| Zachary David Stein | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Jan 11, 2008 | Jun 2, 2017 (3430 d) |
| Charles Michael Shanberg | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Jan 9, 2008 | Dec 19, 2007 |
| Gregory Scott Kuehl | New England Securities Corporation other | LPL Financial LLC other | Other | Dec 20, 2007 | May 31, 2012 (1624 d) |
| Kenneth Barry Graves | New England Securities Corporation other | 1st Global Advisors Inc other | Other | Dec 19, 2007 | Dec 21, 2007 |
| Jacqueline B Banister | New England Securities Corporation other | Gwn Securities Inc. other | Other | Dec 18, 2007 | Jan 18, 2008 (31 d) |
| Elizabeth True Mckenney | New England Securities Corporation other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 13, 2007 | Nov 30, 2007 |
| Paul Joseph Mckenney | New England Securities Corporation other | Cambridge Investment Research Advisors, Inc. other | Other | Dec 13, 2007 | Nov 30, 2007 |
| Robert Francis Sieja | New England Securities Corporation other | LPL Financial LLC other | Other | Dec 4, 2007 | Dec 3, 2007 |
| Richard Dale Winn | New England Securities Corporation other | LPL Financial LLC other | Other | Nov 28, 2007 | Nov 16, 2007 |
| Kenneth Robert Perkins | New England Securities Corporation other | Walnut Street Securities, Inc. other | Other | Nov 21, 2007 | Oct 7, 2009 (686 d) |
| Justin Tegano | New England Securities Corporation other | Walnut Street Securities, Inc. other | Other | Nov 21, 2007 | May 7, 2008 (168 d) |
| Dennis F Weldon | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Oct 29, 2007 | Jun 4, 2008 (219 d) |
| William Peter Steck | New England Securities Corporation other | Edward Jones national BD | Other | Oct 17, 2007 | Sep 29, 2008 (348 d) |
| William Charles Goodlad | New England Securities Corporation other | Triad Advisors, LLC other | Other | Oct 12, 2007 | Oct 1, 2007 |
| Ellen Hochron Gallagher | New England Securities Corporation other | Triad Advisors, LLC other | Other | Oct 12, 2007 | Oct 1, 2007 |
| Peter Frederic Steger | New England Securities Corporation other | Valmark Advisers, Inc. other | Other | Oct 3, 2007 | Oct 10, 2007 |
| Daniel Edward Henry | New England Securities Corporation other | Cetera Investment Advisers LLC BD affiliated | Other | Sep 24, 2007 | Mar 21, 2024 (6023 d) |
| Carrie Anne Topel | New England Securities Corporation other | Cetera Investment Advisers LLC BD affiliated | Other | Sep 19, 2007 | Mar 21, 2024 (6028 d) |
| Michael John Vanhorenbeck | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Sep 6, 2007 | Aug 27, 2007 |
| Jeffrey Ryan Thompson | New England Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Sep 5, 2007 | Aug 24, 2007 |
| Russell T Amsden | New England Securities Corporation other | Brookstone Capital Management LLC other | Other | Sep 5, 2007 | Feb 12, 2010 (891 d) |
| Philip Vincent Gallagher | New England Securities Corporation other | Valmark Advisers, Inc. other | Other | Aug 21, 2007 | Dec 12, 2012 (1940 d) |
| Rob William Friemoth | New England Securities Corporation other | Cetera Advisors LLC other | Other | Aug 10, 2007 | Sep 4, 2007 |
| Michael Mervin Murry | New England Securities Corporation other | Touchstone Advisors Inc other | Other | Aug 10, 2007 | Sep 19, 2007 (40 d) |
| William Arthur Short | New England Securities Corporation other | J. W. Cole Advisors, Inc. other | Other | Aug 2, 2007 | Jul 31, 2007 |
| Paul Joseph Jacobs | New England Securities Corporation other | Investment Professionals, Inc. other | Other | Jun 13, 2007 | Jun 7, 2007 |
| Michael Scott Moleski | New England Securities Corporation other | Strategic Advisers LLC national BD | Other | Jun 12, 2007 | Mar 25, 2008 (287 d) |
| Jeffrey Richard Secord | New England Securities Corporation other | Clifton Gunderson Wealth Advisors other | Other | Jun 4, 2007 | Jun 6, 2007 |
| Richard George Engbrecht | New England Securities Corporation other | Wells Fargo Investments, LLC unclassified | Other | Jun 1, 2007 | Jun 24, 2008 (389 d) |
| Bradley Scott Araki | New England Securities Corporation other | Commonwealth Financial Network national BD | Other | May 22, 2007 | Feb 27, 2014 (2473 d) |
