| Sean Errol Dehaan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Apr 1, 2010 | Aug 11, 2016 (2324 d) |
| John Thomas Mahoney | Raymond James & Associates, Inc. national BD | Independent Financial Partners other | Other | Mar 10, 2010 | Jul 28, 2010 (140 d) |
| Jarrod William Rutledge | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Mar 2, 2010 | Mar 16, 2010 |
| John L Sullivan | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Feb 25, 2010 | Mar 8, 2010 |
| Eliot Dylan Marr | Oppenheimer & Co. Inc. other | Independent Financial Partners other | Other | Feb 17, 2010 | Mar 4, 2010 |
| Rowena York Ruff | Uvest Financial Services Group, Inc. unclassified | Independent Financial Partners other | Other | Feb 3, 2010 | May 8, 2017 (2651 d) |
| Joshua Steven Weinstein | Chase Investment Services Corp. other | Independent Financial Partners BD affiliated | Other | Jan 28, 2010 | Nov 14, 2019 (3577 d) |
| Shawna Dawn Christiansen | UBS International Inc. unclassified | Independent Financial Partners other | Other | Jan 1, 2010 | Aug 2, 2011 (578 d) |
| Scott David Martin | S.D. Martin Financial Services Inc. unclassified | Independent Financial Partners other | Other | Dec 31, 2009 | Jan 11, 2010 |
| Andrew James Degroat | Nfp Advisor Services, LLC other | Independent Financial Partners other | Other | Dec 31, 2009 | Mar 16, 2011 (440 d) |
| Stewart Alan Macdonald | J. W. Cole Advisors, Inc. other | Independent Financial Partners other | Other | Dec 21, 2009 | Jul 19, 2010 (210 d) |
| Paul Shoquist | LPL Financial LLC other | Independent Financial Partners other | Other | Dec 12, 2009 | Dec 7, 2009 |
| James Michael Bass | Cambridge Investment Research Advisors, Inc. other | Independent Financial Partners independent RIA | Other | Nov 30, 2009 | May 7, 2018 (3080 d) |
| Walter Ickert | Oak Brook Advisors, LLC state registered | Independent Financial Partners other | Other | Nov 30, 2009 | Feb 16, 2012 (808 d) |
| Israel Guitian | Kovack Advisors, Inc. other | Independent Financial Partners other | Other | Nov 17, 2009 | Sep 21, 2009 |
| Jonathan Wesley Ulin | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Nov 11, 2009 | Nov 23, 2009 |
| Marguerite Maria Panico Fiori | Osaic Fs, Inc. other | Independent Financial Partners other | Other | Nov 10, 2009 | Nov 12, 2009 |
| Scott David Verlangieri | Osaic Fs, Inc. other | Independent Financial Partners other | Other | Nov 10, 2009 | Nov 12, 2009 |
| Wilson Blanton Garnett | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Nov 3, 2009 | Nov 19, 2009 |
| Gary Alan Rosenstone | Banc Of America Investment Services, Inc. unclassified | Independent Financial Partners other | Other | Oct 28, 2009 | Oct 29, 2009 |
| Renee Lynn Carter | Msi Financial Services, Inc. other | Independent Financial Partners other | Other | Oct 13, 2009 | Feb 3, 2010 (113 d) |
| David George Rosensteel | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Sep 28, 2009 | Dec 16, 2009 (79 d) |
| Robert Howard Sager | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Sep 28, 2009 | Jul 31, 2009 |
| Titus Jermaine Pittman | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Sep 28, 2009 | Oct 6, 2009 |
| Leigh A Nickel | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Sep 24, 2009 | Sep 28, 2009 |
| Kirk Cameron Jones | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Sep 23, 2009 | Nov 12, 2009 (50 d) |
| Theresa Gregory Jackson | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Sep 22, 2009 | Oct 13, 2010 (386 d) |
| Robert Bruce Eberst | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Sep 18, 2009 | Nov 12, 2009 (55 d) |
| Stephan Copeland Barton | Fiduciary Solutions, LLC unclassified | Independent Financial Partners other | Other | Sep 16, 2009 | May 24, 2011 (615 d) |
| Jerome Willard Hemenway | Suncoast Advisory Group unclassified | Independent Financial Partners BD affiliated | Other | Sep 15, 2009 | Jan 1, 2026 (5952 d) |
| William C Casterlin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Sep 9, 2009 | Nov 2, 2009 (54 d) |
