| Erica Jean Cortez | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Aug 22, 2013 | Aug 22, 2013 |
| Matthew Parker | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Aug 22, 2013 | Sep 30, 2013 (39 d) |
| Marilyn Elaine Osborne | Next Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 20, 2013 | Jul 10, 2014 (324 d) |
| Lisa M Crawford | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 19, 2013 | Aug 20, 2013 |
| Hooman Altafi | Alta Financial Group state registered | Valic Financial Advisors, Inc. other | Other | Aug 16, 2013 | Aug 19, 2013 |
| William Ronald Gecks | First Command Financial Planning, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 8, 2013 | Sep 5, 2013 |
| Steven Lynn Oneal | Woodbury Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 7, 2013 | Aug 2, 2013 |
| Sheridan Major | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 7, 2013 | Aug 8, 2013 |
| Ava Rowena Overman | Forta Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 5, 2013 | Sep 18, 2013 (44 d) |
| Nancy Da-Thu Dinh | New England Securities Corporation other | Valic Financial Advisors, Inc. other | Other | Jul 18, 2013 | Aug 29, 2013 (42 d) |
| Thomas Obrien | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Jul 16, 2013 | Apr 18, 2014 (276 d) |
| Danielle V. Davis | Invesco Advisers, Inc. other | Valic Financial Advisors, Inc. other | Other | Jul 15, 2013 | Apr 23, 2014 (282 d) |
| Lance Singletary | Usaa Financial Planning Services no RAUM | Valic Financial Advisors, Inc. other | Other | Jul 1, 2013 | Jan 10, 2018 (1654 d) |
| Allen Warren Spain | Cetera Investment Services LLC other | Valic Financial Advisors, Inc. other | Other | Jun 28, 2013 | Feb 22, 2018 (1700 d) |
| Joseph William Fields | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 18, 2013 | Jun 20, 2013 |
| Joyce Lynn Krinsky | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Jun 7, 2013 | May 29, 2013 |
| Stefan Gene D'Angelo | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | Jun 7, 2013 | Jun 28, 2013 |
| Chanell Tomika Carter | Next Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | May 31, 2013 | Aug 7, 2013 (68 d) |
| Joanne Dushek | UBS Financial Services Inc. wirehouse | Valic Financial Advisors, Inc. other | Other | May 28, 2013 | Jan 16, 2014 (233 d) |
| Paul Michael Schaefer | Wfg Advisors, LP other | Valic Financial Advisors, Inc. BD affiliated | Other | May 21, 2013 | Nov 12, 2024 (4193 d) |
| Melania Mccarley | American Beacon Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | May 13, 2013 | May 17, 2013 |
| Elizabeth Anne Newman | Aegis Capital Corp. other | Valic Financial Advisors, Inc. other | Other | May 2, 2013 | May 1, 2013 |
| Clare Ann Daily | Voya Financial Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Apr 25, 2013 | May 21, 2013 |
| Peter Henriques | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Apr 9, 2013 | May 21, 2013 (42 d) |
| William Joseph Cangeme | First Command Financial Planning, Inc. other | Valic Financial Advisors, Inc. other | Other | Apr 9, 2013 | Jun 6, 2013 (58 d) |
| Philip Bruce Spear | Nationwide Securities, LLC no RAUM | Valic Financial Advisors, Inc. other | Other | Apr 5, 2013 | Mar 4, 2015 (698 d) |
| Chelly Joseph | Fifth Third Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 22, 2013 | Apr 4, 2013 |
| Anita E Atencio | Thornburg Investment Management Inc other | Valic Financial Advisors, Inc. other | Other | Mar 8, 2013 | Jan 22, 2015 (685 d) |
| Thomas Nicholas Smith | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Mar 5, 2013 | Mar 19, 2013 |
| Anthony Franklin Yuncker | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Feb 28, 2013 | Sep 23, 2013 (207 d) |
| Catherine Evelyn St. Dizier | Signator Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Feb 26, 2013 | Mar 19, 2013 |
