| Paul L Johnson | Cetera Investment Advisers LLC other | Park Avenue Securities LLC BD affiliated | Other | Oct 24, 2017 | Aug 15, 2023 (2121 d) |
| Kevin Daniel Leon | Trilogy Capital, Inc. other | Park Avenue Securities LLC other | Other | Oct 20, 2017 | Sep 8, 2017 |
| Zachary Aaron Nielson | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC BD affiliated | Other | Oct 12, 2017 | Jan 31, 2018 (111 d) |
| Lee M Daniels | Waddell & Reed other | Park Avenue Securities LLC BD affiliated | Other | Oct 10, 2017 | Apr 9, 2018 (181 d) |
| Edward D Deverell | Concourse Financial Group Advisors other | Park Avenue Securities LLC other | Other | Sep 29, 2017 | Sep 5, 2017 |
| Troy Lynn Olson | MML Investors Services, LLC other | Park Avenue Securities LLC BD affiliated | Other | Sep 29, 2017 | Feb 8, 2018 (132 d) |
| Anand K K Nair | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Sep 15, 2017 | Oct 26, 2017 (41 d) |
| Erik Scherr | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Sep 6, 2017 | Sep 13, 2017 |
| Krista Marie Johnson | Centaurus Financial, Inc. other | Park Avenue Securities LLC other | Other | Aug 25, 2017 | Oct 12, 2017 (48 d) |
| Marie Schulz Marks | Kestra Advisory Services, LLC other | Park Avenue Securities LLC other | Other | Aug 24, 2017 | Aug 31, 2017 |
| Leon Kearse | J.P. Morgan Securities LLC wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 23, 2017 | Nov 30, 2017 (99 d) |
| Lawrence A Barth | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Aug 9, 2017 | Sep 6, 2017 |
| Heather Mary Brockhurst | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 8, 2017 | Sep 9, 2019 (762 d) |
| Donald Cedric Bruce | Cambridge Investment Research Advisors, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Jul 20, 2017 | Aug 24, 2018 (400 d) |
| Anthony A Cook | MML Investors Services, LLC other | Park Avenue Securities LLC BD affiliated | Other | Jul 20, 2017 | Nov 28, 2017 (131 d) |
| David Gregory Stitt | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jul 17, 2017 | Aug 8, 2017 |
| Peter C Bisulca | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jul 12, 2017 | Aug 23, 2017 (42 d) |
| Seth N Maulfair | Capital Analysts other | Park Avenue Securities LLC BD affiliated | Other | Jul 11, 2017 | Jun 4, 2018 (328 d) |
| Seth N Maulfair | Lincoln Investment other | Park Avenue Securities LLC BD affiliated | Other | Jul 11, 2017 | Jun 4, 2018 (328 d) |
| Sheila May Falls | Holderness Investments Co other | Park Avenue Securities LLC other | Other | Jun 30, 2017 | Aug 7, 2017 (38 d) |
| Anna Tyutyunik | People'S Securities, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Jun 5, 2017 | Sep 24, 2025 (3033 d) |
| Eric Peter White | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jun 2, 2017 | Jul 3, 2017 (31 d) |
| Howard Douglas | Waddell & Reed other | Park Avenue Securities LLC other | Other | Jun 1, 2017 | Aug 11, 2017 (71 d) |
| Ziaul Islam Khondker | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | May 25, 2017 | Jun 2, 2017 |
| Brian Anthony Dragotto | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | May 10, 2017 | Jul 24, 2017 (75 d) |
| Timothy Michael Sachs | T. Rowe Price Advisory Services, Inc. other | Park Avenue Securities LLC BD affiliated | Other | May 9, 2017 | Feb 7, 2018 (274 d) |
| Matthew R Marino | MML Investors Services, LLC other | Park Avenue Securities LLC BD affiliated | Other | May 1, 2017 | Apr 20, 2018 (354 d) |
| Jenifer A Sapel | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Apr 5, 2017 | May 19, 2017 (44 d) |
| Albert Rhodes Wilson | Cambridge Investment Research Advisors, Inc. other | Park Avenue Securities LLC other | Other | Mar 30, 2017 | Mar 28, 2017 |
| Matthew Lucas Brown | Stratford Advisors, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Mar 20, 2017 | Feb 28, 2018 (345 d) |
