| Kenneth Asa Cullipher | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| E. B Loomis | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Charles Gregory Stewart | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| John Joseph Iannantuono | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Dennis Ray Wall | Tower Square Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 3, 2013 | Sep 3, 2013 |
| Scott Matthew Perkins | Ronald Blue & Co., LLC other | Cetera Advisor Networks LLC other | Other | Aug 19, 2013 | Nov 14, 2013 (87 d) |
| Richard Brian Dorfman | Pnc Wealth Management other | Cetera Advisor Networks LLC BD affiliated | Other | Aug 13, 2013 | Aug 20, 2021 (2929 d) |
| Michael Stevan Rose | Oppenheimer & Co. Inc. other | Cetera Advisor Networks LLC other | Other | Aug 2, 2013 | Jul 26, 2013 |
| Richard A Ginel | Usi Advisors other | Cetera Advisor Networks LLC other | Other | Jul 29, 2013 | Aug 6, 2013 |
| Scott Toshio Nishimura | Transamerica Financial Advisors, LLC other | Cetera Advisor Networks LLC other | Other | Jul 23, 2013 | Nov 5, 2013 (105 d) |
| Richard Philip Taylor | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Jun 26, 2013 | Jun 26, 2013 |
| Jonea Glaspie | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC other | Other | Jun 4, 2013 | Jun 27, 2013 |
| Tom Michael Prybylo | Crown Capital Securities, L.P. other | Cetera Advisor Networks LLC other | Other | May 21, 2013 | May 17, 2013 |
| John Chistopher Emig | Ascensus Financial Services, LLC. unclassified | Cetera Advisor Networks LLC BD affiliated | Other | Apr 8, 2013 | Dec 15, 2022 (3538 d) |
| Michael Thomas Murtos | Coordinated Capital Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 2, 2013 | Apr 1, 2013 |
| Donald Raymond Savaglia | Coordinated Capital Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 2, 2013 | Apr 2, 2013 |
| Allison F Grier | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Apr 2, 2013 | Apr 9, 2013 |
| Stephen Yaroslav Mohyla | Woodbury Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 1, 2013 | Feb 28, 2013 |
| Scott Ashley Rucki | Advice And Planning Services other | Cetera Advisor Networks LLC other | Other | Mar 1, 2013 | Mar 18, 2013 |
| David Barol | Woodbury Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 27, 2013 | Feb 26, 2013 |
| Steven J Podhradsky | Edward Jones national BD | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2013 | Dec 23, 2019 (2491 d) |
| Jamie Lee Jochum | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Feb 12, 2013 | Nov 21, 2013 (282 d) |
| Brian William Distler | 1st Global Advisors Inc other | Cetera Advisor Networks LLC other | Other | Feb 1, 2013 | Jan 30, 2013 |
| Staci Ann Compagno | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | Jan 30, 2013 | Jan 30, 2013 |
| Kayla Ann Stowe | 1st Global Advisors Inc other | Cetera Advisor Networks LLC other | Other | Jan 28, 2013 | May 5, 2017 (1558 d) |
| Clifford Wullschleger | Cambridge Investment Research Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 23, 2013 | May 2, 2013 (99 d) |
| David Aaron Borden | Ccr Wealth Management, LLC other | Cetera Advisor Networks LLC BD affiliated | Other | Jan 10, 2013 | Jan 20, 2023 (3662 d) |
| Richard Michael Parry | American Planning Group Inc other | Cetera Advisor Networks LLC other | Other | Dec 31, 2012 | Apr 25, 1996 |
| Alexander Douglas Whitehouse | Manulife Investment Management (US) LLC other | Cetera Advisor Networks LLC other | Other | Dec 19, 2012 | Jan 2, 2013 |
| Robyn A Yahner | Investment Professionals, Inc. other | Cetera Advisor Networks LLC BD affiliated | Other | Dec 14, 2012 | Sep 8, 2022 (3555 d) |
| Robert John Ybaben | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Dec 14, 2012 | Dec 14, 2012 |
