| Michael Jay Matthews | Dukes & Co Advisory, Inc. unclassified | Next Financial Group, Inc. other | Other | Dec 31, 2003 | Feb 3, 2003 |
| Shanyn Kay Stewart | Cetera Investment Advisers LLC other | Next Financial Group, Inc. other | Other | Dec 31, 2003 | Jan 12, 2004 |
| Jeffrey Scott Hellerstedt | Cetera Investment Advisers LLC other | Next Financial Group, Inc. other | Other | Dec 31, 2003 | Jan 6, 2004 |
| Michael Richard Becht | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. other | Other | Nov 12, 2003 | Mar 27, 2012 (3058 d) |
| Stephen Dale Bull | Equitable Advisors, LLC national BD | Next Financial Group, Inc. other | Other | Oct 17, 2003 | Apr 14, 2004 (180 d) |
| Harold William Tomlinson | Pageone Financial, Inc. other | Next Financial Group, Inc. other | Other | Oct 6, 2003 | Dec 29, 2000 |
| Edward Stanley Kozun | Equitable Advisors, LLC national BD | Next Financial Group, Inc. other | Other | Sep 11, 2003 | Nov 6, 2003 (56 d) |
| Herbert Louis Perlin | Financial Security Advisory Inc other | Next Financial Group, Inc. other | Other | Sep 2, 2003 | Aug 26, 2003 |
| Ronnie Orville Caruthers | Commonwealth Financial Network national BD | Next Financial Group, Inc. other | Other | Aug 22, 2003 | Sep 23, 2003 (32 d) |
| Glenn Roy Gardner | Sentra Securities Corporation unclassified | Next Financial Group, Inc. other | Other | Aug 18, 2003 | Jul 29, 2003 |
| David Kemp Christianson | Osaic Fa, Inc. other | Next Financial Group, Inc. other | Other | Jul 31, 2003 | Aug 5, 2003 |
| Michael Ronald Moleski | Banc One Securities Corporation unclassified | Next Financial Group, Inc. other | Other | Jun 5, 2003 | Aug 11, 2010 (2624 d) |
| Stephen Wayne Mattocks | New England Securities Corporation other | Next Financial Group, Inc. other | Other | May 22, 2003 | Jul 8, 2003 (47 d) |
| Candace Calloway Mills | Banc Of America Investment Services, Inc. unclassified | Next Financial Group, Inc. other | Other | May 20, 2003 | Jul 14, 2003 (55 d) |
| Mark Philip Cussen | Raymond James Financial Services, Inc. unclassified | Next Financial Group, Inc. other | Other | May 6, 2003 | May 21, 2003 |
| Steven Ray Studebaker | Ffp Advisory Services Inc unclassified | Next Financial Group, Inc. other | Other | Mar 31, 2003 | Mar 7, 2003 |
| John Francis Ryan | Ffp Advisory Services Inc unclassified | Next Financial Group, Inc. other | Other | Mar 13, 2003 | Mar 13, 2003 |
| Aderito Edward Morais | Ffp Advisory Services Inc unclassified | Next Financial Group, Inc. other | Other | Mar 12, 2003 | Mar 7, 2003 |
| Ronald Lee Philbrick | Ffp Advisory Services Inc unclassified | Next Financial Group, Inc. other | Other | Mar 12, 2003 | Mar 12, 2003 |
| Walter Franklin Greenwald | Ffp Advisory Services Inc unclassified | Next Financial Group, Inc. other | Other | Mar 11, 2003 | Mar 7, 2003 |
| Christopher Hess | Ffp Advisory Services Inc unclassified | Next Financial Group, Inc. other | Other | Mar 11, 2003 | Mar 11, 2003 |
| Brian Matthew Bean | Valic Financial Advisors, Inc. other | Next Financial Group, Inc. other | Other | Mar 3, 2003 | Feb 24, 2003 |
| Anthony James Manganaro | Morgan Stanley Dw Inc. unclassified | Next Financial Group, Inc. other | Other | Feb 20, 2003 | Mar 7, 2003 |
| Thomas Haines Luckenbill | Cetera Investment Advisers LLC other | Next Financial Group, Inc. other | Other | Feb 3, 2003 | Nov 17, 2004 (653 d) |
| Michael Chester Kirk | Waddell & Reed other | Next Financial Group, Inc. other | Other | Jan 31, 2003 | Feb 17, 2006 (1113 d) |
| John Alison Fahnestock | Bts Asset Management, Inc. other | Next Financial Group, Inc. other | Other | Dec 31, 2002 | Jun 26, 2002 |
| Timothy Lyndon Sharer | Advanced Planning, Inc. unclassified | Next Financial Group, Inc. other | Other | Dec 31, 2002 | Aug 30, 2002 |
| Chad Allan Hoffmann | Transamerica Financial Advisors, LLC other | Next Financial Group, Inc. other | Other | Aug 20, 2002 | Apr 21, 2003 (244 d) |
| David Dereck Kassir | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. other | Other | Jul 10, 2002 | Jul 5, 2002 |
| Thomas Connaughton Schmidt | Waddell & Reed other | Next Financial Group, Inc. other | Other | Jul 9, 2002 | Jul 1, 2002 |
| Christopher Lee Jones | UBS Financial Services Inc. wirehouse | Next Financial Group, Inc. other | Other | May 24, 2002 | Aug 3, 2007 (1897 d) |