| Joseph John Leblanc | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Apr 8, 2010 | Dec 7, 2005 |
| Ari Ben Crandall | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Apr 8, 2010 | Oct 21, 2005 |
| Alexander Zinger | J P Turner & Company Capital Management, LLC other | Independent Financial Group, LLC other | Other | Apr 6, 2010 | Apr 10, 2017 (2561 d) |
| Jane Marie Braun | Chase Investment Services Corp. other | Independent Financial Group, LLC other | Other | Apr 5, 2010 | Apr 1, 2010 |
| Jack Thomas | Afa Advisor Services LLC unclassified | Independent Financial Group, LLC other | Other | Mar 5, 2010 | Mar 1, 2010 |
| Jonathan Michael Good | Wfp Securities unclassified | Independent Financial Group, LLC other | Other | Feb 24, 2010 | Mar 2, 2010 |
| Edwin Lewis Unland | Securities America Advisors, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Feb 9, 2010 | Jan 1, 2025 (5440 d) |
| Alan Lee Shorr | Afa Advisor Services LLC unclassified | Independent Financial Group, LLC other | Other | Jan 25, 2010 | Jan 26, 2010 |
| Mackenzie Brittain Martin | Cri Securities, LLC other | Independent Financial Group, LLC other | Other | Jan 7, 2010 | Jan 5, 2010 |
| Michael Patrick Dolan | Afa Advisor Services LLC unclassified | Independent Financial Group, LLC other | Other | Jan 5, 2010 | Feb 2, 2010 |
| Charles Raymond Weldon | Girard Securities, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Dec 31, 2009 | Apr 6, 2022 (4479 d) |
| Peter Douglas Prescott | Cetera Advisor Networks LLC other | Independent Financial Group, LLC other | Other | Dec 31, 2009 | Jan 5, 2010 |
| Michael Raymond Frager | Seahorse Capital, Inc. unclassified | Independent Financial Group, LLC other | Other | Dec 22, 2009 | Dec 18, 2007 |
| Eric Marlon Johnson | Seahorse Capital, Inc. unclassified | Independent Financial Group, LLC other | Other | Dec 22, 2009 | Dec 14, 2007 |
| Raymond Ralph Russo | Investment Advisors International, Inc. unclassified | Independent Financial Group, LLC other | Other | Dec 11, 2009 | Dec 4, 2009 |
| Brandi Leigh Ruffalo | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Nov 17, 2009 | Nov 6, 2009 |
| Michael David Ruffalo | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Nov 11, 2009 | Nov 5, 2009 |
| Conrad Michael Aarseth | Financial Designs Ltd. unclassified | Independent Financial Group, LLC other | Other | Oct 23, 2009 | Feb 28, 2011 (493 d) |
| Tin Wai Li | Ameritas Advisory Services other | Independent Financial Group, LLC other | Other | Sep 24, 2009 | Sep 30, 2014 (1832 d) |
| Michael A Ebenhoch | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Sep 22, 2009 | Apr 28, 2010 (218 d) |
| Broc Wavra | Equitable Advisors, LLC national BD | Independent Financial Group, LLC other | Other | Sep 16, 2009 | Sep 29, 2009 |
| Reynaldo Cruz | Waterstone Financial Group, Inc. unclassified | Independent Financial Group, LLC other | Other | Sep 8, 2009 | Sep 8, 2009 |
| Michelle N Vizzi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Group, LLC other | Other | Aug 26, 2009 | Sep 1, 2009 |
| Christopher John Divito | Waterstone Financial Group, Inc. unclassified | Independent Financial Group, LLC other | Other | Aug 21, 2009 | Aug 24, 2009 |
| John Patrick Rice | Financial Advisers Of America, LLC other | Independent Financial Group, LLC other | Other | Aug 17, 2009 | Jan 21, 2014 (1618 d) |
| Wade Emanuel Gribaldo | Cetera Advisor Networks LLC other | Independent Financial Group, LLC other | Other | Aug 6, 2009 | Jul 31, 2009 |
| Lawrence Edward Lonski | Cetera Advisor Networks LLC other | Independent Financial Group, LLC other | Other | Jul 30, 2009 | Jul 21, 2009 |
| Karen Lynn Brelsford | Klima & Associates, Inc. unclassified | Independent Financial Group, LLC BD affiliated | Other | Jul 8, 2009 | Oct 3, 2025 (5931 d) |
| Mark Thomas Ealy | Woodbury Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Jun 4, 2009 | Jun 3, 2009 |
