| Sepehr Mehrad Hosseini | Msi Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Feb 26, 2014 | Feb 14, 2014 |
| John Ladick | Ameriprise Financial Services, LLC national BD | Woodbury Financial Services, Inc. other | Other | Feb 21, 2014 | Dec 18, 2014 (300 d) |
| James Ernest Fereday | Nationwide Securities, LLC no RAUM | Woodbury Financial Services, Inc. other | Other | Feb 11, 2014 | Feb 7, 2014 |
| Preeti Shah | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Feb 11, 2014 | Feb 12, 2014 |
| Charles Andrew Calderwood | Hornor, Townsend & Kent, LLC other | Woodbury Financial Services, Inc. other | Other | Jan 23, 2014 | Jan 28, 2014 |
| Milton Dennis Flanagan | Fifth Third Securities, Inc. other | Woodbury Financial Services, Inc. other | Other | Jan 21, 2014 | Feb 14, 2014 |
| Jessica Barbey | U.S. Bancorp Investments, Inc. other | Woodbury Financial Services, Inc. other | Other | Dec 24, 2013 | Oct 9, 2014 (289 d) |
| David Andrew Mckinney | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Dec 10, 2013 | Mar 2, 2015 (447 d) |
| Michael Anthony Allen | MML Investors Services, LLC other | Woodbury Financial Services, Inc. other | Other | Dec 6, 2013 | Jan 2, 2014 |
| Carolina Berdoza Marquez | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Nov 25, 2013 | Jul 10, 2014 (227 d) |
| Paul John Raymond | Concourse Financial Group Advisors other | Woodbury Financial Services, Inc. other | Other | Nov 6, 2013 | Oct 9, 2013 |
| Teresa May Hart | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Oct 21, 2013 | Oct 23, 2013 |
| Craig W Petrella | Scf Investment Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Oct 14, 2013 | Apr 2, 2014 (170 d) |
| Shane Patrick O'Malley | Investment Advisors Corp other | Woodbury Financial Services, Inc. other | Other | Oct 11, 2013 | Sep 16, 2013 |
| Kristi Lynn Mignano | Investment Advisors Corp other | Woodbury Financial Services, Inc. other | Other | Oct 11, 2013 | Sep 16, 2013 |
| Christian Tateo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Woodbury Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 1, 2013 | Apr 22, 2021 (2760 d) |
| Robert Charles Schubert | Investment Advisors Asset Management, LLC other | Woodbury Financial Services, Inc. other | Other | Sep 5, 2013 | Jun 27, 2013 |
| Kevin James Appelbaum | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Sep 4, 2013 | Sep 27, 2013 |
| Collin Glenn Day | Cambridge Investment Research Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Aug 12, 2013 | Oct 1, 2013 (50 d) |
| Hardit Narayan Chaudhary | Waddell & Reed other | Woodbury Financial Services, Inc. other | Other | Aug 9, 2013 | Aug 6, 2013 |
| Margaret M Remlinger | H. Beck, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 19, 2013 | Jun 21, 2013 |
| Elizabeth S Johnides | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Woodbury Financial Services, Inc. other | Other | Jul 17, 2013 | May 28, 2015 (680 d) |
| Gary M Klobchar | Voya Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Jul 16, 2013 | Jul 10, 2013 |
| Walter Carl Meyers | LPL Financial LLC other | Woodbury Financial Services, Inc. other | Other | Jul 9, 2013 | Jul 10, 2013 |
| Brian John Witz | Packerland Brokerage Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 21, 2013 | Jun 20, 2013 |
| Judy S Wong | Wells Fargo Advisors wirehouse | Woodbury Financial Services, Inc. other | Other | Jun 20, 2013 | Jun 11, 2013 |
| Alana Light | First Command Financial Planning, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 7, 2013 | Jul 26, 2013 (49 d) |
| Dean Tetsuro Matsumoto | Morgan Stanley wirehouse | Woodbury Financial Services, Inc. other | Other | Apr 10, 2013 | Mar 28, 2013 |
| Anthony Craig Hammer | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Apr 2, 2013 | Apr 5, 2013 |
| William Blair Hammond | Lasalle St. Investment Advisors, L.L.C. other | Woodbury Financial Services, Inc. other | Other | Mar 28, 2013 | Mar 28, 2013 |
