| Michael Lewis | New England Securities Corporation other | Transamerica Financial Advisors, Inc. unclassified | Other | Aug 15, 2006 | Jan 22, 2008 (525 d) |
| John Richard Heise | New England Securities Corporation other | MML Investors Services, LLC other | Other | Aug 14, 2006 | Aug 4, 2006 |
| Bradley Dean Patrick | New England Securities Corporation other | Cedar Mountain Advisors, LLC other | Other | Aug 2, 2006 | Aug 4, 2006 |
| Adam Lee Woods | New England Securities Corporation other | Cedar Mountain Advisors, LLC other | Other | Aug 2, 2006 | Jun 29, 2016 (3619 d) |
| Matthew R Carbray | New England Securities Corporation other | Kestra Advisory Services, LLC other | Other | Aug 1, 2006 | Apr 19, 2016 (3549 d) |
| Brian M Laraway | New England Securities Corporation other | American General Securities Incorporated unclassified | Other | Jul 24, 2006 | Aug 17, 2006 |
| Jeffrey Alan Wilcox | New England Securities Corporation other | LPL Financial LLC other | Other | Jul 12, 2006 | Jul 6, 2006 |
| Philip Steven Scott | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 19, 2006 | Aug 23, 2006 (65 d) |
| Gordon L Willoughby | New England Securities Corporation other | Dfc Investor Services unclassified | Other | Jun 15, 2006 | Jun 20, 2006 |
| James Thomas | New England Securities Corporation other | Harvest Capital Advisors, LLC unclassified | Other | Jun 12, 2006 | Jun 12, 2006 |
| Matthew Alan Kilburn | New England Securities Corporation other | Cetera Investment Advisers LLC BD affiliated | Other | Jun 2, 2006 | Mar 21, 2024 (6502 d) |
| Dustin Robert Alexander | New England Securities Corporation other | Voya Financial Advisors, Inc. other | Other | May 12, 2006 | Jun 14, 2006 (33 d) |
| Richard Alan Raybin | New England Securities Corporation other | Lifetime Legacy Services, LLC unclassified | Other | May 12, 2006 | Jul 17, 2006 (66 d) |
| Lawrence William Broxterman | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 18, 2006 | Apr 17, 2006 |
| Christopher Michael Wells | New England Securities Corporation other | Next Financial Group, Inc. other | Other | Apr 17, 2006 | May 17, 2006 |
| Pedro Antonio Martinez | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 13, 2006 | Apr 13, 2006 |
| Jake Eugene Mckee | New England Securities Corporation other | Smith Hayes Advisers Inc other | Other | Mar 28, 2006 | Apr 3, 2006 |
| Steven Howard Hornstein | New England Securities Corporation other | LPL Financial LLC other | Other | Mar 24, 2006 | Mar 23, 2006 |
| Scott Christopher Adams | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 10, 2006 | Mar 10, 2006 |
| Heath Tyler Burch | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 10, 2006 | Mar 10, 2006 |
| Richard John Liburdi | New England Securities Corporation other | Ege Advisors, Ltd. unclassified | Other | Mar 9, 2006 | Mar 2, 2006 |
| Mark Robert Scherer | New England Securities Corporation other | Voya Financial Advisors, Inc. other | Other | Mar 8, 2006 | Mar 10, 2006 |
| Paul Henry Couture | New England Securities Corporation other | Osaic Fs, Inc. other | Other | Feb 28, 2006 | Feb 24, 2006 |
| Eric Mark Filippone | New England Securities Corporation other | Pruco Securities, LLC BD affiliated | Other | Feb 21, 2006 | Mar 24, 2021 (5510 d) |
| Marc Mitsuru Takenaga | New England Securities Corporation other | Tlg Advisors, Inc. other | Other | Feb 11, 2006 | Mar 23, 2006 (40 d) |
| Brian Arthur Rosoff | New England Securities Corporation other | Sterne Agee Investment Advisor Services, Inc. other | Other | Feb 2, 2006 | Jun 5, 2006 (123 d) |
| Eric Bradley Thompson | New England Securities Corporation other | Pruco Securities, LLC other | Other | Jan 31, 2006 | Mar 21, 2006 (49 d) |
| Justin Todd Halpenny | New England Securities Corporation other | Usallianz Securities, Inc. unclassified | Other | Jan 31, 2006 | Feb 15, 2006 |
| James John Wilson | New England Securities Corporation other | Osaic Fs, Inc. other | Other | Jan 18, 2006 | Apr 3, 2006 (75 d) |
| Andrew B Adams | New England Securities Corporation other | Calton & Associates, Inc. other | Other | Jan 11, 2006 | Jun 19, 2006 (159 d) |
| Richard B Sugarman | New England Securities Corporation other | Goldman Sachs Wealth Services, L.P. other | Other | Jan 10, 2006 | Jun 21, 2006 (162 d) |
