| Amelia Justice Harmon | Suntrust Investment Services, Inc. other | Eagle Strategies LLC other | Other | Feb 16, 2011 | May 4, 2011 (77 d) |
| Harvinder S Sahni | Waddell & Reed other | Eagle Strategies LLC other | Other | Jan 26, 2011 | Nov 8, 2011 (286 d) |
| Amanda Chomyszak | Equitable Advisors, LLC national BD | Eagle Strategies LLC other | Other | Jan 6, 2011 | Jan 11, 2011 |
| David R Antonovich | Morgan Stanley wirehouse | Eagle Strategies LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 3, 2011 | Apr 21, 2022 (4126 d) |
| Douglas Louis Shepard | John Hancock Investment Management LLC other | Eagle Strategies LLC BD affiliated | Other | Dec 31, 2010 | Jun 8, 2021 (3812 d) |
| Dale Alan Bender | 1st Global Advisors Inc other | Eagle Strategies LLC other | Other | Dec 31, 2010 | Feb 29, 2012 (425 d) |
| Gerald Mark Scheinman | Alcyone Capital Management, LLC unclassified | Eagle Strategies LLC BD affiliated | Other | Dec 31, 2010 | Jul 1, 2022 (4200 d) |
| David Lee Spence | Putnam Investment Management, LLC other | Eagle Strategies LLC other | Other | Dec 20, 2010 | Mar 3, 2011 (73 d) |
| Antonia Anna Roig | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Dec 17, 2010 | Dec 17, 2010 |
| Jason Grant Buck | Directed Services LLC other | Eagle Strategies LLC other | Other | Dec 9, 2010 | Feb 9, 2011 (62 d) |
| Anthony Marco Gaudiosi | Lord, Abbett & Co. LLC other | Eagle Strategies LLC other | Other | Dec 6, 2010 | Jan 11, 2011 (36 d) |
| Pamela Sue Harrison | Pruco Securities, LLC other | Eagle Strategies LLC other | Other | Nov 12, 2010 | Aug 1, 2011 (262 d) |
| Maya Gorokhovskiy | Deutsche Bank Securities Inc. other | Eagle Strategies LLC other | Other | Nov 12, 2010 | Dec 20, 2010 (38 d) |
| Andrew Olatunde Oladipo | Clearbridge Investments, LLC other | Eagle Strategies LLC other | Other | Nov 8, 2010 | Dec 2, 2010 |
| Gregory Michael Rickert | Westpark Wealth Advisors, Inc. other | Eagle Strategies LLC other | Other | Nov 3, 2010 | Nov 24, 2010 |
| James Robert Davis | Westpark Wealth Advisors, Inc. other | Eagle Strategies LLC other | Other | Oct 19, 2010 | Nov 17, 2010 |
| Amelia Morgan | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Oct 19, 2010 | Feb 16, 2011 (120 d) |
| Ashley Marie Hoy | Waddell & Reed other | Eagle Strategies LLC other | Other | Oct 19, 2010 | Mar 2, 2015 (1595 d) |
| Daniel H Rosenberg | Advisor Solutions, LLC. unclassified | Eagle Strategies LLC other | Other | Oct 13, 2010 | Nov 17, 2010 (35 d) |
| Ronald Seegers | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Oct 7, 2010 | Oct 7, 2010 |
| Rajesh Roodal Singh | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Oct 7, 2010 | Oct 7, 2010 |
| David I Friedman | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Oct 7, 2010 | Oct 7, 2010 |
| Diane Wesbecher | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Oct 6, 2010 | Oct 6, 2010 |
| Andrew William Capaccio | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Oct 6, 2010 | Oct 6, 2010 |
| Vincent S Ring | Strategic Advisers LLC national BD | Eagle Strategies LLC other | Other | Aug 17, 2010 | Sep 20, 2011 (399 d) |
| Elizabeth Marie Torres | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Jul 8, 2010 | May 14, 2012 (676 d) |
| Matthew Edward Neill | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Jul 7, 2010 | Jul 7, 2010 |
| Lynette B Melcher | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Jun 23, 2010 | Jul 22, 2010 |
| Barbara A Quinn | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Jun 15, 2010 | May 21, 2012 (706 d) |
| Jason Joseph Tobias | New England Securities Corporation other | Eagle Strategies LLC other | Other | Apr 29, 2010 | Sep 13, 2013 (1233 d) |
| Barry Leonard Finkelstein | Northwestern Mutual Investment Services,LLC other | Eagle Strategies LLC other | Other | Apr 19, 2010 | Jul 30, 2010 (102 d) |
