| Robert Randolph Lott | Nfp Advisor Services, LLC other | Invest Financial Corporation other | Other | Sep 13, 2010 | Oct 6, 2010 |
| Jason Duffaut | Nfp Advisor Services, LLC other | Usaa Financial Planning Services no RAUM | Other | Sep 7, 2010 | Oct 5, 2010 |
| Michael Scott Nevins | Nfp Advisor Services, LLC other | Allstate Financial Advisors, LLC no RAUM | Other | Aug 2, 2010 | Mar 6, 2012 (582 d) |
| Brian E Orr | Nfp Advisor Services, LLC other | Walnut Street Securities, Inc. other | Other | Jun 21, 2010 | Jun 21, 2010 |
| Scott Edward Mccaffrey | Nfp Advisor Services, LLC other | Td Ameritrade, Inc. no RAUM | Other | Jun 15, 2010 | Jun 17, 2010 |
| Susan Ebbert Hall | Nfp Advisor Services, LLC other | First Heartland Consultants, Inc. other | Other | Jun 15, 2010 | Jun 16, 2010 |
| John Charles Panter | Nfp Advisor Services, LLC other | Plan To Invest Capital Management, Inc. other | Other | Jun 7, 2010 | Jun 15, 2010 |
| Lesley Winston | Nfp Advisor Services, LLC other | Insight Securities, Inc. other | Other | Jun 2, 2010 | Jun 30, 2010 |
| Daniel Lynn Browne | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | May 27, 2010 | May 27, 2010 |
| Richard Scott Ehrlich | Nfp Advisor Services, LLC other | Securian Financial Services, Inc. other | Other | May 17, 2010 | Jun 11, 2010 |
| William Thomas Black | Nfp Advisor Services, LLC other | Secura Financial independent RIA | Other | Apr 27, 2010 | Apr 30, 2010 |
| Anthony Alexander Nicolich IV | Nfp Advisor Services, LLC other | Veritas Wealth Advisors, LLC state registered | Other | Apr 9, 2010 | Apr 9, 2010 |
| Todd Michael Lohman | Nfp Advisor Services, LLC other | Financial Telesis, Inc. other | Other | Apr 1, 2010 | Apr 1, 2010 |
| Clair Gene Crossland | Nfp Advisor Services, LLC other | Lfs Ria, LLC state registered | Other | Mar 31, 2010 | Apr 7, 2010 |
| James Edward Zidd | Nfp Advisor Services, LLC other | W.H. Colson & Associates, Inc. unclassified | Other | Mar 31, 2010 | Nov 3, 2014 (1678 d) |
| Deborah Lynn Eggleston | Nfp Advisor Services, LLC other | Waddell & Reed other | Other | Mar 31, 2010 | Dec 22, 2011 (631 d) |
| Alan R David | Nfp Advisor Services, LLC other | David, Alan R. state registered | Other | Mar 31, 2010 | May 30, 2014 (1521 d) |
| Thomas Joseph Johnson | Nfp Advisor Services, LLC other | Newport Group Consulting, LLC other | Other | Mar 31, 2010 | Mar 17, 2010 |
| David Martin Mclaughlin | Nfp Advisor Services, LLC other | Allstate Financial Advisors, LLC no RAUM | Other | Mar 31, 2010 | Apr 26, 2010 |
| James Brennan | Nfp Advisor Services, LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 30, 2010 | Sep 30, 2011 (549 d) |
| Patrick Anthony Calderigi | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | Feb 5, 2010 | Feb 8, 2010 |
| Steven Michael Kampwerth | Nfp Advisor Services, LLC other | Osaic Wealth, Inc. BD affiliated | Other | Jan 8, 2010 | Oct 6, 2025 (5750 d) |
| Andrew James Degroat | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | Dec 31, 2009 | Mar 16, 2011 (440 d) |
| Ellen Rose Schriver | Nfp Advisor Services, LLC other | Voya Financial Advisors, Inc. other | Other | Dec 31, 2009 | Jun 30, 2011 (546 d) |
| Peter Raymond Christie | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | Dec 21, 2009 | Dec 18, 2009 |
| James T Carpenter | Nfp Advisor Services, LLC other | Chase Investment Services Corp. other | Other | Dec 21, 2009 | Mar 22, 2010 (91 d) |
| Sean Paul Waggoner | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | Dec 17, 2009 | Dec 16, 2009 |
| James Alan Ian Laschinger | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | Dec 17, 2009 | Dec 23, 2009 |
| Wendy Michelle Conner | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | Dec 17, 2009 | Dec 16, 2009 |
| Jerald J Halverson | Nfp Advisor Services, LLC other | UBS Financial Services Inc. wirehouse | Other | Dec 9, 2009 | Oct 27, 2014 (1783 d) |
