| Carolyn Dee Bare | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Oct 13, 2009 | Nov 10, 2009 |
| Charles Drake Aguillard | Valic Financial Advisors, Inc. other | Lifemark Securities Corp. other | Other | Oct 2, 2009 | Jul 12, 2016 (2475 d) |
| William Elliott King | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | Sep 30, 2009 | Sep 23, 2009 |
| Alicia Stephaine Kong | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Sep 30, 2009 | Sep 25, 2009 |
| Allen Ross Tollett | Valic Financial Advisors, Inc. other | Signator Financial Services, Inc. other | Other | Sep 30, 2009 | Oct 20, 2009 |
| Kevin Barry Manghan | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Sep 22, 2009 | Jun 1, 2011 (617 d) |
| John Fulton Hargraves | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Sep 22, 2009 | Dec 22, 2009 (91 d) |
| Richard Cutler Hamilton | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Sep 22, 2009 | Sep 17, 2009 |
| James Scott Malloch | Valic Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 26, 2009 | Aug 10, 2009 |
| Robert Lee Dickinson | Valic Financial Advisors, Inc. other | First Citizens Investor Services, Inc. other | Other | Aug 26, 2009 | Aug 27, 2013 (1462 d) |
| Kimberlie Jo Sonnenberg | Valic Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 18, 2009 | Aug 10, 2009 |
| Michael John Holden | Valic Financial Advisors, Inc. other | Bny Mellon Securities Corporation other | Other | Aug 11, 2009 | Aug 11, 2009 |
| Max K Aten | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | Aug 11, 2009 | Aug 3, 2009 |
| Cole Smithers Koeniger | Valic Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Aug 11, 2009 | Sep 9, 2009 |
| Christopher Adam Stradley | Valic Financial Advisors, Inc. other | Charles Schwab & Co., Inc. national BD | Other | Aug 11, 2009 | Sep 4, 2009 |
| Aaron Christopher Kilbride | Valic Financial Advisors, Inc. other | Northwestern Mutual Investment Services,LLC other | Other | Aug 11, 2009 | Sep 21, 2009 (41 d) |
| Tiffany Lane Owens | Valic Financial Advisors, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Aug 6, 2009 | Sep 24, 2018 (3336 d) |
| Moises Macias | Valic Financial Advisors, Inc. other | Chase Investment Services Corp. other | Other | Aug 6, 2009 | Aug 13, 2009 |
| Joel Austin Bickmore | Valic Financial Advisors, Inc. other | Synovus Securities, Inc. other | Other | Aug 6, 2009 | Aug 5, 2009 |
| David Michael Gundy | Valic Financial Advisors, Inc. other | Midwestern Securities Trading Co.,LLC other | Other | Jul 30, 2009 | Jul 27, 2009 |
| George Daniel Dougherty | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Jul 30, 2009 | Jul 27, 2009 |
| John Martin Blamphin | Valic Financial Advisors, Inc. other | Scarborough Capital Management, Inc. other | Other | Jul 30, 2009 | Nov 18, 2009 (111 d) |
| Mark Jackson Myers | Valic Financial Advisors, Inc. other | Workman Securities Corporation unclassified | Other | Jul 27, 2009 | Oct 5, 2009 (70 d) |
| Thomas Nicholas Forcella | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Jul 23, 2009 | Aug 5, 2009 |
| Keith Allen Lunneborg | Valic Financial Advisors, Inc. other | Transamerica Financial Advisors, LLC other | Other | Jul 23, 2009 | Aug 18, 2009 |
| Carolyn D Pentland | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | Jul 23, 2009 | Sep 23, 2009 (62 d) |
| Peter James Hynes | Valic Financial Advisors, Inc. other | Verity Investments, Inc. unclassified | Other | Jul 20, 2009 | Jul 9, 2009 |
| Richard J Gallant | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jul 20, 2009 | Nov 20, 2009 (123 d) |
| Sandra Clay Mcdearman | Valic Financial Advisors, Inc. other | Uvest Financial Services Group, Inc. unclassified | Other | Jul 14, 2009 | Mar 19, 2010 (248 d) |
| Brian Seisuke Kawano | Valic Financial Advisors, Inc. other | Principal Securities, Inc. other | Other | Jul 8, 2009 | Jul 9, 2009 |
