| Gary Dale Jones | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Nov 10, 2014 | Oct 28, 2014 |
| Monty Leon Mccurley | Allstate Financial Advisors, LLC no RAUM | Valic Financial Advisors, Inc. other | Other | Nov 5, 2014 | Nov 4, 2014 |
| Fernando Aguirre De La Rosa | Hantz Financial Services, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Nov 3, 2014 | Jan 2, 2015 (60 d) |
| Tara J Hanson | Berthel Fisher & Company Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Oct 28, 2014 | Dec 23, 2014 (56 d) |
| Christopher Wade Isom | Stifel, Nicolaus & Company, Incorporated national BD | Valic Financial Advisors, Inc. other | Other | Oct 24, 2014 | Oct 22, 2014 |
| John F. Furjanic | Spc other | Valic Financial Advisors, Inc. other | Other | Oct 3, 2014 | Oct 10, 2014 |
| Jeremiah Rockefeller Buden | Voya Financial Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Oct 3, 2014 | Sep 30, 2014 |
| Omari Simpson | Next Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 26, 2014 | Oct 3, 2014 |
| Catherine Harstick | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Sep 23, 2014 | Sep 24, 2014 |
| Thiesman Brown | Strategic Advisers LLC national BD | Valic Financial Advisors, Inc. other | Other | Sep 23, 2014 | Mar 25, 2016 (549 d) |
| Gaurav Batra | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Sep 3, 2014 | Dec 22, 2014 (110 d) |
| Brandon Marcus Daniels | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 28, 2014 | Oct 1, 2014 (34 d) |
| Patrick Daniel Stobaugh | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Aug 21, 2014 | Dec 16, 2015 (482 d) |
| Scott Mitchell Boyd | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Aug 12, 2014 | Oct 29, 2014 (78 d) |
| Emily Ann Christian | Mercer Global Advisors Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 5, 2014 | Mar 9, 2015 (216 d) |
| Andrew Bryant Meinbresse | Eagle Strategies LLC other | Valic Financial Advisors, Inc. other | Other | Aug 1, 2014 | Jul 28, 2014 |
| Scott Edward Burman | Next Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Jul 14, 2014 | Aug 20, 2014 (37 d) |
| Nathan S Embry | Northwestern Mutual Investment Services,LLC other | Valic Financial Advisors, Inc. other | Other | Jun 23, 2014 | Jun 23, 2014 |
| Gary Wayne Yarnall | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 17, 2014 | Jun 18, 2014 |
| Kim Baughman Short | Mutual Of Omaha Investor Services, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Jun 13, 2014 | Jun 10, 2014 |
| Ali Mahbod | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jun 13, 2014 | Nov 14, 2014 (154 d) |
| Jillian Marjean Bell | D.A. Davidson & Co. other | Valic Financial Advisors, Inc. other | Other | Jun 9, 2014 | Jul 24, 2014 (45 d) |
| Sean Taylor Buckley | Bb&T Investment Services, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Jun 3, 2014 | Sep 11, 2014 (100 d) |
| Ann Kelly Adams | Signator Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | May 15, 2014 | May 28, 2014 |
| George Delmont Peterson | Pnc Wealth Management other | Valic Financial Advisors, Inc. other | Other | May 9, 2014 | May 28, 2014 |
| Chevelle Ss Tuck | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | May 6, 2014 | Aug 25, 2014 (111 d) |
| James Llewellyn Story | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Apr 24, 2014 | Apr 29, 2014 |
| Steven Andrew Sanchez | Allstate Financial Advisors, LLC no RAUM | Valic Financial Advisors, Inc. other | Other | Apr 14, 2014 | Jul 2, 2014 (79 d) |
| Loren Lamont Francis Harris | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. other | Other | Apr 9, 2014 | Apr 28, 2014 |
| Terri Lynn Kuizinas | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Apr 9, 2014 | Apr 14, 2014 |
| Bobbi J Langan | Charles Schwab & Co., Inc. national BD | Valic Financial Advisors, Inc. other | Other | Mar 28, 2014 | May 6, 2014 (39 d) |
