| Stephen Anthony Dellelo | Investors Capital Advisory other | Next Financial Group, Inc. other | Other | Aug 26, 2005 | Sep 13, 2005 |
| Steven Robert Wilkerson | Morgan Stanley Dw Inc. unclassified | Next Financial Group, Inc. other | Other | Aug 24, 2005 | Sep 8, 2005 |
| Robert Neil Barber | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Aug 22, 2005 | Aug 17, 2005 |
| Keith Wayne Parker | United Securities Alliance, Inc. unclassified | Next Financial Group, Inc. other | Other | Aug 9, 2005 | Aug 10, 2005 |
| Matthew Raymond Hisey | Thrivent Investment Management Inc. other | Next Financial Group, Inc. other | Other | Jul 18, 2005 | Jul 26, 2005 |
| Hermes William Del-Sette | Park Avenue Securities LLC other | Next Financial Group, Inc. other | Other | Jul 11, 2005 | Dec 21, 2011 (2354 d) |
| Eric Louis Rechtin | Waddell & Reed other | Next Financial Group, Inc. other | Other | Jul 6, 2005 | Jul 1, 2005 |
| David Christopher Malone | Waddell & Reed other | Next Financial Group, Inc. other | Other | Jul 6, 2005 | Jul 5, 2005 |
| George Enone Enone | Pruco Securities, LLC other | Next Financial Group, Inc. other | Other | Jun 27, 2005 | Jul 6, 2005 |
| Ronald Gilbert Smith | Securities America Advisors, Inc. other | Next Financial Group, Inc. other | Other | Jun 27, 2005 | Jul 8, 2005 |
| Aleksandar Krakovic | Bff Wealth Management, Inc. state registered | Next Financial Group, Inc. other | Other | Jun 24, 2005 | Jun 22, 2005 |
| Brian S Staples | Southbridge other | Next Financial Group, Inc. other | Other | Jun 16, 2005 | Jul 19, 2004 |
| John On-Kwok Lau | LPL Financial LLC other | Next Financial Group, Inc. other | Other | Jun 15, 2005 | Jun 14, 2005 |
| Mario Antonio Rodriguez | Transamerica Financial Advisors, LLC other | Next Financial Group, Inc. other | Other | May 18, 2005 | May 16, 2005 |
| David Warren Cade | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | May 13, 2005 | Aug 26, 2005 (105 d) |
| Linda Sueing Jackson | Waddell & Reed other | Next Financial Group, Inc. other | Other | May 6, 2005 | May 6, 2005 |
| Shelly Renee Dodge | Momentum Independent Network Inc. other | Next Financial Group, Inc. other | Other | May 2, 2005 | May 2, 2005 |
| Todd Allen Rustman | Associated Securities Corp. unclassified | Next Financial Group, Inc. other | Other | Apr 8, 2005 | Aug 8, 2008 (1218 d) |
| Ronnie Myron Kidd | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Apr 6, 2005 | Apr 1, 2005 |
| Kevin Thomas Clark | Mony Securities Corporation unclassified | Next Financial Group, Inc. other | Other | Apr 1, 2005 | Mar 31, 2005 |
| Scott Douglas Clarke | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Mar 25, 2005 | Apr 5, 2005 |
| Erica Droste Massman | Waddell & Reed other | Next Financial Group, Inc. other | Other | Mar 21, 2005 | Mar 18, 2005 |
| Stefan Lamar Reddrick | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. other | Other | Mar 4, 2005 | Mar 1, 2005 |
| Charles Ian Kasner | Equitable Advisors, LLC national BD | Next Financial Group, Inc. other | Other | Feb 15, 2005 | Feb 2, 2005 |
| Victor Vincent Valverde | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Jan 26, 2005 | Feb 10, 2005 |
| Richard Francis Barnett | Msi Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Jan 20, 2005 | Jan 20, 2005 |
| Peter Andrew Kranenburg | Mony Securities Corporation unclassified | Next Financial Group, Inc. other | Other | Dec 31, 2004 | Jan 10, 2005 |
| Michael Louis Schwartz | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Next Financial Group, Inc. other | Other | Dec 31, 2004 | Jan 3, 2005 |
| Stephen Renden Thomas | Osaic Fa, Inc. other | Next Financial Group, Inc. other | Other | Dec 17, 2004 | Dec 16, 2004 |
| Anthony Kent Tee | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Dec 1, 2004 | Nov 23, 2004 |
