep 9, 2010 |
| Charles Rex Strickland | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Aug 17, 2010 | Aug 2, 2010 |
| James Petrizzo | Osaic Fs, Inc. other | Cuna Brokerage Services, Inc. other | Other | Aug 4, 2010 | Aug 10, 2010 |
| Michael Todd Martin | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Jun 22, 2010 | Jun 29, 2005 |
| Randolph Michael Martin | Osaic Fs, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 22, 2010 | Jun 16, 2010 |
| Ed Maisonet | Osaic Fs, Inc. other | Securities America Advisors, Inc. other | Other | May 26, 2010 | Jun 8, 2010 |
| Jeffrey D Rimer | Osaic Fs, Inc. other | LPL Financial LLC other | Other | May 14, 2010 | Sep 19, 2016 (2320 d) |
| Paul Jay Marston | Osaic Fs, Inc. other | Bb&T Investment Services, Inc. no RAUM | Other | May 3, 2010 | Jul 26, 2010 (84 d) |
| Steven Wayne Aiken | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Apr 27, 2010 | Apr 26, 2010 |
| Ira Austin Candib | Osaic Fs, Inc. other | U.S. Financial Advisors other | Other | Apr 23, 2010 | Apr 28, 2010 |
| Scott Wayne Powell | Osaic Fs, Inc. other | Aegis Capital Corp. other | Other | Apr 23, 2010 | Apr 26, 2010 |
| Richard Perris Dougall | Osaic Fs, Inc. other | World Equity Group, Inc. other | Other | Apr 23, 2010 | Sep 27, 2010 (157 d) |
| Rene Michelle Karsko | Osaic Fs, Inc. other | First Citizens Investor Services, Inc. other | Other | Apr 13, 2010 | Sep 15, 2011 (520 d) |
| John M Hart | Osaic Fs, Inc. other | Ipi Wealth Management, Inc. other | Other | Apr 13, 2010 | Apr 23, 2010 |
| Bruce E Schreiner | Osaic Fs, Inc. other | Berthel Fisher & Company Financial Services, Inc. other | Other | Apr 5, 2010 | Feb 8, 2011 (309 d) |
| George Thomas Pate | Osaic Fs, Inc. other | The Journeys Group, Inc. state registered | Other | Mar 17, 2010 | Dec 7, 2009 |
| Curtis Dean Cone | Osaic Fs, Inc. other | The Journeys Group, Inc. state registered | Other | Mar 17, 2010 | Dec 8, 2009 |
| Scott Brian Hinkle | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Mar 10, 2010 | Sep 16, 1999 |
| Thomas Edmund Hatfield | Osaic Fs, Inc. other | First Financial Coaching, Inc. independent RIA | Other | Mar 1, 2010 | Apr 1, 2010 (31 d) |