| Donavan James Welch | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Dec 31, 2011 | Jan 3, 2012 |
| Cassandra Shawn Anderson | Sensiba San Filippo Financial Advisers LLC other | Valic Financial Advisors, Inc. other | Other | Dec 22, 2011 | Aug 3, 2012 (225 d) |
| Millard Philmore Coleman II | Equitable Advisors, LLC national BD | Valic Financial Advisors, Inc. other | Other | Dec 22, 2011 | Jan 10, 2012 |
| Troy Wayne Bender | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Dec 20, 2011 | Dec 12, 2011 |
| Rusty Edward Hanna | Northwestern Mutual Investment Services,LLC other | Valic Financial Advisors, Inc. other | Other | Dec 14, 2011 | Dec 12, 2011 |
| Lucia Alicia Cruz | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | Dec 12, 2011 | Dec 7, 2011 |
| Renee Weilandt Lofland | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Dec 8, 2011 | Dec 8, 2011 |
| Robert Scott Wiese | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Dec 7, 2011 | Nov 30, 2011 |
| Byron Richard Smith | Cuso Financial Services, L.P. other | Valic Financial Advisors, Inc. other | Other | Dec 1, 2011 | Jun 21, 2012 (203 d) |
| Stephanie Clements Jones | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | Nov 22, 2011 | Nov 22, 2011 |
| Timothy John Schossow | First Command Financial Planning, Inc. other | Valic Financial Advisors, Inc. other | Other | Oct 25, 2011 | Oct 17, 2011 |
| Louis Scott Mitchell | Usaa Financial Planning Services no RAUM | Valic Financial Advisors, Inc. other | Other | Oct 13, 2011 | Nov 4, 2011 |
| Joshua E Goldfarb | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Sep 22, 2011 | Nov 15, 2011 (54 d) |
| Scott Robert Pullen | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 8, 2011 | Aug 31, 2011 |
| Marvin Dat-Ay Baysa | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Sep 8, 2011 | Sep 6, 2011 |
| Robert George Shedd | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Aug 25, 2011 | Sep 26, 2011 (32 d) |
| Hugh G Anderson | Voya Financial Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 23, 2011 | Aug 26, 2011 |
| Kelly Stiefel Arias | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 1, 2011 | Aug 4, 2011 |
| Vivian Rene Houghland | &Partners other | Valic Financial Advisors, Inc. other | Other | Jul 28, 2011 | Aug 22, 2011 |
| Jeffrey John Mctiernan | Citigroup Global Markets Inc. other | Valic Financial Advisors, Inc. other | Other | Jul 27, 2011 | Aug 9, 2011 |
| Robert Bradley Creedle | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Jul 27, 2011 | Sep 6, 2011 (41 d) |
| Marc Zola Kleiman | Raymond James Financial Services Advisors, Inc other | Valic Financial Advisors, Inc. other | Other | Jul 19, 2011 | Aug 31, 2011 (43 d) |
| Paige Watson Lombardy | Morgan Keegan & Company, LLC other | Valic Financial Advisors, Inc. other | Other | Jul 18, 2011 | Aug 9, 2011 |
| Thomas Sweeney | Securian Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jul 15, 2011 | Nov 17, 2011 (125 d) |
| Rhonda Lee Sorensen | Umb Financial Services, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Jul 7, 2011 | Jul 3, 2012 (362 d) |
| Angelo M Burns | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Jul 7, 2011 | Jul 8, 2011 |
| Jonathan Andrew Moyer | Geneos Wealth Management, Inc. other | Valic Financial Advisors, Inc. other | Other | Jul 5, 2011 | Sep 1, 2011 (58 d) |
| Kathleen Marie Williams-Price | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jun 28, 2011 | Jul 6, 2011 |
| Kimberly L Thomas | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 28, 2011 | Aug 11, 2020 (3332 d) |
| Ben R Merchant | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Jun 23, 2011 | Mar 16, 2012 (267 d) |
| Justin Adam Bodnar | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jun 22, 2011 | Aug 30, 2011 (69 d) |
