| William Wesley Reed | Osaic Fs, Inc. other | First Financial Coaching, Inc. independent RIA | Other | Mar 1, 2010 | Apr 1, 2010 (31 d) |
| Thomas Edmund Hatfield | Osaic Fs, Inc. other | First Financial Coaching, Inc. independent RIA | Other | Mar 1, 2010 | Jun 21, 2010 (112 d) |
| Janet Nugent Harrington | Osaic Fs, Inc. other | First Financial Coaching, Inc. independent RIA | Other | Mar 1, 2010 | Apr 1, 2010 (31 d) |
| Wyatt A. Moerdyk | Osaic Fs, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 1, 2010 | May 6, 2010 (66 d) |
| Pedro Hero | Osaic Fs, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 23, 2010 | May 24, 2010 (90 d) |
| Jeffrey Curtis Furest | Osaic Fs, Inc. other | First Financial Coaching, Inc. independent RIA | Other | Feb 9, 2010 | Apr 1, 2010 (51 d) |
| Frank Peter Orzel | Osaic Fs, Inc. other | First Financial Coaching, Inc. independent RIA | Other | Feb 9, 2010 | Aug 17, 2026 (6033 d) |
| Scott Charles Sullivan | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Jan 29, 2010 | Sep 27, 2004 |
| Martin Peter Regan | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Dec 31, 2009 | Dec 7, 2007 |
| Michelle Turner Lane | Osaic Fs, Inc. other | Advice And Planning Services other | Other | Dec 23, 2009 | Aug 12, 2016 (2424 d) |
| John Michael Keeley | Osaic Fs, Inc. other | Principal Securities, Inc. other | Other | Dec 10, 2009 | Jan 25, 2011 (411 d) |
| Douglas Paul Harrigan | Osaic Fs, Inc. other | Walnut Street Securities, Inc. other | Other | Dec 3, 2009 | Dec 3, 2009 |
| Michael Anthony Staffieri | Osaic Fs, Inc. other | First Allied Securities, Inc. other | Other | Nov 30, 2009 | Nov 24, 2009 |
| Marguerite Maria Panico Fiori | Osaic Fs, Inc. other | Independent Financial Partners other | Other | Nov 10, 2009 | Nov 12, 2009 |
| Scott David Verlangieri | Osaic Fs, Inc. other | Independent Financial Partners other | Other | Nov 10, 2009 | Nov 12, 2009 |
| Jonathan David King | Osaic Fs, Inc. other | Edward Jones national BD | Other | Aug 31, 2009 | Aug 31, 2009 |
| Brenda Ann Morris | Osaic Fs, Inc. other | First Affirmative Financial Network LLC other | Other | Aug 28, 2009 | Oct 14, 2009 (47 d) |
| Kenneth Raymond Savage | Osaic Fs, Inc. other | Transamerica Financial Advisors, LLC other | Other | Aug 20, 2009 | Sep 11, 2009 |
| Travis Blue Smith | Osaic Fs, Inc. other | J. W. Cole Advisors, Inc. other | Other | Aug 20, 2009 | Jan 7, 2010 (140 d) |
| Blake Austin Stanley | Osaic Fs, Inc. other | Legacy Advisory Group other | Other | Aug 7, 2009 | Dec 17, 2014 (1958 d) |
| Melissa A Geracimos | Osaic Fs, Inc. other | Securities America Advisors, Inc. other | Other | Jul 30, 2009 | Jul 24, 2009 |
| Daniel Robert Burns | Osaic Fs, Inc. other | Burns Capital Investment Advisors, Inc. unclassified | Other | Jul 2, 2009 | Jun 4, 2009 |
| Albert Kwok Foo Li | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 13, 2009 |
| Mark Raymond Pinardi | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 13, 2009 |
| John Russell Noonan | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 6, 2009 |
| Peter Blake Salkins | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 13, 2009 |
| Howard Paul Gerrin | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | May 29, 2009 | Mar 2, 2009 |
| Jeremy Jason Gassman | Osaic Fs, Inc. other | Madison Avenue Securities, LLC other | Other | May 13, 2009 | May 12, 2009 |
| Stephen Douglas Sexton | Osaic Fs, Inc. other | LPL Financial LLC other | Other | May 5, 2009 | May 4, 2009 |
