| Daniel Johnson | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | May 3, 2010 | Jun 28, 2010 (56 d) |
| Jeffrey Alan Hofmann | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Valic Financial Advisors, Inc. other | Other | Apr 27, 2010 | May 5, 2010 |
| Steven Jay Rosenstock | Cetera Investment Advisers LLC other | Valic Financial Advisors, Inc. other | Other | Apr 16, 2010 | Apr 28, 2010 |
| Kevin Charles Cole | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Apr 13, 2010 | Oct 14, 2010 (184 d) |
| Roger Esquibel | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Apr 12, 2010 | Apr 14, 2010 |
| Louis Gray Clark | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Apr 9, 2010 | Apr 6, 2010 |
| Lisa R Mcpherson | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Apr 7, 2010 | Apr 9, 2010 |
| Vernon Joseph Klassen | Kms Financial Services, Inc other | Valic Financial Advisors, Inc. other | Other | Apr 5, 2010 | Apr 9, 2010 |
| Renee Lynn Coil | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Apr 1, 2010 | Jun 19, 2013 (1175 d) |
| Thomas Joseph Lakatos | Cole Wealth Management, LLC independent RIA | Valic Financial Advisors, Inc. other | Other | Mar 22, 2010 | Apr 27, 2010 (36 d) |
| Carnell Anthony Freeman | Principal Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Mar 17, 2010 | Dec 17, 2010 (275 d) |
| Rolando Javier Castano | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Mar 16, 2010 | Mar 28, 2011 (377 d) |
| Kristen Leah Hrncir | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Mar 11, 2010 | Mar 25, 2010 |
| Ronald Lee Philbrick | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Mar 5, 2010 | Mar 11, 2010 |
| Peter Charles Lupone | Advice And Planning Services other | Valic Financial Advisors, Inc. other | Other | Feb 25, 2010 | Sep 16, 2010 (203 d) |
| Michael Allen Bartlow | Money Map Advisor Llp unclassified | Valic Financial Advisors, Inc. other | Other | Feb 23, 2010 | May 11, 2010 (77 d) |
| Stuart Edward Berrin | Wall Street Financial Group, Inc other | Valic Financial Advisors, Inc. other | Other | Feb 19, 2010 | Mar 11, 2010 |
| Tamara Maxine Kotaska | Jesup & Lamont Securities Corp unclassified | Valic Financial Advisors, Inc. other | Other | Feb 18, 2010 | Aug 31, 2010 (194 d) |
| George Lucas Swatzell | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Feb 11, 2010 | Jul 21, 2010 (160 d) |
| Janice Patrice Heinz | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Feb 10, 2010 | Feb 19, 2010 |
| Drew Masao Tamaki | Msi Financial Services, Inc. other | Valic Financial Advisors, Inc. other | Other | Jan 26, 2010 | Apr 22, 2010 (86 d) |
| Christopher Michael Brooks | Thrivent Investment Management Inc. other | Valic Financial Advisors, Inc. other | Other | Jan 22, 2010 | Jan 25, 2010 |
| Ethan Lee Willis | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | Jan 19, 2010 | Jan 27, 2010 |
| David Michael Gundy | Midwestern Securities Trading Co.,LLC other | Valic Financial Advisors, Inc. other | Other | Jan 11, 2010 | Mar 11, 2010 (59 d) |
| Gerald Wayne Childs | Raymond James Financial Services Advisors, Inc other | Valic Financial Advisors, Inc. other | Other | Jan 5, 2010 | Apr 8, 2011 (458 d) |
| Roger Paul Mai | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Dec 24, 2009 | Feb 19, 2010 (57 d) |
| Kenneth Albert Johantges | Waddell & Reed other | Valic Financial Advisors, Inc. other | Other | Dec 17, 2009 | Aug 30, 2011 (621 d) |
| Richard Vincent Silva | Equitable Advisors, LLC national BD | Valic Financial Advisors, Inc. other | Other | Dec 8, 2009 | Jan 5, 2010 |
| Kelly Jane Romano | Northwestern Mutual Investment Services,LLC other | Valic Financial Advisors, Inc. other | Other | Dec 3, 2009 | Mar 31, 2010 (118 d) |
| Darin Emo Leeman | UBS Financial Services Inc. wirehouse | Valic Financial Advisors, Inc. other | Other | Nov 25, 2009 | Dec 14, 2010 (384 d) |
