| Hugh Clay Johnson | Td Ameritrade, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Jan 14, 2011 | May 26, 2011 (132 d) |
| Eric Billingslea | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Jan 6, 2011 | Aug 16, 2011 (222 d) |
| John C. English | English Capital Management LLC unclassified | Valic Financial Advisors, Inc. other | Other | Dec 31, 2010 | Feb 2, 2015 (1494 d) |
| Christopher Paul Hogan | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Dec 22, 2010 | Dec 20, 2010 |
| Jennifer Ann Garza | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Dec 15, 2010 | Feb 3, 2011 (50 d) |
| Mark Thomas Nardella | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Dec 15, 2010 | Jan 19, 2011 (35 d) |
| Michael Allen Anderson | Wells Fargo Investments, LLC unclassified | Valic Financial Advisors, Inc. other | Other | Dec 14, 2010 | Dec 16, 2010 |
| Michelle Lea Campbell | Spc other | Valic Financial Advisors, Inc. other | Other | Dec 13, 2010 | Dec 15, 2010 |
| Rhonda Hershey Mccurry | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 30, 2010 | Dec 7, 2010 |
| William Albert Ferguson | Charles Schwab & Co., Inc. national BD | Valic Financial Advisors, Inc. other | Other | Nov 26, 2010 | Dec 2, 2010 |
| Gregory Allen Hancock | Kovack Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 18, 2010 | Dec 17, 2010 |
| Victor Anthony Banks | Spc other | Valic Financial Advisors, Inc. other | Other | Nov 5, 2010 | Aug 16, 2011 (284 d) |
| Richard Osazuwa Omobogie | Chase Investment Services Corp. other | Valic Financial Advisors, Inc. other | Other | Oct 29, 2010 | Aug 3, 2011 (278 d) |
| Rock Allen Mirich | Avant-Garde Advisors LLC other | Valic Financial Advisors, Inc. other | Other | Oct 22, 2010 | Jan 14, 2011 (84 d) |
| Travis R Kirby | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Oct 15, 2010 | Jun 24, 2011 (252 d) |
| Charley Todd Porter | Ridgeway Conger Advisory Services other | Valic Financial Advisors, Inc. other | Other | Oct 13, 2010 | Oct 14, 2010 |
| Heather Michelle Hennigh | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Oct 5, 2010 | Nov 11, 2010 (37 d) |
| Christopher Lee Blancett | Chase Investment Services Corp. other | Valic Financial Advisors, Inc. other | Other | Oct 1, 2010 | Oct 14, 2010 |
| Hugh William Rhodes | U.S. Bancorp Investments, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 28, 2010 | Dec 3, 2010 (66 d) |
| Robert William Toth | Citigroup Global Markets Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 27, 2010 | Sep 22, 2010 |
| Paula Demars Megan | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 22, 2010 | Oct 28, 2010 (36 d) |
| Quentin Leon Ledford | Osaic Fs, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 20, 2010 | Sep 9, 2010 |
| Charles H Hawkins III | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Sep 20, 2010 | Sep 22, 2010 |
| Kevin Phillip Mc Nair | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Sep 14, 2010 | Sep 16, 2010 |
| Gary Lee Paul | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Sep 13, 2010 | Sep 9, 2010 |
| Bryan David Klemm | MML Investors Services, LLC other | Valic Financial Advisors, Inc. other | Other | Sep 7, 2010 | Aug 26, 2010 |
| Kevin Joseph Sims | Chase Investment Services Corp. other | Valic Financial Advisors, Inc. other | Other | Aug 17, 2010 | Sep 2, 2010 |
| Daniel Kanwar Singh Dhillon | Chase Investment Services Corp. other | Valic Financial Advisors, Inc. other | Other | Aug 13, 2010 | Sep 3, 2010 |
| Lance Klaff Davison | John Hancock Investment Management LLC other | Valic Financial Advisors, Inc. BD affiliated | Other | Aug 13, 2010 | May 12, 2026 (5751 d) |
| Lance Klaff Davison | Manulife Investment Management (US) LLC other | Valic Financial Advisors, Inc. BD affiliated | Other | Aug 13, 2010 | May 12, 2026 (5751 d) |