| Chadrick Dale Campbell | New England Securities Corporation other | LPL Financial LLC other | Other | May 16, 2007 | May 15, 2007 |
| Robert Maury Eastmann | New England Securities Corporation other | LPL Financial LLC other | Other | May 15, 2007 | May 10, 2007 |
| Cherie A Hartmann | New England Securities Corporation other | Strategic Advisers LLC national BD | Other | May 11, 2007 | Jan 4, 2008 (238 d) |
| Michael Raymond Knuffke | New England Securities Corporation other | Next Financial Group, Inc. other | Other | May 10, 2007 | May 8, 2007 |
| Patrick Richard Vondohlen | New England Securities Corporation other | Next Financial Group, Inc. other | Other | May 10, 2007 | May 8, 2007 |
| Franklin George Rekas | New England Securities Corporation other | MML Investors Services, LLC other | Other | Apr 4, 2007 | May 3, 2007 |
| Henry Matthew Zupko | New England Securities Corporation other | Comprehensive Capital Management, Inc. other | Other | Apr 3, 2007 | Apr 19, 2007 |
| Ferencz Horvath | New England Securities Corporation other | Ameriprise Financial Services, LLC national BD | Other | Mar 20, 2007 | Apr 4, 2007 |
| Angela Marie Ferrante | New England Securities Corporation other | Qa3 Financial LLC unclassified | Other | Mar 19, 2007 | Mar 23, 2010 (1100 d) |
| Yaniv Rubina | New England Securities Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Mar 19, 2007 | Jun 11, 2007 (84 d) |
| Michael Willmar Forbrook | New England Securities Corporation other | Stonefield Investment Advisory, Inc. other | Other | Mar 5, 2007 | Jul 12, 2007 (129 d) |
| Cody R Maschmeier | New England Securities Corporation other | Wells Fargo Investments, LLC unclassified | Other | Feb 21, 2007 | Feb 22, 2007 |
| Flint T Schuller | New England Securities Corporation other | Advice And Planning Services other | Other | Feb 14, 2007 | Nov 27, 2012 (2113 d) |
| Douglas R. Thorpe | New England Securities Corporation other | Valmark Advisers, Inc. other | Other | Jan 26, 2007 | Jan 25, 2007 |
| Toni Marie Sams | New England Securities Corporation other | Valmark Advisers, Inc. other | Other | Jan 24, 2007 | Jan 25, 2007 |
| Adrian Padua Concepcion | New England Securities Corporation other | Citigroup Global Markets Inc. other | Other | Jan 16, 2007 | Jan 8, 2007 |
| Christopher W Bennon | New England Securities Corporation other | Valmark Advisers, Inc. other | Other | Jan 12, 2007 | Jan 31, 2007 |
| Dennis Alan Cohan | New England Securities Corporation other | MML Investors Services, LLC other | Other | Dec 20, 2006 | Feb 7, 2007 (49 d) |
| Daniel Arthur Henley | New England Securities Corporation other | MML Investors Services, LLC other | Other | Dec 15, 2006 | Jan 29, 2007 (45 d) |
| Andrew Jeffrey Southworth | New England Securities Corporation other | LPL Financial LLC other | Other | Dec 12, 2006 | Dec 6, 2006 |
| Richard Wayne Woody | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Dec 8, 2006 | Feb 26, 2007 (80 d) |
| Sergio Anthony Decurtis | New England Securities Corporation other | New England Investment Consultants, Ltd. independent RIA | Other | Nov 22, 2006 | Dec 18, 2006 |
| Thomas Ray Stark | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 15, 2006 | Oct 23, 2006 |
| Dennis Alan Roodman | New England Securities Corporation other | Securities America Advisors, Inc. other | Other | Nov 10, 2006 | Nov 10, 2006 |
| Morris Wayne Shank | New England Securities Corporation other | Securities America Advisors, Inc. other | Other | Nov 10, 2006 | Nov 10, 2006 |
| Martin Earl Brooks | New England Securities Corporation other | Cetera Advisors LLC other | Other | Sep 19, 2006 | Oct 19, 2006 |
| Brent Coleman Elliott | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Aug 24, 2006 | Aug 21, 2006 |
| Timothy Arthur Mellon | New England Securities Corporation other | Nfp Advisor Services, LLC other | Other | Aug 24, 2006 | Aug 21, 2006 |
| Todd Abrams | New England Securities Corporation other | Principal Securities, Inc. other | Other | Aug 23, 2006 | Jan 5, 2017 (3788 d) |
| Laurence Seiden | New England Securities Corporation other | Msi Financial Services, Inc. other | Other | Aug 18, 2006 | Jun 21, 2005 |