| Travis Jon Busch | Park Avenue Securities LLC other | Ameriprise Financial Services, LLC national BD | Other | Sep 28, 2016 | Nov 18, 2016 (51 d) |
| Brian Campbell English | Park Avenue Securities LLC other | Securities America Advisors, Inc. other | Other | Sep 27, 2016 | Sep 30, 2016 |
| Scott Gordon Kishbaugh | Park Avenue Securities LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 27, 2016 | Aug 17, 2016 |
| Alison Marie Mccarthy | Park Avenue Securities LLC other | LPL Financial LLC other | Other | Sep 27, 2016 | Aug 30, 2016 |
| Eric Maher | Park Avenue Securities LLC other | One401k unclassified | Other | Sep 14, 2016 | Aug 5, 2016 |
| Sar Kun Moy | Park Avenue Securities LLC other | Morgan Stanley wirehouse | Other | Sep 14, 2016 | Aug 12, 2016 |
| Ramin Ali Akbar Rouhbakhsh | Park Avenue Securities LLC other | LPL Financial LLC other | Other | Sep 14, 2016 | Aug 19, 2016 |
| Bernard Richards | Park Avenue Securities LLC other | M&T Securities, Inc. unclassified | Other | Sep 9, 2016 | Aug 23, 2016 |
| Charles Ryan Dunn | Park Avenue Securities LLC other | Allegis Investment Advisors, LLC other | Other | Sep 7, 2016 | Sep 7, 2016 |
| Hannon E Fayard | Park Avenue Securities LLC other | Cuna Brokerage Services, Inc. other | Other | Sep 7, 2016 | Sep 28, 2016 |
| Christopher Warren Bibow | Park Avenue Securities LLC other | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 31, 2016 | Sep 19, 2016 |
| Michael Herbert Rosenthal | Park Avenue Securities LLC other | Advisory Services Network other | Other | Aug 30, 2016 | Dec 19, 2016 (111 d) |
| Thomas Joseph Haggerty | Park Avenue Securities LLC other | Private Advisor Group, LLC other | Other | Aug 29, 2016 | Sep 1, 2016 |
| Manuel Martinez | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Aug 26, 2016 | Aug 23, 2016 |
| Jonathan Andrew Heras | Park Avenue Securities LLC other | Guide Advisors, Inc. no RAUM | Other | Aug 26, 2016 | Sep 7, 2016 |
| Nicholas John Blicha | Park Avenue Securities LLC other | Summit Advisors, LLC state registered | Other | Aug 22, 2016 | Jun 27, 2018 (674 d) |
| Ashton Penister | Park Avenue Securities LLC other | Ameriprise Financial Services, LLC national BD | Other | Aug 19, 2016 | Aug 12, 2016 |
| Christopher Paul Condle | Park Avenue Securities LLC other | Invst, LLC other | Other | Aug 18, 2016 | Aug 8, 2016 |
| Mark Anthony Badami | Park Avenue Securities LLC other | MML Investors Services, LLC BD affiliated | Other | Jul 29, 2016 | Jun 14, 2021 (1781 d) |
| Paul Thomas Swift | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Jul 29, 2016 | Aug 8, 2016 |
| Joseph Hymowitz | Park Avenue Securities LLC other | Pnc Wealth Management other | Other | Jul 29, 2016 | Aug 17, 2016 |
| Jeffrey Luftig | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Jul 22, 2016 | Jan 18, 2017 (180 d) |
| Samuel Troy Grezaffi | Park Avenue Securities LLC other | Regal Investment Advisors LLC BD affiliated | Other | Jul 21, 2016 | Mar 4, 2021 (1687 d) |
| Nicholas Blake Morgan | Park Avenue Securities LLC other | Christy Capital Management, Inc. independent RIA | Other | Jul 21, 2016 | Jul 27, 2016 |
| Elizabeth M Hobson | Park Avenue Securities LLC other | Morgan Stanley wirehouse | Other | Jun 22, 2016 | Oct 14, 2016 (114 d) |
| Tracy John Brown | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Jun 22, 2016 | Jul 27, 2016 (35 d) |
| Kent William Binning | Park Avenue Securities LLC other | Eagle Strategies LLC other | Other | Jun 15, 2016 | Mar 22, 2017 (280 d) |
| Robert G Spadaford | Park Avenue Securities LLC other | Cantor Fitzgerald Wealth Partners, LLC other | Other | Jun 15, 2016 | Sep 19, 2016 (96 d) |
| Robert Alan Sell | Park Avenue Securities LLC other | Actify Investor Retirements, LLC state registered | Other | Jun 15, 2016 | Jan 26, 2018 (590 d) |
| Erin Lura Hilton | Park Avenue Securities LLC other | Hilton Financial Group, LLC state registered | Other | Jun 7, 2016 | Oct 18, 2016 (133 d) |
