| Brett Christopher Kunshek | 440 Investment Group, LLC other | Mariner other | Other | Mar 31, 2018 | Mar 1, 2018 |
| Patrick Michael Shaw | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Sep 12, 2016 |
| Justin Blake Mccarthy | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Jun 8, 2021 (1165 d) |
| George Francis Greco | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Jan 6, 2021 (1012 d) |
| Jason Monteleone | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Jun 8, 2021 (1165 d) |
| Patrick A Kimbrough | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Sep 30, 2016 |
| Megan Lindsey Tanney | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Sep 21, 2016 |
| Tobias C Bond | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Aug 31, 2016 |
| Cole Kennith Foster | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Mar 12, 2018 |
| Ethan Wade Hutcheson | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Mar 17, 2015 |
| Rachel Anne Kowalczyk | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Jan 30, 2018 |
| Adam Randall Kotz | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Oct 16, 2020 (930 d) |
| Katherine Mary Kelly | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Jan 22, 2021 (1028 d) |
| Jamie Denise Weems | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Sep 23, 2016 |
| Sarah Tiedt | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Sep 23, 2016 |
| Jesse Joseph Szlaga | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Sep 10, 2016 |
| Matthew Robert Moetzinger | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Jun 22, 2021 (1179 d) |
| Hasan Chowdhury | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Jun 8, 2021 (1165 d) |
| Marguerite Lucas Armitage | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Mar 12, 2018 |
| Matthew Robert Morgan Charles | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Mar 15, 2018 |
| Cramer Scott Soebbing | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Sep 10, 2016 |
| Joseph Michael Coletta | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Mar 12, 2018 |
| Adam C Hasty | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Mar 12, 2018 |
| Lindsey Anne Serrano | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Nov 22, 2016 |
| Valbona Ceci | Mariner Wealth Advisors other | Mariner other | Other | Mar 31, 2018 | Jul 18, 2017 |
| Lawrence Patrick Rosa | Mariner Wealth Advisors other | Mariner BD affiliated | Other | Mar 31, 2018 | Jun 8, 2021 (1165 d) |
| Lyndsey Ann Winchester Pare | Ameriprise Financial Services, LLC national BD | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Jan 26, 2024 (2150 d) |
| Anne Jenelle Dorian | Ascent Investment Partners, LLC other | Mariner independent RIA | Other | Dec 31, 2017 | May 22, 2018 (142 d) |
| Matthew Hardy Cobas | Wells Fargo Advisors wirehouse | Mariner other | Other | Dec 19, 2017 | Jan 22, 2018 (34 d) |
| Julie Lynn Skye | Mariner Wealth Advisors other | Mariner other | Other | Dec 6, 2017 | Jul 22, 2015 |
| Martin Andrew Garrison | Mariner Wealth Advisors other | Mariner other | Other | Sep 20, 2017 | Mar 17, 2015 |
| Aaron Michael Timmons | Waddell & Reed other | Mariner other | Other | Aug 25, 2017 | Sep 29, 2017 (35 d) |
| Bryan Hugh Pepper | Mariner Wealth Advisors other | Mariner other | Other | Aug 14, 2017 | Mar 17, 2015 |
| Keith Gorman Dowling | Mariner Wealth Advisors other | Mariner other | Other | Jun 5, 2017 | Mar 17, 2015 |
| Aisling Marie-Patricia Carroll-Transom | Firstpoint Financial, LLC other | Mariner other | Other | Mar 22, 2017 | Mar 22, 2017 |
| Ryan John Graves | Firstpoint Financial, LLC other | Mariner BD affiliated | Other | Mar 22, 2017 | Aug 5, 2026 (3423 d) |
| Nathan Ryder Dorn | Firstpoint Financial, LLC other | Mariner other | Other | Mar 22, 2017 | Dec 16, 2016 |
| Ryan Michael Bowman | Mariner Wealth Advisors other | Mariner other | Other | Mar 20, 2017 | Sep 23, 2016 |
| Timothy Daniel Harden | Mariner Wealth Advisors other | Mariner other | Other | Feb 14, 2017 | Sep 23, 2016 |
| Amanda Anastasia Tortorelli | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Mariner BD affiliated | Other | Jan 12, 2017 | Dec 18, 2025 (3262 d) |
| Scott Henry Guetz | Vantage Financial Group, Inc. other | Mariner BD affiliated | Other | Dec 31, 2016 | Apr 30, 2021 (1581 d) |
| Grover Cleaveland Musser | U.S. Bancorp Investments, Inc. other | Mariner other | Other | Oct 31, 2016 | Nov 4, 2016 |
| Katrina Delores Radenberg | Montage Investments, LLC other | Mariner other | Other | Oct 4, 2016 | Mar 12, 2018 (524 d) |
| Jennifer Teresa Murawski | Mariner Wealth Advisors other | Mariner other | Other | Sep 9, 2016 | Sep 10, 2016 |
| Jayne Kristine Witte | Curi Capital, LLC other | Mariner BD affiliated | Other | Aug 22, 2016 | Feb 22, 2021 (1645 d) |
| Adam Joseph Kuhlmann | Whv Investments, Inc. other | Mariner BD affiliated | Other | Jul 29, 2016 | Nov 19, 2025 (3400 d) |
| Michele Ann Prell | Strategic Advisers LLC national BD | Mariner other | Other | Apr 25, 2016 | Feb 9, 2018 (655 d) |
| Douglas Alfred Barker | Halbert Hargrove other | Mariner BD affiliated | Other | Apr 11, 2016 | Jun 7, 2021 (1883 d) |
| Jamie Christopher Cinotto | Firstpoint Financial, LLC other | Mariner other | Other | Jan 21, 2016 | Mar 17, 2015 |
| Jason Wesley Craine | Firstpoint Financial, LLC other | Mariner other | Other | Jan 21, 2016 | Jan 23, 2015 |
| Gerhart Keith Kloiber | Firstpoint Financial, LLC other | Mariner other | Other | Jan 21, 2016 | Mar 17, 2015 |
| Brian Lee Heithoff | Montage Investments, LLC other | Mariner other | Other | Dec 31, 2015 | Dec 17, 2015 |
| Joseph Lee Madsen | Montage Investments, LLC other | Mariner other | Other | Dec 31, 2015 | Dec 17, 2015 |
| Travis James Portwood | Mariner Institutional Consulting, LLC no RAUM | Mariner other | Other | Dec 23, 2015 | Sep 30, 2016 (282 d) |
| Randal Ray Korth | Mariner Institutional Consulting, LLC no RAUM | Mariner other | Other | Dec 23, 2015 | Oct 27, 2017 (674 d) |
| John Cristello | B+ Institutional Services, LLC no RAUM | Mariner other | Other | Dec 17, 2015 | Dec 17, 2015 |
| Luke N Eide | Mariner Wealth Advisors other | Mariner other | Other | Nov 16, 2015 | Mar 17, 2015 |
| Whitney Leigh Reagan | Montage Investments, LLC other | Mariner other | Other | Oct 6, 2015 | Oct 6, 2015 |
| Jesse Clayton Taylor | Barclays Capital Inc. other | Mariner BD affiliated | Other | Jul 31, 2015 | Mar 11, 2025 (3511 d) |
| Christine Erin Wentzler | The Mde Group, Inc. other | Mariner other | Other | Jun 4, 2015 | May 19, 2015 |