| Mitchell Scott Brill | Park Avenue Securities LLC other | Altium Wealth Management LLC other | Other | Oct 19, 2010 | Oct 20, 2010 |
| James John Dowling | Park Avenue Securities LLC other | Altium Wealth Management LLC other | Other | Oct 19, 2010 | Oct 20, 2010 |
| Clayton Harvey Riddell | Park Avenue Securities LLC other | J.P. Morgan Institutional Investments other | Other | Oct 18, 2010 | Mar 3, 2011 (136 d) |
| Jason Eric Heller | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Oct 7, 2010 | Dec 9, 2010 (63 d) |
| Douglas Carroll Shows | Park Avenue Securities LLC other | Concourse Financial Group Advisors other | Other | Sep 28, 2010 | Jun 17, 2011 (262 d) |
| David M Sorrentino | Park Avenue Securities LLC other | Cic Advisers, LLC unclassified | Other | Sep 16, 2010 | Oct 8, 2010 |
| Greg A Kennedy | Park Avenue Securities LLC other | Lord Wellington Investments, LLC state registered | Other | Sep 7, 2010 | Nov 1, 2013 (1151 d) |
| Paul Matthew Barbieri | Park Avenue Securities LLC other | Bb&T Investment Services, Inc. other | Other | Sep 1, 2010 | Aug 2, 2016 (2162 d) |
| James Edward Eastwood | Park Avenue Securities LLC other | Ameriprise Financial Services, LLC national BD | Other | Aug 5, 2010 | Oct 4, 2013 (1156 d) |
| Joshua Wright Goulding | Park Avenue Securities LLC other | Campbell Wealth Management, Inc. other | Other | Aug 5, 2010 | Oct 12, 2010 (68 d) |
| Paul Valerio | Park Avenue Securities LLC other | Cetera Investment Services LLC other | Other | Jul 23, 2010 | May 17, 2012 (664 d) |
| Jeremy L Darstek | Park Avenue Securities LLC other | Securian Financial Services, Inc. other | Other | Jul 8, 2010 | Aug 9, 2010 (32 d) |
| Anthony Andrew Desantis | Park Avenue Securities LLC other | Affluent Solutions, LLC state registered | Other | Jun 30, 2010 | Oct 21, 2025 (5592 d) |
| Christopher Lawrence Cleland | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jun 22, 2010 | Jun 29, 2010 |
| John Harrison Burt | Park Avenue Securities LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 8, 2010 | Jun 11, 2010 |
| William Franklin Dyches | Park Avenue Securities LLC other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 8, 2010 | Jun 11, 2010 |
| Steven D Scherer | Park Avenue Securities LLC other | Chase Investment Services Corp. other | Other | May 11, 2010 | Jul 8, 2010 (58 d) |
| James Bradley Garner | Park Avenue Securities LLC other | Morgan Stanley wirehouse | Other | Apr 22, 2010 | Jun 30, 2010 (69 d) |
| Tami K. Rovall | Park Avenue Securities LLC other | Bbva Compass Investment Solutions, Inc unclassified | Other | Mar 31, 2010 | Apr 14, 2010 |
| Melanie Colusci | Park Avenue Securities LLC other | Hornor, Townsend & Kent, LLC other | Other | Mar 29, 2010 | Mar 24, 2010 |
| Paul Randall Maynor | Park Avenue Securities LLC other | Osaic Fa, Inc. other | Other | Mar 25, 2010 | Jul 13, 2010 (110 d) |
| Rhett Lee Fendley | Park Avenue Securities LLC other | LPL Financial LLC other | Other | Mar 25, 2010 | Apr 6, 2010 |
| Roger Stephen Szczypien | Park Avenue Securities LLC other | Chase Investment Services Corp. other | Other | Mar 10, 2010 | Apr 8, 2010 |
| Johnny Farris Leech | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Feb 24, 2010 | Mar 4, 2010 |
| Marc Anthony Fusco | Park Avenue Securities LLC other | Wells Fargo Advisors wirehouse | Other | Feb 8, 2010 | Feb 24, 2010 |
| Gregory Scott Jordan | Park Avenue Securities LLC other | Suntrust Investment Services, Inc. other | Other | Feb 4, 2010 | May 18, 2011 (468 d) |
| Craig Scott Sablosky | Park Avenue Securities LLC other | Investment Professionals, Inc. other | Other | Jan 26, 2010 | Jan 7, 2010 |
| William James Fussell | Park Avenue Securities LLC other | Chase Investment Services Corp. other | Other | Jan 22, 2010 | Jan 14, 2010 |
| Ronald Lee Geer | Park Avenue Securities LLC other | LPL Financial LLC other | Other | Jan 4, 2010 | Jan 15, 2010 |
| Mark Daniel Mcgrail | Park Avenue Securities LLC other | Cda Group other | Other | Dec 23, 2009 | Dec 20, 2011 (727 d) |
