| Jeffrey Kistler Jones | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Dec 17, 2010 | Dec 21, 2010 |
| Christopher Michael Wells | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Dec 17, 2010 | Dec 20, 2010 |
| Jennifer Anne Stucka | Next Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Dec 17, 2010 | Dec 15, 2010 |
| Larry Richard Hancock | Next Financial Group, Inc. other | Proactive Retirement Solutions unclassified | Other | Dec 8, 2010 | Dec 3, 2010 |
| Charles Edward Archer | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 8, 2010 | Dec 3, 2010 |
| Douglas Haig Alexander | Next Financial Group, Inc. other | First Allied Securities, Inc. other | Other | Dec 8, 2010 | Nov 29, 2010 |
| Lawrence E Wall | Next Financial Group, Inc. other | Ameritas Advisory Services other | Other | Dec 1, 2010 | Dec 1, 2010 |
| Eric Vincent Wasson | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Nov 24, 2010 | Dec 10, 2010 |
| Troy Lane Stine | Next Financial Group, Inc. other | First Allied Securities, Inc. other | Other | Nov 24, 2010 | Nov 19, 2010 |
| John Christopher Neyland | Next Financial Group, Inc. other | First Allied Securities, Inc. other | Other | Nov 8, 2010 | Nov 5, 2010 |
| Susanna Joiner Schlangen | Next Financial Group, Inc. other | Alphasource Investment Counsel, Inc other | Other | Oct 21, 2010 | Mar 25, 2009 |
| Frank Anthony Perella | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Oct 21, 2010 | Oct 21, 2010 |
| Bruce Allen Joseph | Next Financial Group, Inc. other | Allstate Financial Advisors, LLC no RAUM | Other | Oct 18, 2010 | Nov 10, 2010 |
| Douglas Marc Singer | Next Financial Group, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 15, 2010 | Sep 28, 2010 |
| Kimberly Evelyn Mcmillion | Next Financial Group, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Oct 6, 2010 | Oct 6, 2010 |
| Steven Wayne Ellis | Next Financial Group, Inc. other | Vsr Advisory Services other | Other | Sep 27, 2010 | Aug 30, 2010 |
| Deborah Ann Grothe-Rodgers | Next Financial Group, Inc. other | Merit Advisors, Inc. state registered | Other | Sep 27, 2010 | Feb 28, 2011 (154 d) |
| Cynthia Leigh Powell | Next Financial Group, Inc. other | Vsr Advisory Services other | Other | Sep 27, 2010 | Aug 30, 2010 |
| Steven D Harpham | Next Financial Group, Inc. other | G. A. Repple & Company other | Other | Sep 23, 2010 | Sep 10, 2010 |
| Clark David Dearmond | Next Financial Group, Inc. other | Pageone Financial, Inc. other | Other | Sep 22, 2010 | Sep 5, 2002 |
| James A Franklin | Next Financial Group, Inc. other | Investors Capital Advisory other | Other | Sep 22, 2010 | Sep 30, 2010 |
| Howard Raymond Solomon | Next Financial Group, Inc. other | Verus Capital Partners, LLC other | Other | Sep 16, 2010 | Sep 9, 2010 |
| Rebecca Bradley Paterik | Next Financial Group, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Sep 15, 2010 | Aug 26, 2010 |
| Frank Anthony Molinar | Next Financial Group, Inc. other | Verus Capital Partners, LLC other | Other | Sep 15, 2010 | Sep 15, 2010 |
| Todd Allen Rustman | Next Financial Group, Inc. other | Osaic Wealth, Inc. other | Other | Sep 15, 2010 | Aug 24, 2010 |
| Randall Bruce Simpson | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Sep 15, 2010 | Sep 15, 2010 |
| James Ellis Kirk | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Sep 10, 2010 | Oct 20, 2010 (40 d) |
| Diana M Longo | Next Financial Group, Inc. other | Verus Capital Partners, LLC other | Other | Sep 10, 2010 | Sep 9, 2010 |
| Terry Todd Thill | Next Financial Group, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 10, 2010 | Aug 31, 2010 |
| Daniel James Dubois | Next Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Sep 7, 2010 | Nov 2, 2010 (56 d) |
| Dawson J White | Next Financial Group, Inc. other | Whiterock Financial, LLC state registered | Other | Sep 7, 2010 | Jan 1, 2026 (5595 d) |
