| Walter John West | New England Securities Corporation other | Qa3 Financial LLC unclassified | Other | May 1, 2009 | Jul 20, 2009 (80 d) |
| David Wayne Thompson | New England Securities Corporation other | Cetera Advisors LLC other | Other | Apr 23, 2009 | Apr 20, 2009 |
| Malinda M. Martin | New England Securities Corporation other | Pnc Managed Account Solutions, Inc. other | Other | Apr 13, 2009 | Apr 1, 2011 (718 d) |
| Mark Born Schwendeman | New England Securities Corporation other | Valmark Advisers, Inc. other | Other | Apr 6, 2009 | Dec 18, 2009 (256 d) |
| Gary W Lavallee | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 11, 2009 | Feb 22, 2011 (713 d) |
| Jonathan Earl Kennedy | New England Securities Corporation other | Principal Securities, Inc. other | Other | Feb 26, 2009 | Mar 10, 2009 |
| Stuart Craig Rhue | New England Securities Corporation other | Edward Jones national BD | Other | Feb 6, 2009 | May 12, 2017 (3017 d) |
| Kirk S Barth | New England Securities Corporation other | Principal Securities, Inc. other | Other | Feb 4, 2009 | Feb 6, 2009 |
| Jeffrey Stewart Mccreery | New England Securities Corporation other | MML Investors Services, LLC other | Other | Jan 26, 2009 | Apr 3, 2009 (67 d) |
| Marc Lawrence Delia | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Jan 12, 2009 | Mar 9, 2009 (56 d) |
| Marty Michael Martinez | New England Securities Corporation other | MML Investors Services, LLC other | Other | Jan 8, 2009 | Mar 13, 2009 (64 d) |
| Charbel Elias Ojeil | New England Securities Corporation other | Voya Financial Advisors, Inc. other | Other | Jan 5, 2009 | Oct 13, 2010 (646 d) |
| Seth Raynor Waltz | New England Securities Corporation other | Mariner other | Other | Dec 31, 2008 | Jan 20, 2011 (750 d) |
| Zel Edward Bush | New England Securities Corporation other | LPL Financial LLC other | Other | Dec 8, 2008 | Dec 2, 2008 |
| Tony Joseph Winkeljohn | New England Securities Corporation other | Nrp Advisors, Inc. unclassified | Other | Dec 8, 2008 | Dec 9, 2008 |
| Keith Anthony Guertin | New England Securities Corporation other | Oneamerica Securities, Inc. other | Other | Dec 4, 2008 | Oct 22, 2009 (322 d) |
| Stuart Wally Blankenship | New England Securities Corporation other | Suntrust Investment Services, Inc. other | Other | Oct 21, 2008 | Oct 23, 2008 |
| Kenneth Peter Harper | New England Securities Corporation other | Edward Jones national BD | Other | Oct 20, 2008 | Aug 3, 2009 (287 d) |
| Christopher David Heckadon | New England Securities Corporation other | MML Investors Services, LLC other | Other | Oct 14, 2008 | Nov 17, 2008 (34 d) |
| Danny L Thornsberry | New England Securities Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Oct 13, 2008 | Oct 31, 2008 |
| Kristen L Mckeown | New England Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Oct 9, 2008 | Apr 30, 2009 (203 d) |
| Kevin Patrick Manning | New England Securities Corporation other | Independent Financial Partners other | Other | Oct 1, 2008 | Nov 6, 2008 (36 d) |
| Vivian Yu Rong Chu | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Sep 30, 2008 | Oct 3, 2008 |
| Cody James Lewis | New England Securities Corporation other | Spc other | Other | Sep 24, 2008 | Jan 13, 2010 (476 d) |
| Krzysztof Garlewicz | New England Securities Corporation other | Commonwealth Financial Network national BD | Other | Sep 23, 2008 | Jan 6, 2010 (470 d) |
| William Jason Yost | New England Securities Corporation other | Independent Financial Partners other | Other | Sep 16, 2008 | Sep 17, 2008 |
| Melissa Kay Fisher | New England Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Sep 15, 2008 | Sep 30, 2008 |
| Jay William Weyers | New England Securities Corporation other | Oneamerica Securities, Inc. other | Other | Sep 11, 2008 | Sep 29, 2008 |
| Kimberly E Frankel | New England Securities Corporation other | Citigroup Global Markets Inc. other | Other | Sep 5, 2008 | May 20, 2009 (257 d) |
| Noah Christopher French | New England Securities Corporation other | Commonwealth Financial Network national BD | Other | Aug 25, 2008 | Aug 22, 2008 |
