| David Yates | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | May 13, 2009 | Sep 18, 2009 (128 d) |
| Sebastian Matthew Zacharias | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | May 13, 2009 | Jun 24, 2009 (42 d) |
| Bryan John Topelsohn | New York Life Investment Management LLC other | Eagle Strategies LLC other | Other | May 13, 2009 | Jun 17, 2009 (35 d) |
| Janet Koh | Citigroup Global Markets Inc. other | Eagle Strategies LLC other | Other | Apr 27, 2009 | Nov 17, 2010 (569 d) |
| Jennifer Cage Dougherty | Citigroup Global Markets Inc. other | Eagle Strategies LLC other | Other | Apr 20, 2009 | Feb 10, 2011 (661 d) |
| David Christopher Lebrun | Pruco Securities, LLC other | Eagle Strategies LLC other | Other | Apr 8, 2009 | Jun 17, 2009 (70 d) |
| Conner Mcgee | UBS Financial Services Inc. wirehouse | Eagle Strategies LLC other | Other | Apr 2, 2009 | Jul 30, 2009 (119 d) |
| Jeffrey L Goff | Commerce Brokerage Services, Inc other | Eagle Strategies LLC other | Other | Apr 1, 2009 | May 11, 2009 (40 d) |
| Terrence Andrew Taylor | Valic Financial Advisors, Inc. other | Eagle Strategies LLC other | Other | Mar 18, 2009 | May 15, 2009 (58 d) |
| Carrie Kirk Schroen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Mar 11, 2009 | Dec 21, 2009 (285 d) |
| Michael Anthony Ferrara | Msi Financial Services, Inc. other | Eagle Strategies LLC other | Other | Mar 2, 2009 | Feb 24, 2015 (2185 d) |
| Jay Hyunjoon Hwang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Feb 17, 2009 | May 11, 2009 (83 d) |
| Clara Wu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Feb 13, 2009 | Jan 9, 2018 (3252 d) |
| Brett William Reeder | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Feb 11, 2009 | Jul 23, 2009 (162 d) |
| Derek Edward Fecteau | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Feb 11, 2009 | Nov 22, 2010 (649 d) |
| Tamar Zepur Injeyan | Securian Financial Services, Inc. other | Eagle Strategies LLC BD affiliated | Other | Jan 23, 2009 | Jan 15, 2026 (6201 d) |
| Annie Cronin | Aci unclassified | Eagle Strategies LLC other | Other | Jan 21, 2009 | Mar 30, 2010 (433 d) |
| Timothy Jefferson Power | Blackrock Financial Management, Inc other | Eagle Strategies LLC other | Other | Jan 12, 2009 | Jun 17, 2010 (521 d) |
| Jeremy Paul Robicheaux | Edward Jones national BD | Eagle Strategies LLC other | Other | Jan 12, 2009 | Feb 10, 2014 (1855 d) |
| Julie L Taylor | UBS Financial Services Inc. wirehouse | Eagle Strategies LLC other | Other | Dec 31, 2008 | Oct 7, 2010 (645 d) |
| Lyman Clayton Howell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Dec 22, 2008 | May 2, 2013 (1592 d) |
| Michael Brett Giles | Cetera Investment Services LLC other | Eagle Strategies LLC other | Other | Dec 18, 2008 | Jul 10, 2009 (204 d) |
| Jamal Benjamin Brooks | Raymond James Financial Services, Inc. unclassified | Eagle Strategies LLC other | Other | Dec 17, 2008 | Mar 20, 2009 (93 d) |
| Timothy A Francis | Investment Advisors International, Inc. unclassified | Eagle Strategies LLC other | Other | Dec 9, 2008 | Nov 20, 2012 (1442 d) |
| Shaun Marshall Taylor | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Dec 2, 2008 | Dec 22, 2017 (3307 d) |
| Henry Espinosa | Alliancebernstein L.P. other | Eagle Strategies LLC other | Other | Dec 1, 2008 | Jul 30, 2009 (241 d) |
| Michael V Ronan | Waddell & Reed other | Eagle Strategies LLC other | Other | Nov 25, 2008 | Jul 29, 2009 (246 d) |
| C Scott Rassler | Family Wealth Counselors, Inc. unclassified | Eagle Strategies LLC other | Other | Nov 19, 2008 | Apr 5, 2012 (1233 d) |
| Ronald Francis Mack | Advice And Planning Services other | Eagle Strategies LLC other | Other | Nov 12, 2008 | Jan 19, 2011 (798 d) |
| Jordan Michael Guynn | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Eagle Strategies LLC other | Other | Oct 21, 2008 | Mar 14, 2012 (1240 d) |
| Peter Monks | Morgan Stanley & Co. LLC unclassified | Eagle Strategies LLC other | Other | Oct 17, 2008 | Oct 7, 2010 (720 d) |
