| Justin Michael Holtz | Next Financial Group, Inc. other | LPL Financial LLC other | Other | May 19, 2008 | Apr 30, 2008 |
| Robin Gardner Lee | Next Financial Group, Inc. other | Creative Financial Designs, Inc. other | Other | Apr 15, 2008 | Apr 2, 2008 |
| Alan Joel Schmidt | Next Financial Group, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Mar 17, 2008 | May 27, 2011 (1166 d) |
| John Andrew Shumski | Next Financial Group, Inc. other | On Investment Management Co other | Other | Jan 17, 2008 | Jan 6, 2009 (355 d) |
| Michael Louis Schwartz | Next Financial Group, Inc. other | First Allied Securities, Inc. other | Other | Dec 31, 2007 | Dec 17, 2007 |
| Richard Joseph Russillo | Next Financial Group, Inc. other | Equitable Advisors, LLC national BD | Other | Nov 16, 2007 | Nov 1, 2007 |
| Cynthia Danielle Jeffries | Next Financial Group, Inc. other | Commonwealth Financial Network national BD | Other | Nov 16, 2007 | Mar 14, 2011 (1214 d) |
| Leslie Howard Kern | Next Financial Group, Inc. other | Planmember Securities Corporation other | Other | Nov 8, 2007 | Nov 29, 2007 |
| Cohen Reagan | Next Financial Group, Inc. other | Td Ameritrade Investment Management, LLC other | Other | Nov 8, 2007 | Jan 11, 2008 (64 d) |
| Matthew Alan Taylor | Next Financial Group, Inc. other | Brookstone Capital Management LLC other | Other | Sep 27, 2007 | Oct 2, 2007 |
| Clemont Lee Bevill | Next Financial Group, Inc. other | Berthel Fisher & Company Financial Services, Inc. other | Other | Jun 20, 2007 | Jun 28, 2007 |
| Jennifer Gale Jones | Next Financial Group, Inc. other | Investors Capital Advisory other | Other | Jun 4, 2007 | Jun 4, 2007 |
| Roger Joel Conde | Next Financial Group, Inc. other | J P Turner & Company Capital Management, LLC other | Other | Apr 16, 2007 | Sep 10, 2007 (147 d) |
| David Glenn Settelmyer | Next Financial Group, Inc. other | Medallion Advisory Services, LLC unclassified | Other | Feb 27, 2007 | Feb 26, 2007 |
| Dwight W. Kimber | Next Financial Group, Inc. other | Berthel Fisher & Company Financial Services, Inc. other | Other | Feb 26, 2007 | Mar 12, 2007 |
| Patsy Ralph Mandola | Next Financial Group, Inc. other | H. Beck, Inc. other | Other | Feb 21, 2007 | Feb 20, 2007 |
| David Milton Tuxhorn | Next Financial Group, Inc. other | Edward Jones national BD | Other | Jan 4, 2007 | Jan 3, 2007 |
| Matthew Raymond Hisey | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Dec 8, 2006 | Nov 14, 2006 |
| Charles Ian Kasner | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Sep 6, 2006 | Aug 30, 2006 |
| Ronald Lee Philbrick | Next Financial Group, Inc. other | Advice And Planning Services other | Other | Aug 25, 2006 | Nov 8, 2006 (75 d) |
| Ronnie Myron Kidd | Next Financial Group, Inc. other | Generations Investment Advisors, LLC state registered | Other | Aug 9, 2006 | Aug 9, 2006 |
| Stephen Craig Tosi | Next Financial Group, Inc. other | Generations Investment Advisors, LLC state registered | Other | Aug 9, 2006 | Aug 9, 2006 |
| Eric Keith Amundson | Next Financial Group, Inc. other | Pacific West Financial Consultants Inc other | Other | Jul 25, 2006 | Jul 25, 2006 |
| Russell Lynn Bacon | Next Financial Group, Inc. other | Pacific West Financial Consultants Inc other | Other | Jul 25, 2006 | Jul 28, 2006 |
| Marigene Wilkins Taylor | Next Financial Group, Inc. other | American General Securities Incorporated unclassified | Other | Jul 24, 2006 | Aug 14, 2006 |
| Jerome Bruce Liebstein | Next Financial Group, Inc. other | Edelman Financial Services, LLC other | Other | Jul 17, 2006 | Jul 28, 2006 |
| Sean Caywood | Next Financial Group, Inc. other | LPL Financial LLC other | Other | May 19, 2006 | May 8, 2006 |