| Damian Jermaine Lyons | Huntington Financial Advisors other | Valic Financial Advisors, Inc. other | Other | Aug 10, 2010 | Sep 29, 2010 (50 d) |
| Linda Kennedy Pyles | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 6, 2010 | Aug 19, 2010 |
| Daniel Alexander Allen | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 4, 2010 | Aug 10, 2010 |
| Kimberly Shannon Wilder | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Jul 26, 2010 | Apr 24, 2012 (638 d) |
| Cathy Rena Mcreynolds | Pnc Wealth Management other | Valic Financial Advisors, Inc. other | Other | Jul 26, 2010 | Aug 12, 2010 |
| Joshua L Hunley | Northwestern Mutual Investment Services,LLC other | Valic Financial Advisors, Inc. other | Other | Jul 21, 2010 | Sep 22, 2010 (63 d) |
| Daniel Pecoraro | B. Riley Wealth Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Jul 20, 2010 | Jul 29, 2010 |
| Sean S. Compton | Kms Financial Services, Inc other | Valic Financial Advisors, Inc. other | Other | Jul 16, 2010 | Jul 27, 2010 |
| Graham Mcmurray Clement | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Jul 15, 2010 | Nov 22, 2010 (130 d) |
| George J Vellaringattu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Jul 13, 2010 | Jul 21, 2010 |
| Sean Placido Rodriguez | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Jul 12, 2010 | Aug 10, 2011 (394 d) |
| Gamaliel Michaud | Petersen Investments, Inc. unclassified | Valic Financial Advisors, Inc. other | Other | Jul 12, 2010 | Jul 22, 2010 |
| Dustin Ellis Woodham | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Jul 9, 2010 | Jul 21, 2010 |
| Christopher Robinson | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jul 9, 2010 | Jun 2, 2011 (328 d) |
| Mohammad Qureshi | UBS Financial Services Inc. wirehouse | Valic Financial Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 6, 2010 | Dec 26, 2023 (4921 d) |
| Richard Nelson Brittain | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jul 6, 2010 | Feb 25, 2013 (965 d) |
| William Stirling Pittman | Next Financial Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 29, 2010 | Jul 7, 2010 |
| John Christopher Roy Andrews | Wells Fargo Investments, LLC unclassified | Valic Financial Advisors, Inc. other | Other | Jun 28, 2010 | Dec 16, 2010 (171 d) |
| Perry Allen Whitehead | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jun 18, 2010 | Oct 28, 2010 (132 d) |
| David W Briley | Osaic Wealth, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 17, 2010 | Jun 18, 2010 |
| Janie Lynn Nelson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Jun 16, 2010 | Sep 21, 2011 (462 d) |
| Matthew Apgar Balady | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Jun 14, 2010 | Nov 15, 2010 (154 d) |
| Rory Kyle Davis | Cuna Brokerage Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jun 8, 2010 | Jun 8, 2010 |
| Casey Patrick Quinn | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Jun 7, 2010 | Oct 21, 2011 (501 d) |
| David Ray Laroque | U.S. Bancorp Investments, Inc. other | Valic Financial Advisors, Inc. other | Other | May 28, 2010 | Jun 9, 2010 |
| Richard Alex Becker | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | May 25, 2010 | May 19, 2010 |
| Justin Blake Howell | Stifel, Nicolaus & Company, Incorporated national BD | Valic Financial Advisors, Inc. other | Other | May 18, 2010 | May 19, 2010 |
| Gilbert Arevalos | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | May 5, 2010 | Apr 23, 2010 |
| Kristen Noell Rose | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | May 5, 2010 | Jul 6, 2011 (427 d) |
| Stephen Joseph Cuneo | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | May 4, 2010 | May 18, 2010 |