| Donald Lawrence Reichert | Park Avenue Securities LLC other | Cda Group other | Other | Dec 15, 2009 | Dec 15, 2009 |
| Joseph David Schofield | Park Avenue Securities LLC other | Cda Group other | Other | Dec 15, 2009 | Dec 15, 2009 |
| Ryan Ocken | Park Avenue Securities LLC other | Empower Advisory Group, LLC other | Other | Nov 20, 2009 | Apr 28, 2021 (4177 d) |
| Annette Patricia Shanks | Park Avenue Securities LLC other | Woodbury Financial Services, Inc. other | Other | Nov 19, 2009 | Nov 18, 2009 |
| Larry John Mahoney | Park Avenue Securities LLC other | Tucker Asset Management LLC other | Other | Nov 3, 2009 | Feb 10, 2016 (2290 d) |
| Brian George Froehlich | Park Avenue Securities LLC other | Northwestern Mutual Investment Services,LLC other | Other | Oct 21, 2009 | Jan 7, 2010 (78 d) |
| David Alexander Isley | Park Avenue Securities LLC other | Abound Investments state registered | Other | Sep 24, 2009 | Apr 1, 2013 (1285 d) |
| Stephen Zelcer | Park Avenue Securities LLC other | Ridgeway Conger Advisory Services other | Other | Sep 18, 2009 | Dec 16, 2009 (89 d) |
| Richard Mark Bass | Park Avenue Securities LLC other | Signator Investors, Inc. other | Other | Sep 16, 2009 | Oct 7, 2009 |
| Teron Lejuane Carter | Park Avenue Securities LLC other | Fifth Third Securities, Inc. other | Other | Aug 31, 2009 | Sep 10, 2009 |
| Kermit J Coble | Park Avenue Securities LLC other | M&T Securities, Inc. unclassified | Other | Jul 31, 2009 | Jan 18, 2011 (536 d) |
| Ritchie Lynn Hoffman | Park Avenue Securities LLC other | Berthel Fisher & Company Financial Services, Inc. other | Other | Jul 29, 2009 | Aug 3, 2009 |
| Robert J Covello | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jul 6, 2009 | Jun 30, 2009 |
| Robert Michael Fichter | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Jun 10, 2009 | Jun 1, 2009 |
| Michele E. Tremblay | Park Avenue Securities LLC other | 1st Global Advisors Inc other | Other | May 27, 2009 | May 15, 2009 |
| Ji Michael Y Chung | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | May 14, 2009 | Jul 29, 2009 (76 d) |
| Charles Fredrick Dinise | Park Avenue Securities LLC other | Scf Investment Advisors, Inc. other | Other | May 12, 2009 | May 2, 2011 (720 d) |
| Nicholas Cain Jones | Park Avenue Securities LLC other | Edward Jones national BD | Other | Apr 22, 2009 | Jul 8, 2009 (77 d) |
| Peter Daniel Notaro | Park Avenue Securities LLC other | Questar Asset Management, Inc. other | Other | Apr 13, 2009 | Mar 31, 2009 |
| Michael Anthony Paciotti | Park Avenue Securities LLC other | Integrated Capital Management, Inc. other | Other | Mar 31, 2009 | May 1, 2009 (31 d) |
| Scott Bennett | Park Avenue Securities LLC other | Mwa Financial Services, Inc. other | Other | Mar 19, 2009 | Feb 16, 2010 (334 d) |
| Mark Robert Bossey | Park Avenue Securities LLC other | Signator Investors, Inc. other | Other | Mar 19, 2009 | Jan 24, 2011 (676 d) |
| Michael Jason Sacher | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Feb 20, 2009 | Feb 17, 2009 |
| Isaac Robert Cockfield | Park Avenue Securities LLC other | Fortitude Advisory Group L.L.C. other | Other | Feb 3, 2009 | Feb 26, 2009 |
| Stephen Lloyd Good | Park Avenue Securities LLC other | MML Investors Services, LLC other | Other | Feb 2, 2009 | Feb 11, 2009 |
| Richard Dillard Dixon | Park Avenue Securities LLC other | Financial Partners, Inc. unclassified | Other | Jan 23, 2009 | Jul 23, 2009 (181 d) |
| Thomas Quinn Ellis | Park Avenue Securities LLC other | Foothill Securities, Inc. other | Other | Dec 9, 2008 | Dec 3, 2008 |
| Jo Ann Elisabeth Favia | Park Avenue Securities LLC other | Nfp Advisor Services, LLC other | Other | Nov 7, 2008 | Nov 5, 2008 |
| Kevin Joseph Graham | Park Avenue Securities LLC other | Cambridge Investment Research Advisors, Inc. BD affiliated | Other | Nov 5, 2008 | Nov 24, 2021 (4767 d) |
| Carol Larissa Petrov | Park Avenue Securities LLC other | Morgan Stanley & Co. LLC unclassified | Other | Nov 5, 2008 | Nov 7, 2008 |