| Jeremy David Gottlieb | Lucia Capital Group other | Independent Financial Partners other | Other | Dec 13, 2011 | Jan 9, 2012 |
| Sarah Patrica Puckett | Wells Fargo Advisors wirehouse | Independent Financial Partners other | Other | Dec 12, 2011 | Oct 29, 2014 (1052 d) |
| David Wayne Ellis | Suntrust Investment Services, Inc. other | Independent Financial Partners other | Other | Dec 9, 2011 | Dec 12, 2011 |
| Benjamin Chadwick Summers | Suntrust Investment Services, Inc. other | Independent Financial Partners other | Other | Dec 9, 2011 | Nov 4, 2013 (696 d) |
| Bryan Laverman | Concourse Financial Group Advisors other | Independent Financial Partners other | Other | Dec 2, 2011 | Dec 2, 2011 |
| Brian Lane Smith | Concourse Financial Group Advisors other | Independent Financial Partners other | Other | Dec 2, 2011 | Dec 8, 2011 |
| Brian Louis Wade | Vicus Capital, Inc. other | Independent Financial Partners other | Other | Dec 2, 2011 | Dec 20, 2011 |
| Scott Andrew Mccaskill | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 1, 2011 | Sep 9, 2011 |
| Peggy F Frye | Walsh & Associates, LLC other | Independent Financial Partners other | Other | Nov 30, 2011 | Apr 15, 2011 |
| Toby John Peters | LPL Financial LLC other | Independent Financial Partners other | Other | Nov 28, 2011 | Nov 30, 2011 |
| Frank Daniel Toth | Asset & Financial Planning, Ltd other | Independent Financial Partners other | Other | Nov 28, 2011 | Dec 8, 2011 |
| Mary Lois Kimbrough | Edward Jones national BD | Independent Financial Partners other | Other | Nov 22, 2011 | Nov 29, 2011 |
| Richard Russell Geiger | LPL Financial LLC other | Independent Financial Partners other | Other | Nov 21, 2011 | Sep 21, 2011 |
| David Albert Camper | Captrust Financial Advisors other | Independent Financial Partners other | Other | Nov 21, 2011 | Nov 21, 2011 |
| Scott Thomas Jones | LPL Financial LLC other | Independent Financial Partners other | Other | Nov 21, 2011 | Sep 21, 2011 |
| Michael Jeffrey Freedman | Merrimac Corporate Securities, Inc. unclassified | Independent Financial Partners other | Other | Nov 14, 2011 | Jan 18, 2012 (65 d) |
| John Thomas Mullins | Mullins Financial unclassified | Independent Financial Partners other | Other | Nov 2, 2011 | Aug 17, 2011 |
| Dean Roger St. Marie | Edward Jones national BD | Independent Financial Partners other | Other | Oct 18, 2011 | Oct 26, 2011 |
| Gary Bruce Rome | Edward Jones national BD | Independent Financial Partners other | Other | Oct 13, 2011 | Oct 31, 2011 |
| Julia Sky King | Godfrey Financial, Inc. unclassified | Independent Financial Partners other | Other | Oct 6, 2011 | Aug 2, 2011 |
| Jon Christopher Goodman | Investment Centers Of America, Inc. other | Independent Financial Partners other | Other | Oct 3, 2011 | Oct 10, 2011 |
| Stephen Andrew Yarmesch | Mid Atlantic Financial Management, Inc. other | Independent Financial Partners other | Other | Sep 26, 2011 | Sep 28, 2011 |
| Mousumi Mukherjee | World Equity Group, Inc. other | Independent Financial Partners other | Other | Sep 21, 2011 | Aug 24, 2012 (338 d) |
| Frederic William Amberg | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Sep 7, 2011 | Nov 26, 2012 (446 d) |
| Carl Lee Thompson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Aug 26, 2011 | Apr 2, 2012 (220 d) |
| Julius Edwin Lord | Edward Jones national BD | Independent Financial Partners other | Other | Aug 25, 2011 | Aug 26, 2011 |
| Kent Bradston Tedrick | Wealthbridge Advisors unclassified | Independent Financial Partners other | Other | Aug 22, 2011 | Aug 2, 2011 |
| Daniel Thomas Dubois | LPL Financial LLC other | Independent Financial Partners other | Other | Aug 16, 2011 | Sep 2, 2011 |
| Harvey Gerald Stein | Asset & Financial Planning, Ltd other | Independent Financial Partners other | Other | Aug 9, 2011 | Sep 13, 2011 (35 d) |
| Jason Keith Norton | Waddell & Reed other | Independent Financial Partners other | Other | Aug 1, 2011 | Jul 22, 2011 |