| David Victor Bearden | Bancwest Investment Services, Inc. (Bwis) other | Eagle Strategies LLC BD affiliated | Other | Oct 16, 2008 | Mar 12, 2021 (4530 d) |
| Robert James Joseph | Waddell & Reed other | Eagle Strategies LLC other | Other | Oct 13, 2008 | Dec 2, 2008 (50 d) |
| Carson Wade Stephens | Fsc Securities Corporation other | Eagle Strategies LLC other | Other | Oct 1, 2008 | Dec 10, 2008 (70 d) |
| John Nicholas Gust | Capital Investment Partners, LLC unclassified | Eagle Strategies LLC BD affiliated | Other | Sep 15, 2008 | Feb 18, 2025 (6000 d) |
| Heath B Houston | Waddell & Reed other | Eagle Strategies LLC other | Other | Jun 18, 2008 | Jun 10, 2010 (722 d) |
| Daniel Patrick Rush | Cuso Financial Services, L.P. other | Eagle Strategies LLC other | Other | May 22, 2008 | Apr 1, 2010 (679 d) |
| Nadeem S Salem | Walnut Street Securities, Inc. other | Eagle Strategies LLC other | Other | May 16, 2008 | Sep 8, 2008 (115 d) |
| Christopher Michael Trainor | New England Securities Corporation other | Eagle Strategies LLC other | Other | May 14, 2008 | Nov 30, 2010 (930 d) |
| Jason C Vanderstreet | New England Securities Corporation other | Eagle Strategies LLC other | Other | Apr 30, 2008 | Sep 5, 2008 (128 d) |
| Yohei Fukuda | Equitable Advisors, LLC national BD | Eagle Strategies LLC other | Other | Mar 25, 2008 | Nov 3, 2010 (953 d) |
| Michael Charles Mcmanus | LPL Financial LLC other | Eagle Strategies LLC other | Other | Feb 5, 2008 | Jul 21, 2014 (2358 d) |
| Thomas John Miller | Waddell & Reed other | Eagle Strategies LLC other | Other | Jan 23, 2008 | May 11, 2012 (1570 d) |
| Kenneth Thomas Speight | Park Avenue Securities LLC other | Eagle Strategies LLC other | Other | Dec 19, 2007 | Jul 3, 2008 (197 d) |
| Michael Bozzone | Ameriprise Financial Services, LLC national BD | Eagle Strategies LLC other | Other | Dec 13, 2007 | Jul 27, 2015 (2783 d) |
| Eric Ramsey Gray | Chase Investment Services Corp. other | Eagle Strategies LLC other | Other | Dec 4, 2007 | Sep 1, 2009 (637 d) |
| Martin Andrew Michaud | Waddell & Reed other | Eagle Strategies LLC other | Other | Dec 4, 2007 | Feb 20, 2018 (3731 d) |
| Jeremy Wilmes | Paulson Investment Company, LLC other | Eagle Strategies LLC other | Other | Nov 1, 2007 | Nov 10, 2008 (375 d) |
| Leslie Marie Krajnak | Blackrock Investment Management, LLC other | Eagle Strategies LLC BD affiliated | Other | Oct 31, 2007 | Jan 2, 2024 (5907 d) |
| Edward Allen Stein | Park Avenue Securities LLC other | Eagle Strategies LLC other | Other | Sep 25, 2007 | Aug 4, 2008 (314 d) |
| Julia Ann Catuara | Transamerica Financial Advisors, Inc. unclassified | Eagle Strategies LLC other | Other | Jun 5, 2007 | Mar 25, 2008 (294 d) |
| Thomas John Villeneuve | Waddell & Reed other | Eagle Strategies LLC other | Other | May 23, 2007 | Jun 16, 2010 (1120 d) |
| Devon Lynn Reynolds | First Command Financial Planning, Inc. other | Eagle Strategies LLC other | Other | May 7, 2007 | Jul 20, 2007 (74 d) |
| Paul Cohn Mcclung | M Holdings Securities, Inc. other | Eagle Strategies LLC other | Other | May 1, 2007 | Jul 2, 2010 (1158 d) |
| Edward Dale Meracle | Country Trust Bank unclassified | Eagle Strategies LLC other | Other | Apr 27, 2007 | Mar 26, 2013 (2160 d) |
| Christopher Michael Obrien | Edward Jones national BD | Eagle Strategies LLC other | Other | Apr 10, 2007 | Nov 6, 2013 (2402 d) |
| Robert Abbott | Fidelity Personal Trust Company, Fsb unclassified | Eagle Strategies LLC other | Other | Mar 28, 2007 | Dec 18, 2014 (2822 d) |
| Joseph Scott Messinger | Key Investment Services LLC other | Eagle Strategies LLC other | Other | Mar 23, 2007 | Jun 30, 2009 (830 d) |
| Jenny Youngjoo Kim | Equitable Advisors, LLC national BD | Eagle Strategies LLC other | Other | Mar 13, 2007 | Aug 24, 2017 (3817 d) |
| Natalie Lynn Chandler | Goldman Sachs Wealth Services, L.P. other | Eagle Strategies LLC other | Other | Mar 2, 2007 | Jan 27, 2009 (697 d) |