| Timothy William Honce | Valic Financial Advisors, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Sep 6, 2012 | Jan 30, 2013 (146 d) |
| Gregory Peter Horn | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Aug 22, 2012 | Feb 12, 2013 (174 d) |
| Roger Esquibel | Valic Financial Advisors, Inc. other | Chase Investment Services Corp. other | Other | Aug 22, 2012 | Aug 21, 2012 |
| James Benson Hanley | Valic Financial Advisors, Inc. other | Usaa Financial Planning Services no RAUM | Other | Aug 22, 2012 | Jul 30, 2015 (1072 d) |
| Steven Reynold Ryan | Valic Financial Advisors, Inc. other | Regal Investment Advisors LLC other | Other | Aug 22, 2012 | Aug 27, 2012 |
| Sarah Marie Johnson | Valic Financial Advisors, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Aug 22, 2012 | Dec 14, 2012 (114 d) |
| Michael Bruce Hinkel | Valic Financial Advisors, Inc. other | Legend Advisory, LLC other | Other | Aug 22, 2012 | Aug 30, 2012 |
| Julie Delynn Hanson | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Aug 16, 2012 | Aug 14, 2012 |
| Daniel Kanwar Singh Dhillon | Valic Financial Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 16, 2012 | Aug 15, 2012 |
| Gary G Thrasher | Valic Financial Advisors, Inc. other | Pnc Wealth Management other | Other | Aug 16, 2012 | Dec 11, 2012 (117 d) |
| Joel Stiff | Valic Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Aug 16, 2012 | Oct 10, 2012 (55 d) |
| Thomas Mathiesen | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Aug 9, 2012 | Sep 18, 2012 (40 d) |
| Keith Williams | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | Aug 9, 2012 | Aug 20, 2012 |
| Kristin Anne Johnson | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Aug 9, 2012 | Aug 15, 2012 |
| Jessica L. Bicoll | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Aug 9, 2012 | Aug 2, 2012 |
| Sally Ann Wolfe | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Aug 9, 2012 | Aug 23, 2012 |
| Michael Lawrence Simonich | Valic Financial Advisors, Inc. other | Private Advisor Group, LLC other | Other | Aug 9, 2012 | Feb 28, 2013 (203 d) |
| Jeffrey Robert Utterback | Valic Financial Advisors, Inc. other | Huntington Financial Advisors other | Other | Aug 9, 2012 | Aug 30, 2012 |
| Thomas Sweeney | Valic Financial Advisors, Inc. other | Pnc Wealth Management other | Other | Aug 1, 2012 | Jan 28, 2014 (545 d) |
| Danielle Byrd Thompson | Valic Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Aug 1, 2012 | Feb 4, 2014 (552 d) |
| Michael Patrick Dalleo | Valic Financial Advisors, Inc. other | Legend Advisory, LLC other | Other | Jul 26, 2012 | Jul 27, 2012 |
| Deborah Edelle James | Valic Financial Advisors, Inc. other | J. W. Cole Advisors, Inc. other | Other | Jul 26, 2012 | Jul 31, 2012 |
| Daniel Peter Pappas | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 26, 2012 | Aug 1, 2012 |
| Kimberly Ann Kennedy | Valic Financial Advisors, Inc. other | Forta Financial Group, Inc. other | Other | Jul 19, 2012 | Jul 9, 2012 |
| Kyriacos Anthony Antoniadis | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 19, 2012 | Jul 20, 2012 |
| Francisco Xavier Diaz | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 19, 2012 | Sep 5, 2012 (48 d) |
| Ryan M Vollweiler | Valic Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Jul 19, 2012 | Jul 16, 2012 |
| Waldo Julio Zayas | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 19, 2012 | Jul 20, 2012 |
| Fawn Marie Lane | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | Jul 19, 2012 | Jul 20, 2012 |
| Sterling Lee Raskie | Valic Financial Advisors, Inc. other | Blankenship Financial Planning, Ltd. state registered | Other | Jul 19, 2012 | Jan 25, 2013 (190 d) |
| Mark Richard Olson | Valic Financial Advisors, Inc. other | Cuna Brokerage Services, Inc. other | Other | Jul 19, 2012 | Jul 30, 2012 |
