| Senaida Noemi Bautista | Park Avenue Securities LLC other | Ae Wealth Management, LLC independent RIA | Other | May 29, 2013 | Feb 4, 2021 (2808 d) |
| John Mark Desarno | Park Avenue Securities LLC other | LPL Financial LLC other | Other | May 9, 2013 | May 2, 2013 |
| Jonathan Richard Bath | Park Avenue Securities LLC other | Questar Asset Management, Inc. other | Other | May 9, 2013 | May 7, 2014 (363 d) |
| David Yoon Chong | Park Avenue Securities LLC other | Schomer Wealth Advisors, LLC unclassified | Other | Apr 26, 2013 | Feb 22, 2017 (1398 d) |
| Craig John Schafer | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Apr 19, 2013 | Jul 5, 2013 (77 d) |
| Donald Glyn Kemp | Park Avenue Securities LLC other | New England Securities Corporation other | Other | Apr 16, 2013 | Apr 9, 2013 |
| Michael Jacob Reiman | Park Avenue Securities LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Apr 11, 2013 | Apr 11, 2013 |
| Daniel Joseph Durant | Park Avenue Securities LLC other | Investment Centers Of America, Inc. other | Other | Apr 2, 2013 | Mar 22, 2013 |
| Colleen S Harris | Park Avenue Securities LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 22, 2013 | Apr 8, 2013 |
| Hao Du Lam | Park Avenue Securities LLC other | LPL Financial LLC other | Other | Mar 19, 2013 | Sep 5, 2013 (170 d) |
| Christina Gutierrez Mondragon | Park Avenue Securities LLC other | J.P. Morgan Securities LLC wirehouse | Other | Mar 14, 2013 | Mar 28, 2013 |
| Beth Berthelot Falkenstein | Park Avenue Securities LLC other | Fisher Investments other | Other | Mar 7, 2013 | May 14, 2014 (433 d) |
| Patrick Francis Thuecks | Park Avenue Securities LLC other | Spectrum Strategies, L.L.C. state registered | Other | Feb 27, 2013 | Apr 15, 2014 (412 d) |
| Abigail Sue Kuo | Park Avenue Securities LLC other | Citigroup Global Markets Inc. other | Other | Feb 26, 2013 | Mar 28, 2013 |
| Glennel Warren Jordan | Park Avenue Securities LLC other | LPL Financial LLC other | Other | Feb 21, 2013 | Feb 19, 2013 |
| Mary Vanisky Morse | Park Avenue Securities LLC other | American Portfolios Advisors, Inc other | Other | Feb 19, 2013 | Feb 7, 2013 |
| Gabor Alexander Nagy | Park Avenue Securities LLC other | Commonwealth Financial Network national BD | Other | Feb 19, 2013 | Feb 11, 2013 |
| Arthur Tristan Zottola | Park Avenue Securities LLC other | Barclays Capital Inc. other | Other | Feb 6, 2013 | Apr 15, 2013 (68 d) |
| Gregory Dunn Black | Park Avenue Securities LLC other | Tencap Wealth Coaching no RAUM | Other | Feb 6, 2013 | Feb 6, 2013 |
| Scott Robert Uebelhoer | Park Avenue Securities LLC other | Invest Financial Corporation other | Other | Jan 22, 2013 | Jan 30, 2013 |
| Joel Mark Fiscus | Park Avenue Securities LLC other | Pnc Wealth Management other | Other | Jan 15, 2013 | Dec 20, 2012 |
| Karriem H Pierre | Park Avenue Securities LLC other | Wells Fargo Advisors wirehouse | Other | Jan 14, 2013 | Aug 12, 2014 (575 d) |
| John B Troy | Park Avenue Securities LLC other | Psa Financial Advisors Inc other | Other | Jan 4, 2013 | Jan 7, 2013 |
| Matthew John Mcnabb | Park Avenue Securities LLC other | Arvest Wealth Management other | Other | Dec 21, 2012 | Feb 21, 2014 (427 d) |
| Cory John Dickson | Park Avenue Securities LLC other | Raymond James Financial Services Advisors, Inc other | Other | Dec 18, 2012 | Jan 22, 2013 (35 d) |
| Ryan Henry Nietert | Park Avenue Securities LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 5, 2012 | Dec 5, 2012 |
| Kelly F Sullivan | Park Avenue Securities LLC other | Cuso Financial Services, L.P. other | Other | Dec 4, 2012 | Dec 19, 2012 |
| Rheeta Anne Wilson-Fitzpatrick | Park Avenue Securities LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Nov 30, 2012 | Nov 21, 2012 |
| Kornelia M Forvour | Park Avenue Securities LLC other | Osaic Fa, Inc. other | Other | Nov 26, 2012 | Dec 18, 2012 |
| Thomas P Wilson | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 16, 2012 | Apr 10, 2013 (145 d) |
