| Brett Daniel Dolan | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Apr 3, 2006 |
| Kenneth W. Carone | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Mar 31, 2006 |
| Phillip Lawrence Dimond | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 3, 2006 | Mar 31, 2006 |
| Dennus Kyle Bradley Cooper | Geneos Wealth Management, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 23, 2006 | Feb 7, 2007 (321 d) |
| Christopher Allan Adams | Banc Of America Investment Services, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 13, 2006 | Mar 13, 2006 |
| Scott Christopher Adams | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 10, 2006 | Mar 10, 2006 |
| Heath Tyler Burch | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 10, 2006 | Mar 10, 2006 |
| Charles Robert Gibson | Chase Investment Services Corp. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 1, 2006 | Mar 24, 2006 |
| Elizabeth Ann Jacovino | Advest, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 6, 2006 | Feb 27, 2006 |
| David Ryan Shober | Banc Of America Investment Services, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 31, 2006 | Sep 20, 2006 (232 d) |
| Jeffrey Allan Huff | Mutual Service Corporation unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 27, 2006 | Feb 17, 2006 |
| Henry Raymond Ouellette | Berkshire Investment Advisors, LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 17, 2006 | Nov 17, 2005 |
| Christopher Wayne Geary | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 13, 2006 | Sep 27, 2007 (622 d) |
| Patrick James Fovel | Hamilton,Martell And Associates unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 2, 2006 | Dec 2, 2005 |
| Richard Thomas Martell | Hamilton,Martell And Associates unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 2, 2006 | Dec 2, 2005 |
| Jon Alan Kerby | Mission Hills Financial independent RIA | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2005 | Jan 5, 2005 |
| Katharine Booth Marvel | Marvel Financial Planning, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2005 | Jun 9, 2003 |
| Christopher Panos Kamnitsis | Investacorp Advisory Services Inc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2005 | Sep 26, 2007 (634 d) |
| Rance Gene Sweeten | Lcp & H Financial Services, Llp unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2005 | Nov 9, 2001 |
| Erik Lee Puffenberger | J.P. Morgan Asset Management unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2005 | May 24, 2006 (144 d) |
| Cathy Webster Pinard | U.S. Financial Advisors other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2005 | Jan 12, 2006 |
| Stephen Allen Hartel | Stephen A. Hartel unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2005 | Sep 14, 2010 (1718 d) |
| George Matthew Barberich | New England Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 20, 2005 | Oct 16, 2008 (1031 d) |
| Gregg Mitchell Karal | Advest, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 16, 2005 | Jan 13, 2006 |
| Lindsay Hambleton Sturmak | Walnut Street Securities, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 30, 2005 | Nov 30, 2005 |
| Stephen Ernst Maurer | Janell A. Israel And Associates Ltd unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 8, 2005 | Feb 26, 2014 (3032 d) |
| Steven Lynn Spong | Vicus Capital, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 3, 2005 | Nov 2, 2005 |
| Taylor Keith Ranker | Vicus Capital, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 3, 2005 | Nov 2, 2005 |
| Alfred C Varano | Vicus Capital, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 3, 2005 | Nov 4, 2005 |
| Patrick Stephen Manes | Metlife Investment Fund Services LLC unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 26, 2005 | Dec 13, 2006 (413 d) |
| Jason Kyle Brangers | Avantax Advisory Services other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 12, 2005 | Jul 30, 2007 (656 d) |
| Gary Joseph Vyneman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 3, 2005 | Feb 3, 2006 (123 d) |
| Wayne Alan Cassriel | Morgan Stanley Dw Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 29, 2005 | Oct 3, 2005 (35 d) |
| Ryan Vincent Sapp | Morgan Stanley Dw Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 29, 2005 | Oct 4, 2005 (36 d) |
| Jeffrey R. Todd | UBS Financial Services Inc. wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 29, 2005 | Feb 16, 2006 (202 d) |
| Lisa M Rossi | Chase Investment Services Corp. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 5, 2005 | Jun 10, 2005 (36 d) |
| Reid Leonard Allen | Brecek & Young Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 5, 2005 | May 25, 2005 |
| John Martin Blamphin | Scarborough Capital Management, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 27, 2005 | Jan 11, 2006 (259 d) |
| James Russell Lord | Cornerstone Advisors other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 13, 2005 | Mar 2, 2005 |
| Jeffrey Scott Hoadley | First Command Bank unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 4, 2005 | Jan 12, 2006 (283 d) |
| Michael Ernest Demassa | Transamerica Financial Advisors, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 23, 2005 | Jul 15, 2005 (114 d) |
| Charles Carmon Crolle | Osaic Fa, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 22, 2005 | Feb 23, 2005 |
| Ross Frederick Browne | A. G. Edwards & Sons, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 8, 2005 | Feb 16, 2005 |
| Kenneth Arthur Foisie | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 28, 2005 | Feb 1, 2005 |
| Carolyn Nawrocki Oberfeld | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 20, 2005 | Oct 13, 2011 (2457 d) |
| Daniel Trivison | Walnut Street Advisers Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 4, 2005 | Jan 14, 2005 |
| Thane Michael Bushong | Independent Advisers Group Corp other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 3, 2005 | Mar 31, 2006 (452 d) |
| John Edward Moriarty | Heartland Financial Advisors Group, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2004 | Oct 22, 2007 (1025 d) |
| Shari Meltzer Reffsin | MML Investors Services, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2004 | Jan 20, 2005 |
| Gary Robert Sawyer | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2004 | Oct 16, 2007 (1019 d) |
| Bryan James Hickingbottom | Valic Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 17, 2004 | Feb 1, 2005 (46 d) |
| Jay Charles Matthews | Transamerica Financial Advisors, LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 14, 2004 | Nov 29, 2004 |
| Colin Andrew Meeks | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 13, 2004 | Jan 4, 2005 |
| Barry Stuart Goldberg | Bgi Capital Management, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 19, 2004 | Apr 10, 2015 (3794 d) |
| Ryan Maul | LPL Financial LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 20, 2004 | Oct 13, 2004 |
| Barry Jack Schmidt | Associated Securities Corp. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 19, 2004 | Sep 28, 2004 (40 d) |
| Enock Freire | UBS Financial Services Inc. wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 23, 2004 | Jul 1, 2011 (2534 d) |
| Kathleen Christine Laverde | Citicorp Investment Services unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 7, 2004 | Sep 29, 2004 (84 d) |
| David Gregory Queen | Fsc Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 3, 2004 | May 11, 2004 |
| Trevor Scott Smith | Fsc Securities Corporation other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 3, 2004 | May 5, 2004 |