| Victoria Elizabeth Lindsey | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Sep 8, 2009 | Aug 5, 2016 (2523 d) |
| Sean Christian Bjork | Waterstone Financial Group, Inc. unclassified | Independent Financial Partners other | Other | Sep 8, 2009 | Jan 19, 2011 (498 d) |
| Michael Anthony Rohling | Morgan Stanley wirehouse | Independent Financial Partners other | Other | Aug 10, 2009 | Jan 6, 2012 (879 d) |
| Jeffrey Max Ramsey | Morgan Keegan & Company, LLC other | Independent Financial Partners other | Other | Aug 3, 2009 | Dec 4, 2015 (2314 d) |
| Scott Bradford Peelen | LPL Financial LLC other | Independent Financial Partners other | Other | Jun 9, 2009 | Dec 22, 2009 (196 d) |
| Peter Jesus Sagorski | Banc Of America Investment Services, Inc. unclassified | Independent Financial Partners other | Other | Apr 28, 2009 | May 13, 2009 |
| Justin Matthew Connors | Raymond James Financial Services, Inc. unclassified | Independent Financial Partners other | Other | Apr 28, 2009 | May 26, 2009 |
| Herman Gunter | Sagepoint Financial, Inc. other | Independent Financial Partners other | Other | Feb 24, 2009 | Mar 10, 2009 |
| Andrew William Hoskins | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Feb 18, 2009 | Jun 20, 2011 (852 d) |
| Ivan Alexis Ramirez-Ramirez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Independent Financial Partners other | Other | Feb 18, 2009 | Jun 14, 2011 (846 d) |
| James Barton Brannon | MML Investors Services, LLC other | Independent Financial Partners other | Other | Feb 5, 2009 | Jun 2, 2017 (3039 d) |
| Robert Merrill Seaman | Edward Jones national BD | Independent Financial Partners other | Other | Dec 3, 2008 | Sep 10, 2009 (281 d) |
| Yacoub Odeh Snober | Citigroup Global Markets Inc. other | Independent Financial Partners other | Other | Nov 28, 2008 | May 26, 2009 (179 d) |
| Susan Fuhrman-Holin | Western International Securities other | Independent Financial Partners BD affiliated | Other | Oct 20, 2008 | May 16, 2025 (6052 d) |
| Robert Cary Wayland | Client 1st Advisory Group other | Independent Financial Partners other | Other | Oct 14, 2008 | Jul 15, 2009 (274 d) |
| Kevin Patrick Manning | New England Securities Corporation other | Independent Financial Partners other | Other | Oct 1, 2008 | Nov 6, 2008 (36 d) |
| William Jason Yost | New England Securities Corporation other | Independent Financial Partners other | Other | Sep 16, 2008 | Sep 17, 2008 |
| Charles Marc Wilner | Kovack Advisors, Inc. other | Independent Financial Partners other | Other | Jun 23, 2008 | May 3, 2016 (2871 d) |
| Darrell Craig Devaney | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | Jun 3, 2008 | Jun 5, 2008 |
| Herman Gunter | Invesco Aim Private Asset Management, Inc. unclassified | Independent Financial Partners other | Other | May 14, 2008 | Mar 4, 2009 (294 d) |
| Michael Paul Wicks | Ameriprise Financial Services, LLC national BD | Independent Financial Partners other | Other | May 13, 2008 | Jun 5, 2008 |
| Richard David Fontana | Morgan Stanley & Co. LLC unclassified | Independent Financial Partners other | Other | Mar 26, 2008 | Apr 17, 2012 (1483 d) |
| James Patton Clark | Mutual Service Corporation unclassified | Independent Financial Partners other | Other | Feb 22, 2008 | Feb 29, 2008 |
| Michael Wu | MML Investors Services, LLC other | Independent Financial Partners other | Other | Dec 19, 2007 | May 12, 2008 (145 d) |
| James Donald Appelt | Koller Wealth Management Inc. unclassified | Independent Financial Partners other | Other | Dec 12, 2007 | Nov 14, 2008 (338 d) |
| Craig Richard Koller | Koller Wealth Management Inc. unclassified | Independent Financial Partners other | Other | Dec 5, 2007 | Jul 23, 2007 |
| Timothy Thomas Feldheim | Edward Jones national BD | Independent Financial Partners other | Other | Oct 25, 2007 | Jun 2, 2014 (2412 d) |
| Mark Edward Thompson | UBS Financial Services Inc. wirehouse | Independent Financial Partners other | Other | May 25, 2007 | Nov 5, 2014 (2721 d) |
| Michael Steven Greenberg | Kovack Advisors, Inc. other | Independent Financial Partners other | Other | Feb 6, 2007 | Feb 22, 2007 |