| Nathan Christopher Ankney | Afa Advisor Services LLC unclassified | Independent Financial Group, LLC other | Other | Aug 6, 2008 | Aug 7, 2008 |
| Garth Lee Krieger | Woodbury Financial Services, Inc. other | Independent Financial Group, LLC independent RIA | Other | Aug 6, 2008 | Apr 16, 2020 (4271 d) |
| David Richard Koehler | Afa Advisor Services LLC unclassified | Independent Financial Group, LLC BD affiliated | Other | Aug 6, 2008 | Apr 18, 2018 (3542 d) |
| Christopher Raymond Blaszyk | MML Investors Services, LLC other | Independent Financial Group, LLC other | Other | May 29, 2008 | Aug 26, 2008 (89 d) |
| Peter Byron Nesbitt | Ameriprise Financial Services, LLC national BD | Independent Financial Group, LLC other | Other | May 14, 2008 | Feb 11, 2009 (273 d) |
| Carl Vincent Gottuso | Securities America Advisors, Inc. other | Independent Financial Group, LLC other | Other | Mar 26, 2008 | Apr 1, 2008 |
| Mark Richard Hoemann | 1717 Capital Management Company unclassified | Independent Financial Group, LLC other | Other | Feb 27, 2008 | Feb 26, 2008 |
| Daniel Joseph Ripley | 1717 Capital Management Company unclassified | Independent Financial Group, LLC other | Other | Jan 2, 2008 | Dec 14, 2007 |
| Michael Joshua Carlin | Axiom Advisory Services, LLC unclassified | Independent Financial Group, LLC other | Other | Dec 31, 2007 | Mar 8, 2006 |
| Laura A Gilman | Sagepoint Financial, Inc. other | Independent Financial Group, LLC other | Other | Nov 20, 2007 | Nov 20, 2007 |
| Michael Steven Grodsky | Sagepoint Financial, Inc. other | Independent Financial Group, LLC other | Other | Nov 20, 2007 | Nov 20, 2007 |
| Adam Colby Broughton | Ameriprise Financial Services, LLC national BD | Independent Financial Group, LLC other | Other | Nov 19, 2007 | Oct 5, 2012 (1782 d) |
| Paul Wadsworth Pendorf | Baker Jensen Investment Advisors, LLC other | Independent Financial Group, LLC other | Other | Oct 15, 2007 | Jun 3, 2015 (2788 d) |
| Geoffrey Harden Sebold | Wealthharbor Capital Group, LLC other | Independent Financial Group, LLC other | Other | Oct 9, 2007 | Jul 17, 2007 |
| James P Naldi | Allianz Global Investors Managed Accounts LLC other | Independent Financial Group, LLC BD affiliated | Other | Aug 17, 2007 | Mar 6, 2023 (5680 d) |
| Dennis Carl Lindeman | Brookstreet Securities Corporation unclassified | Independent Financial Group, LLC other | Other | Jun 27, 2007 | Jun 26, 2007 |
| John Charles Dixon | Bancwest Investment Services, Inc. (Bwis) other | Independent Financial Group, LLC independent RIA | Other | May 31, 2007 | Nov 6, 2020 (4908 d) |
| Christopher James Nolt | Kms Financial Services, Inc other | Independent Financial Group, LLC other | Other | Apr 12, 2007 | May 2, 2007 |
| Hagop (Jacob) Sahak Tujian | Sagepoint Financial, Inc. other | Independent Financial Group, LLC other | Other | Mar 1, 2007 | Jul 3, 2007 (124 d) |
| Chad C Wauschek | Cetera Investment Advisers LLC other | Independent Financial Group, LLC other | Other | Feb 10, 2007 | Jul 18, 2012 (1985 d) |
| Nancy Kay Rhew | MML Investors Services, LLC other | Independent Financial Group, LLC other | Other | Feb 8, 2007 | Feb 7, 2007 |
| Bernard Aaron Surovsky | MML Investors Services, LLC other | Independent Financial Group, LLC other | Other | Jan 22, 2007 | Feb 1, 2007 |
| Kristen Shrader Wilson | Suntrust Investment Services, Inc. other | Independent Financial Group, LLC BD affiliated | Other | Jan 4, 2007 | Mar 26, 2019 (4464 d) |
| Jeffery Dean Bricker | Waterstone Financial Group, Inc. unclassified | Independent Financial Group, LLC other | Other | Dec 31, 2006 | Aug 24, 2009 (967 d) |
| Ethan Samuel Hadley | Afa Advisor Services LLC unclassified | Independent Financial Group, LLC other | Other | Nov 8, 2006 | Nov 8, 2006 |
| Todd Victor Vandenburg | Brecek & Young Advisors, Inc. other | Independent Financial Group, LLC other | Other | Oct 17, 2006 | Oct 4, 2006 |
