| David Karl Hansch | Hansch Financial Group, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2013 | May 5, 2008 |
| Walter John Hansch | Hansch Financial Group, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2013 | Oct 1, 2008 |
| Ryan Lee Buckle | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Dec 17, 2013 | Dec 18, 2013 |
| Jasen Masao Ishihara | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Dec 10, 2013 | Nov 15, 2013 |
| Kelly Stecklein | Securities America Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 2, 2013 | Dec 2, 2013 |
| Matthew Lee Gulbransen | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Nov 21, 2013 | Dec 17, 2013 |
| Paul B Savona | Harvest Capital Advisors, LLC unclassified | Cetera Advisor Networks LLC other | Other | Nov 8, 2013 | Nov 11, 2013 |
| Robert Walker Heagney | Harvest Capital Advisors, LLC unclassified | Cetera Advisor Networks LLC other | Other | Nov 8, 2013 | Nov 11, 2013 |
| Kelly Andrew Kolstad | D.A. Davidson & Co. other | Cetera Advisor Networks LLC other | Other | Oct 28, 2013 | Mar 31, 2015 (519 d) |
| Robert Bruce Caverly | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Oct 24, 2013 | Feb 21, 2014 (120 d) |
| Carol Ann Sutterfield | Securities America Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 22, 2013 | Oct 9, 2013 |
| Corey Leon Laprade | Td Ameritrade Investment Management, LLC other | Cetera Advisor Networks LLC other | Other | Oct 14, 2013 | Oct 8, 2015 (724 d) |
| Whitney Susanne Bowers-Miller | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Oct 2, 2013 | Oct 23, 2013 |
| Jamie Kohr Cash | Voya Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 30, 2013 | Oct 7, 2013 |
| Brian Ernest Chapman | Capital Guardian Wealth Management, LLC other | Cetera Advisor Networks LLC other | Other | Sep 27, 2013 | Oct 4, 2013 |
| James Stuart Falcone | Oppenheimer & Co. Inc. other | Cetera Advisor Networks LLC other | Other | Sep 6, 2013 | Sep 3, 2013 |
| David Oliver Cashdollar | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Scott Henry Guetz | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Michael David Raymond | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Jeffrey Thomas Kellett | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Blake Deonne Amick | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| William Matthew Lafond | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Thomas Anthony Hennessy | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Scott Charles Modell | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Mary Lynnette Jones | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Douglas Paul Harrigan | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Dennis Jacob Hein | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Peter Michael Cote | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Andrew Seymour Adil | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Thomas C. Paron | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Michael J Roehm | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Jill Aaron Brandon | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Jason Andrew Iannantuono | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Joseph Paul Preddy | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Keith Andrew Adams | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Stephanie White Mccullough | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Michael Hampton Westbrooks | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Mark G Mannarelli | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Timothy Joseph Glennon | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Richard Gayle English | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Brian M Mcqueeney | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Brandon James Echeverria | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Charles Gary Drake | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| David Keith Hovis | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| David Jason Dugger | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Evelyn Rhines | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Curtis Edward Meono | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Sidney Jason Ruth | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Jane W Griffith | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Christopher James Raymond | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Steven R Hykes | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Philip Thomas Springirth | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Kevin Douglas Hovis | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Michael J Kostelnik | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Susan J Finefrock | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Jared David White | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Justin Anthony Maciak | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| William Jeffrey Brown | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Robert Anthony Rogers | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Kristen Laura Lierly | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |