| Ross S Rubin | Simon Capital Management other | Cetera Advisor Networks LLC other | Other | Dec 8, 2008 | Jan 27, 2011 (780 d) |
| Michael Anthony Pierson Schimek | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Dec 5, 2008 | Dec 19, 2008 |
| John Zamboanga | Wells Fargo Investments, LLC unclassified | Cetera Advisor Networks LLC other | Other | Nov 21, 2008 | Dec 19, 2008 |
| Peter Douglas Prescott | Sagepoint Financial, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 12, 2008 | Nov 17, 2008 |
| Patrick Amaya | Girard Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 7, 2008 | Dec 17, 2009 (405 d) |
| Gina Marie Duryea | Pension Planners Securities, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Nov 6, 2008 | Jul 29, 2008 |
| Patrick Lee Barnett | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | Oct 7, 2008 | Mar 11, 2010 (520 d) |
| Robert Joseph Sayre | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Sep 10, 2008 | Sep 30, 2008 |
| William Clain Jaques | Insphere Securities, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Sep 9, 2008 | Nov 12, 2008 (64 d) |
| Timothy Bryan Menez | Hornor, Townsend & Kent, LLC other | Cetera Advisor Networks LLC other | Other | Aug 27, 2008 | Aug 27, 2008 |
| Eric Vernon Shore | First Allied Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 25, 2008 | Aug 19, 2008 |
| David George Sylvester | B|O|S other | Cetera Advisor Networks LLC other | Other | Aug 22, 2008 | Jun 18, 2009 (300 d) |
| Robert Lee Stewart | Cetera Investment Services LLC other | Cetera Advisor Networks LLC other | Other | Aug 7, 2008 | Apr 16, 2009 (252 d) |
| Joseph Michael Melenick | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | Jul 30, 2008 | Aug 27, 2008 |
| Karla Jill Brown | Investment Centers Of America, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 10, 2008 | Jul 28, 2008 |
| Steven John Hubbell | Stokes & Hubbell Capital Management Inc unclassified | Cetera Advisor Networks LLC other | Other | Jul 2, 2008 | May 20, 1992 |
| Kathleen A Johnson | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 26, 2008 | Jun 23, 2008 |
| Stephen Michael Salinger | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 25, 2008 | Jun 25, 2008 |
| Daniel Patrick Foley | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 18, 2008 | Aug 6, 2008 (49 d) |
| Anthony Strom Pastor | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 17, 2008 | Jun 20, 2008 |
| Gregory Alan Peters | Associated Planners Investment Advisory Inc unclassified | Cetera Advisor Networks LLC other | Other | Jun 12, 2008 | Jun 5, 2008 |
| Maria Catherine Cacia | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 12, 2008 | Jun 26, 2008 |
| Bryan Scott Marvin | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 11, 2008 | Jun 5, 2008 |
| Anthony J. Falco | New England Securities Corporation other | Cetera Advisor Networks LLC other | Other | Jun 11, 2008 | May 31, 2008 |
| John Emmanuel Simone | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 10, 2008 | Jun 13, 2008 |
| Trevin J Panaia | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 10, 2008 | Nov 12, 2008 (155 d) |
| Brian D Platt | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 5, 2008 |
| Michael Conway Bree | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 5, 2008 |
| David Aaron Bleznak | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 11, 2008 |
| Christopher Mark Bryan | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 12, 2008 |
| Dennis Patrick Maguire | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 9, 2008 | Jun 12, 2008 |
| Richard Joseph Clifford | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 9, 2008 |
| Martin William Minder | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 6, 2008 |
| Diane L Metivier | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 10, 2008 |
| Shaun David O'Connor | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 2, 2008 |
| George Christopher Dallas | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 5, 2008 |
| Thomas Edward Landy | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 6, 2008 | Jun 13, 2008 |
| Christopher R Mayer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Cetera Advisor Networks LLC other | Other | Jun 4, 2008 | Jun 6, 2008 |
| Richard Collins Clark | Principal Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 4, 2008 | Jun 6, 2008 |
| Kelly Farwell Crane | Associated Planners Investment Advisory Inc unclassified | Cetera Advisor Networks LLC other | Other | May 15, 2008 | May 19, 2008 |
| Craig Brimhall Nelson | Stone Hill Advisory Services Inc. unclassified | Cetera Advisor Networks LLC other | Other | Apr 23, 2008 | Apr 24, 2008 |
| Edward Johnson Cole | Edward J. Cole, Financial Consultant, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Apr 15, 2008 | Apr 15, 2008 |
| Jonathan Russell Mckenzie | Morgan Stanley & Co. LLC unclassified | Cetera Advisor Networks LLC other | Other | Apr 11, 2008 | May 22, 2008 (41 d) |
| James D'Alessio | Banc Of America Investment Services, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Mar 5, 2008 | Mar 20, 2008 |
| Andrew Christopher Papp | Centaurus Financial, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 19, 2008 | Feb 19, 2008 |
| Erik Hord Little | Aspect Wealth Management unclassified | Cetera Advisor Networks LLC other | Other | Feb 12, 2008 | Dec 3, 2007 |
| Thomas Scott Martin | Phillips Financial other | Cetera Advisor Networks LLC other | Other | Jan 11, 2008 | Jan 29, 2008 |
| Stephanie Baines Bowens | Suntrust Investment Services, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 8, 2008 | Jan 9, 2008 |
| Patrick Warren Simpkins | Suntrust Investment Services, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 8, 2008 | Jan 9, 2008 |
| Terri A Canterbury | Hsbc Securities (USA) Inc. other | Cetera Advisor Networks LLC other | Other | Dec 31, 2007 | Sep 4, 2013 (2074 d) |
| Robert John O'Korn | Community Capital Group, LLC. unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2007 | Feb 12, 2009 (409 d) |
| Brian Westfall Lahr | Marathon Advisors, Inc unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2007 | Jan 8, 2014 (2200 d) |
| Jeremy Patrick Marshall | Thrivent Investment Management Inc. other | Cetera Advisor Networks LLC other | Other | Dec 31, 2007 | Nov 10, 2008 (315 d) |
| Chad David Olson | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Dec 20, 2007 | Jan 8, 2014 (2211 d) |
| Brent Roger Anderson | Associated Securities Corp. unclassified | Cetera Advisor Networks LLC other | Other | Dec 19, 2007 | Jan 2, 2008 |
| Lemuel Weyher Kornegay | Money Concepts Advisory Service other | Cetera Advisor Networks LLC other | Other | Nov 19, 2007 | Jan 10, 2008 (52 d) |
| John Alexander Black | First Allied Advisory Services, Inc. other | Cetera Advisor Networks LLC other | Other | Nov 12, 2007 | Nov 19, 2007 |
| Frank Paul Andrescavage | Mpm Wealth Advisors other | Cetera Advisor Networks LLC other | Other | Nov 6, 2007 | Apr 19, 2006 |
| Ross Antonio Deluca | UBS Financial Services Inc. wirehouse | Cetera Advisor Networks LLC other | Other | Oct 16, 2007 | Apr 25, 2008 (192 d) |
| David Kent Stofer | American Portfolios Advisors, Inc other | Cetera Advisor Networks LLC other | Other | Aug 27, 2007 | Jan 7, 2008 (133 d) |