| Brandon Brooks | Next Financial Group, Inc. other | Strategic Advisers LLC national BD | Other | Mar 23, 2012 | May 30, 2012 (68 d) |
| John Mckinley Walling | Next Financial Group, Inc. other | Fsc Securities Corporation other | Other | Feb 28, 2012 | Mar 7, 2012 |
| Robert Philip Schlangen | Next Financial Group, Inc. other | Summit Advisor Solutions other | Other | Jan 30, 2012 | Nov 20, 2013 (660 d) |
| Vincenzo Fragomeni | Next Financial Group, Inc. other | Pruco Securities, LLC other | Other | Jan 17, 2012 | Mar 6, 2012 (49 d) |
| Michael Dwain Jones | Next Financial Group, Inc. other | Lifecourse Capital, Inc. independent RIA | Other | Jan 12, 2012 | Jan 12, 2012 |
| Joshua Thomas Fox | Next Financial Group, Inc. other | Spc other | Other | Dec 31, 2011 | Jan 3, 2012 |
| William Alexander Shumate | Next Financial Group, Inc. other | Kovack Advisors, Inc. other | Other | Dec 31, 2011 | Jan 6, 2012 |
| James Ira Mccormick | Next Financial Group, Inc. other | Pmd Advisory mixed wealth | Other | Dec 15, 2011 | Dec 15, 2011 |
| Melanie Shirley Dickinson | Next Financial Group, Inc. other | Pmd Advisory mixed wealth | Other | Dec 15, 2011 | Dec 15, 2011 |
| Brian J Laroche | Next Financial Group, Inc. other | MML Investors Services, LLC other | Other | Dec 13, 2011 | Dec 12, 2011 |
| Richard Edwin Olson | Next Financial Group, Inc. other | H. Beck, Inc. other | Other | Dec 13, 2011 | Dec 19, 2011 |
| Andrew B Adams | Next Financial Group, Inc. other | Invest Financial Corporation other | Other | Dec 5, 2011 | Dec 2, 2011 |
| Joseph Pell Bartmess | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 18, 2011 | Nov 15, 2011 |
| Pablo Ildefonso Balart | Next Financial Group, Inc. other | Transamerica Financial Advisors, LLC other | Other | Nov 17, 2011 | Dec 15, 2011 |
| Candace Calloway Mills | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 16, 2011 | Nov 15, 2011 |
| B Aaron Martin | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 16, 2011 | Nov 15, 2011 |
| John Paul Deves | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 16, 2011 | Nov 15, 2011 |
| Herbert Wilmer Findeisen | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 16, 2011 | Nov 15, 2011 |
| Christopher Thomas Hartrich | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 16, 2011 | Nov 15, 2011 |
| Eric Louis Rechtin | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Nov 16, 2011 | Nov 15, 2011 |
| Jennifer A Richards | Next Financial Group, Inc. other | Avantax Planning Partners, Inc. independent RIA | Other | Nov 16, 2011 | Feb 8, 2023 (4102 d) |
| Mary O Morrow | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Sep 2, 2011 | Oct 7, 2011 (35 d) |
| Michael Thomas Silk | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Sep 2, 2011 | Sep 1, 2011 |
| Christopher William Neston | Next Financial Group, Inc. other | Ausdal Financial Partners, Inc. other | Other | Sep 2, 2011 | Sep 1, 2011 |
| Christopher Ford Wendland | Next Financial Group, Inc. other | H. Beck, Inc. other | Other | Sep 1, 2011 | Sep 8, 2011 |
| Tamara Haskins | Next Financial Group, Inc. other | The Retirement Group, LLC other | Other | Aug 30, 2011 | Oct 17, 2011 (48 d) |
| Joseph Terence Covill | Next Financial Group, Inc. other | Coburn & Meredith, Inc. other | Other | Aug 30, 2011 | Aug 30, 2011 |
| Mary Kathryn Sommers Carden | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Aug 26, 2011 | Sep 7, 2011 |
| Jeffrey Dale Gorsline | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Aug 16, 2011 | Aug 19, 2011 |
| Jacob Aaron Mcclure | Next Financial Group, Inc. other | The Personal Wealth Coach other | Other | Aug 5, 2011 | Aug 13, 2007 |