| Rance Kevin Morgan | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Feb 22, 2013 | Feb 6, 2013 |
| Matthew Allen Ticknor | Thrivent Investment Management Inc. other | Valic Financial Advisors, Inc. other | Other | Feb 6, 2013 | Feb 4, 2013 |
| Celeste Mari Friend | Bellwether Investment Group, LLC other | Valic Financial Advisors, Inc. other | Other | Jan 31, 2013 | Feb 4, 2013 |
| Hector Santos | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jan 30, 2013 | Mar 25, 2013 (54 d) |
| Brian Neil Tobin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Jan 2, 2013 | Jul 11, 2013 (190 d) |
| Carla Lamb | Raymond James Financial Services Advisors, Inc other | Valic Financial Advisors, Inc. other | Other | Dec 17, 2012 | Dec 18, 2012 |
| Cecile Minh Nguyen | Voya Financial Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Dec 10, 2012 | Dec 14, 2012 |
| Bryce Tadao Miyamoto | Securities America Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 29, 2012 | Dec 5, 2012 |
| Leah M. Bartley | Cetera Investment Services LLC other | Valic Financial Advisors, Inc. other | Other | Nov 29, 2012 | Nov 12, 2014 (713 d) |
| Terry Albert Pasquale | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 20, 2012 | Mar 20, 2014 (485 d) |
| Nathan Klevit | Fisher Investments other | Valic Financial Advisors, Inc. other | Other | Nov 12, 2012 | Dec 22, 2017 (1866 d) |
| Tommy Dale Roy | Waddell & Reed other | Valic Financial Advisors, Inc. BD affiliated | Other | Nov 9, 2012 | Mar 13, 2019 (2315 d) |
| Robert Franz Kirkland | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Nov 2, 2012 | Dec 5, 2012 (33 d) |
| Felix F Barraza | Novodyn Advisors LLC state registered | Valic Financial Advisors, Inc. other | Other | Oct 16, 2012 | Oct 25, 2012 |
| Eric Andrew Pemberton | Jackson Wealth Management, LLC other | Valic Financial Advisors, Inc. other | Other | Oct 11, 2012 | Jan 16, 2013 (97 d) |
| Terrie Martinez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Oct 4, 2012 | Oct 22, 2012 |
| Shannon T. Blair | Independent Financial Group, LLC other | Valic Financial Advisors, Inc. other | Other | Oct 3, 2012 | Jul 15, 2014 (650 d) |
| Nicholas Jay Grove | Capital Financial Planners, LLC state registered | Valic Financial Advisors, Inc. other | Other | Oct 3, 2012 | Nov 20, 2012 (48 d) |
| Erin Carrie Johnson | Nationwide Investment Advisors, LLC other | Valic Financial Advisors, Inc. other | Other | Oct 1, 2012 | Oct 5, 2012 |
| Kaleel Thomas George | Cetera Investment Advisers LLC other | Valic Financial Advisors, Inc. other | Other | Sep 20, 2012 | Oct 9, 2012 |
| Nicolas Bazarevitsch | Assetmark, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 19, 2012 | Dec 20, 2013 (457 d) |
| Steven Eric Gottlieb | Goldman Sachs Wealth Services, L.P. other | Valic Financial Advisors, Inc. other | Other | Sep 18, 2012 | Oct 12, 2012 |
| John William Fisher | E*Trade Capital Management, LLC other | Valic Financial Advisors, Inc. other | Other | Sep 13, 2012 | Jul 19, 2013 (309 d) |
| Kirby Towns | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Sep 6, 2012 | Oct 15, 2012 (39 d) |
| Rosaline Rogers Banks | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Sep 5, 2012 | Sep 6, 2012 |
| Michael Everardo Camacho | Cetera Advisors LLC other | Valic Financial Advisors, Inc. other | Other | Aug 29, 2012 | Aug 28, 2012 |
| Douglas Newel Burnett | Raymond James Financial Services Advisors, Inc other | Valic Financial Advisors, Inc. other | Other | Aug 29, 2012 | Oct 4, 2012 (36 d) |
| Leigh Rauchbach Ritchey | Sterling Capital Management LLC other | Valic Financial Advisors, Inc. other | Other | Aug 22, 2012 | Sep 11, 2012 |
| Michael David Erbaio | Strategic Advisers LLC national BD | Valic Financial Advisors, Inc. other | Other | Aug 16, 2012 | Oct 10, 2012 (55 d) |