| Melissa Marie Spowal | Osaic Fs, Inc. other | Nrp Advisors, Inc. unclassified | Other | Apr 24, 2009 | Apr 17, 2009 |
| Frank William Armitage | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Apr 8, 2009 | Jun 17, 2008 |
| Peter C Plant | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Mar 30, 2009 | Mar 31, 2009 |
| Ronnie Cavazos Haim | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Mar 26, 2009 | Mar 16, 2009 |
| Thomas Christopher Simpson | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Mar 17, 2009 | May 7, 2009 (51 d) |
| Richard Allen Schaefer | Osaic Fs, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Mar 17, 2009 | Mar 16, 2009 |
| Robert John Kosty | Osaic Fs, Inc. other | Trustmont Advisory Group, Inc. other | Other | Mar 13, 2009 | May 8, 2009 (56 d) |
| Christoph Chen | Osaic Fs, Inc. other | Osaic Fa, Inc. other | Other | Mar 13, 2009 | Mar 13, 2009 |
| James Patrick Scanlan | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Mar 2, 2009 | Feb 27, 2009 |
| Gerald Raphael Dufault | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Mar 2, 2009 | Feb 27, 2009 |
| Pedro Miguel Silva | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Mar 2, 2009 | Mar 10, 2009 |
| Alan Stephen Pransky | Osaic Fs, Inc. other | Trustmont Advisory Group, Inc. other | Other | Feb 27, 2009 | May 8, 2009 (70 d) |
| David Michael Odonnell | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Feb 27, 2009 | Mar 10, 2009 |
| Gregg Anthony Catsoulis | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Feb 27, 2009 | Mar 10, 2009 |
| Diane K Rule | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Feb 27, 2009 | Mar 10, 2009 |
| Christopher Peter Provo | Osaic Fs, Inc. other | Independent Advisers Group Corp other | Other | Feb 27, 2009 | May 21, 2002 |
| Thomas Patrick Clinton | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Feb 27, 2009 | Mar 10, 2009 |
| William R Sylvia | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Feb 27, 2009 | Feb 27, 2009 |
| Michael John Lemay | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Feb 27, 2009 | Mar 13, 2009 |
| Paul Henry Couture | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Feb 27, 2009 | Mar 10, 2009 |
| Rick Kevin Cluck | Osaic Fs, Inc. other | Securities America Advisors, Inc. other | Other | Feb 13, 2009 | Mar 6, 2009 |
| Catherine Victoria Garcia | Osaic Fs, Inc. other | Securities America Advisors, Inc. other | Other | Feb 13, 2009 | Mar 25, 2009 (40 d) |
| Barry Keith Malone | Osaic Fs, Inc. other | Level Four Advisory Services other | Other | Feb 6, 2009 | Jan 5, 2009 |
| Steven I-Kang Yeh | Osaic Fs, Inc. other | Invest Financial Corporation other | Other | Feb 4, 2009 | Feb 3, 2009 |
| Stephen Michael Locko | Osaic Fs, Inc. other | Gwn Securities Inc. other | Other | Feb 2, 2009 | Mar 17, 2009 (43 d) |
| Edward Heath Benway | Osaic Fs, Inc. other | H. Beck, Inc. other | Other | Jan 23, 2009 | Jan 26, 2009 |
| Michael Joseph Murdock | Osaic Fs, Inc. other | Valic Financial Advisors, Inc. other | Other | Dec 31, 2008 | Jan 5, 2009 |
| John Anthony Wenstrup | Osaic Fs, Inc. other | J. W. Cole Advisors, Inc. other | Other | Dec 19, 2008 | Dec 24, 2008 |
| Daniel Scott Forrester | Osaic Fs, Inc. other | Morgan Stanley wirehouse | Other | Dec 1, 2008 | Sep 13, 2018 (3573 d) |
| Calvin Heyward Elam | Osaic Fs, Inc. other | LPL Financial LLC other | Other | Nov 21, 2008 | Nov 26, 2008 |
| Joshua Byer | Osaic Fs, Inc. other | Financial Advisers Of America, LLC other | Other | Oct 8, 2008 | Oct 1, 2008 |