| George Andrew Henry Arky | Valic Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 8, 2009 | Jul 1, 2009 |
| Sally Jo Osborne | Valic Financial Advisors, Inc. other | Firstmerit Advisors, Inc. unclassified | Other | Jul 8, 2009 | Apr 30, 2010 (296 d) |
| Scott Michael Ferguson | Valic Financial Advisors, Inc. other | Voya Financial Advisors, Inc. other | Other | Jul 8, 2009 | Nov 17, 2009 (132 d) |
| Joseph Kareem Miller | Valic Financial Advisors, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jul 8, 2009 | Jul 1, 2009 |
| Kenneth Wayne Parkinson | Valic Financial Advisors, Inc. other | Hardy Reed, LLC independent RIA | Other | Jul 8, 2009 | May 29, 2018 (3247 d) |
| Kelly Lopez Atkinson | Valic Financial Advisors, Inc. other | MML Investors Services, LLC other | Other | Jul 8, 2009 | Jun 22, 2011 (714 d) |
| Thomas John Parzakonis | Valic Financial Advisors, Inc. other | Edward Jones national BD | Other | Jul 8, 2009 | Jul 7, 2009 |
| David Robinson Kornegay | Valic Financial Advisors, Inc. other | Securian Financial Services, Inc. other | Other | Jun 18, 2009 | Jun 29, 2009 |
| Judith Gail Willoughby | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Jun 11, 2009 | Jul 17, 2009 (36 d) |
| Ashley Nicole Dominguez | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | Jun 11, 2009 | Aug 1, 2009 (51 d) |
| Tucker Tsuyoshi Torigoe | Valic Financial Advisors, Inc. other | Principal Securities, Inc. other | Other | Jun 9, 2009 | Jun 15, 2009 |
| John Vincent O'Connor | Valic Financial Advisors, Inc. other | Securities America Advisors, Inc. other | Other | Jun 4, 2009 | Jun 12, 2009 |
| Olga Lidia De Value | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 1, 2009 | Apr 23, 2012 (1057 d) |
| Bryan Keith Holoman | Valic Financial Advisors, Inc. other | Equitable Advisors, LLC national BD | Other | Jun 1, 2009 | Jun 2, 2009 |
| Charles Bernard Poindexter | Valic Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | May 15, 2009 | May 6, 2009 |
| Danette West Starks | Valic Financial Advisors, Inc. other | Raymond James Financial Services Advisors, Inc other | Other | May 15, 2009 | May 15, 2009 |
| Eric James Robert Nelson | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | May 15, 2009 | Aug 27, 2009 (104 d) |
| Paul Thomas Hughes | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | May 13, 2009 | May 1, 2009 |
| Daniel Scott Hughes | Valic Financial Advisors, Inc. other | Wfg Advisors, LP other | Other | May 13, 2009 | May 1, 2009 |
| Djemal Eyup Araniti | Valic Financial Advisors, Inc. other | Edward Jones national BD | Other | May 13, 2009 | May 13, 2009 |
| Dawn Michelle Edwards | Valic Financial Advisors, Inc. other | Advice And Planning Services other | Other | May 13, 2009 | Sep 22, 2009 (132 d) |
| Robert Devoe | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | May 7, 2009 | Apr 28, 2009 |
| Chad Brian Humphrey | Valic Financial Advisors, Inc. other | LPL Financial LLC other | Other | May 1, 2009 | May 21, 2009 |
| Ana D Portillo | Valic Financial Advisors, Inc. other | Voya Financial Partners, LLC other | Other | May 1, 2009 | Jul 14, 2009 (74 d) |
| James Nathan Kraeske | Valic Financial Advisors, Inc. other | Brogan Financial other | Other | Apr 30, 2009 | Jun 25, 2009 (56 d) |
| Joseph Matthew Tuccini | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Apr 27, 2009 | Jun 3, 2009 (37 d) |
| Eric Jose Medina | Valic Financial Advisors, Inc. other | Lincoln Investment other | Other | Apr 20, 2009 | Aug 17, 2010 (484 d) |
| Michael Christopher Hutcheson | Valic Financial Advisors, Inc. other | Chase Investment Services Corp. other | Other | Apr 20, 2009 | May 7, 2009 |
| Adam Joseph Gillam | Valic Financial Advisors, Inc. other | Morgan Stanley wirehouse | Other | Apr 20, 2009 | Sep 18, 2009 (151 d) |
| Tamara Maxine Kotaska | Valic Financial Advisors, Inc. other | Jesup & Lamont Securities Corp unclassified | Other | Apr 17, 2009 | Oct 21, 2009 (187 d) |