| Jeff Scott Boyd | Advanced Wealth Planning unclassified | Independent Financial Group, LLC other | Other | May 12, 2009 | Jul 25, 2014 (1900 d) |
| Javier Enrique Cordero Conde | Financial Telesis, Inc. other | Independent Financial Group, LLC other | Other | May 8, 2009 | Dec 23, 2014 (2055 d) |
| Michael Joseph Carlucci | Osaic Fa, Inc. other | Independent Financial Group, LLC other | Other | Apr 29, 2009 | Apr 27, 2009 |
| Brian Forrest Stokes | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Apr 7, 2009 | Feb 10, 2009 |
| Duane Keith Knopke | LPL Financial LLC other | Independent Financial Group, LLC other | Other | Mar 16, 2009 | Mar 11, 2009 |
| Bryan Jay Wertzer | Pension Planners Securities, Inc. unclassified | Independent Financial Group, LLC other | Other | Feb 20, 2009 | Apr 21, 2014 (1886 d) |
| Steven Roy Sutley | Pension Planners Securities, Inc. unclassified | Independent Financial Group, LLC other | Other | Feb 20, 2009 | Feb 13, 2009 |
| Catherine Leigh Brown | Woodbury Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Feb 18, 2009 | Feb 23, 2009 |
| John Eluwene Mckeon | Pacific West Financial Consultants Inc other | Independent Financial Group, LLC other | Other | Feb 10, 2009 | Feb 9, 2009 |
| Kevin Michael Tolsma | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 26, 2008 | Dec 12, 2008 |
| Damian Jude Dering | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 22, 2008 | Jan 7, 2009 |
| Robert Louis Hagmaier | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 18, 2008 | Sep 7, 2012 (1359 d) |
| Richard George Drisko | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC BD affiliated | Other | Dec 17, 2008 | Sep 9, 2022 (5014 d) |
| Keith Douglas Schlottman | Woodbury Financial Services, Inc. other | Independent Financial Group, LLC other | Other | Dec 16, 2008 | Dec 18, 2008 |
| Roger William Bowlin | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 15, 2008 | Dec 12, 2008 |
| Thomas Joseph Monahan | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 12, 2008 | Dec 23, 2008 |
| Iaian L Filippini | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 12, 2008 | Dec 12, 2008 |
| Brett Cyril Little | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 12, 2008 | Dec 15, 2008 |
| Alexandro Louis Filippini | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 12, 2008 | Dec 12, 2008 |
| Stephen Cutler Arnold | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 11, 2008 | Jan 6, 2009 |
| Carlton Case Ellis | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 11, 2008 | Dec 12, 2008 |
| Stephen Edward Jackson | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Dec 11, 2008 | Dec 12, 2008 |
| David A Simpson | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Nov 26, 2008 | Nov 25, 2008 |
| Julie Annette Broady | Financial West Group other | Independent Financial Group, LLC other | Other | Nov 13, 2008 | Nov 21, 2008 |
| Peter Joseph Mcneil | Financial West Group other | Independent Financial Group, LLC other | Other | Nov 13, 2008 | Nov 13, 2008 |
| Lewis Howard Perkins | Financial West Group other | Independent Financial Group, LLC other | Other | Nov 13, 2008 | Nov 13, 2008 |
| Jan Birk Gleisner | Eplanning Advisors Inc unclassified | Independent Financial Group, LLC other | Other | Oct 28, 2008 | Oct 28, 2008 |
| Raymond Paul Radikas | Voya Financial Partners, LLC other | Independent Financial Group, LLC other | Other | Oct 27, 2008 | Jul 12, 2017 (3180 d) |
| Jung Hun Lee | Pruco Securities, LLC other | Independent Financial Group, LLC other | Other | Oct 27, 2008 | Oct 27, 2008 |
| Yong Seok Chang | Pruco Securities, LLC other | Independent Financial Group, LLC other | Other | Oct 27, 2008 | Oct 27, 2008 |
| Dirk Claas Jacobs | Concord Equity Group Advisors, LLC no RAUM | Independent Financial Group, LLC BD affiliated | Other | Sep 19, 2008 | Jan 16, 2024 (5597 d) |