| Matthew Barratt Main | Essex National Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 29, 2010 | Oct 21, 2010 (84 d) |
| Carole Ann Sarson | Nationwide Securities, LLC no RAUM | Cetera Advisor Networks LLC other | Other | Jul 26, 2010 | Nov 5, 2010 (102 d) |
| Amy Sue Wasley Palmer | MML Investors Services, LLC other | Cetera Advisor Networks LLC other | Other | Jul 26, 2010 | Aug 19, 2011 (389 d) |
| Charles Willard Johnson | Guardian Planners unclassified | Cetera Advisor Networks LLC other | Other | Jul 8, 2010 | Oct 24, 2005 |
| Robert Francis Claussen | Nationwide Securities, LLC no RAUM | Cetera Advisor Networks LLC other | Other | Jun 24, 2010 | Aug 4, 2010 (41 d) |
| John Ben Neuenswander | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | Jun 22, 2010 | Jul 6, 2010 |
| David Kenneth Sorensen | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Apr 22, 2010 | Apr 1, 2010 |
| William George Mowbray | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Apr 21, 2010 | Apr 15, 2010 |
| Darrin Michael Sharp | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Apr 19, 2010 | Jun 9, 2010 (51 d) |
| Roland Walter Moll | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Apr 16, 2010 | Apr 23, 2010 |
| John Mack Majors | C & J Wealth Advisors other | Cetera Advisor Networks LLC other | Other | Mar 31, 2010 | Apr 22, 2010 |
| Wyatt A. Moerdyk | Osaic Fs, Inc. other | Cetera Advisor Networks LLC other | Other | Mar 1, 2010 | May 6, 2010 (66 d) |
| Pedro Hero | Osaic Fs, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 23, 2010 | May 24, 2010 (90 d) |
| Brian Thomas White | Voya Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 1, 2010 | Sep 13, 2010 (224 d) |
| Kim A Richardson | Associated Planners Investment Advisory Inc unclassified | Cetera Advisor Networks LLC other | Other | Dec 23, 2009 | Jun 8, 2011 (532 d) |
| Fabiola Lucrecia Hill | Associated Planners Investment Advisory Inc unclassified | Cetera Advisor Networks LLC other | Other | Dec 23, 2009 | Feb 14, 2013 (1149 d) |
| Brian D Beldham | Associated Planners Investment Advisory Inc unclassified | Cetera Advisor Networks LLC other | Other | Dec 23, 2009 | Nov 12, 2009 |
| Arnim Sanchez Holzer | Idb Capital Corp. unclassified | Cetera Advisor Networks LLC other | Other | Dec 22, 2009 | Jun 27, 2011 (552 d) |
| Derek Hawk | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Dec 10, 2009 | Mar 3, 2010 (83 d) |
| Kevin Gregory Olson | Cetera Investment Services LLC other | Cetera Advisor Networks LLC other | Other | Dec 1, 2009 | Jan 14, 2010 (44 d) |
| James Nagao Fujita | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC other | Other | Nov 27, 2009 | Nov 10, 2011 (713 d) |
| Mark Harold Huston | Touchstone Advisors Inc other | Cetera Advisor Networks LLC other | Other | Nov 23, 2009 | Mar 10, 2010 (107 d) |
| Heath Ryan Davis | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | Nov 3, 2009 | Nov 17, 2009 |
| Robert Brian Ferreira | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Oct 26, 2009 | Feb 8, 2010 (105 d) |
| Arturo Lopez Unzueta | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Oct 12, 2009 | Apr 15, 2011 (550 d) |
| Emily Kay Windolph | Cuna Brokerage Services, Inc. other | Cetera Advisor Networks LLC other | Other | Oct 6, 2009 | Feb 16, 2010 (133 d) |
| Jaret Dalin Perryman | Ssn Advisory, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 4, 2009 | Oct 7, 2009 (33 d) |
| Robert Luis Rivera | Principal Securities, Inc. other | Cetera Advisor Networks LLC BD affiliated | Other | Aug 24, 2009 | Oct 24, 2018 (3348 d) |
| Jeffrey William Bruce | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Jul 1, 2009 | Jul 10, 2009 |
| Brian Rene Torgerson | Banc Of America Investment Services, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Jun 23, 2009 | Jul 8, 2009 |