| John Alexander Scott, III | Next Financial Group, Inc. other | Equitable Advisors, LLC national BD | Other | Apr 21, 2006 | Mar 19, 2020 (5081 d) |
| Keith Wayne Parker | Next Financial Group, Inc. other | Cargile Investment Management other | Other | Apr 7, 2006 | Apr 28, 2006 |
| Jason Dodzik | Next Financial Group, Inc. other | Brecek & Young Advisors, Inc. other | Other | Apr 4, 2006 | Nov 3, 2006 (213 d) |
| Brian S Staples | Next Financial Group, Inc. other | Staples Financial Management, Inc. unclassified | Other | Jan 20, 2006 | Jun 6, 2006 (137 d) |
| Linda Sueing Jackson | Next Financial Group, Inc. other | Sueing Investments, LLC state registered | Other | Dec 31, 2005 | Feb 28, 2006 (59 d) |
| Brandon L. Glasscock | Next Financial Group, Inc. other | Wells Fargo Investments, LLC unclassified | Other | Dec 31, 2005 | Aug 7, 2007 (584 d) |
| Stephen Douglas Memery | Next Financial Group, Inc. other | Bay Capital Advisors, LLC independent RIA | Other | Dec 2, 2005 | Jul 12, 2007 (587 d) |
| Steven Robert Wilkerson | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Sep 16, 2005 | Sep 20, 2005 |
| Clay Stephen Cooper | Next Financial Group, Inc. other | Cooper, Clay Stephen state registered | Other | Sep 6, 2005 | Jan 20, 2012 (2327 d) |
| Jeffrey Pippin Benson | Next Financial Group, Inc. other | Frontier Financial Partners, LLC state registered | Other | Aug 31, 2005 | May 20, 2008 (993 d) |
| William Scott Thomas | Next Financial Group, Inc. other | Frontier Financial Partners, LLC state registered | Other | Aug 31, 2005 | Aug 12, 2005 |
| Douglas Ronald Moe | Next Financial Group, Inc. other | Questar Asset Management, Inc. other | Other | Aug 31, 2005 | May 15, 2009 (1353 d) |
| Noel Adrian Eddleman | Next Financial Group, Inc. other | Eddleman & Eddleman Inc state registered | Other | Aug 31, 2005 | Jul 5, 2007 (673 d) |
| Frank Leroy Bell | Next Financial Group, Inc. other | Compass Financial Strategies, Inc. unclassified | Other | Jul 13, 2005 | Jun 17, 2005 |
| Deborah Hughes Bell | Next Financial Group, Inc. other | Compass Financial Strategies, Inc. unclassified | Other | Jul 13, 2005 | Jun 20, 2005 |
| John Troy Gilmore | Next Financial Group, Inc. other | Tlg Advisors, Inc. BD affiliated | Other | May 17, 2005 | Nov 6, 2020 (5652 d) |
| Linda Rose Jensen | Next Financial Group, Inc. other | LPL Financial LLC other | Other | Apr 25, 2005 | Apr 25, 2005 |
| Edward Lawrence Komito | Next Financial Group, Inc. other | Investors Capital Advisory other | Other | Apr 8, 2005 | Jun 24, 2005 (77 d) |
| Philip Marcus Crow | Next Financial Group, Inc. other | American General Securities Incorporated unclassified | Other | Dec 31, 2004 | Mar 17, 2006 (441 d) |
| Christopher Scott Jennings | Next Financial Group, Inc. other | Bi Investments, LLC unclassified | Other | Dec 31, 2004 | Jan 4, 2005 |
| Bobby Hilton Christian | Next Financial Group, Inc. other | Msi Financial Services, Inc. other | Other | Sep 22, 2004 | Oct 7, 2004 |
| Mark Philip Cussen | Next Financial Group, Inc. other | Bedrock Investment Advisors independent RIA | Other | May 10, 2004 | Apr 7, 2020 (5811 d) |
| Stephen Wayne Mattocks | Next Financial Group, Inc. other | Sagepoint Financial, Inc. other | Other | Mar 11, 2004 | Jul 11, 2011 (2678 d) |
| Roger Roosevelt Bell | Next Financial Group, Inc. other | Investors Security Company, Inc. other | Other | Dec 31, 2003 | Jan 2, 2004 |
| Anthony James Manganaro | Next Financial Group, Inc. other | Main Street Advisors, LLC other | Other | Aug 14, 2003 | Mar 5, 2004 (204 d) |
| Thomas Shawn Anthony | Next Financial Group, Inc. other | Blue Vase Securities, LLC unclassified | Other | Jun 24, 2003 | Jul 8, 2003 |
| Robert Anthony Gentry | Next Financial Group, Inc. other | Osaic Fs, Inc. other | Other | Aug 12, 2002 | Jan 13, 2004 (519 d) |