| Jared Weber | Oneamerica Securities, Inc. other | Park Avenue Securities LLC other | Other | Jun 19, 2014 | Jul 2, 2014 |
| Alexander Bradley Collins | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | May 16, 2014 | Jun 6, 2014 |
| John Palazzetti | Dominari Securities LLC other | Park Avenue Securities LLC other | Other | May 8, 2014 | Jun 18, 2014 (41 d) |
| Angela Marie Phillips | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 2, 2014 | May 14, 2021 (2569 d) |
| Christopher Paul Real | Principal Securities, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Apr 21, 2014 | Feb 12, 2021 (2489 d) |
| Clint David Hinderaker | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Apr 21, 2014 | May 8, 2014 |
| Michael Ray Mcpeek | J. W. Cole Advisors, Inc. other | Park Avenue Securities LLC other | Other | Apr 16, 2014 | May 29, 2014 (43 d) |
| Brian R Bach | Oneamerica Securities, Inc. other | Park Avenue Securities LLC other | Other | Apr 4, 2014 | Jun 19, 2014 (76 d) |
| Zachary D Ross | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Mar 14, 2014 | Oct 29, 2014 (229 d) |
| George Adrian Corrado | Valic Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Mar 13, 2014 | Apr 15, 2014 (33 d) |
| Eric Charles Bell | J.P. Morgan Private Wealth Advisors LLC other | Park Avenue Securities LLC other | Other | Mar 10, 2014 | Jan 2, 2015 (298 d) |
| Ricky Lawson Carroll | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Mar 4, 2014 | Apr 1, 2014 |
| John Eugene Perez | Valic Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Feb 27, 2014 | Sep 26, 2014 (211 d) |
| Lawrence A Crisp | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Feb 27, 2014 | Mar 28, 2014 |
| Sarah S Burns | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Feb 11, 2014 | Feb 28, 2014 |
| Kenneth J Uhlich | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Jan 22, 2014 | Feb 28, 2014 (37 d) |
| Michelle Ann Hyde | Nfp Advisor Services, LLC other | Park Avenue Securities LLC other | Other | Jan 7, 2014 | Apr 21, 2014 (104 d) |
| John Roger Mills | Stifel, Nicolaus & Company, Incorporated national BD | Park Avenue Securities LLC other | Other | Jan 7, 2014 | Feb 7, 2014 (31 d) |
| Dean E Fox | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Dec 31, 2013 | Feb 28, 2014 (59 d) |
| George Norris Ellis | Abundance Advisors, Inc. state registered | Park Avenue Securities LLC other | Other | Dec 31, 2013 | May 16, 2013 |
| Anthony L Pooler | Oneamerica Securities, Inc. other | Park Avenue Securities LLC other | Other | Dec 12, 2013 | Mar 18, 2014 (96 d) |
| Michael Patrick Doucette | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC other | Other | Dec 11, 2013 | Apr 28, 2014 (138 d) |
| Barton S Pearce | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Dec 11, 2013 | Jan 2, 2014 |
| Gordon L Brookhart | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Dec 5, 2013 | Jan 3, 2014 |
| Scott Gordon Kishbaugh | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Nov 27, 2013 | Jan 6, 2014 (40 d) |
| Alain Landais | Capital One Financial Advisors LLC unclassified | Park Avenue Securities LLC other | Other | Nov 22, 2013 | Apr 13, 2015 (507 d) |
| Christopher Scott Seebeck | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Nov 21, 2013 | Jun 25, 2014 (216 d) |
| Robert A Holmes | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Nov 11, 2013 | Nov 21, 2013 |
| Robert G Spadaford | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Nov 7, 2013 | Dec 13, 2013 (36 d) |
| Kyung Eun Kim | Pnc Wealth Management other | Park Avenue Securities LLC other | Other | Oct 24, 2013 | Dec 9, 2013 (46 d) |
| Timothy Nelson Hunt | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Oct 16, 2013 | May 8, 2014 (204 d) |
| Thomas Donald Seeko | Securian Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Oct 16, 2013 | Feb 12, 2014 (119 d) |
| Thomas Christian Tenaglia | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Oct 14, 2013 | Apr 30, 2014 (198 d) |
| Richard Louis Shaughnessy | UBS Financial Services Inc. wirehouse | Park Avenue Securities LLC other | Other | Oct 4, 2013 | Nov 13, 2013 (40 d) |
| Thomas Patrick Fulfaro | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Sep 30, 2013 | Oct 8, 2013 |
| Cliff S Duester | Andina Advisors other | Park Avenue Securities LLC other | Other | Sep 27, 2013 | Dec 20, 2013 (84 d) |
| Pamela Kay Mckenzie | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Sep 26, 2013 | Nov 19, 2013 (54 d) |
| Steven D Barbesh | Hornor, Townsend & Kent, LLC other | Park Avenue Securities LLC BD affiliated | Other | Sep 13, 2013 | Nov 12, 2024 (4078 d) |
| Brian R Young | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Aug 29, 2013 | Oct 2, 2013 (34 d) |
| Isaac B Cohen | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Aug 5, 2013 | Aug 29, 2013 |
| Angela M Foxx | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Aug 5, 2013 | Feb 19, 2014 (198 d) |
| David G Gay | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Jul 31, 2013 | Aug 15, 2013 |
| Kent William Binning | Oneamerica Securities, Inc. other | Park Avenue Securities LLC other | Other | Jul 26, 2013 | Oct 15, 2013 (81 d) |
| Edward Thomas Munoz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Jul 17, 2013 | Aug 8, 2013 |
| Henry Chau | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Jun 12, 2013 | Jan 2, 2015 (569 d) |
| Christopher John Bissonnette | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jun 4, 2013 | Jul 11, 2013 (37 d) |
| Andrew Jacob Gardner | LPL Financial LLC other | Park Avenue Securities LLC other | Other | May 28, 2013 | Jul 22, 2013 (55 d) |
| Angel Ruben Tineo | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | May 16, 2013 | Jul 23, 2013 (68 d) |
| Lori W Meter | New England Securities Corporation other | Park Avenue Securities LLC other | Other | May 16, 2013 | Nov 5, 2013 (173 d) |
| Michael Odell Mcknight | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | May 8, 2013 | Jun 6, 2013 |
| Paula Demars Megan | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Apr 29, 2013 | Jul 19, 2013 (81 d) |
| Larry E Mott | Concourse Financial Group Advisors other | Park Avenue Securities LLC other | Other | Apr 26, 2013 | Oct 13, 2014 (535 d) |
| Joseph Daniel Neary | Osaic Wealth, Inc. other | Park Avenue Securities LLC other | Other | Apr 15, 2013 | May 9, 2013 |
| Matthew C Pararo | Raymond James & Associates, Inc. national BD | Park Avenue Securities LLC other | Other | Apr 1, 2013 | Dec 3, 2014 (611 d) |
| Jessi Hawk | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Mar 20, 2013 | Apr 16, 2013 |
| Morris Eugene Mete | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Feb 22, 2013 | Jul 30, 2013 (158 d) |
| Doran Michael Young | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Feb 20, 2013 | May 5, 2014 (439 d) |
| Michael S Hansen | Morgan Stanley wirehouse | Park Avenue Securities LLC other | Other | Feb 19, 2013 | Apr 22, 2013 (62 d) |
| Matthew Wade Shipman | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Feb 15, 2013 | Mar 18, 2013 (31 d) |
| Christopher Kemp Thrower | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Feb 11, 2013 | May 16, 2013 (94 d) |