| Atul Pravin Shrimankar | Park Avenue Securities LLC other | Voya Financial Advisors, Inc. other | Other | Nov 12, 2012 | Nov 23, 2012 |
| Daniel James Shanahan | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Nov 9, 2012 | Dec 5, 2012 |
| Nathan Angel Forristal-Garcia | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Nov 8, 2012 | Feb 7, 2013 (91 d) |
| Nathan Lee Price | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Nov 5, 2012 | May 13, 2013 (189 d) |
| Rakesh K Sharma | Park Avenue Securities LLC other | Eagle Strategies LLC BD affiliated | Other | Oct 23, 2012 | Sep 19, 2022 (3618 d) |
| Shawn Jen Hsieh | Park Avenue Securities LLC other | Mullintbg Advisors other | Other | Oct 3, 2012 | Mar 18, 2013 (166 d) |
| Aron Adam Mestel | Park Avenue Securities LLC other | Equitable Advisors, LLC national BD | Other | Sep 21, 2012 | Aug 19, 2013 (332 d) |
| William Leo Leclair | Park Avenue Securities LLC other | Mutual Of Omaha Investor Services, Inc. no RAUM | Other | Sep 21, 2012 | Nov 2, 2012 (42 d) |
| Brian Wayne Debruin | Park Avenue Securities LLC other | Prosperity Capital Group, Inc. unclassified | Other | Sep 11, 2012 | Jul 31, 2014 (688 d) |
| Edward Francis Goepp | Park Avenue Securities LLC other | Wela Strategies, Inc. other | Other | Aug 31, 2012 | Nov 8, 2012 (69 d) |
| Tracy Kuo Shen | Park Avenue Securities LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 7, 2012 | Aug 1, 2012 |
| James Frederick Loyd | Park Avenue Securities LLC other | Signaturefd, LLC other | Other | Jul 31, 2012 | Aug 6, 2015 (1101 d) |
| Daniel Robert Moruzzi | Park Avenue Securities LLC other | American Portfolios Advisors, Inc other | Other | Jul 27, 2012 | Aug 14, 2012 |
| Kevin Bostory | Park Avenue Securities LLC other | Scottrade Investment Management other | Other | Jul 19, 2012 | Jan 27, 2017 (1653 d) |
| Arpi Vardanyan | Park Avenue Securities LLC other | Avantax Advisory Services other | Other | Jul 3, 2012 | Jul 10, 2014 (737 d) |
| Steven H Druckman | Park Avenue Securities LLC other | LPL Financial LLC other | Other | Jun 29, 2012 | Jun 22, 2012 |
| Nicholas John Ingram | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Jun 29, 2012 | Aug 6, 2012 (38 d) |
| Brian David Bono | Park Avenue Securities LLC other | Sei Investments Management Corp other | Other | Jun 28, 2012 | Jun 19, 2012 |
| Gregory Gaston Gibson | Park Avenue Securities LLC other | Dempsey Lord Smith, LLC other | Other | Jun 20, 2012 | Sep 5, 2012 (77 d) |
| Frances Ann Toler | Park Avenue Securities LLC other | Eagle Strategies LLC other | Other | Jun 19, 2012 | Jul 10, 2012 |
| Jeffrey Patrick Harrison | Park Avenue Securities LLC other | Equitable Advisors, LLC national BD | Other | Jun 13, 2012 | Jun 26, 2013 (378 d) |
| Thomas J Bellaro | Park Avenue Securities LLC other | Barclays Capital Inc. other | Other | Jun 11, 2012 | Jun 11, 2012 |
| Carol Sue Chaney | Park Avenue Securities LLC other | LPL Financial LLC other | Other | May 30, 2012 | Jun 27, 2012 |
| William Morgan Watson | Park Avenue Securities LLC other | Crown Capital Securities, L.P. other | Other | May 24, 2012 | Aug 27, 2013 (460 d) |
| Jay David Angotti | Park Avenue Securities LLC other | Swan Global Investments, LLC other | Other | Apr 30, 2012 | Apr 12, 2016 (1443 d) |
| Michael Lee | Park Avenue Securities LLC other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Apr 17, 2012 | Feb 8, 2017 (1758 d) |
| Jeffery Ryan Bickel | Park Avenue Securities LLC other | Bb&T Investment Services, Inc. no RAUM | Other | Apr 4, 2012 | May 16, 2012 (42 d) |
| Jesse Brian Mackey | Park Avenue Securities LLC other | American Portfolios Advisors, Inc other | Other | Mar 20, 2012 | Mar 19, 2012 |
| Martin Elliot Levine | Park Avenue Securities LLC other | American Portfolios Advisors, Inc other | Other | Mar 19, 2012 | Mar 26, 2012 |
| Michael Duane Hill | Park Avenue Securities LLC other | O'Connor Wealth Management, Inc. independent RIA | Other | Feb 21, 2012 | Mar 5, 2012 |