| Edward Carl Ittner | Next Financial Group, Inc. other | Verus Capital Partners, LLC other | Other | Aug 20, 2010 | Dec 22, 2009 |
| James Patrick Murray | Next Financial Group, Inc. other | Scf Investment Advisors, Inc. other | Other | Aug 20, 2010 | Nov 15, 2010 (87 d) |
| Brett Richard Clarke | Next Financial Group, Inc. other | Chase Investment Services Corp. other | Other | Aug 20, 2010 | Aug 10, 2010 |
| Stephen Dale Bull | Next Financial Group, Inc. other | Verus Capital Partners, LLC other | Other | Aug 11, 2010 | Dec 22, 2009 |
| Johanna Lynne Bathurst | Next Financial Group, Inc. other | Kestra Advisory Services, LLC other | Other | Aug 3, 2010 | Apr 19, 2016 (2086 d) |
| Joseph Edward Tocchini | Next Financial Group, Inc. other | Equitable Advisors, LLC national BD | Other | Jul 28, 2010 | Jul 27, 2010 |
| Glen Richards Pier | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 26, 2010 | Jul 26, 2010 |
| John Francis Ryan | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 22, 2010 | Jul 23, 2010 |
| Christopher Hess | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 22, 2010 | Jul 22, 2010 |
| Eric James Hoebbel | Next Financial Group, Inc. other | Concourse Financial Group Advisors other | Other | Jul 22, 2010 | Jul 21, 2010 |
| Aderito Edward Morais | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 22, 2010 | Jul 22, 2010 |
| Michelle Otts Bailey | Next Financial Group, Inc. other | Investacorp Advisory Services Inc other | Other | Jul 22, 2010 | Aug 18, 2010 |
| Walter Franklin Greenwald | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 20, 2010 | Jul 20, 2010 |
| Steven Ray Studebaker | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jul 20, 2010 | Jul 21, 2010 |
| Gregory Morris Beardslee | Next Financial Group, Inc. other | Concourse Financial Group Advisors other | Other | Jul 16, 2010 | Jul 21, 2010 |
| Timothy Andrew Jones | Next Financial Group, Inc. other | Concourse Financial Group Advisors other | Other | Jul 13, 2010 | Aug 26, 2010 (44 d) |
| Woodrow Selvey Knight | Next Financial Group, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 13, 2010 | Mar 1, 2012 (597 d) |
| Scott Douglas Clarke | Next Financial Group, Inc. other | First Independent Advisory Services, Inc. unclassified | Other | Jul 6, 2010 | Oct 5, 2010 (91 d) |
| Jon Michael Zoet | Next Financial Group, Inc. other | United Planners' Financial Services Of America A Limited Partner other | Other | Jul 2, 2010 | Jul 8, 2010 |
| Robert Charles Waddell | Next Financial Group, Inc. other | First Independent Advisory Services, Inc. unclassified | Other | Jul 2, 2010 | Jul 6, 2010 |
| William Stirling Pittman | Next Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 29, 2010 | Jul 7, 2010 |
| William Hartwell Cox | Next Financial Group, Inc. other | Elite Investment Team LLC independent RIA | Other | Jun 28, 2010 | Apr 23, 2019 (3221 d) |
| Jerry Bradford Grimes | Next Financial Group, Inc. other | Ic Advisory Services, Inc. other | Other | Jun 25, 2010 | Jun 28, 2010 |
| Erik Bencomo | Next Financial Group, Inc. other | Td Ameritrade Investment Management, LLC other | Other | Jun 11, 2010 | Jul 2, 2010 |
| Devin J Garofalo | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Jun 7, 2010 | Jun 2, 2010 |
| Matthew J. Baker | Next Financial Group, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 1, 2010 | May 28, 2010 |
| Richard Dale Nilmeier | Next Financial Group, Inc. other | Rice Brown Financial Services unclassified | Other | May 5, 2010 | Jan 17, 2008 |
| John Peter Nilmeier | Next Financial Group, Inc. other | Rice Brown Financial Services unclassified | Other | Apr 29, 2010 | Jan 17, 2008 |
| Michael Edward Miller | Next Financial Group, Inc. other | Osaic Fa, Inc. other | Other | Apr 26, 2010 | Feb 12, 2016 (2118 d) |