| Jonathan David Winter | UBS Financial Services Inc. wirehouse | Cetera Advisor Networks LLC other | Other | Jun 17, 2009 | Jul 7, 2009 |
| Joseph Mccarrell Piszczor | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Jun 10, 2009 | Jun 17, 2009 |
| John Craige Marek | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Jun 9, 2009 | Jan 14, 2016 (2410 d) |
| James Joseph Kirlin | Ameritas Advisory Services other | Cetera Advisor Networks LLC other | Other | Jun 1, 2009 | Jun 2, 2009 |
| Oliver Y Tao | Chase Investment Services Corp. other | Cetera Advisor Networks LLC other | Other | May 15, 2009 | Mar 3, 2011 (657 d) |
| Roger William Byrd | Citigroup Global Markets Inc. other | Cetera Advisor Networks LLC other | Other | May 14, 2009 | Nov 25, 2009 (195 d) |
| David Gordon | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Apr 28, 2009 | Mar 24, 2010 (330 d) |
| Lance Lynn Altheide | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Apr 20, 2009 | Apr 16, 2009 |
| Susan Elaine Cole | Sunset Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 17, 2009 | Apr 30, 2009 |
| John Patrick Reidy | Hornor, Townsend & Kent, LLC other | Cetera Advisor Networks LLC other | Other | Apr 13, 2009 | Aug 26, 2009 (135 d) |
| Joseph Thomas Wiegand | Shelton Financial Group, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 7, 2009 | Mar 26, 2009 |
| Matthew Phillip Cano | Bok Financial Advisors other | Cetera Advisor Networks LLC other | Other | Apr 1, 2009 | Feb 23, 2011 (693 d) |
| Steven R. Burgess | Gwn Securities Inc. other | Cetera Advisor Networks LLC other | Other | Mar 27, 2009 | Mar 27, 2009 |
| Jessica Nadine Sexton | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Mar 26, 2009 | Jan 3, 2011 (648 d) |
| John Anthony Gutfranski | Stanford Group Company unclassified | Cetera Advisor Networks LLC other | Other | Mar 25, 2009 | May 6, 2009 (42 d) |
| Derek Robert Schanhofer | MML Investors Services, LLC other | Cetera Advisor Networks LLC other | Other | Mar 19, 2009 | Apr 2, 2009 |
| Todd Kelzenberg | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Mar 12, 2009 | Jan 29, 2014 (1784 d) |
| Michael W Ferrier | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Jan 27, 2009 | Mar 9, 2010 (406 d) |
| Todd Hutson Smith | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Cetera Advisor Networks LLC other | Other | Jan 5, 2009 | Mar 23, 2009 (77 d) |
| Jeffrey Richard Vitt | Wells Fargo Advisors wirehouse | Cetera Advisor Networks LLC other | Other | Jan 2, 2009 | Feb 10, 2009 (39 d) |
| Thomas George Goodwin | Ege Advisors, Ltd. unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Feb 23, 2009 (54 d) |
| Callen Wayne Bryan | Blue Vase Capital Management unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Aug 6, 2007 |
| Michelle Lacoste Fletcher | Financial Network Advisory Inc. unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Jul 16, 2002 |
| Susan Reasinger | Blue Vase Capital Management unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Jan 4, 2006 |
| Wendy Hostetter Rowley | Financial Network Advisory Inc. unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Jul 16, 2002 |
| Rodney Keith Dooley | Carolina Wealth Management, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Sep 3, 2013 (1707 d) |
| Rodney Keith Dooley | Carolina Wealth Management, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Apr 23, 2015 (2304 d) |
| James Marshall Eisnor | Blue Vase Capital Management unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2008 | Oct 11, 2006 |
| Albert Sidhom | Sidhom Investment And Asset Management, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 23, 2008 | Jul 29, 2008 |
| Melanie Rowen Reeve | Suntrust Investment Services, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 8, 2008 | Jan 5, 2009 |