| Douglas Jay Eaton | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 28, 2004 | May 5, 2004 |
| Barjes Rainiero Angulo | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Apr 26, 2004 | May 13, 2004 |
| Vincent Edwin Foster | Legacy Advisory Services, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 29, 2004 | Mar 26, 2004 |
| John Michael James | Legacy Advisory Services, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 29, 2004 | Mar 26, 2004 |
| Walter Ezra Jamison | Legacy Advisory Services, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 26, 2004 | Mar 26, 2004 |
| Jeffrey Lawrence Hedberg | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 22, 2004 | Mar 23, 2004 |
| Edward Stanley Myers | Main Street Management Company unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 9, 2004 | Feb 11, 2004 |
| Larry Douglas Edwards | Johnston Lemon Asset Management Inc other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 2, 2004 | Feb 23, 2004 |
| William Henry Kumm | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 22, 2004 | Oct 8, 2010 (2451 d) |
| Ernest Junior Miars | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 12, 2003 | Jan 2, 2004 |
| John Stephen Mccormick | Mccormick Capital Management other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 26, 2003 | Jan 27, 2016 (4445 d) |
| Kyle J Van Oort | Pathways Financial Partners,Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Nov 4, 2003 | Jan 30, 2004 (87 d) |
| Ara Goryun Malazian | A M Forward Thinking unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 22, 2003 | Apr 24, 2003 |
| Kenneth Dean Fincher | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 20, 2003 | Oct 28, 2003 |
| Bradley William Werner | Ffp Advisory Services Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 10, 2003 | Oct 10, 2003 |
| Shawn Michael Louis | Wells Fargo Advisors wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 1, 2003 | Dec 11, 2003 (71 d) |
| Carolyn Jill Campbell | The Planners Network, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 29, 2003 | Sep 23, 2003 |
| Barry Waxler | Osaic Fs, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Sep 11, 2003 | Apr 16, 2004 (218 d) |
| Joseph Roy Russo | Walnut Street Advisers Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 18, 2003 | Aug 15, 2003 |
| Kevin Carl Gutwein | Walnut Street Advisers Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 24, 2003 | Jul 21, 2003 |
| Douglas Bryan Holder | Walnut Street Advisers Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 24, 2003 | Jul 21, 2003 |
| Henry Thomas Bolen | Walnut Street Advisers Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 8, 2003 | Jul 2, 2003 |
| Paul Edward Drolson | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 1, 2003 | Jul 2, 2003 |
| Daniel Edward Souders | Walnut Street Advisers Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 20, 2003 | Jun 17, 2003 |
| Deborah Jean Detray | Walnut Street Advisers Inc unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 19, 2003 | Jun 17, 2003 |
| Pamela Joanne Zedick | Morgan Stanley Dw Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 9, 2003 | Dec 12, 2006 (1282 d) |
| Neal Alfred Waner | Sentra Securities Corporation unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 4, 2003 | Jun 3, 2003 |
| Lanny Rex Stout | Sentra Securities Corporation unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 4, 2003 | Jun 9, 2003 |
| Thomas Joseph Nohr | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 2, 2003 | Jun 3, 2003 |
| Donald William Kuerner | Nathan & Lewis Securities, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | May 14, 2003 | May 2, 2003 |
| Timothy Moore Creech | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 18, 2003 | Mar 27, 2003 |
| Peter Jon Coleman | Ameriprise Financial Services, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Mar 3, 2003 | Feb 11, 2011 (2902 d) |
| Brenda Lynne Larkin | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 11, 2003 | Feb 14, 2003 |
| Steven Daniel Lombardo | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 11, 2003 | Feb 11, 2003 |
| Norman Andre Nadeau | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 11, 2003 | Feb 11, 2003 |
| Richard Elliott Clough | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 10, 2003 | Mar 6, 2003 |
| Siamak Ghajar Dowlatshahi | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 10, 2003 | Mar 6, 2003 |
| David Houghton Wood | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 10, 2003 | Mar 6, 2003 |
| Mark William Goldberg | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Feb 10, 2003 | Feb 11, 2003 |
| Robert Gregory Lyons | Nathan & Lewis Securities, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 28, 2003 | Nov 7, 2003 (283 d) |
| Paul Vincent Orazio | Nathan & Lewis Securities, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 28, 2003 | May 6, 2004 (464 d) |
| George N Sucich | Nathan & Lewis Securities, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 28, 2003 | Oct 6, 2005 (982 d) |
| Lauren Phyllis Prince | Nathan & Lewis Securities, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 28, 2003 | Nov 30, 2005 (1037 d) |
| Jeremy Paul | Nathan & Lewis Securities, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 28, 2003 | Nov 30, 2005 (1037 d) |
| Charles Caesar Werckenthien | USA Financial Securities LLC other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 27, 2003 | Jan 29, 2003 |
| Stephen Mark Visser | A. G. Edwards & Sons, Inc. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jan 21, 2003 | Jan 21, 2003 |
| Mark Valentine Gardner | Voya Financial Advisors, Inc. other | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Dec 31, 2002 | Sep 15, 2003 (258 d) |
| Richard George Scalia | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 24, 2002 | Jul 21, 2004 (636 d) |
| Dennis Joseph Wakely | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Oct 24, 2002 | Apr 15, 2004 (539 d) |
| Richard Scott Murnick | Ryan Beck & Co. unclassified | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Aug 28, 2002 | Oct 4, 2002 (37 d) |
| Sanjay Prasad | UBS Financial Services Inc. wirehouse | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jul 17, 2002 | Oct 24, 2013 (4117 d) |
| Scott Joseph Zavatkay | Equitable Advisors, LLC national BD | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Other | Jun 18, 2002 | Apr 7, 2006 (1389 d) |