| Kenneth Jeffrey Hanna | Nfp Advisor Services, LLC other | Invest Financial Corporation other | Other | Dec 4, 2009 | Nov 25, 2009 |
| John J Miller | Nfp Advisor Services, LLC other | Lenox Advisors, Inc. unclassified | Other | Nov 18, 2009 | Jan 4, 2010 (47 d) |
| Phyllis Ann Achor | Nfp Advisor Services, LLC other | Swbc Investment Company other | Other | Nov 6, 2009 | Aug 28, 2009 |
| Eric Donner | Nfp Advisor Services, LLC other | Valmark Advisers, Inc. other | Other | Oct 16, 2009 | May 4, 2011 (565 d) |
| Adam Blake Peters | Nfp Advisor Services, LLC other | A & I Wealth Management other | Other | Oct 2, 2009 | Oct 13, 2009 |
| Nathan Wayne Murphy | Nfp Advisor Services, LLC other | Cadaret Grant & Co Inc other | Other | Sep 2, 2009 | Sep 1, 2009 |
| Donald William Hook | Nfp Advisor Services, LLC other | Securities America Advisors, Inc. other | Other | Aug 27, 2009 | Aug 27, 2009 |
| James Wesley Brandt | Nfp Advisor Services, LLC other | Swbc Investment Company other | Other | Aug 27, 2009 | Aug 28, 2009 |
| Audrey Lynn Pool | Nfp Advisor Services, LLC other | Swbc Investment Company other | Other | Aug 27, 2009 | Aug 28, 2009 |
| Jeffrey Cross Taylor | Nfp Advisor Services, LLC other | Crescent Wealth Advisory, LLC state registered | Other | Aug 24, 2009 | Sep 30, 2009 (37 d) |
| Timothy David Wyrobek | Nfp Advisor Services, LLC other | Crescent Wealth Advisory, LLC state registered | Other | Aug 24, 2009 | Aug 3, 2010 (344 d) |
| Kermit Gordon Gable | Nfp Advisor Services, LLC other | Brokersxpress LLC other | Other | Aug 17, 2009 | Aug 17, 2009 |
| Kevin Xavier Smith | Nfp Advisor Services, LLC other | J. W. Cole Advisors, Inc. other | Other | Aug 5, 2009 | Aug 10, 2009 |
| Timmy Lee Baker | Nfp Advisor Services, LLC other | Wfg Advisors, LP other | Other | Jul 6, 2009 | May 29, 2009 |
| Jason Michael Loyd | Nfp Advisor Services, LLC other | Deschaine & Company, L.L.C. other | Other | Jul 2, 2009 | Jul 21, 2009 |
| Matthew Thomas Powers | Nfp Advisor Services, LLC other | Deschaine & Company, L.L.C. other | Other | Jul 2, 2009 | Jul 21, 2009 |
| Jeremiah Eli Patterson | Nfp Advisor Services, LLC other | Concourse Financial Group Advisors other | Other | Jul 2, 2009 | Jul 13, 2009 |
| Jeffrey Thomas Loehwing | Nfp Advisor Services, LLC other | Walnut Street Securities, Inc. other | Other | May 28, 2009 | Jul 1, 2009 (34 d) |
| Robert Franklin | Nfp Advisor Services, LLC other | Sanders Morris LLC other | Other | Apr 30, 2009 | Jun 24, 2010 (420 d) |
| Lance Douglas Jamerson | Nfp Advisor Services, LLC other | J. W. Cole Advisors, Inc. other | Other | Apr 30, 2009 | Jun 3, 2009 (34 d) |
| Michael Charles Moller | Nfp Advisor Services, LLC other | Vsr Advisory Services other | Other | Apr 6, 2009 | Apr 1, 2009 |
| Amy Robin Raisman | Nfp Advisor Services, LLC other | Securities America Advisors, Inc. other | Other | Apr 3, 2009 | May 13, 2009 (40 d) |
| Richard Patrick Kiesel | Nfp Advisor Services, LLC other | Securities America Advisors, Inc. other | Other | Apr 3, 2009 | Apr 17, 2009 |
| Kent Bradston Tedrick | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | Apr 1, 2009 | Apr 2, 2009 |
| Brendan Robert Mcmurtrie | Nfp Advisor Services, LLC other | LPL Financial LLC other | Other | Apr 1, 2009 | Apr 2, 2009 |
| Charles Earl Cooper | Nfp Advisor Services, LLC other | Msi Financial Services, Inc. other | Other | Mar 30, 2009 | May 20, 2014 (1877 d) |
| Michael Keith Napier | Nfp Advisor Services, LLC other | Waddell & Reed other | Other | Mar 23, 2009 | Mar 24, 2009 |
| Jeffery Alan Thompson | Nfp Advisor Services, LLC other | Esi Financial Advisors other | Other | Feb 20, 2009 | Apr 7, 2009 (46 d) |
| Rodger Adam Hoofnagle | Nfp Advisor Services, LLC other | Curian Capital, LLC other | Other | Feb 17, 2009 | Mar 2, 2009 |
| Connie John Reha | Nfp Advisor Services, LLC other | Berthel Fisher & Company Financial Services, Inc. other | Other | Feb 13, 2009 | Feb 18, 2009 |