| Frank Edward Booth | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | Feb 5, 2015 | Feb 19, 2015 |
| Matthew B Megin | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Feb 5, 2015 | Oct 29, 2015 (266 d) |
| Robert Carter Lachney | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Feb 5, 2015 | Feb 9, 2015 |
| Julian Kamaunu Romero | Valic Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 29, 2015 | Nov 9, 2015 (284 d) |
| Tiffany Van Cao Sidoti | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | Jan 29, 2015 | Apr 6, 2015 (67 d) |
| Tamme Terrell Ford | Valic Financial Advisors, Inc. other | Retirement Plan Advisors, LLC mixed wealth | Other | Jan 23, 2015 | Jul 21, 2021 (2371 d) |
| Hugh W Gates | Valic Financial Advisors, Inc. other | Delta Asset Management, LLC other | Other | Jan 15, 2015 | Feb 10, 2015 |
| David Koifman | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 12, 2015 | Feb 19, 2015 (38 d) |
| Denethia Yebernetsky | Valic Financial Advisors, Inc. other | Strategic Advisers LLC national BD | Other | Jan 8, 2015 | Dec 10, 2015 (336 d) |
| Monty Leon Mccurley | Valic Financial Advisors, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Dec 23, 2014 | Jan 8, 2015 |
| Jose M Borro | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 23, 2014 | Mar 13, 2015 (80 d) |
| George Lucas Swatzell | Valic Financial Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | Dec 4, 2014 | Dec 1, 2014 |
| Kevin R Walker | Valic Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | Nov 13, 2014 | Jun 25, 2015 (224 d) |
| William Eric Sanders | Valic Financial Advisors, Inc. other | Edward Jones national BD | Other | Nov 13, 2014 | Nov 7, 2014 |
| Danny Vester Brown | Valic Financial Advisors, Inc. other | Pruco Securities, LLC other | Other | Nov 6, 2014 | Nov 19, 2014 |
| Daniel A Ringelstein | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 30, 2014 | Nov 7, 2014 |
| Chevelle Ss Tuck | Valic Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Oct 16, 2014 | Oct 27, 2014 |
| James Michael Ford | Valic Financial Advisors, Inc. other | Raymond James & Associates, Inc. national BD | Other | Oct 16, 2014 | Oct 14, 2014 |
| Sean Taylor Buckley | Valic Financial Advisors, Inc. other | Cetera Investment Advisers LLC other | Other | Oct 16, 2014 | Oct 13, 2014 |
| Mario Roberto Orozco | Valic Financial Advisors, Inc. other | Eagle Strategies LLC other | Other | Sep 25, 2014 | Nov 13, 2014 (49 d) |
| Krystal Kathryn Emge | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Sep 19, 2014 | Sep 5, 2014 |
| Jeremy Vaughn Mitchell | Valic Financial Advisors, Inc. other | Advice And Planning Services other | Other | Sep 19, 2014 | Sep 29, 2014 |
| Adam J Locascio | Valic Financial Advisors, Inc. other | Waddell & Reed other | Other | Sep 15, 2014 | Jan 20, 2015 (127 d) |
| Mamta Rai | Valic Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Sep 11, 2014 | Sep 3, 2014 |
| Nathaniel Paul Barton | Valic Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Aug 28, 2014 | Dec 21, 2015 (480 d) |
| Jasmine Alicea | Valic Financial Advisors, Inc. other | U.S. Bancorp Advisors, LLC other | Other | Aug 28, 2014 | Aug 27, 2014 |
| Christopher Robinson | Valic Financial Advisors, Inc. other | Vanguard Advisers, Inc. BD affiliated | Other | Aug 21, 2014 | Jan 10, 2022 (2699 d) |
| Roland Touzeau Martin | Valic Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Jul 31, 2014 | Jul 21, 2014 |
| Erik Owen Jensen | Valic Financial Advisors, Inc. other | Forta Financial Group, Inc. other | Other | Jul 31, 2014 | Jul 18, 2014 |
| Thomas H Carlson | Valic Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Jul 31, 2014 | Jul 28, 2014 |
| William Joseph Cangeme | Valic Financial Advisors, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Jul 31, 2014 | Aug 12, 2014 |