| Stuart Scibetta | Crown Capital Securities, L.P. other | Valic Financial Advisors, Inc. other | Other | Nov 23, 2009 | Sep 28, 2010 (309 d) |
| Christopher Paul Fasy | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Nov 19, 2009 | May 19, 2010 (181 d) |
| Andrew L. Croop | J.P. Morgan Investment Management Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 10, 2009 | Mar 7, 2016 (2309 d) |
| John J. Hayes | J.P. Morgan Investment Management Inc. other | Valic Financial Advisors, Inc. other | Other | Nov 10, 2009 | Apr 21, 2017 (2719 d) |
| Tomas Maldonado Ortiz | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Oct 30, 2009 | Apr 22, 2010 (174 d) |
| Kyle Michael Marburger | Horace Mann Investors, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Oct 26, 2009 | May 26, 2011 (577 d) |
| John Michael Hellgren | The Advisors LLC unclassified | Valic Financial Advisors, Inc. other | Other | Oct 16, 2009 | Nov 5, 2010 (385 d) |
| Cory Dale Summers | Westpark Wealth Advisors, Inc. other | Valic Financial Advisors, Inc. other | Other | Oct 16, 2009 | Jun 27, 2011 (619 d) |
| Carshon Renee Rodgers | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Oct 12, 2009 | Aug 20, 2010 (312 d) |
| Kevin Gerard Mullins | Cadaret Grant & Co Inc other | Valic Financial Advisors, Inc. other | Other | Oct 9, 2009 | Oct 21, 2009 |
| Gabriel Rodriguez | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Oct 7, 2009 | Oct 22, 2010 (380 d) |
| Wayne Washowich | Trustmont Advisory Group, Inc. other | Valic Financial Advisors, Inc. other | Other | Oct 5, 2009 | Dec 15, 2010 (436 d) |
| John Pocceschi | Td Ameritrade, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Oct 1, 2009 | Feb 4, 2010 (126 d) |
| John Pocceschi | Td Ameritrade Investment Management, LLC other | Valic Financial Advisors, Inc. other | Other | Oct 1, 2009 | Feb 4, 2010 (126 d) |
| Hugh W Gates | Morgan Stanley wirehouse | Valic Financial Advisors, Inc. other | Other | Sep 29, 2009 | Sep 30, 2009 |
| Edwin Jose Torres | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Sep 22, 2009 | Aug 28, 2015 (2166 d) |
| Deryck Ian Gryne | Edward Jones national BD | Valic Financial Advisors, Inc. other | Other | Sep 18, 2009 | Oct 7, 2009 |
| Rachel Espiloy Baroma | Baroma Financial unclassified | Valic Financial Advisors, Inc. other | Other | Sep 9, 2009 | Oct 12, 2009 (33 d) |
| Tristin Michelle Hotaling | Ameriprise Financial Services, LLC national BD | Valic Financial Advisors, Inc. other | Other | Sep 3, 2009 | Sep 7, 2010 (369 d) |
| Jeffrey Robert Utterback | Natcity Investments, Inc. unclassified | Valic Financial Advisors, Inc. other | Other | Sep 2, 2009 | Jun 16, 2010 (287 d) |
| Joseph Anthony Johnson | Td Ameritrade, Inc. no RAUM | Valic Financial Advisors, Inc. other | Other | Aug 31, 2009 | Sep 18, 2009 |
| Joseph Anthony Johnson | Td Ameritrade Investment Management, LLC other | Valic Financial Advisors, Inc. other | Other | Aug 31, 2009 | Sep 18, 2009 |
| Sarah Elizabeth Kordon | First Allied Securities, Inc. other | Valic Financial Advisors, Inc. other | Other | Aug 31, 2009 | Sep 12, 2011 (742 d) |
| Donald E Odendahl | Colonial Asset Management Inc unclassified | Valic Financial Advisors, Inc. other | Other | Aug 27, 2009 | Nov 16, 2009 (81 d) |
| Stephen Heiden | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 21, 2009 | Aug 24, 2009 |
| Adam T Schoenwald | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 19, 2009 | Aug 21, 2009 |
| David Daniel Stratton | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Aug 4, 2009 | Aug 3, 2009 |
| Michael Alan Hatcher | Edward Jones national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2009 | Feb 9, 2023 (4937 d) |
| Bruce Allen Larsen | Wells Fargo Advisors wirehouse | Valic Financial Advisors, Inc. other | Other | Jul 24, 2009 | Jul 27, 2009 |
| Malcolm A.W. Horn | LPL Financial LLC other | Valic Financial Advisors, Inc. other | Other | Jul 24, 2009 | Jul 20, 2009 |