| Sarvey Garcia Canella | Next Financial Group, Inc. other | Securities America Advisors, Inc. other | Other | Apr 9, 2010 | Apr 9, 2010 |
| Frank Leslie Haviland | Next Financial Group, Inc. other | Fifth Third Securities, Inc. other | Other | Apr 6, 2010 | Apr 23, 2010 |
| Azeb Gessesse Clark | Next Financial Group, Inc. other | Cambridge Investment Research Advisors, Inc. other | Other | Mar 31, 2010 | Apr 14, 2010 |
| Gregory Brook Ashton | Next Financial Group, Inc. other | First Independent Advisory Services, Inc. unclassified | Other | Mar 23, 2010 | Mar 26, 2010 |
| Samuel Peter Varano | Next Financial Group, Inc. other | Websterrogers Financial Advisors, LLC other | Other | Mar 12, 2010 | Apr 12, 2010 (31 d) |
| John Derek Glicco | Next Financial Group, Inc. other | Beyond Capital Financial Management Group, Inc. other | Other | Mar 1, 2010 | May 1, 2009 |
| Cindy Shu-Way Shi | Next Financial Group, Inc. other | Ameriprise Financial Services, LLC national BD | Other | Feb 25, 2010 | Feb 25, 2010 |
| Joseph Bedford James | Next Financial Group, Inc. other | Money Managers, Inc. other | Other | Feb 19, 2010 | Feb 2, 2009 |
| Jeffrey William Mcclure | Next Financial Group, Inc. other | The Personal Wealth Coach other | Other | Jan 28, 2010 | Jul 30, 2007 |
| Trent A Loucks | Next Financial Group, Inc. other | Td Ameritrade, Inc. no RAUM | Other | Jan 8, 2010 | Mar 26, 2013 (1173 d) |
| John Alison Fahnestock | Next Financial Group, Inc. other | Financial Advisers Of America, LLC other | Other | Dec 31, 2009 | Jan 4, 2010 |
| Keith Ronan Nielsen | Next Financial Group, Inc. other | Girard Securities, Inc. other | Other | Dec 31, 2009 | Feb 10, 2010 (41 d) |
| Dawn Renee Carey | Next Financial Group, Inc. other | Davis-Ross Investment Advisers, LLC other | Other | Dec 31, 2009 | Jul 12, 2010 (193 d) |
| Steven Scott Iversen | Next Financial Group, Inc. other | Foothill Securities, Inc. other | Other | Dec 31, 2009 | Jan 5, 2010 |
| Anthony Rosetti | Next Financial Group, Inc. other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Dec 23, 2009 | Sep 1, 2011 (617 d) |
| Lisa Kae Adams | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Dec 15, 2009 | Dec 14, 2009 |
| David Gerald Adams | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Dec 15, 2009 | Dec 14, 2009 |
| Michael Chester Kirk | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Dec 15, 2009 | Dec 17, 2009 |
| Megan Lynn Prochniak | Next Financial Group, Inc. other | Paladin Partners independent RIA | Other | Dec 14, 2009 | May 27, 2020 (3817 d) |
| Dorothy Ann Wilson | Next Financial Group, Inc. other | Cetera Investment Advisers LLC other | Other | Dec 9, 2009 | Dec 4, 2009 |
| David Paul Catron | Next Financial Group, Inc. other | Usaa Financial Planning Services no RAUM | Other | Dec 1, 2009 | Jan 7, 2010 (37 d) |
| Christopher Lee Mediate | Next Financial Group, Inc. other | Foresters Equity Services, Inc. other | Other | Sep 14, 2009 | Sep 15, 2009 |
| William Michael Baxter | Next Financial Group, Inc. other | Paladin Partners independent RIA | Other | Sep 14, 2009 | May 26, 2020 (3907 d) |
| Mark Alan Ziety | Next Financial Group, Inc. other | Paladin Partners independent RIA | Other | Sep 14, 2009 | Aug 25, 2009 |
| Michael Richard Clouse | Next Financial Group, Inc. other | D.H. Hill Advisors, Inc. independent RIA | Other | Sep 11, 2009 | Sep 30, 2009 |
| Richard S Sentnor | Next Financial Group, Inc. other | Advisory Resource Group, LLC state registered | Other | Sep 11, 2009 | Jun 9, 2015 (2097 d) |
| Gregory Lynn Grimes | Next Financial Group, Inc. other | Centaurus Financial, Inc. other | Other | Sep 10, 2009 | Sep 11, 2009 |
| Bridget Christine Morales | Next Financial Group, Inc. other | Edward Jones national BD | Other | Sep 10, 2009 | Oct 20, 2009 (40 d) |
| Erik Cecil Barnes | Next Financial Group, Inc. other | Harbor Financial Services, LLC other | Other | Sep 10, 2009 | Oct 19, 2009 (39 d) |
| David Todd Harding | Next Financial Group, Inc. other | Investors Capital Advisory other | Other | Aug 28, 2009 | Aug 12, 2009 |
