| Steven Dung Huy Huynh | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Jan 23, 2012 | Mar 18, 2015 (1150 d) |
| James Allen Cox | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jan 20, 2012 | Feb 14, 2012 |
| Andrea Lauren Chases | Avantax Advisory Services other | Park Avenue Securities LLC other | Other | Jan 19, 2012 | Apr 17, 2012 (89 d) |
| Paul Bullara | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jan 11, 2012 | Feb 8, 2012 |
| Salvatore Petruzzellis | International Planning Alliance, LLC unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2011 | Feb 24, 2011 |
| David R Alter | International Planning Alliance, LLC unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2011 | Nov 29, 2011 |
| John W Ransom | International Planning Alliance, LLC unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2011 | May 10, 2011 |
| Leslie Eric Streitfeld | International Planning Alliance, LLC unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2011 | Jun 7, 2011 |
| David W Cerchio | International Planning Alliance, LLC unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2011 | Aug 19, 2011 |
| Marc Gensler | Red Oak Wealth Advisors, LLC unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2011 | Apr 20, 2012 (111 d) |
| Gerald J Clericuzio | International Planning Alliance, LLC unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2011 | Nov 16, 2011 |
| Thomas Jefferson Sibley | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Dec 19, 2011 | Feb 17, 2012 (60 d) |
| Vicki K Schapp | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Dec 9, 2011 | Mar 21, 2012 (103 d) |
| Robin Ann Cash | Brookstone Capital Management LLC other | Park Avenue Securities LLC other | Other | Dec 7, 2011 | Oct 22, 2012 (320 d) |
| John Charles Von Nessen | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Nov 22, 2011 | Dec 19, 2011 |
| Hao Du Lam | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Nov 17, 2011 | Dec 9, 2011 |
| Justin Shad Mcneal | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Oct 27, 2011 | Feb 7, 2012 (103 d) |
| Arnold Gregory Adkins | Centaurus Financial, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Oct 7, 2011 | Oct 7, 2020 (3288 d) |
| Michael L Longo | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Sep 22, 2011 | Nov 2, 2011 (41 d) |
| Nicholas Edward Donaldson | Voya Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Sep 21, 2011 | Nov 29, 2011 (69 d) |
| William H Horan | Signator Investors, Inc. other | Park Avenue Securities LLC other | Other | Sep 20, 2011 | Sep 15, 2015 (1456 d) |
| Jonathon Patrick Krikie | Eagle Strategies LLC other | Park Avenue Securities LLC other | