| James Christopher Ewing | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Mar 14, 2017 | Mar 13, 2017 |
| Michael John Cona | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Mar 14, 2017 | Mar 13, 2017 |
| Brian W Buchanan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Mar 14, 2017 | Mar 13, 2017 |
| Candida Marie Weinrick | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Mar 14, 2017 | Mar 13, 2017 |
| Jeffery Kelly | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 27, 2017 | Jan 30, 2025 (2894 d) |
| Heather Trinh Lore | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 27, 2017 | Jan 30, 2025 (2894 d) |
| Brian J Wohlner | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Feb 27, 2017 | Feb 16, 2017 |
| David Joseph Rubis | Cerity Partners LLC other | Hightower Advisors, LLC BD affiliated | Other | Feb 16, 2017 | May 27, 2019 (830 d) |
| John Thomas Buffa | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jan 31, 2017 | Mar 20, 2017 (48 d) |
| Joel Gary Talish | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | Jan 30, 2017 | Jan 31, 2017 |
| David Deshler Cox | Great Lakes Advisors, LLC other | Hightower Advisors, LLC BD affiliated | Other | Jan 26, 2017 | Feb 16, 2018 (386 d) |
| Michael Gerard Skowfoe | Wells Fargo Advisors wirehouse | Hightower Advisors, LLC other | Other | Jan 19, 2017 | Feb 14, 2017 |
| Dayle James Malone | Clear Perspective Advisors, LLC other | Hightower Advisors, LLC BD affiliated | Other | Dec 31, 2016 | Jan 4, 2022 (1830 d) |
| Jonathan Hylton | Clear Perspective Advisors, LLC other | Hightower Advisors, LLC other | Other | Dec 31, 2016 | Jan 4, 2022 (1830 d) |
| Nicholas A Latko | Clear Perspective Advisors, LLC other | Hightower Advisors, LLC other | Other | Dec 31, 2016 | Jan 4, 2022 (1830 d) |
| Gregory Dean Gregory | Clear Perspective Advisors, LLC other | Hightower Advisors, LLC BD affiliated | Other | Dec 31, 2016 | Jan 4, 2022 (1830 d) |
| Samantha Rachelle Waters | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Dec 13, 2016 | Dec 2, 2016 |
| Jake Blas Falcon | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Dec 13, 2016 | Dec 2, 2016 |
| Cory Bittner | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Dec 13, 2016 | Dec 2, 2016 |
| Jane Ann Musser | Ameriprise Financial Services, LLC national BD | Hightower Advisors, LLC other | Other | Dec 2, 2016 | Dec 21, 2016 |
| Trevor James Lipsett | William Blair & Company L.L.C. other | Hightower Advisors, LLC other | Other | Nov 18, 2016 | Jan 13, 2017 (56 d) |
| Amy Stacy Born | Acacia Wealth Advisors, LLC other | Hightower Advisors, LLC other | Other | Nov 14, 2016 | Jul 14, 2016 |
| Joseph Lee Rosol | Acacia Wealth Advisors, LLC other | Hightower Advisors, LLC BD affiliated | Other | Nov 14, 2016 | Jan 1, 2025 (2970 d) |
| William Thrush | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Oct 19, 2016 | Oct 17, 2016 |
| Meghan G Rump | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Oct 19, 2016 | Oct 17, 2016 |
| Jeffrey Lee Corliss | Retirement Design & Management Inc other | Hightower Advisors, LLC other | Other | Oct 17, 2016 | Oct 14, 2016 |
| Thomas Owen Mayper | Retirement Design & Management Inc other | Hightower Advisors, LLC other | Other | Oct 17, 2016 | Oct 14, 2016 |
| Elena Anne Dimiceli | Retirement Design & Management Inc other | Hightower Advisors, LLC other | Other | Oct 17, 2016 | Oct 14, 2016 |
| Calla Carpenter Cornett | Spero-Smith Investment Advisers, Inc. other | Hightower Advisors, LLC BD affiliated | Other | Oct 7, 2016 | May 20, 2019 (955 d) |
| Trevor Tilden Cummings | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 3, 2016 | Jan 1, 2025 (3012 d) |
| John Mcnamara Egan | Jm Egan Wealth Advisors, LLC other | Hightower Advisors, LLC other | Other | Sep 20, 2016 | Aug 16, 2016 |
| Mark Allen Schweiss | Kestra Advisory Services, LLC other | Hightower Advisors, LLC other | Other | Aug 26, 2016 | Aug 25, 2016 |
| Mark Allen Schweiss | Nfp Advisor Services, LLC other | Hightower Advisors, LLC other | Other | Aug 26, 2016 | Aug 25, 2016 |
| Thomas Gerald Foley | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Aug 17, 2016 | Aug 18, 2016 |
| Faustina Lene Legett | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Aug 17, 2016 | Aug 18, 2016 |
| Keith W Hier | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Aug 17, 2016 | Aug 18, 2016 |
| Thomas Aubrey Hodgson | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Aug 16, 2016 | Aug 16, 2016 |
| James Ellis Day | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Jul 20, 2016 | Jun 24, 2016 |
| Aisha Ann Rada | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Jul 5, 2016 | Jul 14, 2016 |
| Lauren Saddler Pearson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Jun 21, 2016 | Jun 17, 2016 |
| Damian Scot Shaw | Schwab Wealth Advisory, Inc. other | Hightower Advisors, LLC BD affiliated | Other | Jun 20, 2016 | Feb 18, 2022 (2069 d) |
| Larue Reubel Gibson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Jun 7, 2016 | Jun 13, 2016 |
| Kevin L Jackson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | Jun 7, 2016 | Jun 3, 2016 |
| Jeanmarie Margaret Parker | J.P. Morgan Securities LLC wirehouse | Hightower Advisors, LLC other | Other | Jun 3, 2016 | Jun 17, 2016 |
| William Hangan | Citizens Securities, Inc. other | Hightower Advisors, LLC other | Other | May 23, 2016 | Aug 31, 2016 (100 d) |
| Denver Scott Gilliand | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 10, 2016 | May 6, 2016 |
| Kayleen Elizabeth Schultz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC other | Other | May 10, 2016 | May 6, 2016 |
| Alfredo Martinez | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Apr 26, 2016 | May 17, 2016 |
| Christopher Todd Ure | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 26, 2016 | Jan 22, 2026 (3558 d) |
| Jordan John-Andrew Rae | UBS Financial Services Inc. wirehouse | Hightower Advisors, LLC other | Other | Apr 26, 2016 | May 12, 2016 |
| Joel Shawn Rand | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 11, 2016 | Jan 1, 2025 (3187 d) |
| Christina Wolfe | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Apr 11, 2016 | Mar 21, 2016 |
| Paul Stephen Rand | Morgan Stanley wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 11, 2016 | Jan 17, 2025 (3203 d) |
| Sarah Minakary | Morgan Stanley wirehouse | Hightower Advisors, LLC other | Other | Apr 11, 2016 | Mar 21, 2016 |
| Matthew James Otto | Suntrust Investment Services, Inc. other | Hightower Advisors, LLC BD affiliated | Other | Mar 18, 2016 | Jan 2, 2025 (3212 d) |
| Lars Gunnar Okeson | Alliancebernstein L.P. other | Hightower Advisors, LLC other | Other | Feb 12, 2016 | Feb 17, 2016 |
| Laura Eunkyung Kim | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hightower Advisors, LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jan 15, 2016 | Oct 21, 2021 (2106 d) |
| Julia Ann Bartolomeo | RBC Capital Markets, LLC national BD | Hightower Advisors, LLC other | Other | Jan 15, 2016 | Jan 6, 2016 |
| David Raymond Hartness | Irongate Investment Management, LLC no RAUM | Hightower Advisors, LLC other | Other | Dec 31, 2015 | Oct 28, 2016 (302 d) |
| Christopher Scott Jones | Irongate Investment Management, LLC no RAUM | Hightower Advisors, LLC other | Other | Dec 31, 2015 | Oct 28, 2016 (302 d) |