| Toni Lynn Sutherland | Pacific West Financial Consultants Inc other | Independent Financial Group, LLC other | Other | Sep 18, 2006 | Sep 18, 2006 |
| Armando G. Roman | J. W. Cole Advisors, Inc. other | Independent Financial Group, LLC other | Other | Jul 27, 2006 | Aug 23, 2006 |
| Brian Eric Samuels | Nfp Advisor Services, LLC other | Independent Financial Group, LLC other | Other | Apr 24, 2006 | Apr 20, 2006 |
| Steven Edward Lebaron | Ssn Advisory, Inc. other | Independent Financial Group, LLC other | Other | Apr 13, 2006 | Apr 3, 2006 |
| Hayward Lamar Sawyer | Usallianz Securities, Inc. unclassified | Independent Financial Group, LLC other | Other | Apr 11, 2006 | Mar 20, 2008 (709 d) |
| John Daniel Keenan | Worthmark Financial Services, LLC unclassified | Independent Financial Group, LLC other | Other | Mar 1, 2006 | Jan 3, 2007 (308 d) |
| Lawrence Douglas Kriesmer | MML Investors Services, LLC other | Independent Financial Group, LLC other | Other | Feb 24, 2006 | Nov 16, 2006 (265 d) |
| Warren Alan Marmorstein | Raymond James Financial Services, Inc. unclassified | Independent Financial Group, LLC other | Other | Feb 15, 2006 | Jun 6, 2006 (111 d) |
| Belete Alemu | Pruco Securities, LLC other | Independent Financial Group, LLC other | Other | Jan 31, 2006 | Feb 15, 2006 |
| Scott Allen Dickerson | Sagepoint Financial, Inc. other | Independent Financial Group, LLC other | Other | Nov 25, 2005 | Nov 22, 2005 |
| John Kacheong Lee | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Independent Financial Group, LLC other | Other | Nov 2, 2005 | Oct 31, 2005 |
| Kerry Wesley Tanner | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Simon Suzmed Kramedjian | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC BD affiliated | Other | Oct 21, 2005 | Jan 16, 2024 (6661 d) |
| Robert John Steyert | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC BD affiliated | Other | Oct 21, 2005 | Oct 30, 2024 (6949 d) |
| Joe Henry Miller | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Rick Alan Willoughby | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Ronald Akira Tanaka | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Marcella Ann Harkness | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Jay Alan Wurtzler | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Brian Hayden Solomon | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Michael Hyat | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Alan Lee Norris | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Richard Walter Bolek | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Scott Allen Heising | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Grant Allen Knox | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Seth Howard Schwartz | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| William Patrick Brennan | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Arthur Eugene Molloy | Independent Financial Group, LLC unclassified | Independent Financial Group, LLC other | Other | Oct 21, 2005 | Oct 21, 2005 |
| Kelly H Clyde | Morgan Stanley Dw Inc. unclassified | Independent Financial Group, LLC other | Other | Jul 22, 2005 | Jul 21, 2009 (1460 d) |
| Al Shahinpouri | Ameritas Advisory Services other | Independent Financial Group, LLC other | Other | Dec 31, 2004 | May 13, 2014 (3420 d) |
| James Edmund Reopelle | Wealth Analytics, Inc. unclassified | Independent Financial Group, LLC BD affiliated | Other | Aug 12, 2004 | Sep 8, 2021 (6236 d) |
| Roderick David Evans | Wealth Analytics, Inc. unclassified | Independent Financial Group, LLC BD affiliated | Other | Aug 12, 2004 | Sep 8, 2021 (6236 d) |
| Richard Joseph Kasher | Nsa Securities Corporation unclassified | Independent Financial Group, LLC other | Other | May 13, 2004 | Nov 9, 2009 (2006 d) |
| Anna Marie Bloom | Wells Fargo Advisors wirehouse | Independent Financial Group, LLC other | Other | Jul 3, 2002 | Nov 12, 2009 (2689 d) |