| Erica Droste Massman | Next Financial Group, Inc. other | Vsr Advisory Services other | Other | Aug 7, 2009 | Aug 7, 2009 |
| Jeffrey Scott Hellerstedt | Next Financial Group, Inc. other | Centaurus Financial, Inc. other | Other | Aug 7, 2009 | Aug 10, 2009 |
| Gary Charles Haack | Next Financial Group, Inc. other | Alamo Asset Advisors other | Other | Jul 20, 2009 | Sep 18, 2009 (60 d) |
| Jenny Mack Jones | Next Financial Group, Inc. other | The Jones Stewardship Group, LLC state registered | Other | Jun 25, 2009 | Sep 24, 2025 (5935 d) |
| Donald Edson Johnson | Next Financial Group, Inc. other | Wells Fargo Advisors wirehouse | Other | Jun 12, 2009 | Jun 1, 2009 |
| Joe Rowland Basham | Next Financial Group, Inc. other | Spc other | Other | Jun 1, 2009 | Jan 14, 2010 (227 d) |
| Michelle Lynn Bauer | Next Financial Group, Inc. other | Packerland Brokerage Services, Inc. other | Other | Jun 1, 2009 | May 7, 2009 |
| Brian Michael Wieland | Next Financial Group, Inc. other | Beckland Financial unclassified | Other | May 6, 2009 | May 27, 2009 |
| Laura Marie Fasan | Next Financial Group, Inc. other | Osaic Institutions, Inc. other | Other | May 4, 2009 | May 4, 2009 |
| Timothy James Murphy | Next Financial Group, Inc. other | Wells Fargo Advisors wirehouse | Other | Apr 30, 2009 | May 12, 2009 |
| Zachary Allen Zettergren | Next Financial Group, Inc. other | Signator Investors, Inc. other | Other | Apr 29, 2009 | Apr 28, 2009 |
| Clifford Richard Kolson | Next Financial Group, Inc. other | Dba Family Wealth Leadership other | Other | Apr 6, 2009 | Sep 15, 2025 (6006 d) |
| Jonathan Ongcuangco Reyes | Next Financial Group, Inc. other | Chase Investment Services Corp. other | Other | Apr 2, 2009 | Apr 24, 2009 |
| Tony Gene Griepentrog | Next Financial Group, Inc. other | Geneos Wealth Management, Inc. other | Other | Apr 2, 2009 | Sep 25, 2013 (1637 d) |
| Jeffry Stephen Cole | Next Financial Group, Inc. other | Avantax Advisory Services other | Other | Mar 5, 2009 | Feb 25, 2009 |
| Richard Francis Barnett | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Mar 3, 2009 | Feb 6, 2009 |
| Michael Patrick Murray | Next Financial Group, Inc. other | Sii Investments, Inc. other | Other | Feb 19, 2009 | Feb 9, 2009 |
| David Dereck Kassir | Next Financial Group, Inc. other | Manna Capital Management unclassified | Other | Feb 19, 2009 | Feb 13, 2009 |
| Mark Angelo Militello | Next Financial Group, Inc. other | Girard Securities, Inc. other | Other | Jan 22, 2009 | Jan 12, 2009 |
| Stefany Tegeler Schade | Next Financial Group, Inc. other | Girard Securities, Inc. other | Other | Jan 21, 2009 | Jan 15, 2009 |
| Donna Irene Crocker | Next Financial Group, Inc. other | Good Harbor Advisors, Inc. independent RIA | Other | Dec 31, 2008 | Apr 23, 2007 |
| Ronnie Orville Caruthers | Next Financial Group, Inc. other | Foresters Equity Services, Inc. other | Other | Dec 22, 2008 | Dec 10, 2008 |
| Michael Trombetta | Next Financial Group, Inc. other | Osaic Fs, Inc. other | Other | Dec 17, 2008 | Nov 19, 2008 |
| Joe Malave | Next Financial Group, Inc. other | Nfp Advisor Services, LLC other | Other | Oct 13, 2008 | Oct 20, 2008 |
| Benjamin Aaron Tyson | Next Financial Group, Inc. other | Planmember Securities Corporation other | Other | Aug 19, 2008 | Aug 11, 2008 |
| Todd Elliott Smith | Next Financial Group, Inc. other | Fifth Third Securities, Inc. other | Other | Aug 4, 2008 | Jul 30, 2008 |
| Brian Matthew Bean | Next Financial Group, Inc. other | Medallion Advisory Services, LLC unclassified | Other | Jul 31, 2008 | Jul 31, 2008 |
| James Robert Swanson | Next Financial Group, Inc. other | Jrs Investments And Wealth Preservation, LLC state registered | Other | Jun 24, 2008 | Jun 4, 2008 |
| Kenneth Raymond Kirkeby | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Jun 4, 2008 | May 28, 2008 |
| Robert Mark Star | Next Financial Group, Inc. other | Woodbury Financial Services, Inc. other | Other | May 19, 2008 | May 6, 2008 |