| Lisa Rene Calloway | Wells Fargo Advisors wirehouse | Avantax Advisory Services other | Other | Oct 2, 2015 | Sep 18, 2015 |
| Jimmy D Epley | Transamerica Financial Advisors, LLC other | Avantax Advisory Services other | Other | Sep 28, 2015 | Sep 22, 2015 |
| Laura Ann Rasmussen | Morgan Stanley wirehouse | Avantax Advisory Services other | Other | Sep 22, 2015 | Sep 23, 2015 |
| David Mark Charnot | Primerica Advisors national BD | Avantax Advisory Services other | Other | Sep 4, 2015 | Sep 2, 2015 |
| Timothy Paul Evans | Bison Wealth, LLC other | Avantax Advisory Services other | Other | Aug 25, 2015 | Jun 15, 2016 (295 d) |
| Brian Scott Suraf | LPL Financial LLC other | Avantax Advisory Services BD affiliated | Other | Aug 11, 2015 | Jan 10, 2022 (2344 d) |
| Jay Adam Rubman | Santander Securities other | Avantax Advisory Services other | Other | Aug 5, 2015 | Feb 24, 2016 (203 d) |
| Ari - Ville Uusimaki | Sagepoint Financial, Inc. other | Avantax Advisory Services other | Other | Jul 24, 2015 | Jul 13, 2015 |
| James Timothy Hickey | Riverrock Asset Management LLC asset manager | Avantax Advisory Services other | Other | Jul 23, 2015 | Jul 18, 2017 (726 d) |
| Francesco Biasi | Transamerica Financial Advisors, LLC other | Avantax Advisory Services other | Other | Jul 17, 2015 | Jul 1, 2015 |
| Jay Woojae Kang | Fsc Securities Corporation other | Avantax Advisory Services other | Other | Jul 15, 2015 | Jul 10, 2015 |
| George Zaharopoulos | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Avantax Advisory Services other | Other | Jul 13, 2015 | Aug 18, 2015 (36 d) |
| Jeffrey David Nagel | Oppenheimer & Co. Inc. other | Avantax Advisory Services BD affiliated | Other | Jul 6, 2015 | Jul 28, 2021 (2214 d) |
| Grace Chong Kim | Fsc Securities Corporation other | Avantax Advisory Services other | Other | Jul 1, 2015 | Jun 26, 2015 |
| Eva Hooper | Edward Jones national BD | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2015 | Dec 12, 2022 (2747 d) |
| Vladislav Zagranichny | Commonwealth Financial Network national BD | Avantax Advisory Services other | Other | Jun 3, 2015 | Jul 14, 2015 (41 d) |
| Tiffany Elise Tippins | Creative Financial Designs, Inc. other | Avantax Advisory Services other | Other | May 29, 2015 | Jun 9, 2015 |
| Michael S. Licitra | Equitable Advisors, LLC national BD | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2015 | Aug 6, 2021 (2271 d) |
| Dana Eric Weddle | Bok Financial Advisors other | Avantax Advisory Services other | Other | May 18, 2015 | Mar 21, 2017 (673 d) |
| Kevin Christopher Murphy | Equitable Advisors, LLC national BD | Avantax Advisory Services other | Other | May 13, 2015 | May 13, 2015 |
| Tripp Crawford Hale | Money Professionals, LLC other | Avantax Advisory Services other | Other | Apr 22, 2015 | Sep 22, 2015 (153 d) |
| Marilyn Leslie Milne | Usaa Financial Planning Services no RAUM | Avantax Advisory Services other | Other | Apr 7, 2015 | Dec 17, 2015 (254 d) |
| Colleen S. Krcelich | MML Investors Services, LLC other | Avantax Advisory Services other | Other | Apr 2, 2015 | Apr 29, 2015 |
| Brent Christopher Eugenides | Park Avenue Securities LLC other | Avantax Advisory Services other | Other | Mar 23, 2015 | Aug 25, 2015 (155 d) |
| Timur Valeriy Mezhlumov | MML Investors Services, LLC other | Avantax Advisory Services other | Other | Mar 5, 2015 | Mar 2, 2015 |
| David Neftali Acosta | Usaa Financial Planning Services no RAUM | Avantax Advisory Services other | Other | Feb 19, 2015 | Mar 25, 2015 (34 d) |
| James Patrick Richter | Pt Asset Management, LLC other | Avantax Advisory Services other | Other | Jan 26, 2015 | Jul 29, 2015 (184 d) |
| James V Anza | Commonwealth Financial Network national BD | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2015 | Sep 24, 2024 (3549 d) |
| Jeffrey Lawrence Watson | Wealthcare Financial Group, LLC state registered | Avantax Advisory Services BD affiliated | Other | Dec 31, 2014 | Oct 25, 2019 (1759 d) |
| Richard Charles Lacava | Commonwealth Financial Network national BD | Avantax Advisory Services other | Other | Dec 23, 2014 | Jan 26, 2015 (34 d) |
