| Kevin C Beaudoin | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | May 28, 2015 | May 22, 2015 |
| Joseph Michael Masella | Fortigent, LLC other | Private Advisor Group, LLC BD affiliated | Other | May 26, 2015 | Jul 22, 2022 (2614 d) |
| Dustin Jay Dean | Fsc Securities Corporation other | Private Advisor Group, LLC BD affiliated | Other | May 12, 2015 | May 19, 2021 (2199 d) |
| Kevin David Paro | Stratos Wealth Partners, Ltd other | Private Advisor Group, LLC other | Other | May 8, 2015 | Mar 24, 2015 |
| Christopher Andre Radu | Morgan Stanley wirehouse | Private Advisor Group, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 22, 2015 | Jan 3, 2025 (3544 d) |
| Patrick Francis Clark | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Apr 13, 2015 | Feb 13, 2012 |
| Lester Provan Botkin | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Mar 31, 2015 | Mar 23, 2015 |
| Lester Haven Botkin | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Mar 31, 2015 | Mar 20, 2015 |
| Sara Banes Botkin | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Mar 26, 2015 | Mar 20, 2015 |
| Steven L. Kennedy | Advice And Planning Services other | Private Advisor Group, LLC BD affiliated | Other | Mar 19, 2015 | May 24, 2021 (2258 d) |
| Nathan B Barbakoff | Hsbc Securities (USA) Inc. other | Private Advisor Group, LLC other | Other | Mar 12, 2015 | Mar 25, 2015 |
| Dori R Schwartz | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Mar 4, 2015 | Mar 18, 2015 |
| Anthony Kenneth Holden | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Mar 4, 2015 | Dec 23, 2014 |
| Khagendra Kattel | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Mar 4, 2015 | Mar 18, 2015 |
| Brendan Hughes | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Mar 4, 2015 | Mar 18, 2015 |
| John David Cooney | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 28, 2015 | Dec 19, 2014 |
| Justin Poplawski | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 28, 2015 | Dec 23, 2014 |
| Daniel J Aguanno | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 28, 2015 | Dec 19, 2014 |
| Joshua Loree Lewis | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 28, 2015 | Oct 27, 2015 (241 d) |
| Evan C Imfeld | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 28, 2015 | Mar 18, 2015 |
| Stephen Barrett Stone | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 27, 2015 | Dec 19, 2014 |
| Scott David Schwartz | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 27, 2015 | Dec 19, 2014 |
| Andy Mark Schwartz | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 27, 2015 | Dec 19, 2014 |
| Michael John Mckiernan | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 27, 2015 | Dec 23, 2014 |
| Stephen Carey Goldenring | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 27, 2015 | Dec 19, 2014 |
| Richard Gordon Wright | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 27, 2015 | Dec 23, 2014 |
| Patrick Sean Torney | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 27, 2015 | Dec 19, 2014 |
| Christopher Joseph Cella | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Dec 19, 2014 |
| John Reed Finney | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Dec 19, 2014 |
| Laurence Todd Celniker | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Dec 19, 2014 |
| Mark Jeffrey Feldman | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Feb 27, 2015 |
| Michael Ian Axelrod | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Dec 19, 2014 |
| Francis N Lepore | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Dec 19, 2014 |
| Michael J Albertine | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Dec 19, 2014 |
| David M Mecca | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Dec 19, 2014 |
| Jonathan Guerrieri | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 26, 2015 | Jun 3, 2015 (97 d) |
| Edward Anthony Bails | U.S. Financial Advisors other | Private Advisor Group, LLC other | Other | Feb 21, 2015 | Jan 30, 2015 |
| Scott Martin Tonkovich | U.S. Financial Advisors other | Private Advisor Group, LLC other | Other | Feb 21, 2015 | Feb 23, 2015 |
| Dimitri Austin Grant | Northwestern Mutual Investment Services,LLC other | Private Advisor Group, LLC other | Other | Feb 3, 2015 | Mar 18, 2015 (43 d) |
| Marc Anthony Canovali | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Feb 2, 2015 | Jan 30, 2015 |
| Hollis Jill Hardiman | Wells Fargo Advisors wirehouse | Private Advisor Group, LLC other | Other | Jan 13, 2015 | Jan 23, 2015 |
| Gregory George Calderaro | Morgan Stanley wirehouse | Private Advisor Group, LLC other | Other | Jan 12, 2015 | Dec 23, 2014 |
| Stephen Matthew Schlichter | Fsc Securities Corporation other | Private Advisor Group, LLC other | Other | Dec 31, 2014 | Jan 15, 2016 (380 d) |
| William A. Wittich | Money Concepts Advisory Service other | Private Advisor Group, LLC other | Other | Dec 31, 2014 | Dec 19, 2014 |
| Mary E. Wagner | Wells Fargo Advisors wirehouse | Private Advisor Group, LLC other | Other | Dec 19, 2014 | Dec 19, 2014 |
| Jake Szulinski | Wells Fargo Advisors wirehouse | Private Advisor Group, LLC other | Other | Dec 19, 2014 | Dec 17, 2014 |
| Gerald Naber | Money Concepts Advisory Service other | Private Advisor Group, LLC other | Other | Dec 17, 2014 | Dec 19, 2014 |
| Luis Alfonso Granados | Edward Jones national BD | Private Advisor Group, LLC other | Other | Dec 16, 2014 | Dec 19, 2014 |
| Constantine J Kitrinos | M&T Securities, Inc. unclassified | Private Advisor Group, LLC BD affiliated | Other | Dec 12, 2014 | May 26, 2021 (2357 d) |
| Roland Robert Greco | Premier College Funding unclassified | Private Advisor Group, LLC other | Other | Dec 11, 2014 | May 19, 2016 (525 d) |
| Caryn Halbrecht | LPL Financial LLC other | Private Advisor Group, LLC other | Other | Dec 10, 2014 | Dec 10, 2014 |
| David T Georgiev | M&T Securities, Inc. unclassified | Private Advisor Group, LLC BD affiliated | Other | Dec 9, 2014 | May 26, 2021 (2360 d) |
| Gene Craig Levengood | Raymond James Financial Services Advisors, Inc other | Private Advisor Group, LLC other | Other | Dec 8, 2014 | Dec 8, 2014 |
| Sandra Alterio Barry | Cadaret Grant & Co Inc other | Private Advisor Group, LLC BD affiliated | Other | Nov 26, 2014 | May 26, 2021 (2373 d) |
| Joel Martin Morawski | Cadaret Grant & Co Inc other | Private Advisor Group, LLC BD affiliated | Other | Nov 26, 2014 | May 12, 2021 (2359 d) |
| Richard Ferris Samara | Summit Financial Resources Inc no RAUM | Private Advisor Group, LLC other | Other | Nov 10, 2014 | Nov 12, 2014 |
| Howard J Moyer | Hudock Capital Group other | Private Advisor Group, LLC other | Other | Nov 7, 2014 | Oct 28, 2014 |
| Brenton E Ditto | J.J.B. Hilliard, W.L. Lyons, LLC other | Private Advisor Group, LLC other | Other | Nov 5, 2014 | Oct 31, 2014 |
| Benjamin Louis Lodico | Cwm, LLC other | Private Advisor Group, LLC other | Other | Nov 3, 2014 | Nov 3, 2014 |
| David Gabriel Torres-Onisto | Msi Financial Services, Inc. other | Private Advisor Group, LLC other | Other | Oct 31, 2014 | Oct 28, 2014 |