| Margaret Mary Messerli-Trottier | A. G. Edwards & Sons, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Aug 21, 2007 | Jul 10, 2008 (324 d) |
| Ty Jeremy Bailey | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Jul 24, 2007 | Jul 31, 2007 |
| Jason Samuel Speciner | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Jul 24, 2007 | Jul 31, 2007 |
| Erin Hooten | Legacy Advisory Services, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Jul 18, 2007 | Sep 19, 2007 (63 d) |
| Kyle Reed Christensen | Brookstreet Securities Corporation unclassified | Cetera Advisor Networks LLC other | Other | Jun 28, 2007 | Jun 6, 2011 (1439 d) |
| Anita Jaswantlal Patel | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | May 18, 2007 | May 31, 2007 |
| Catherine Pinkas | Edward Jones national BD | Cetera Advisor Networks LLC other | Other | May 7, 2007 | May 11, 2007 |
| Nancy Lynne Daniel | Raymond James & Associates, Inc. national BD | Cetera Advisor Networks LLC other | Other | May 2, 2007 | Jun 28, 2007 (57 d) |
| Timothy Nelson Hunt | Park Avenue Securities LLC other | Cetera Advisor Networks LLC other | Other | Apr 9, 2007 | Apr 12, 2007 |
| Karim Poonawala | First Montauk Securities Corp. unclassified | Cetera Advisor Networks LLC other | Other | Apr 4, 2007 | Apr 23, 2007 |
| Michael Wayne Stalka | First Allied Advisory Services, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 2, 2007 | Oct 24, 2007 (205 d) |
| Garth Anthony Ivey | First Montauk Securities Corp. unclassified | Cetera Advisor Networks LLC other | Other | Mar 29, 2007 | Jan 3, 2008 (280 d) |
| Robert William Wood | Securities America Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Feb 2, 2007 | Oct 16, 2015 (3178 d) |
| Ralph John Fetrow | Pnc Wealth Management other | Cetera Advisor Networks LLC other | Other | Jan 31, 2007 | Apr 10, 2007 (69 d) |
| Matthew Stephen Prepelka | Savesimply Advisors, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2006 | Jul 11, 2007 (192 d) |
| Danielle Marie Howard | Voya Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 31, 2006 | Jan 26, 2007 |
| Grant Masami Hashiba | Valic Financial Advisors, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 20, 2006 | May 14, 2007 (145 d) |
| Judith Andrea Henry | Banc Of America Investment Services, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Dec 13, 2006 | Jan 24, 2007 (42 d) |
| Judith Ileen Caine | The Concord Equity Group, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 6, 2006 | Dec 7, 2006 |
| R. David De La Rosa | Cetera Advisors LLC other | Cetera Advisor Networks LLC other | Other | Nov 22, 2006 | Nov 6, 2006 |
| Julie Lynne Sharnowski | Strategic Advisers LLC national BD | Cetera Advisor Networks LLC other | Other | Oct 16, 2006 | Mar 5, 2008 (506 d) |
| Marianne Elizabeth Zawacki | Northwestern Mutual Investment Services,LLC other | Cetera Advisor Networks LLC other | Other | Oct 13, 2006 | Jan 17, 2007 (96 d) |
| Jessica Lynn Ulery | Equitable Advisors, LLC national BD | Cetera Advisor Networks LLC other | Other | Oct 11, 2006 | Oct 11, 2011 (1826 d) |
| Randy Scott Miller | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Oct 4, 2006 | Feb 16, 2007 (135 d) |
| Shawn David Brunner | Ameriprise Financial Services, LLC national BD | Cetera Advisor Networks LLC other | Other | Sep 15, 2006 | Jan 3, 2008 (475 d) |
| Elisabeth M Mays | Essex National Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Sep 1, 2006 | Nov 14, 2006 (74 d) |
| Boyce Michael Tollison | Suntrust Investment Services, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 31, 2006 | Nov 21, 2006 (82 d) |
| Thomas John Mccarthy | Cuso Financial Services, L.P. other | Cetera Advisor Networks LLC other | Other | Aug 22, 2006 | Aug 28, 2006 |
| Stephen Joseph Stravolo | Ic Advisory Services, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 21, 2006 | Jul 19, 2006 |
