| Jonathan Moss Frances | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Dec 9, 2016 | Dec 19, 2016 |
| Tod Leighton Lenhoff | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Dec 8, 2016 | Dec 6, 2016 |
| Clark Calvin Shofner | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Dec 6, 2016 | Dec 5, 2016 |
| Brent William Capehart | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Dec 6, 2016 | Dec 5, 2016 |
| John Edwin Stillman | Madrona Financial & Cpas other | Ae Wealth Management, LLC other | Other | Dec 1, 2016 | Dec 2, 2016 |
| Danial Fereydani | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Dec 1, 2016 | Dec 1, 2016 |
| Kevin Charles Sanders | Harvest Investment Services, LLC other | Ae Wealth Management, LLC other | Other | Nov 22, 2016 | Nov 18, 2016 |
| Amanda Marie Czosek | Harvest Investment Services, LLC other | Ae Wealth Management, LLC other | Other | Nov 22, 2016 | Nov 18, 2016 |
| Christopher David Wallace | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Nov 17, 2016 | Nov 16, 2016 |
| Christopher John Bowman | Ashton Thomas Private Wealth other | Ae Wealth Management, LLC other | Other | Nov 7, 2016 | Nov 10, 2016 |
| Zachary Michael Zager | Centennial Wealth Advisory, LLC independent RIA | Ae Wealth Management, LLC other | Other | Nov 2, 2016 | Nov 16, 2016 |
| Justin Derrick Jones | Ic Advisory Services, Inc. other | Ae Wealth Management, LLC other | Other | Oct 27, 2016 | Feb 27, 2017 (123 d) |
| Michael Bingham Ballard | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Oct 21, 2016 | Oct 26, 2016 |
| Robert Ian Woods | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Oct 14, 2016 | Oct 14, 2016 |
| Christopher Lee Jones | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Oct 12, 2016 | Sep 5, 2017 (328 d) |
| Megan Lea Jones | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Oct 12, 2016 | Oct 12, 2016 |
| Craig L Gordinier | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Oct 12, 2016 | Oct 26, 2016 |
| John Joseph Navin | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Oct 4, 2016 | Oct 4, 2016 |
| Leonard Paul Cole | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Sep 28, 2016 | Jul 11, 2016 |
| Felton Thomas Mosley | Vann Equity Management LLC other | Ae Wealth Management, LLC no RAUM | Other | Sep 9, 2016 | Apr 22, 2016 |
| Jeffrey Neal Knoedl | Knoedl Retirement Advisors, LLC unclassified | Ae Wealth Management, LLC other | Other | Sep 6, 2016 | Jul 20, 2016 |
| William Standley Eden | Brookstone Capital Management LLC other | Ae Wealth Management, LLC other | Other | Aug 26, 2016 | Aug 25, 2016 |
| Scott Edward Sidor | Horter Investment Management, LLC other | Ae Wealth Management, LLC other | Other | Aug 22, 2016 | Aug 18, 2016 |
| Joshua Michael Blaker | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Aug 12, 2016 | Aug 9, 2016 |
| Justin Michael Struble | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Aug 12, 2016 | Aug 11, 2016 |
| Christian Paul Martin Clausen | Morgan Stanley wirehouse | Ae Wealth Management, LLC other | Other | Jul 29, 2016 | Jul 5, 2016 |
| David Dee Fullmer | Alphastar Capital Management other | Ae Wealth Management, LLC other | Other | Jul 21, 2016 | Aug 3, 2016 |
| Beth Ann Andrews | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Jul 18, 2016 | Jul 15, 2016 |
| Andrew Scott Mcnair | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Jul 15, 2016 | Jul 28, 2016 |
| Yerel Saldivar Morales | Evermont Wealth independent RIA | Ae Wealth Management, LLC other | Other | Jul 12, 2016 | Aug 31, 2016 (50 d) |
| Jeffry Stephen Cole | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Jul 8, 2016 | Jun 28, 2016 |
| John Peter Papa | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | Jun 7, 2016 | May 2, 2016 |
