| Phyllis Gilker Lancaster | Triad Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 7, 2011 | Dec 14, 2011 |
| Christian Thains Rizzi | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Nov 30, 2011 | Dec 5, 2011 |
| Scott Craig Burack | Squar Milner Financial Services, LLC other | Cetera Advisor Networks LLC other | Other | Nov 22, 2011 | Jul 18, 2011 |
| Christian Nicholas Cardello | Huntington Financial Advisors other | Cetera Advisor Networks LLC other | Other | Nov 17, 2011 | Nov 23, 2011 |
| Edward Dennis Griffin | Planmember Securities Corporation other | Cetera Advisor Networks LLC other | Other | Nov 9, 2011 | Nov 8, 2011 |
| Sean Yount Goldney | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Nov 7, 2011 | Aug 28, 2013 (660 d) |
| Jon P Glink | New England Securities Corporation other | Cetera Advisor Networks LLC other | Other | Oct 20, 2011 | Oct 11, 2011 |
| Brian Joseph Adamek | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC other | Other | Oct 4, 2011 | Nov 20, 2013 (778 d) |
| Deborah Jennifer Severn | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Aug 30, 2011 | May 2, 2012 (246 d) |
| Matthew David Friedrichsen | Commerce Wealth Advisers, LLC other | Cetera Advisor Networks LLC other | Other | Aug 22, 2011 | Aug 31, 2011 |
| Malcolm Roger Parks | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Aug 17, 2011 | Aug 12, 2011 |
| Gennaro Vuono | Oppenheimer & Co. Inc. other | Cetera Advisor Networks LLC other | Other | Aug 17, 2011 | Aug 11, 2011 |
| Wendi Pamela Lee Diacono | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Aug 17, 2011 | Jul 18, 2011 |
| Nicholas Lawrence Jahn | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Aug 15, 2011 | Jan 3, 2013 (507 d) |
| Michael Joseph Kowal | Osaic Wealth, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 3, 2011 | Aug 1, 2011 |
| Dennis Eugene Kagel | Money Dr.LLC unclassified | Cetera Advisor Networks LLC other | Other | Aug 1, 2011 | Apr 14, 2011 |
| Amelia Krill Guidi | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Jul 28, 2011 | Jul 17, 2013 (720 d) |
| James Michael Koczara | Cuna Brokerage Services, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 21, 2011 | Aug 4, 2011 |
| Daniel Burke Beltran | Osaic Fa, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 14, 2011 | Sep 12, 2011 (60 d) |
| Thomas Castronovo | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Jul 12, 2011 | Jul 6, 2011 |
| Patrick Francis Madison | Charles Schwab & Co., Inc. national BD | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 20, 2011 | Mar 31, 2021 (3572 d) |
| Brian Matthew Rees | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 1, 2011 | Jan 9, 2015 (1318 d) |
| Wenjing He | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | May 16, 2011 | Jul 8, 2011 (53 d) |
| Paul August Alegi | Wall Street Financial Group, Inc other | Cetera Advisor Networks LLC other | Other | Apr 25, 2011 | Jan 8, 2014 (989 d) |
| Alan Barry Krichman | Chase Investment Services Corp. other | Cetera Advisor Networks LLC other | Other | Apr 14, 2011 | Sep 21, 2011 (160 d) |
| Todd Paul Redd | Woodbury Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 12, 2011 | Jan 23, 2013 (652 d) |
| Stephen Michael Ference | Msi Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 14, 2011 | Apr 11, 2011 |
| Kyle James Spitzer | Hornor, Townsend & Kent, LLC other | Cetera Advisor Networks LLC other | Other | Mar 3, 2011 | Sep 20, 2011 (201 d) |
| Laurie Fried | Morgan Stanley wirehouse | Cetera Advisor Networks LLC other | Other | Feb 24, 2011 | Nov 1, 2011 (250 d) |
| Adam Gregory Provance | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Feb 14, 2011 | Feb 11, 2011 |