| Paul Joseph Mianulli | Cambridge Investment Research Advisors, Inc. other | Avantax Advisory Services other | Other | Dec 23, 2014 | Dec 19, 2014 |
| Raymond Alexander Reynolds | Quest Capital Strategies, Inc. other | Avantax Advisory Services other | Other | Dec 18, 2014 | Jan 9, 2015 |
| Jennifer Robin Rose | Transamerica Financial Advisors, LLC other | Avantax Advisory Services other | Other | Dec 2, 2014 | Jun 3, 2015 (183 d) |
| Gabriel Sandler | Spc other | Avantax Advisory Services other | Other | Dec 1, 2014 | Sep 1, 2016 (640 d) |
| Allen Harold Bloomgren | 1st Global Advisors Inc other | Avantax Advisory Services other | Other | Nov 17, 2014 | Nov 17, 2014 |
| Justine Donna Elie | Td Ameritrade, Inc. no RAUM | Avantax Advisory Services other | Other | Nov 6, 2014 | Feb 5, 2016 (456 d) |
| Bimal Kumar Gupta | Quest Capital Strategies, Inc. other | Avantax Advisory Services other | Other | Oct 31, 2014 | Oct 7, 2015 (341 d) |
| Brian K. Jones | Generational Wealth Advisors other | Avantax Advisory Services other | Other | Oct 27, 2014 | Oct 27, 2016 (731 d) |
| Richard Zyczkiewicz | Cetera Investment Advisers LLC other | Avantax Advisory Services other | Other | Oct 17, 2014 | Oct 9, 2014 |
| Terry Lucas Minton | Genwealth Financial Advisors, LLC unclassified | Avantax Advisory Services other | Other | Oct 3, 2014 | Aug 27, 2014 |
| Walter Jeffrey Cotton | LPL Financial LLC other | Avantax Advisory Services other | Other | Sep 22, 2014 | Sep 12, 2014 |
| Kenneth Allan Demarco | Invesco Advisers, Inc. other | Avantax Advisory Services other | Other | Sep 16, 2014 | Nov 24, 2015 (434 d) |
| Joseph T Averett | Wfg Advisors, LP other | Avantax Advisory Services other | Other | Sep 10, 2014 | Aug 24, 2015 (348 d) |
| Eric Alan Sands | Next Financial Group, Inc. other | Avantax Advisory Services other | Other | Sep 4, 2014 | Sep 19, 2014 |
| Randall Lee Tepatti | Next Financial Group, Inc. other | Avantax Advisory Services other | Other | Sep 4, 2014 | Aug 27, 2014 |
| Carolyn Leticia Mora | Cetera Investment Advisers LLC other | Avantax Advisory Services other | Other | Sep 4, 2014 | Aug 27, 2014 |
| Justin Keith Kiddy | New England Securities Corporation other | Avantax Advisory Services other | Other | Aug 29, 2014 | Aug 19, 2014 |
| Walter Royal Mcdaniel | Next Financial Group, Inc. other | Avantax Advisory Services other | Other | Aug 26, 2014 | Aug 15, 2014 |
| Benjamin Paul Zagorski | Archer Investment Corporation other | Avantax Advisory Services other | Other | Aug 15, 2014 | Aug 13, 2014 |
| Charles Burch Jr | Waddell & Reed other | Avantax Advisory Services other | Other | Aug 12, 2014 | Aug 1, 2014 |
| Samuel James Angelo | Power Wealth Management LLC unclassified | Avantax Advisory Services BD affiliated | Other | Jul 17, 2014 | Oct 25, 2019 (1926 d) |
| Kevin Peter Dolphin | Park Avenue Securities LLC other | Avantax Advisory Services other | Other | Jul 7, 2014 | Jun 23, 2014 |
| H Dale Goembel | LPL Financial LLC other | Avantax Advisory Services other | Other | Jun 26, 2014 | Jun 3, 2016 (708 d) |
| Joshua Paul Ingram | Edward Jones national BD | Avantax Advisory Services other | Other | May 5, 2014 | May 1, 2014 |
| Randall Wayne Vantassell | Transamerica Financial Advisors, LLC other | Avantax Advisory Services other | Other | May 1, 2014 | May 1, 2014 |
| Patrick A Kimbrough | LPL Financial LLC other | Avantax Advisory Services other | Other | May 1, 2014 | Apr 25, 2014 |
| Matthew Anthony Tully | Clearbridge Investments, LLC other | Avantax Advisory Services other | Other | Apr 11, 2014 | Nov 4, 2014 (207 d) |
| Kevin Durrelle Haggard | Fifth Third Securities, Inc. other | Avantax Advisory Services other | Other | Mar 28, 2014 | Oct 14, 2014 (200 d) |
| Thomas Joseph Harkins | Equitable Advisors, LLC national BD | Avantax Advisory Services other | Other | Mar 20, 2014 | Mar 27, 2014 |
| Bret Hackett | Strategic Advisers LLC national BD | Avantax Advisory Services other | Other | Mar 12, 2014 | Apr 11, 2014 |