| Charles N Cucuras | Voya Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 11, 2012 | Apr 1, 2013 (111 d) |
| Steven Thomas Beals | Woodbury Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 4, 2012 | Dec 13, 2012 |
| Timothy Paul Miller | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Nov 27, 2012 | Nov 26, 2012 |
| Stephanie Ann Hunter | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Nov 27, 2012 | Nov 26, 2012 |
| Michael James Keever | M Holdings Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 19, 2012 | Nov 28, 2012 |
| Michael Christopher Buchcar | Advanced Equities, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 19, 2012 | Oct 10, 2014 (690 d) |
| James Xerxes Phillips | Pnc Wealth Management other | Cetera Advisor Networks LLC other | Other | Nov 19, 2012 | Feb 1, 2013 (74 d) |
| Jacqueline L Powell | Jacqueline L. Powell & Associates, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Nov 16, 2012 | Jun 20, 2007 |
| Monte James Gehrtz | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Nov 1, 2012 | Nov 13, 2012 |
| Lyndon Nicholas Crawford | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Oct 16, 2012 | Jan 29, 2014 (470 d) |
| Shelley Ann Austin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 8, 2012 | Apr 10, 2019 (2375 d) |
| Edward Tencza | Advisors Asset Management, Inc. other | Cetera Advisor Networks LLC BD affiliated | Other | Sep 7, 2012 | Jun 9, 2023 (3927 d) |
| Scott Alan Sprague | United Planners' Financial Services Of America A Limited Partner other | Cetera Advisor Networks LLC other | Other | Aug 24, 2012 | Aug 24, 2012 |
| Gregory Andrew Koehler | Raymond James Financial Services Advisors, Inc other | Cetera Advisor Networks LLC other | Other | Aug 14, 2012 | Aug 16, 2012 |
| Julie Jiyoun Kim | Wells Fargo Insurance Services Investment Advisors, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Jul 27, 2012 | Aug 28, 2012 (32 d) |
| Ann Marie Doty-Mitchell | Crowell, Weedon & Co. other | Cetera Advisor Networks LLC other | Other | Jul 24, 2012 | Jun 7, 2013 (318 d) |
| Rick J Wertheim | Woodbury Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 10, 2012 | Jul 6, 2012 |
| Patrick Kevin Dailey | Western International Securities other | Cetera Advisor Networks LLC other | Other | Jul 9, 2012 | Jul 11, 2012 |
| David Todd Green | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | May 22, 2012 | May 22, 2012 |
| Daniel Mehan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Apr 24, 2012 | Apr 20, 2012 |
| Richard L Going | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Apr 19, 2012 | Apr 13, 2012 |
| Colin Charles Grover | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Apr 17, 2012 | Apr 26, 2012 |
| Howard Joseph Englehart | Pacific West Financial Consultants Inc other | Cetera Advisor Networks LLC other | Other | Mar 30, 2012 | Jun 6, 2013 (433 d) |
| Shane Allen Jensen | Allstate Financial Advisors, LLC no RAUM | Cetera Advisor Networks LLC other | Other | Mar 15, 2012 | Mar 19, 2012 |
| Stephen James Dzurec | Osaic Wealth, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 7, 2012 | Mar 5, 2012 |
| Wade Arthur Olson | Securian Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 23, 2012 | Feb 27, 2012 |
| Stephen Jay Martin | The Strategic Financial Alliance other | Cetera Advisor Networks LLC other | Other | Feb 16, 2012 | Aug 16, 2012 (182 d) |
| Matthew Glynn Oxenreiter | Securities Brokerage Services state registered | Cetera Advisor Networks LLC other | Other | Dec 16, 2011 | Sep 3, 2013 (627 d) |
| Kevin Ronald Manz | Investment Advisors Corp other | Cetera Advisor Networks LLC other | Other | Dec 8, 2011 | Dec 15, 2011 |