| Jerry W Lynn | New England Securities Corporation other | Waddell & Reed other | Other | Aug 12, 2008 | Aug 11, 2008 |
| Christopher Shawn Hebert | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Aug 8, 2008 | Mar 4, 2009 (208 d) |
| Marlene Espinoza | New England Securities Corporation other | Voya Financial Partners, LLC other | Other | Aug 1, 2008 | Oct 30, 2008 (90 d) |
| Michael Maurice Kane | New England Securities Corporation other | Nrp Advisors, Inc. unclassified | Other | Jul 7, 2008 | Jul 11, 2008 |
| Robert Rebussini | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Jun 16, 2008 | Jun 12, 2008 |
| Kevin Michael Mcgrady | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Jun 16, 2008 | Jun 12, 2008 |
| David H Weinberg | New England Securities Corporation other | Osaic Fa, Inc. other | Other | Jun 16, 2008 | Jun 12, 2008 |
| Anthony J. Falco | New England Securities Corporation other | Cetera Advisor Networks LLC other | Other | Jun 11, 2008 | May 31, 2008 |
| James Adrian Hartman | New England Securities Corporation other | LPL Financial LLC other | Other | May 27, 2008 | May 22, 2008 |
| David Stuart Jones | New England Securities Corporation other | Packerland Brokerage Services, Inc. other | Other | May 20, 2008 | May 7, 2010 (717 d) |
| Christopher Louis Huber | New England Securities Corporation other | Qa3 Financial LLC unclassified | Other | May 16, 2008 | May 29, 2008 |
| Christopher Michael Trainor | New England Securities Corporation other | Eagle Strategies LLC other | Other | May 14, 2008 | Nov 30, 2010 (930 d) |
| Rhett Nathan Shockey | New England Securities Corporation other | Commerce Brokerage Services, Inc other | Other | May 13, 2008 | Jun 4, 2008 |
| John Christopher Micavich | New England Securities Corporation other | MML Investors Services, LLC other | Other | May 12, 2008 | Jun 13, 2008 (32 d) |
| Tucker Kenyon Bixby | New England Securities Corporation other | Arete Wealth Advisors, LLC other | Other | May 7, 2008 | Jul 26, 2011 (1175 d) |
| Michael Ray Mcpeek | New England Securities Corporation other | Hornor, Townsend & Kent, LLC other | Other | May 2, 2008 | May 23, 2008 |
| Jason C Vanderstreet | New England Securities Corporation other | Eagle Strategies LLC other | Other | Apr 30, 2008 | Sep 5, 2008 (128 d) |
| Michael J Verroi | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Apr 16, 2008 | Apr 11, 2008 |
| Melia Breeze Krumm | New England Securities Corporation other | Ameriprise Financial Services, LLC national BD | Other | Apr 9, 2008 | Apr 17, 2008 |
| Michael Dean Walters | New England Securities Corporation other | Signator Financial Services, Inc. other | Other | Apr 8, 2008 | Apr 24, 2008 |
| Mark Stanford Saper | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Apr 7, 2008 | Apr 1, 2015 (2550 d) |
| William Mcnamara | New England Securities Corporation other | Valmark Advisers, Inc. other | Other | Apr 1, 2008 | Apr 7, 2008 |
| Roderick Joseph Clark | New England Securities Corporation other | Sunset Financial Services, Inc. other | Other | Mar 24, 2008 | May 8, 2008 (45 d) |
| Daniel James Nance | New England Securities Corporation other | Cedar Mountain Advisors, LLC other | Other | Mar 24, 2008 | Apr 4, 2008 |
| Kelly Pettit Costello | New England Securities Corporation other | Neuberger Berman Bd LLC other | Other | Mar 14, 2008 | Mar 20, 2008 |
| Aaron Pearson | New England Securities Corporation other | Wells Fargo Investments, LLC unclassified | Other | Mar 12, 2008 | Feb 29, 2008 |
| Kevin Lee Held | New England Securities Corporation other | Kestra Advisory Services, LLC other | Other | Mar 4, 2008 | Apr 21, 2016 (2970 d) |
| Robert Gerard Howard | New England Securities Corporation other | Bb&T Investment Services, Inc. no RAUM | Other | Feb 27, 2008 | Feb 20, 2008 |
| Daniel James Prentice | New England Securities Corporation other | Kms Financial Services, Inc other | Other | Feb 12, 2008 | Feb 4, 2008 |
| Robert Sterling Teague Young | New England Securities Corporation other | Next Financial Group, Inc. other | Other | Feb 11, 2008 | Jan 30, 2008 |