| Jenny Po Wah Yu | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Apr 7, 2010 | Jun 4, 2010 (58 d) |
| Michael John Fulco | MML Investors Services, LLC other | Eagle Strategies LLC other | Other | Mar 24, 2010 | Apr 7, 2011 (379 d) |
| Allison Anne Lyons | Seidman Private Advisors LLC no RAUM | Eagle Strategies LLC other | Other | Mar 17, 2010 | Jul 30, 2009 |
| Kyle Hirofumi Kurahara | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Mar 16, 2010 | May 6, 2010 (51 d) |
| John A Ware | Principal Securities, Inc. other | Eagle Strategies LLC other | Other | Mar 12, 2010 | Jul 22, 2010 (132 d) |
| Hector Mendez | Lord, Abbett & Co. LLC other | Eagle Strategies LLC other | Other | Mar 1, 2010 | Oct 6, 2010 (219 d) |
| Mary Anne Leichliter-Rice | Edward Jones national BD | Eagle Strategies LLC other | Other | Feb 3, 2010 | Sep 20, 2011 (594 d) |
| Thomas Andrew Lucash | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | Jan 13, 2010 | Jan 13, 2010 |
| Nicholas Colello | Osaic Fa, Inc. other | Eagle Strategies LLC BD affiliated | Other | Dec 31, 2009 | Sep 30, 2025 (5752 d) |
| Johnny Gin Yang Ng | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Dec 14, 2009 | Jun 16, 2010 (184 d) |
| Jack Shaw | Cetera Advisor Networks LLC other | Eagle Strategies LLC other | Other | Dec 4, 2009 | Oct 11, 2012 (1042 d) |
| Thomas Nelson Kikly | Charles Schwab & Co., Inc. national BD | Eagle Strategies LLC other | Other | Nov 10, 2009 | Jan 4, 2011 (420 d) |
| Steven David Chafin | Usaa Financial Planning Services no RAUM | Eagle Strategies LLC other | Other | Nov 5, 2009 | Jun 3, 2011 (575 d) |
| Bradley Ray Dewald | Edward Jones national BD | Eagle Strategies LLC other | Other | Nov 4, 2009 | Nov 29, 2010 (390 d) |
| David Norman Jacowitz | Msi Financial Services, Inc. other | Eagle Strategies LLC other | Other | Oct 26, 2009 | Oct 7, 2011 (711 d) |
| Robert Vincent Ponciroli | Equitable Advisors, LLC national BD | Eagle Strategies LLC other | Other | Oct 12, 2009 | Dec 18, 2009 (67 d) |
| Nicholas Camel | MML Investors Services, LLC other | Eagle Strategies LLC other | Other | Oct 10, 2009 | Apr 24, 2015 (2022 d) |
| Ryan Jeffrey Walker | The Mutual Fund Store other | Eagle Strategies LLC other | Other | Oct 7, 2009 | Feb 8, 2010 (124 d) |
| Renee Rose Kremm | Banc Of America Investment Services, Inc. unclassified | Eagle Strategies LLC other | Other | Sep 28, 2009 | Nov 20, 2009 (53 d) |
| Frederick Allen Rich | Citigroup Global Markets Inc. other | Eagle Strategies LLC BD affiliated | Other | Sep 25, 2009 | Apr 3, 2020 (3843 d) |
| Tomonari Yamanaka | U.S. Bancorp Investments, Inc. other | Eagle Strategies LLC other | Other | Aug 12, 2009 | Feb 23, 2010 (195 d) |
| Paul M Brown | Wells Fargo Advisors wirehouse | Eagle Strategies LLC other | Other | Aug 6, 2009 | Apr 19, 2013 (1352 d) |
| Laurel Ruth Hostetler | Chase Investment Services Corp. other | Eagle Strategies LLC other | Other | Jul 30, 2009 | Dec 12, 2012 (1231 d) |
| Michael David Honold | Cetera Advisor Networks LLC other | Eagle Strategies LLC other | Other | Jun 30, 2009 | Aug 14, 2009 (45 d) |
| Thomas Andrew Tyler | Mackay Shields LLC other | Eagle Strategies LLC BD affiliated | Other | Jun 9, 2009 | Apr 11, 2018 (3228 d) |
| Christopher Alan Falletti | Wells Fargo Advisors wirehouse | Eagle Strategies LLC other | Other | Jun 8, 2009 | Aug 11, 2009 (64 d) |
| Michael Stephen Conk | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Jun 5, 2009 | Aug 28, 2012 (1180 d) |
| Brian Robinson | Chase Investment Services Corp. other | Eagle Strategies LLC BD affiliated | Other | May 28, 2009 | Oct 2, 2024 (5606 d) |
| Aida Sanchez Castro | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 21, 2009 | Oct 28, 2024 (5639 d) |