| Melania Mccarley | Valic Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Jul 24, 2014 | Jul 31, 2014 |
| Robert Scott Wiese | Valic Financial Advisors, Inc. other | Strategic Advisers LLC national BD | Other | Jul 24, 2014 | Jan 4, 2017 (895 d) |
| Matt Solomon | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 18, 2014 | Feb 18, 2015 (215 d) |
| Joseph William Fields | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 17, 2014 | Apr 15, 2015 (272 d) |
| Patrick Michael Geary | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | Jun 12, 2014 | Jun 17, 2014 |
| Cesar Delacerda | Valic Financial Advisors, Inc. other | Next Financial Group, Inc. other | Other | Jun 12, 2014 | Aug 1, 2014 (50 d) |
| Michael Arden Mccoy | Valic Financial Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 12, 2014 | Jun 3, 2014 |
| Kimberly Anne Willie | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jun 12, 2014 | Jul 7, 2014 |
| Royceton Shane Pinder | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 4, 2014 | May 23, 2014 |
| Michael Maddox | Valic Financial Advisors, Inc. other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Jun 4, 2014 | Apr 13, 2021 (2505 d) |
| Brian Neil Tobin | Valic Financial Advisors, Inc. other | Td Ameritrade, Inc. no RAUM | Other | May 21, 2014 | May 23, 2014 |
| John Fitzgerald Grecco | Valic Financial Advisors, Inc. other | Cuna Brokerage Services, Inc. other | Other | May 14, 2014 | Jun 2, 2014 |
| Richard Alex Becker | Valic Financial Advisors, Inc. other | Planmember Securities Corporation other | Other | May 14, 2014 | May 9, 2014 |
| Kevin F Meserve | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | May 14, 2014 | Sep 23, 2014 (132 d) |
| Graham Mcmurray Clement | Valic Financial Advisors, Inc. other | Legend Advisory, LLC other | Other | Apr 10, 2014 | Apr 10, 2014 |
| John David Wiedmaier | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | Apr 3, 2014 | Mar 31, 2014 |
| Clare Ann Daily | Valic Financial Advisors, Inc. other | Money Concepts Advisory Service BD affiliated | Other | Mar 27, 2014 | Aug 31, 2021 (2714 d) |
| Amy C Grieves | Valic Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | Mar 19, 2014 | Apr 7, 2014 |
| Edward James Tritschler | Valic Financial Advisors, Inc. other | National Pension & Group Consultants, Inc unclassified | Other | Mar 19, 2014 | Apr 10, 2014 |
| George Adrian Corrado | Valic Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Mar 13, 2014 | Apr 15, 2014 (33 d) |
| Richard Travis Detweiler | Valic Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | Mar 5, 2014 | Apr 14, 2014 (40 d) |
| Allen David Andes | Valic Financial Advisors, Inc. other | Investment Professionals, Inc. other | Other | Feb 27, 2014 | Jan 31, 2014 |
| John Eugene Perez | Valic Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Feb 27, 2014 | Sep 26, 2014 (211 d) |
| Louis William Bundy | Valic Financial Advisors, Inc. other | Advice And Planning Services other | Other | Feb 27, 2014 | Mar 12, 2014 |
| Fran Charles Jackson | Valic Financial Advisors, Inc. other | Empower Advisory Group, LLC institutional | Other | Feb 27, 2014 | Nov 21, 2018 (1728 d) |
| Bridgette D Gavagan | Valic Financial Advisors, Inc. other | Pnc Managed Account Solutions, Inc. other | Other | Feb 27, 2014 | Jul 7, 2014 (130 d) |
| Nate Elisha | Valic Financial Advisors, Inc. other | RBC Rochdale, LLC other | Other | Feb 20, 2014 | Mar 6, 2014 |
| Gregory Kelly Springfield | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | Feb 19, 2014 | Jun 30, 2014 (131 d) |
| Richard Mamoru Imamura | Valic Financial Advisors, Inc. other | American General Financial Advisors, Inc. unclassified | Other | Feb 13, 2014 | Aug 6, 2002 |