| Keith Gordon Hentschel | Qa3 Financial LLC unclassified | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Feb 24, 2011 |
| Mitchell Lewis Bloom | Qa3 Financial LLC unclassified | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Feb 17, 2011 |
| Mark Alan Borough | Qa3 Financial LLC unclassified | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Feb 22, 2011 |
| Tim Taylor Smith | Qa3 Financial LLC unclassified | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Feb 17, 2011 |
| M. Shannon Dana | Qa3 Financial LLC unclassified | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Feb 16, 2011 |
| Benita Creacy | Qa3 Financial LLC unclassified | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Feb 16, 2011 |
| Loizos Sergios Kapnisi | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Sep 26, 2014 (1323 d) |
| James Henry Morgan | Qa3 Financial LLC unclassified | Cetera Advisor Networks LLC other | Other | Feb 11, 2011 | Feb 17, 2011 |
| Charles Bryan Tutt | Signator Investors, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 4, 2011 | Feb 1, 2011 |
| Douglas Stephan King | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Jan 28, 2011 | Apr 24, 2012 (452 d) |
| Julie Lynne Sharnowski | Securities America Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 20, 2011 | Feb 17, 2011 |
| Steven Harverd Greig | Investment Advisors Corp other | Cetera Advisor Networks LLC other | Other | Dec 31, 2010 | Dec 21, 2012 (721 d) |
| Jonathan Paul Pipho | Thrivent Investment Management Inc. other | Cetera Advisor Networks LLC other | Other | Dec 31, 2010 | Feb 16, 2011 (47 d) |
| Larry Philip Ginsburg | Ginsburg Financial Advisors other | Cetera Advisor Networks LLC other | Other | Dec 31, 2010 | Oct 9, 2007 |
| William J. Hunt | Hornor, Townsend & Kent, LLC other | Cetera Advisor Networks LLC other | Other | Dec 23, 2010 | Jan 21, 2011 |
| Jason Bert Frazier | Kelman Lazarov Inc other | Cetera Advisor Networks LLC other | Other | Dec 7, 2010 | Oct 9, 2008 |
| Matthew William Rohde | Financial Management Strategies, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 3, 2010 | Dec 22, 2010 |
| Tracy Lee Miller | Woodbury Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 23, 2010 | Nov 15, 2010 |
| Michael J Moshier | Focus Financial other | Cetera Advisor Networks LLC other | Other | Oct 20, 2010 | Jan 8, 2014 (1176 d) |
| David Wright Mize | Etexfinancial, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Oct 20, 2010 | Mar 3, 2011 (134 d) |
| Denise Michelle Zapata | Cuso Financial Services, L.P. other | Cetera Advisor Networks LLC other | Other | Oct 7, 2010 | Oct 26, 2010 |
| Mark Daniel Lechowicz | Investment Advisors International, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Oct 6, 2010 | Oct 6, 2010 |
| Bradford Jude Sylve | Securities America Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 1, 2010 | Oct 12, 2010 |
| John Russell Carpani | Pnc Wealth Management other | Cetera Advisor Networks LLC other | Other | Sep 20, 2010 | Sep 29, 2010 |
| Terry Todd Thill | Next Financial Group, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 10, 2010 | Aug 31, 2010 |
| Carrie Elizabeth Bowman | Janney Montgomery Scott LLC other | Cetera Advisor Networks LLC other | Other | Sep 9, 2010 | Oct 5, 2010 |
| Paul Douglas Curnes | Janney Montgomery Scott LLC other | Cetera Advisor Networks LLC other | Other | Sep 9, 2010 | Sep 2, 2010 |
| David Neate | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Sep 8, 2010 | Jan 25, 2011 (139 d) |
| Andrew Martin Meehan | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | Sep 1, 2010 | Sep 1, 2010 |
| Michael Dare | MML Investors Services, LLC other | Cetera Advisor Networks LLC other | Other | Aug 26, 2010 | Sep 22, 2010 |