| Michael Steven Sondheim | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | Jun 7, 2016 | Jun 1, 2016 |
| Eli Mizrahi | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | Jun 6, 2016 | May 3, 2016 |
| Wendy Jane Wallace | Brookstone Capital Management LLC other | Ae Wealth Management, LLC other | Other | Jun 3, 2016 | Jun 20, 2016 |
| Jeffrey Richard Green | Edward Jones national BD | Ae Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 2, 2016 | May 23, 2018 (720 d) |
| Cindy Lou Mayfield | Payne Capital Management, LLC other | Ae Wealth Management, LLC other | Other | Jun 1, 2016 | Sep 30, 2016 (121 d) |
| Jeffry Alan Vogel | On Investment Management Co other | Ae Wealth Management, LLC no RAUM | Other | May 11, 2016 | May 2, 2016 |
| Colleen Goodwillie | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | May 5, 2016 | May 5, 2016 |
| Mark Alan Bigler | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | May 4, 2016 | May 11, 2016 |
| Jonathan Michael Vogel | On Investment Management Co other | Ae Wealth Management, LLC no RAUM | Other | Apr 29, 2016 | Apr 21, 2016 |
| Dennis Ryan Overstreet | Keystone Wealth Advisors other | Ae Wealth Management, LLC no RAUM | Other | Apr 28, 2016 | Apr 21, 2016 |
| Jammie Annette Serrano | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | Apr 11, 2016 | Apr 26, 2016 |
| Philip Roger Gordley | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | Apr 6, 2016 | May 6, 2016 |
| Nathaniel Joseph Miller | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC no RAUM | Other | Mar 23, 2016 | Apr 25, 2016 (33 d) |
| John Joseph Imming | Advocacy Wealth Management, LLC other | Ae Wealth Management, LLC no RAUM | Other | Dec 18, 2015 | Apr 1, 2016 (105 d) |
| Christopher Earl Ballard | Global Financial Private Capital, Inc. other | Ae Wealth Management, LLC other | Other | Oct 2, 2015 | Aug 22, 2016 (325 d) |
| Kevin Patrick Mooney | Tlg Advisors, Inc. other | Ae Wealth Management, LLC independent RIA | Other | Jan 6, 2015 | Aug 22, 2024 (3516 d) |
| Scott David Winstead | Purewater Capital, LLC independent RIA | Ae Wealth Management, LLC other | Other | Dec 31, 2014 | Sep 14, 2017 (988 d) |
| David James Cunningham | Corecap Advisors other | Ae Wealth Management, LLC independent RIA | Other | Nov 17, 2014 | Dec 4, 2017 (1113 d) |
| Joseph Uradnik | Citizens Securities, Inc. other | Ae Wealth Management, LLC BD affiliated | Other | Jul 15, 2014 | Apr 12, 2021 (2463 d) |
| Senaida Noemi Bautista | Park Avenue Securities LLC other | Ae Wealth Management, LLC independent RIA | Other | May 29, 2013 | Feb 4, 2021 (2808 d) |
| Deanna Rose Weidner | Envision Investment Advisors, LLC unclassified | Ae Wealth Management, LLC BD affiliated | Other | Apr 1, 2013 | Sep 28, 2021 (3102 d) |
| Jorge Enrique Gonzalez | Veritrust Financial, LLC other | Ae Wealth Management, LLC independent RIA | Other | Jul 15, 2011 | May 7, 2018 (2488 d) |
| Levi Carson Wedel | Waddell & Reed other | Ae Wealth Management, LLC independent RIA | Other | Nov 10, 2010 | Jun 10, 2019 (3134 d) |
| Jared Matthew Carlin | Investment Advisors Corp other | Ae Wealth Management, LLC independent RIA | Other | Dec 31, 2009 | Nov 15, 2018 (3241 d) |
| Jose Fernando Echeverri | Echeverri Financial Services unclassified | Ae Wealth Management, LLC independent RIA | Other | Dec 9, 2009 | Apr 11, 2024 (5237 d) |
| Anthony Perry Desantis | Securian Financial Services, Inc. other | Ae Wealth Management, LLC independent RIA | Other | Mar 6, 2009 | Oct 16, 2020 (4242 d) |
| Randi Laura Gibbons | Woodbury Financial Services, Inc. other | Ae Wealth Management, LLC BD affiliated | Other | Oct 13, 2006 | Mar 27, 2024 (6375 d) |
| Erin Michelle Hoestje | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Ae Wealth Management, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 19, 2006 | Apr 1, 2021 (5308 d) |