| Tony Gene Griepentrog | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Dec 1, 2004 | Nov 23, 2004 |
| David Alan Ramos | Osaic Fa, Inc. other | Next Financial Group, Inc. other | Other | Nov 22, 2004 | Aug 22, 2005 (273 d) |
| Sarvey Garcia Canella | Sunset Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Nov 19, 2004 | Nov 23, 2004 |
| Brian Craig Parker | Legg Mason Wood Walker, Incorporated unclassified | Next Financial Group, Inc. other | Other | Nov 18, 2004 | Mar 7, 2011 (2300 d) |
| Robert James Mckee | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | Nov 17, 2004 | Nov 12, 2004 |
| Diana M Longo | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. other | Other | Nov 4, 2004 | Apr 11, 2008 (1254 d) |
| Mark Darren Godfrey | Marathon Advisors, Inc unclassified | Next Financial Group, Inc. other | Other | Nov 1, 2004 | Sep 6, 2013 (3231 d) |
| Mark Dennis Wetterholm | Wall Street Financial Group, Inc other | Next Financial Group, Inc. other | Other | Oct 1, 2004 | Sep 30, 2004 |
| Trent A Loucks | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Sep 28, 2004 | Feb 5, 2008 (1225 d) |
| Brian J Laroche | 401k Power, LLC unclassified | Next Financial Group, Inc. other | Other | Sep 27, 2004 | Sep 29, 2004 |
| Frank Anthony Molinar | USA Financial Securities LLC other | Next Financial Group, Inc. other | Other | Aug 27, 2004 | Oct 13, 2004 (47 d) |
| Frank Leroy Bell | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Aug 26, 2004 | Aug 24, 2004 |
| Deborah Hughes Bell | Osaic Fs, Inc. other | Next Financial Group, Inc. other | Other | Aug 26, 2004 | Aug 24, 2004 |
| Cohen Reagan | Charles Schwab & Co., Inc. national BD | Next Financial Group, Inc. other | Other | Aug 4, 2004 | Mar 12, 2007 (950 d) |
| Mitchell George Rubin | Esi Financial Advisors other | Next Financial Group, Inc. other | Other | Aug 4, 2004 | Apr 13, 2011 (2443 d) |
| Walter Royal Mcdaniel | Equitable Advisors, LLC national BD | Next Financial Group, Inc. other | Other | Jul 29, 2004 | Jul 19, 2004 |
| Richard Joseph Russillo | Hornor, Townsend & Kent, LLC other | Next Financial Group, Inc. other | Other | Jul 29, 2004 | Jul 30, 2004 |
| Stephen Douglas Memery | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Jul 26, 2004 | Apr 27, 2005 (275 d) |
| Bobby Hilton Christian | Msi Financial Services, Inc. other | Next Financial Group, Inc. other | Other | Jul 23, 2004 | Jul 27, 2004 |
| Lee Melvin Harp | LPL Financial LLC other | Next Financial Group, Inc. other | Other | May 27, 2004 | May 27, 2004 |
| Jennifer Blake Karaczun | Main Street Management Company unclassified | Next Financial Group, Inc. other | Other | May 26, 2004 | May 26, 2004 |
| Ronald James Briggs | Main Street Management Company unclassified | Next Financial Group, Inc. other | Other | May 24, 2004 | Jun 9, 2004 |
| Steven Lynn Nelson | Bok Financial Asset Management, Inc. other | Next Financial Group, Inc. other | Other | May 6, 2004 | Mar 22, 2016 (4338 d) |
| Isaac Ygal Iny | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. other | Other | Mar 19, 2004 | Mar 12, 2004 |
| Edward Lawrence Komito | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Mar 3, 2004 | Mar 10, 2004 |
| Robert Paul Reichelt | Cuna Brokerage Services, Inc. other | Next Financial Group, Inc. other | Other | Feb 27, 2004 | Feb 23, 2004 |
| Mark Alan Lamb | Keystone Capital Corporation no RAUM | Next Financial Group, Inc. other | Other | Jan 22, 2004 | Feb 5, 2004 |
| William John Finnegan | Keystone Capital Corporation no RAUM | Next Financial Group, Inc. other | Other | Jan 22, 2004 | Feb 5, 2004 |
| Michael Andrew Bell | Sentra Securities Corporation unclassified | Next Financial Group, Inc. other | Other | Jan 21, 2004 | Feb 2, 2004 |
| Jeffrey Kistler Jones | Fsc Securities Corporation other | Next Financial Group, Inc. other | Other | Jan 2, 2004 | Jan 6, 2004 |