| Daniel Paul Mageras | Raymond James & Associates, Inc. national BD | Independent Financial Partners other | Other | Jul 21, 2011 | Jul 25, 2011 |
| Alan Richard Cicora | Strategic Advisers LLC national BD | Independent Financial Partners other | Other | Jul 19, 2011 | Sep 7, 2011 (50 d) |
| Geoffrey Harden Sebold | Independent Financial Group, LLC other | Independent Financial Partners other | Other | Jul 15, 2011 | Jun 20, 2012 (341 d) |
| Nicole Marie Dawes | Oppenheimer & Co. Inc. other | Independent Financial Partners other | Other | Jul 15, 2011 | Jul 19, 2011 |
| Nicholas Joseph Arena | Msi Financial Services, Inc. other | Independent Financial Partners other | Other | Jul 15, 2011 | Jul 13, 2011 |
| Timothy D Hussar | LPL Financial LLC other | Independent Financial Partners other | Other | Jul 13, 2011 | Aug 2, 2017 (2212 d) |
| Collin Barrett Dawes | Oppenheimer & Co. Inc. other | Independent Financial Partners other | Other | Jul 11, 2011 | Jul 19, 2011 |
| Aaron Lee Gilman | Koss-Olinger Consulting, LLC. other | Independent Financial Partners other | Other | Jul 7, 2011 | Jul 13, 2011 |
| Canard Emile Barnes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Jul 5, 2011 | Jul 7, 2011 |
| Brian John Groh | Edward Jones national BD | Independent Financial Partners other | Other | Jul 1, 2011 | Jul 21, 2011 |
| Robert Ronald Liggero | Bull & Bear Capital Advisors, LLC other | Independent Financial Partners other | Other | Jul 1, 2011 | Jun 21, 2011 |
| David Scott Raudman | American Portfolios Advisors, Inc other | Independent Financial Partners other | Other | Jun 30, 2011 | Feb 16, 2018 (2423 d) |
| Shawna Dawn Christiansen | UBS Financial Services Inc. wirehouse | Independent Financial Partners other | Other | Jun 27, 2011 | Aug 2, 2011 (36 d) |
| Alona Weissberg Anspach | Equitable Advisors, LLC national BD | Independent Financial Partners other | Other | Jun 23, 2011 | Jun 20, 2011 |
| Edward Anthony Burgio | Equitable Advisors, LLC national BD | Independent Financial Partners BD affiliated | Affiliated broker-dealer or bank to another | Jun 14, 2011 | Jun 3, 2021 (3642 d) |
| Howard The Chen | World Equity Group, Inc. other | Independent Financial Partners other | Other | Jun 8, 2011 | Aug 24, 2012 (443 d) |
| James Charles Scott | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | May 20, 2011 | May 18, 2011 |
| Ryan Louis Miller | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | May 20, 2011 | May 17, 2011 |
| Daniel Harold Lahaie | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | May 20, 2011 | May 17, 2011 |
| Brandon M Lancaster | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | May 20, 2011 | May 17, 2011 |
| Stefanie Frances Pontlitz | Chase Investment Services Corp. other | Independent Financial Partners other | Other | May 16, 2011 | Jul 2, 2013 (778 d) |
| David Clay Horan | LPL Financial LLC other | Independent Financial Partners other | Other | May 13, 2011 | Dec 12, 2011 (213 d) |
| Doug Michael O'Rear | LPL Financial LLC other | Independent Financial Partners other | Other | May 13, 2011 | Jul 18, 2011 (66 d) |
| Mark James Dickman | LPL Financial LLC other | Independent Financial Partners other | Other | May 11, 2011 | Mar 1, 2011 |
| Sean Francis Oflaherty | LPL Financial LLC other | Independent Financial Partners other | Other | May 6, 2011 | Jan 24, 2011 |
| Daniel Harold Lahaie | LPL Financial LLC other | Independent Financial Partners other | Other | May 3, 2011 | May 17, 2011 |
| Dominick Joseph Panetta | Pks Advisory Services, LLC other | Independent Financial Partners BD affiliated | Other | May 2, 2011 | Aug 6, 2021 (3749 d) |
| Susan L Stone Schell | Pks Advisory Services, LLC other | Independent Financial Partners BD affiliated | Other | May 2, 2011 | Aug 6, 2021 (3749 d) |
| Perry Wayne Nafziger | LPL Financial LLC other | Independent Financial Partners other | Other | Apr 28, 2011 | Jul 23, 2010 |
| Robert Clark | LPL Financial LLC other | Independent Financial Partners other | Other | Apr 28, 2011 | Oct 16, 2009 |