| George Matthew Barberich | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 20, 2005 | Oct 16, 2008 (1031 d) |
| John Newton Peacock | New England Securities Corporation other | Mutual Service Corporation unclassified | Other | Dec 5, 2005 | Dec 7, 2005 |
| Mark Dydzuhn | New England Securities Corporation other | Wamu Investments, Inc. unclassified | Other | Dec 2, 2005 | Jan 9, 2006 (38 d) |
| Richard Laurence Davidman | New England Securities Corporation other | LPL Financial LLC other | Other | Nov 23, 2005 | Nov 9, 2005 |
| Edward Ryan Loughry | New England Securities Corporation other | Schwab Wealth Advisory, Inc. other | Other | Nov 11, 2005 | Jun 15, 2016 (3869 d) |
| Benjamin Joseph Skilling | New England Securities Corporation other | Waddell & Reed other | Other | Nov 7, 2005 | Feb 20, 2007 (470 d) |
| Michael William Radakovich | New England Securities Corporation other | Summit Financial other | Other | Oct 20, 2005 | Jul 20, 2007 (638 d) |
| Edward Charles Smith | New England Securities Corporation other | Cetera Advisor Networks LLC other | Other | Oct 20, 2005 | Nov 7, 2005 |
| Jeffrey A Kirk | New England Securities Corporation other | Creative Financial Designs, Inc. other | Other | Oct 13, 2005 | Oct 14, 2005 |
| James Patrick Scanlan | New England Securities Corporation other | Osaic Fs, Inc. other | Other | Sep 30, 2005 | May 2, 2006 (214 d) |
| Robert Joseph Davis | New England Securities Corporation other | Financial Leadership Advisors, Inc. unclassified | Other | Sep 30, 2005 | Nov 16, 2006 (412 d) |
| Dirk Matthew Dixon | New England Securities Corporation other | Ameritas Advisory Services other | Other | Sep 13, 2005 | Aug 16, 2005 |
| Gregory Thomas Cimmino | New England Securities Corporation other | Cantella & Co., Inc. other | Other | Sep 7, 2005 | Sep 6, 2005 |
| Nancy Barton Fellinger | New England Securities Corporation other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Sep 7, 2005 | Oct 6, 2005 |
| Joe Okabe | New England Securities Corporation other | UBS Financial Services Inc. wirehouse | Other | Aug 16, 2005 | Aug 12, 2005 |
| David Anthony Hocker | New England Securities Corporation other | Spectrum Strategies, L.L.C. state registered | Other | Jul 27, 2005 | Apr 27, 2006 (274 d) |
| James Curtis Claiborne | New England Securities Corporation other | Prism Financial Group, L.L.C. other | Other | Jul 21, 2005 | Aug 4, 2005 |
| Edward Michael Brennan | New England Securities Corporation other | Principal Securities, Inc. other | Other | Jul 20, 2005 | Jan 30, 2006 (194 d) |
| Keith Richard Soltis | New England Securities Corporation other | MML Investors Services, LLC other | Other | Jul 12, 2005 | Jul 8, 2005 |
| Lynn Seldon Bridges | New England Securities Corporation other | Brookstone Capital Management LLC other | Other | Jul 11, 2005 | Jan 4, 2018 (4560 d) |
| Christopher Thomas Slonecker | New England Securities Corporation other | First Horizon Advisors, Inc other | Other | Jul 7, 2005 | Jul 18, 2005 |
| Jeffrey Spencer Sargent | New England Securities Corporation other | Principal Securities, Inc. other | Other | Jun 3, 2005 | Oct 24, 2005 (143 d) |
| Bruce Alan Meyer | New England Securities Corporation other | Cambridge Investment Research Advisors, Inc. other | Other | Jun 2, 2005 | Jun 9, 2005 |
| Cortland Robert Bradbury | New England Securities Corporation other | Principal Securities, Inc. other | Other | May 18, 2005 | Jul 27, 2005 (70 d) |
| Scott S Mckeever | New England Securities Corporation other | Lasalle Financial Services, Inc. unclassified | Other | May 5, 2005 | May 6, 2005 |
| Walter Frank Williams | New England Securities Corporation other | Osaic Fa, Inc. other | Other | May 2, 2005 | Jun 13, 2005 (42 d) |
| Dominic B Schioppo | New England Securities Corporation other | Northwestern Mutual Investment Services,LLC other | Other | Apr 28, 2005 | Jun 14, 2005 (47 d) |
| David Thomas Howell | New England Securities Corporation other | MML Investors Services, LLC other | Other | Apr 21, 2005 | May 10, 2005 |
| Andre J Doucette | New England Securities Corporation other | UBS Financial Services Inc. wirehouse | Other | Apr 18, 2005 | Apr 15, 2005 |