| Aaron Wayne Schuler | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Mar 16, 2017 | Apr 19, 2017 (34 d) |
| Justin A Falzone | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Mar 16, 2017 | Apr 19, 2017 (34 d) |
| Joseph Daniel Silla | Signature Resources Capital Management, LLC other | Park Avenue Securities LLC other | Other | Mar 13, 2017 | Apr 6, 2017 |
| James Michael Matthews | Alight Financial Advisors, LLC other | Park Avenue Securities LLC other | Other | Mar 10, 2017 | Feb 24, 2017 |
| John B Troy | United Capital Financial Advisors other | Park Avenue Securities LLC other | Other | Mar 6, 2017 | Feb 27, 2017 |
| Sean Patrick Mest | Key Investment Services LLC other | Park Avenue Securities LLC other | Other | Mar 3, 2017 | Mar 21, 2017 |
| Michael Robert Valeri | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 2, 2017 | Jan 1, 2026 (3227 d) |
| Marc Alexander Bregman | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Feb 24, 2017 | Mar 21, 2017 |
| Ronald Matthew Hoyle | H. Beck, Inc. other | Park Avenue Securities LLC other | Other | Feb 23, 2017 | Jan 31, 2017 |
| Carol Giusti Parrish | Principal Securities, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Feb 8, 2017 | Jan 8, 2018 (334 d) |
| Timothy Wayne Taylor | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Feb 1, 2017 | May 16, 2017 (104 d) |
| Eric Joseph Cedor | Bancwest Investment Services, Inc. (Bwis) other | Park Avenue Securities LLC BD affiliated | Other | Jan 26, 2017 | Jan 17, 2018 (356 d) |
| David Rogers | J.P. Morgan Securities LLC wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 20, 2017 | Jan 26, 2018 (371 d) |
| Steven Adam Sklaver | Charles Schwab & Co., Inc. national BD | Park Avenue Securities LLC other | Other | Jan 19, 2017 | Feb 23, 2017 (35 d) |
| Spencer Allison Fugita | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jan 6, 2017 | Feb 1, 2017 |
| Kristin Vesia Prentice | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC other | Other | Jan 5, 2017 | Feb 6, 2017 (32 d) |
| Paul Henry Barlow | First Horizon Advisors, Inc other | Park Avenue Securities LLC other | Other | Jan 4, 2017 | Feb 7, 2017 (34 d) |
| Walker Holloway Johnson | Edward Jones national BD | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2017 | May 25, 2018 (506 d) |
| Paul E Bestehorn | L.M. Kohn & Company other | Park Avenue Securities LLC other | Other | Dec 31, 2016 | Mar 9, 2017 (68 d) |
| Ryan Hans Beck | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Dec 21, 2016 | Feb 6, 2017 (47 d) |
| Dustin Lee Baker | Key Investment Services LLC other | Park Avenue Securities LLC other | Other | Dec 19, 2016 | Jan 5, 2017 |
| Matthew Wayne Orgass | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 14, 2016 | Nov 19, 2018 (705 d) |
| Jennifer Hosch | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 14, 2016 | Apr 30, 2018 (502 d) |
| Thaddeus Britton Wells | Pruco Securities, LLC other | Park Avenue Securities LLC BD affiliated | Other | Dec 12, 2016 | Nov 8, 2017 (331 d) |
| Anthony Nelson Badillo | Edelman Financial Services, LLC other | Park Avenue Securities LLC BD affiliated | Other | Nov 22, 2016 | Mar 21, 2018 (484 d) |
| Paul Bendus Shockley | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Nov 9, 2016 | Jan 26, 2017 (78 d) |
| Ross A Ferrin | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Oct 31, 2016 | Jan 23, 2017 (84 d) |
| Brett M Gatta | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Oct 28, 2016 | Oct 17, 2016 |
| Phillip Dambrisi | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | Oct 21, 2016 | Nov 7, 2016 |
| Joyce Kwanwa Chan | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Oct 20, 2016 | Oct 31, 2016 |