| Anna Marie Dujan | Park Avenue Securities LLC other | Harvest Investment Services, LLC other | Other | Jun 7, 2016 | Jun 8, 2016 |
| Steven Jay London | Park Avenue Securities LLC other | Compendium Wealth Advisors, LLC state registered | Other | Jun 2, 2016 | Sep 21, 2016 (111 d) |
| Scott Andrew Jarred | Park Avenue Securities LLC other | Invst, LLC no RAUM | Other | May 27, 2016 | May 2, 2016 |
| Seth A Jackson | Park Avenue Securities LLC other | Valic Financial Advisors, Inc. BD affiliated | Other | May 23, 2016 | Jan 24, 2023 (2437 d) |
| Adam Moroni Dawson | Park Avenue Securities LLC other | Capstone Capital Wealth Advisors other | Other | May 20, 2016 | May 26, 2016 |
| Anthony Joseph Ratkiewicz | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | May 16, 2016 | Jun 14, 2016 |
| Andrew White | Park Avenue Securities LLC other | Vanguard Advisers, Inc. other | Other | May 10, 2016 | Jan 12, 2017 (247 d) |
| Christopher Charles Buckley | Park Avenue Securities LLC other | Waddell & Reed other | Other | May 10, 2016 | Apr 12, 2016 |
| Cory Lee Laird | Park Avenue Securities LLC other | Minichmacgregor Wealth Management, LLC other | Other | May 6, 2016 | Oct 12, 2017 (524 d) |
| William Jude Atkins | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | May 3, 2016 | Jul 19, 2016 (77 d) |
| Seth Benjamin Schoen | Park Avenue Securities LLC other | Oppenheimer & Co. Inc. other | Other | May 2, 2016 | Oct 19, 2016 (170 d) |
| David Y Bubb | Park Avenue Securities LLC other | Charles Schwab & Co., Inc. national BD | Other | Apr 28, 2016 | Jan 2, 2019 (979 d) |
| Lloyd Rives Easters | Park Avenue Securities LLC other | Invst, LLC no RAUM | Other | Apr 27, 2016 | May 2, 2016 |
| Karen Ann Donofrio | Park Avenue Securities LLC other | Pruco Securities, LLC other | Other | Apr 18, 2016 | Apr 28, 2016 |
| Raymond Peter Prendergast | Park Avenue Securities LLC other | Advice And Planning Services other | Other | Apr 1, 2016 | Apr 28, 2016 |
| Michael Richard Tormey | Park Avenue Securities LLC other | Santander Securities other | Other | Mar 30, 2016 | Mar 28, 2016 |
| John Thomas Pharr | Park Avenue Securities LLC other | J. W. Cole Advisors, Inc. other | Other | Mar 30, 2016 | Jul 12, 2016 (104 d) |
| Robin Ann Cash | Park Avenue Securities LLC other | Alphastar Capital Management other | Other | Mar 29, 2016 | Mar 31, 2016 |
| Lucas Wayne Cheatham | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Mar 29, 2016 | Apr 8, 2016 |
| Michael Adam Sitzman | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Mar 23, 2016 | Apr 13, 2016 |
| William Howard Leete | Park Avenue Securities LLC other | Monte Financial Group, LLC other | Other | Mar 9, 2016 | Mar 4, 2016 |
| Jonathon Patrick Krikie | Park Avenue Securities LLC other | On Investment Management Co other | Other | Mar 9, 2016 | Mar 1, 2016 |
| Brian Dean Hanna | Park Avenue Securities LLC other | Garden State Investment Advisory Services, LLC other | Other | Mar 2, 2016 | Apr 18, 2017 (412 d) |
| Rory Richard | Park Avenue Securities LLC other | Brookstone Wealth Advisors, LLC independent RIA | Other | Feb 23, 2016 | Jun 17, 2019 (1210 d) |
| Taylor Boone Hodges | Park Avenue Securities LLC other | Latitude Advisors, LLC other | Other | Feb 23, 2016 | Mar 1, 2016 |
| Phillip J Kostantas | Park Avenue Securities LLC other | Wells Fargo Advisors wirehouse | Other | Feb 4, 2016 | Dec 9, 2016 (309 d) |
| Rheeta Anne Wilson-Fitzpatrick | Park Avenue Securities LLC other | Grace Capital Management, LLC unclassified | Other | Feb 1, 2016 | Mar 21, 2016 (49 d) |
| Stanley O Omosa | Park Avenue Securities LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jan 11, 2016 | Aug 16, 2016 (218 d) |
| Neil Jeffrey Tendler | Park Avenue Securities LLC other | Crimmins Wealth Management, LLC unclassified | Other | Dec 31, 2015 | Apr 1, 2015 |
| Thomas M Scalabrini | Park Avenue Securities LLC other | Crimmins Wealth Management, LLC unclassified | Other | Dec 31, 2015 | Mar 17, 2015 |