| David Kenneth Baer | Wells Fargo Advisors wirehouse | Woodbury Financial Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 20, 2013 | Feb 12, 2021 (2914 d) |
| Jonathan Howard Friess | Independent Financial Group, LLC other | Woodbury Financial Services, Inc. other | Other | Feb 14, 2013 | Jun 6, 2013 (112 d) |
| Eric Arthur Marzinke | Transamerica Financial Advisors, LLC other | Woodbury Financial Services, Inc. other | Other | Feb 8, 2013 | Jan 18, 2013 |
| David Lawrence Bailin | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Feb 6, 2013 | Feb 1, 2013 |
| Kamil Rehman | Wells Fargo Advisors wirehouse | Woodbury Financial Services, Inc. other | Other | Jan 28, 2013 | Dec 12, 2014 (683 d) |
| Richard Wiley Waddell | Equitable Advisors, LLC national BD | Woodbury Financial Services, Inc. other | Other | Jan 22, 2013 | Jan 15, 2013 |
| Michael Calabrese | Concourse Financial Group Advisors other | Woodbury Financial Services, Inc. other | Other | Jan 11, 2013 | Jan 7, 2013 |
| James Reed Davis | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Dec 20, 2012 | Dec 21, 2012 |
| Norman Patrick Mcevoy | Td Ameritrade Investment Management, LLC other | Woodbury Financial Services, Inc. other | Other | Dec 20, 2012 | Aug 16, 2013 (239 d) |
| Denise Marie Baranowski | Spc other | Woodbury Financial Services, Inc. other | Other | Dec 10, 2012 | Dec 11, 2012 |
| John David Danzer | Investment Professionals, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 13, 2012 | Oct 30, 2012 |
| Jeffrey Earl Pifer | Hefren-Tillotson, Inc. other | Woodbury Financial Services, Inc. other | Other | Nov 12, 2012 | Dec 7, 2012 |
| Stacy L Davis | Morgan Stanley wirehouse | Woodbury Financial Services, Inc. other | Other | Oct 24, 2012 | Oct 5, 2012 |
| Jeffrey Thomas Koolen | Wells Fargo Advisors wirehouse | Woodbury Financial Services, Inc. other | Other | Oct 23, 2012 | Apr 8, 2013 (167 d) |
| Paul Nicholas Behnke | Ausdal Financial Partners, Inc. other | Woodbury Financial Services, Inc. other | Other | Sep 20, 2012 | Sep 15, 2014 (725 d) |
| Alison B Rodriguez | Fsc Securities Corporation other | Woodbury Financial Services, Inc. other | Other | Sep 17, 2012 | Mar 5, 2014 (534 d) |
| Paul Martin Walkington | Valic Financial Advisors, Inc. other | Woodbury Financial Services, Inc. other | Other | Jun 21, 2012 | Jun 21, 2012 |
| John Michael Franklin | The Strategic Financial Alliance other | Woodbury Financial Services, Inc. other | Other | Jun 1, 2012 | Aug 7, 2012 (67 d) |
| Matthew George Shahady | Waddell & Reed other | Woodbury Financial Services, Inc. other | Other | May 21, 2012 | May 24, 2012 |
| Catherine Leigh Brown | Cb Wealth Management Group unclassified | Woodbury Financial Services, Inc. other | Other | Apr 27, 2012 | Jan 16, 2009 |
| Michael Anthony Darany | Next Financial Group, Inc. other | Woodbury Financial Services, Inc. other | Other | Apr 12, 2012 | Apr 10, 2012 |
| Jason Hollis Johnson | Eagle Strategies LLC other | Woodbury Financial Services, Inc. other | Other | Apr 12, 2012 | Apr 10, 2012 |
| Jeri D Barrientos | Prospera Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Apr 5, 2012 | Apr 3, 2012 |
| Marty Ray Henne | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Mar 21, 2012 | Mar 28, 2012 |
| Matthew Wyatt Wochos | Cetera Advisors LLC other | Woodbury Financial Services, Inc. other | Other | Mar 21, 2012 | Mar 28, 2012 |
| Matthew David Callero | Bedford Financial Group, Inc. other | Woodbury Financial Services, Inc. other | Other | Mar 14, 2012 | Feb 1, 2012 |
| Joseph Austin Mccarthy | Edward Jones national BD | Woodbury Financial Services, Inc. other | Other | Feb 28, 2012 | Mar 1, 2012 |
| Adam Lee Deskins | Cetera Investment Services LLC other | Woodbury Financial Services, Inc. other | Other | Feb 17, 2012 | Feb 17, 2012 |
| Robert Lee Brite | Securian Financial Services, Inc. other | Woodbury Financial Services, Inc. other | Other | Feb 6, 2012 | Feb 3, 2012 |
| William Lawson Ralston | Private Client Services, LLC other | Woodbury Financial Services, Inc. other | Other | Feb 2, 2012 | Jun 13, 2006 |