| Edward Henry Rodriguez | Next Financial Group, Inc. other | Questar Asset Management, Inc. other | Other | Jul 20, 2011 | Jul 27, 2011 |
| Scott Edward Whitten | Next Financial Group, Inc. other | H. Beck, Inc. other | Other | Jun 23, 2011 | Jun 28, 2011 |
| Christopher Lee Jones | Next Financial Group, Inc. other | Cetera Advisors LLC other | Other | Jun 20, 2011 | Jun 17, 2011 |
| Alfredo Oliva | Next Financial Group, Inc. other | Kovack Advisors, Inc. other | Other | Jun 20, 2011 | Jul 5, 2011 |
| Alfredo Oliva | Next Financial Group, Inc. other | Kovack Advisors, Inc. other | Other | Jun 20, 2011 | Jul 13, 2011 |
| Bryon Eugene Townsend | Next Financial Group, Inc. other | Cetera Investment Advisers LLC BD affiliated | Other | Jun 16, 2011 | Mar 21, 2024 (4662 d) |
| Bradley David Bush | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 6, 2011 | Jun 3, 2011 |
| Rosalie Jones Henley-Crownover | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 6, 2011 | Jun 3, 2011 |
| Lawrence Henry Brinks | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 6, 2011 | Jun 3, 2011 |
| Phyllis Kirven Johnson | Next Financial Group, Inc. other | Pk Johnson Financial Services, LLC unclassified | Other | Jun 3, 2011 | May 18, 2009 |
| Aleksandar Krakovic | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | May 17, 2011 | May 16, 2011 |
| Chad Duane Anderson | Next Financial Group, Inc. other | Investment Centers Of America, Inc. other | Other | May 10, 2011 | Aug 13, 2012 (461 d) |
| John On-Kwok Lau | Next Financial Group, Inc. other | Lfs Wealth Advisors other | Other | May 4, 2011 | Dec 7, 2010 |
| Robert M. Wyrick, Jr. | Next Financial Group, Inc. other | Alphasource Investment Counsel, Inc other | Other | Apr 27, 2011 | Nov 30, 2007 |
| Tim Lee Baker | Next Financial Group, Inc. other | First Allied Securities, Inc. other | Other | Apr 21, 2011 | Apr 19, 2011 |
| Dan Eugene Sanders | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 18, 2011 | Apr 14, 2011 |
| Keith Wayne Patterson | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 18, 2011 | Apr 21, 2011 |
| Gregory Anthony Matthews | Next Financial Group, Inc. other | Madison Avenue Securities, LLC other | Other | Apr 18, 2011 | Jun 21, 2011 (64 d) |
| Lee Douglas Hooks | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Apr 18, 2011 | Apr 19, 2011 |
| William Franklin Richardson | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 18, 2011 | Apr 20, 2011 |
| Shanyn Kay Stewart | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Apr 5, 2011 | Mar 1, 2011 |
| Bradden Glen Kimes | Next Financial Group, Inc. other | Hwm LLC unclassified | Other | Apr 5, 2011 | Jul 27, 2015 (1574 d) |
| Daniel Richard Garvin | Next Financial Group, Inc. other | First Allied Securities, Inc. other | Other | Mar 25, 2011 | Mar 3, 2011 |
| Stephan George Gonzalez-Llanes | Next Financial Group, Inc. other | Chase Investment Services Corp. other | Other | Mar 25, 2011 | Apr 20, 2011 |
| Christopher Brian Hensley | Next Financial Group, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 2, 2011 | Jun 24, 2011 (114 d) |
| Stephen Renden Thomas | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Feb 28, 2011 | Feb 15, 2011 |
| David Alan Ramos | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Feb 28, 2011 | Feb 15, 2011 |
| Elad Gad Goren | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Feb 28, 2011 | Feb 15, 2011 |
| Craig Martz | Next Financial Group, Inc. other | Transamerica Retirement Advisors, LLC other | Other | Jan 12, 2011 | Mar 24, 2015 (1532 d) |
| Jeffry Lynn Cobb | Next Financial Group, Inc. other | Logical Investments, LLC state registered | Other | Dec 31, 2010 | Jan 19, 2011 |