| Thomas C Scott | Camarda Wealth Advisory Group other | Valic Financial Advisors, Inc. other | Other | Jun 20, 2011 | Jul 28, 2011 (38 d) |
| Kenneth D. Smith | Huntington Financial Advisors other | Valic Financial Advisors, Inc. other | Other | Jun 16, 2011 | Aug 15, 2012 (426 d) |
| Elizabeth Ann Courtney | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Jun 10, 2011 | Jun 22, 2011 |
| James Richard Batey | Hantz Financial Services, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Jun 6, 2011 | Aug 18, 2011 (73 d) |
| Peter Quinn Flood | UBS Financial Services Inc. wirehouse | Valic Financial Advisors, Inc. other | Other | May 31, 2011 | Jun 24, 2011 |
| Ditzler J. Walker | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | May 26, 2011 | Aug 26, 2011 (92 d) |
| Maica Djehaune Walker | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | May 19, 2011 | Jul 5, 2011 (47 d) |
| Christopher Joseph Carrozza | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | May 17, 2011 | Jun 7, 2011 |
| Michael Brett Giles | Eagle Strategies LLC other | Valic Financial Advisors, Inc. other | Other | May 6, 2011 | Jun 28, 2011 (53 d) |
| William Ivan Hornbuckle | Thrivent Investment Management Inc. other | Valic Financial Advisors, Inc. other | Other | May 5, 2011 | May 26, 2011 |
| Thomas Mathiesen | Charles Schwab & Co., Inc. national BD | Valic Financial Advisors, Inc. other | Other | Apr 27, 2011 | Sep 20, 2011 (146 d) |
| Wilburn Joel Hudson | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Apr 12, 2011 | Oct 12, 2011 (183 d) |
| Michael Maddox | Hornor, Townsend & Kent, LLC other | Valic Financial Advisors, Inc. other | Other | Apr 1, 2011 | Nov 9, 2011 (222 d) |
| Erick J Montealegre | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 29, 2011 | Apr 1, 2011 |
| David Bryce Crupper | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Mar 25, 2011 | Mar 31, 2011 |
| Michael Andrew Waverka | Citizens Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 21, 2011 | May 11, 2012 (417 d) |
| John Bartholomew Clayton | Suntrust Investment Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 15, 2011 | Aug 11, 2011 (149 d) |
| William Nichols Saylor | Credit Union Investment Services state registered | Valic Financial Advisors, Inc. other | Other | Mar 14, 2011 | Mar 15, 2011 |
| Vanessa G. Pocock | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Mar 10, 2011 | Apr 20, 2011 (41 d) |
| Paul Edward Staniszewski | Avantax Planning Partners, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 8, 2011 | Aug 3, 2011 (148 d) |
| Scottie B Ringer | Questar Asset Management, Inc. other | Valic Financial Advisors, Inc. other | Other | Feb 24, 2011 | Jun 1, 2011 (97 d) |
| Francisco E Lopez | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Feb 23, 2011 | Aug 1, 2011 (159 d) |
| David Robinson Kornegay | Securian Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Feb 18, 2011 | Mar 8, 2011 |
| John Fulton Hargraves | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Feb 8, 2011 | Apr 26, 2016 (1904 d) |
| Lucas R Perkins | Chase Investment Services Corp. other | Valic Financial Advisors, Inc. other | Other | Feb 4, 2011 | Oct 21, 2011 (259 d) |
| Carrie W Cummings | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Feb 2, 2011 | Aug 31, 2011 (210 d) |
| Crystal Nellie Avant | Uvest Financial Services Group, Inc. unclassified | Valic Financial Advisors, Inc. other | Other | Feb 2, 2011 | Jul 3, 2012 (517 d) |
| Mark Richard Olson | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jan 18, 2011 | Jan 3, 2011 |
| Hugh Clay Johnson | Td Ameritrade, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Jan 14, 2011 | May 26, 2011 (132 d) |