| Shih Hua Liu | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Sep 16, 2015 | Sep 9, 2015 |
| Ralph Von Allen | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Sep 4, 2015 | Sep 8, 2015 |
| Harry Bonn | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. BD affiliated | Other | Sep 1, 2015 | Jun 11, 2019 (1379 d) |
| Nimish Navin Patel | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Aug 20, 2015 | Oct 20, 2014 |
| Kristopher T Sharpe | Wealthspire Advisors other | Woodbury Financial Services, Inc. other | Other | Aug 6, 2015 | Sep 22, 2015 (47 d) |
| Robert Lynn Javens | Pruco Securities, LLC other | Woodbury Financial Services, Inc. other | Other | Jul 31, 2015 | Jul 31, 2015 |
| Peter David Falstad | First Heartland Consultants, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 17, 2015 | Jul 16, 2015 |
| Carolynn Bridget Bridges | Cuso Financial Services, L.P. other | Woodbury Financial Services, Inc. other | Other | Jul 6, 2015 | Sep 16, 2015 (72 d) |
| Corey Lamont Webster | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Jun 23, 2015 | Oct 17, 2014 |
| Shawn Alan Manuel | Concourse Financial Group Advisors other | Woodbury Financial Services, Inc. other | Other | Jun 19, 2015 | May 29, 2015 |
| Cannon Charles Wray | Charles Schwab & Co., Inc. national BD | Woodbury Financial Services, Inc. other | Other | Jun 16, 2015 | Aug 11, 2015 (56 d) |
| Douglas Brent Zucker | B. Riley Wealth Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 12, 2015 | Jun 16, 2015 |
| Raymond Michael Whittenburg | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 9, 2015 | Jun 8, 2015 |
| Joshua Floyd Black | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 9, 2015 | Jun 9, 2015 |
| Jordan M Whittenburg | Securities America Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 9, 2015 | Jun 8, 2015 |
| John R Cultrera | Joseph Gunnar & Co., LLC other | Woodbury Financial Services, Inc. BD affiliated | Other | May 29, 2015 | Oct 28, 2019 (1613 d) |
| Robert Lloyd Macnider | Oneamerica Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | May 15, 2015 | May 11, 2015 |
| Matthew Caldwell Ribble | Compass Efficient Model Portfolios, LLC other | Woodbury Financial Services, Inc. other | Other | May 11, 2015 | Mar 17, 2017 (676 d) |
| Daniel Allan Teague | Gradient Wealth Management other | Woodbury Financial Services, Inc. other | Other | May 1, 2015 | May 5, 2015 |
| Edward William Schuler | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Apr 27, 2015 | Apr 24, 2015 |
| Melissa L Krupa | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Apr 22, 2015 | May 7, 2015 |
| Nathan M Robnett | Next Financial Group, Inc. other | Woodbury Financial Services, Inc. other | Other | Apr 17, 2015 | Apr 16, 2015 |
| Brian Robert Page | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Mar 30, 2015 | Apr 2, 2015 |
| Michael Norman Labedz | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Mar 30, 2015 | Mar 17, 2015 |
| Brian Anthony Kiefer | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Mar 30, 2015 | Mar 17, 2015 |
| Steven Mark Beaupre | Cetera Investment Advisers LLC other | Woodbury Financial Services, Inc. other | Other | Mar 19, 2015 | Apr 23, 2015 (35 d) |
| Michael George Higgins | Morgan Stanley wirehouse | Woodbury Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 17, 2015 | Nov 7, 2018 (1331 d) |
| Michael Scott Wehner | Financial Advocates Investment Management other | Woodbury Financial Services, Inc. BD affiliated | Other | Feb 11, 2015 | Aug 29, 2019 (1660 d) |
| Angela Marie Berry | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. BD affiliated | Other | Dec 31, 2014 | Nov 16, 2022 (2877 d) |
| Richard Franklyn Detillio | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. BD affiliated | Other | Dec 31, 2014 | Nov 15, 2022 (2876 d) |
| Susan J Finefrock | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. BD affiliated | Other | Dec 31, 2014 | Nov 15, 2022 (2876 d) |