| Zoe Rowlands | Valic Financial Advisors, Inc. other | Signator Financial Services, Inc. other | Other | Jul 12, 2012 | Jul 17, 2012 |
| Malcolm A.W. Horn | Valic Financial Advisors, Inc. other | Forta Financial Group, Inc. other | Other | Jul 5, 2012 | Jun 27, 2012 |
| Carlo Della Mea | Valic Financial Advisors, Inc. other | Legend Advisory, LLC other | Other | Jul 5, 2012 | Jul 19, 2012 |
| Terence James O'Grady | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Jun 28, 2012 | Jul 9, 2012 |
| Kevin Durrelle Haggard | Valic Financial Advisors, Inc. other | Edward Jones national BD | Other | Jun 28, 2012 | Jul 16, 2012 |
| Jessica Delia Hernandez | Valic Financial Advisors, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 28, 2012 | Jul 27, 2012 |
| Walter Aristides Magana | Valic Financial Advisors, Inc. other | Principal Securities, Inc. other | Other | Jun 28, 2012 | Dec 3, 2012 (158 d) |
| David Wilfredo Vera | Valic Financial Advisors, Inc. other | Legend Advisory, LLC other | Other | Jun 28, 2012 | Jul 25, 2012 |
| Louis Scott Mitchell | Valic Financial Advisors, Inc. other | Gwn Securities Inc. other | Other | Jun 21, 2012 | Jun 26, 2012 |
| Cathy Rena Mcreynolds | Valic Financial Advisors, Inc. other | Primerica Advisors national BD | Other | Jun 21, 2012 | Jul 18, 2012 |
| Paul Martin Walkington | Valic Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 21, 2012 | Jun 21, 2012 |
| Kong Meng Lee | Valic Financial Advisors, Inc. other | Vantage Point Wealth Management other | Other | Jun 21, 2012 | Jan 24, 2014 (582 d) |
| Gerald David Dolinsky | Valic Financial Advisors, Inc. other | Chase Investment Services Corp. other | Other | Jun 21, 2012 | Jun 20, 2012 |
| Ryan Andrew Martin | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Jun 21, 2012 | Jun 19, 2012 |
| Brian Keith Stormont | Valic Financial Advisors, Inc. other | Osaic Fa, Inc. other | Other | Jun 14, 2012 | Jun 14, 2012 |
| Brenda Regan Munoz | Valic Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 7, 2012 | Jun 1, 2012 |
| Gilbert Arevalos | Valic Financial Advisors, Inc. other | Guardian Group Investments LLC unclassified | Other | Jun 7, 2012 | Jun 10, 2013 (368 d) |
| Bradley Earl Baumgartner | Valic Financial Advisors, Inc. other | Stratos Wealth Partners, Ltd other | Other | Jun 7, 2012 | Jun 27, 2012 |
| Steve Robert Bunn | Valic Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | May 31, 2012 | Jun 14, 2012 |
| Denny Artache | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | May 31, 2012 | Mar 3, 2014 (641 d) |
| Frank Andrew Deptola | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | May 31, 2012 | May 29, 2012 |
| Michael Allen Anderson | Valic Financial Advisors, Inc. other | Citigroup Global Markets Inc. other | Other | May 31, 2012 | Jun 5, 2012 |
| Ava Rowena Overman | Valic Financial Advisors, Inc. other | Forta Financial Group, Inc. other | Other | May 31, 2012 | May 24, 2012 |
| David P Haverstick | Valic Financial Advisors, Inc. other | First Citizens Asset Management, Inc other | Other | May 24, 2012 | Jul 31, 2012 (68 d) |
| Deryck Ian Gryne | Valic Financial Advisors, Inc. other | Nationwide Investment Advisors, LLC other | Other | May 17, 2012 | May 21, 2012 |
| Jason Samuel Trippett | Valic Financial Advisors, Inc. other | Legend Advisory, LLC other | Other | May 17, 2012 | May 18, 2012 |
| Kari Sue Neller | Valic Financial Advisors, Inc. other | Independent Financial Partners other | Other | May 17, 2012 | Jul 12, 2012 (56 d) |
| Travis R Kirby | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | May 17, 2012 | Jan 24, 2014 (617 d) |
| David Francis Bavero | Valic Financial Advisors, Inc. other | Securian Financial Services, Inc. other | Other | May 10, 2012 | Jun 11, 2012 (32 d) |