| Janice F. Wong | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Mar 10, 2014 | Mar 13, 2014 |
| Joseph Lauro | Planmember Securities Corporation other | Valic Financial Advisors, Inc. other | Other | Feb 13, 2014 | Mar 28, 2014 (43 d) |
| Jennifer M. Chadwell | Huntington Financial Advisors other | Valic Financial Advisors, Inc. other | Other | Jan 31, 2014 | Feb 3, 2014 |
| Kathleen Murphy | Charles Schwab & Co., Inc. national BD | Valic Financial Advisors, Inc. other | Other | Jan 30, 2014 | Jul 2, 2014 (153 d) |
| Robert Carter Lachney | Raymond James & Associates, Inc. national BD | Valic Financial Advisors, Inc. other | Other | Jan 27, 2014 | Feb 14, 2014 |
| William Daniel Bohney | Huntington Financial Advisors other | Valic Financial Advisors, Inc. other | Other | Jan 17, 2014 | Jan 14, 2014 |
| Matthew B Megin | Ashton Thomas Private Wealth other | Valic Financial Advisors, Inc. other | Other | Jan 10, 2014 | Dec 23, 2013 |
| Nelson Clay Green | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Jan 9, 2014 | Nov 24, 2015 (684 d) |
| Tamme Terrell Ford | Nationwide Investment Advisors, LLC other | Valic Financial Advisors, Inc. other | Other | Jan 2, 2014 | Dec 23, 2013 |
| Rickey Jack Carlson | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Jan 2, 2014 | Jan 30, 2014 |
| Brent Arnold Moeller | Key Investment Services LLC other | Valic Financial Advisors, Inc. other | Other | Dec 23, 2013 | Feb 24, 2014 (63 d) |
| Belete Alemu | J.P. Morgan Securities LLC wirehouse | Valic Financial Advisors, Inc. other | Other | Dec 17, 2013 | Mar 18, 2014 (91 d) |
| Leesa Leishman Valdez | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Dec 17, 2013 | Dec 4, 2013 |
| Michael Esteban Barragan | Td Ameritrade Investment Management, LLC other | Valic Financial Advisors, Inc. other | Other | Dec 2, 2013 | Dec 3, 2013 |
| William Hilton Burke | Burke-Leslie Professional Asset Management, LLC other | Valic Financial Advisors, Inc. other | Other | Nov 15, 2013 | Dec 12, 2013 |
| Michael Grant Randolph | Creative Financial Designs, Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 15, 2013 | Nov 19, 2013 |
| Kevin F Meserve | Santander Securities other | Valic Financial Advisors, Inc. other | Other | Nov 8, 2013 | Nov 8, 2013 |
| Nicholas Glen Johnson | Kcd Financial, Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 4, 2013 | Aug 18, 2015 (652 d) |
| Bruce Wayne Robertson | Sethi Tax And Wealth Advisors unclassified | Valic Financial Advisors, Inc. other | Other | Nov 1, 2013 | Nov 6, 2013 |
| Trine Andersen | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2013 | Aug 25, 2020 (2503 d) |
| Christopher Gerard Smiley | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Oct 16, 2013 | May 6, 2014 (202 d) |
| Julian Maurice Pouncy | Pruco Securities, LLC other | Valic Financial Advisors, Inc. other | Other | Oct 15, 2013 | Sep 30, 2013 |
| Ernest White | Equitable Advisors, LLC national BD | Valic Financial Advisors, Inc. other | Other | Oct 2, 2013 | Dec 26, 2013 (85 d) |
| Brian A Perdew | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Oct 1, 2013 | Oct 31, 2013 |
| Benjamin Christopher Blakelock | Usaa Financial Planning Services no RAUM | Valic Financial Advisors, Inc. other | Other | Sep 17, 2013 | Sep 23, 2013 |
| William Joseph Stricklin | Allstate Financial Advisors, LLC no RAUM | Valic Financial Advisors, Inc. other | Other | Sep 16, 2013 | Sep 18, 2013 |
| Elelumhe Kalimetu Garuba-Hawthorne | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Sep 12, 2013 | Nov 4, 2013 (53 d) |
| David William Dykstra | Investment Centers Of America, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 30, 2013 | Sep 11, 2013 |
| Roland Darryl Berry | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Aug 27, 2013 | Oct 28, 2013 (62 d) |