| Jonathan Joseph Twidwell | Mutual Of Omaha Investor Services, Inc. no RAUM | Woodbury Financial Services, Inc. other | Other | Dec 23, 2014 | Nov 28, 2014 |
| Tyler Grant Davidson | Mutual Of Omaha Investor Services, Inc. no RAUM | Woodbury Financial Services, Inc. other | Other | Dec 23, 2014 | Dec 1, 2014 |
| Benjamin David Johnson | Mutual Of Omaha Investor Services, Inc. no RAUM | Woodbury Financial Services, Inc. other | Other | Dec 23, 2014 | Dec 1, 2014 |
| Steven Thomas Beals | Cetera Advisor Networks LLC other | Woodbury Financial Services, Inc. other | Other | Dec 22, 2014 | Dec 18, 2014 |
| Ryan Lawry Bradford | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 2, 2014 | Dec 1, 2014 |
| Toby John Peters | Independent Financial Partners other | Woodbury Financial Services, Inc. other | Other | Nov 28, 2014 | Nov 28, 2014 |
| Dominic Vincent Privitera | American Portfolios Advisors, Inc other | Woodbury Financial Services, Inc. other | Other | Nov 19, 2014 | Oct 27, 2014 |
| Daniel Patrick Schumann | U.S. Bancorp Investments, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 12, 2014 | Dec 8, 2014 |
| Alton Leroy Howell | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Nov 5, 2014 | Oct 28, 2014 |
| Brandon John Valentine | Waddell & Reed other | Woodbury Financial Services, Inc. other | Other | Nov 5, 2014 | Nov 12, 2014 |
| Sarah Jean Dory | Sunset Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Oct 20, 2014 | Oct 20, 2014 |
| Timothy R Wagenknecht | Investment Professionals, Inc. other | Woodbury Financial Services, Inc. other | Other | Oct 6, 2014 | Sep 26, 2014 |
| James Bernard Johnson | Signator Investors, Inc. other | Woodbury Financial Services, Inc. other | Other | Sep 29, 2014 | Sep 19, 2014 |
| Stuart Tamotsu Iritani | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Sep 8, 2014 | Aug 8, 2014 |
| Karen Marie Lessard | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. other | Other | Sep 4, 2014 | Oct 7, 2014 (33 d) |
| James Kevin Wietfeldt | Compass Financial Advisors LLC other | Woodbury Financial Services, Inc. BD affiliated | Other | Aug 18, 2014 | Mar 1, 2019 (1656 d) |
| Scott Hottel Chapin | First Allied Advisory Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Aug 5, 2014 | Aug 1, 2014 |
| Nicholas Bliss | Summit Financial Group Inc other | Woodbury Financial Services, Inc. other | Other | Jul 18, 2014 | Feb 12, 2015 (209 d) |
| Simon Dude Granner | Thrivent Investment Management Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 25, 2014 | Apr 2, 2015 (281 d) |
| William Joseph Aldrich | Wedbush Securities Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 16, 2014 | Oct 21, 2016 (858 d) |
| Paul Serban Cotofana | Sagepoint Financial, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 12, 2014 | Jul 18, 2014 (36 d) |
| Melissa Beth Chipman | Pruco Securities, LLC other | Woodbury Financial Services, Inc. other | Other | Jun 10, 2014 | Jun 10, 2014 |
| Stacy Jean Hayes | Pnc Managed Account Solutions, Inc. other | Woodbury Financial Services, Inc. other | Other | May 15, 2014 | May 15, 2014 |
| Steven Darryl Lindberg | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | May 2, 2014 | May 1, 2014 |
| Matthew Blair Costello | Eagle Strategies LLC other | Woodbury Financial Services, Inc. other | Other | Apr 23, 2014 | Apr 18, 2014 |
| Karen M Oberg | Bancwest Investment Services, Inc. (Bwis) other | Woodbury Financial Services, Inc. other | Other | Apr 10, 2014 | Dec 7, 2015 (606 d) |
| Eric William Dean | Park Avenue Securities LLC other | Woodbury Financial Services, Inc. other | Other | Mar 28, 2014 | Nov 18, 2014 (235 d) |
| Michael Eugene Horn | Ipi Wealth Management, Inc. other | Woodbury Financial Services, Inc. other | Other | Mar 6, 2014 | Mar 6, 2014 |
| Brian Alan Ambrose | Ambrose Financial And Insurance Services, LLC unclassified | Woodbury Financial Services, Inc. other | Other | Mar 5, 2014 | Dec 15, 2008 |