| Allen Dale Beckner | Banc Of America Investment Services, Inc. unclassified | Cetera Advisor Networks LLC other | Other | Aug 18, 2006 | Sep 28, 2006 (41 d) |
| Dennis Vincent Clavin | Advantage Financial Group, Inc unclassified | Cetera Advisor Networks LLC other | Other | Aug 11, 2006 | Feb 10, 1995 |
| Thomas Edmund Deichert | Advantage Financial Group, Inc unclassified | Cetera Advisor Networks LLC other | Other | Aug 11, 2006 | Sep 26, 1996 |
| Kurt Richard Ringenbach | Osaic Fa, Inc. other | Cetera Advisor Networks LLC other | Other | Aug 7, 2006 | Sep 19, 2006 (43 d) |
| Jay H Kim | Osaic Fa, Inc. other | Cetera Advisor Networks LLC other | Other | Jul 13, 2006 | Sep 5, 2006 (54 d) |
| Ty Matthew Wilkinson | On Investment Management Co other | Cetera Advisor Networks LLC other | Other | Jun 19, 2006 | Sep 28, 2006 (101 d) |
| Anthony Lawrence Saffer | Waddell & Reed other | Cetera Advisor Networks LLC other | Other | Jun 6, 2006 | Jun 20, 2006 |
| Jeffrey Scott Larson | Marathon Advisors, Inc unclassified | Cetera Advisor Networks LLC other | Other | Jun 5, 2006 | Jun 15, 2006 |
| Paul Douglas Larson | Securian Financial Services, Inc. other | Cetera Advisor Networks LLC other | Other | Jun 1, 2006 | Jun 21, 2006 |
| Kevin Sanborn Ryan | Morgan Keegan & Company, LLC other | Cetera Advisor Networks LLC other | Other | May 18, 2006 | Jun 21, 2006 (34 d) |
| James J Quinlan | John Hancock Investment Management LLC other | Cetera Advisor Networks LLC other | Other | Apr 28, 2006 | Jun 21, 2006 (54 d) |
| Keith Robert Benton | Cuna Brokerage Services, Inc. other | Cetera Advisor Networks LLC other | Other | Apr 20, 2006 | May 8, 2006 |
| Matthew Gregory Jelnicky | Tricapital Wealth Management, Inc. independent RIA | Cetera Advisor Networks LLC other | Other | Mar 30, 2006 | Mar 30, 2006 |
| John Carter Downing | Centurion Hinds Investment Management Inc. unclassified | Cetera Advisor Networks LLC other | Other | Mar 24, 2006 | Sep 14, 2001 |
| Christopher Mark Riley | Davenport & Company LLC other | Cetera Advisor Networks LLC other | Other | Mar 6, 2006 | Mar 9, 2006 |
| Jonathan Patrick Sheets | Td Ameritrade, Inc. no RAUM | Cetera Advisor Networks LLC other | Other | Feb 1, 2006 | Dec 6, 2006 (308 d) |
| Harry Martin Kitter | Walnut Street Securities, Inc. other | Cetera Advisor Networks LLC other | Other | Jan 19, 2006 | Jan 18, 2006 |
| Frances Kaimihau Wright | Charles Schwab & Co., Inc. national BD | Cetera Advisor Networks LLC other | Other | Jan 19, 2006 | Jun 20, 2007 (517 d) |
| Phillip Wallace Poston | LPL Financial LLC other | Cetera Advisor Networks LLC other | Other | Jan 5, 2006 | Sep 18, 2006 (256 d) |
| John Kevin Mckenty | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Oct 28, 2005 |
| Mark Lee Tevebaugh | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Oct 27, 2005 |
| Thaddeus Pedzich | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Oct 26, 2005 |
| David Laughner Hodge | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Oct 24, 2005 |
| William Robert Gevers | Capital Planning Corp other | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Jul 9, 1997 |
| Robert Barrett Schilling | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Dec 19, 2005 |
| Frank Robert Zocco | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Nov 3, 2005 |
| Lori Ann Hodge | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Oct 28, 2005 |
| Joseph Edward Salamone | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Oct 24, 2005 |
| Francisco Barreto | First Command Financial Planning, Inc. other | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Feb 15, 2006 (46 d) |
| Raymond Leonard Harper | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 31, 2005 | Oct 24, 2005 |
| John Edward Baker | Blue Vase Securities, LLC unclassified | Cetera Advisor Networks LLC other | Other | Dec 19, 2005 | Nov 2, 2005 |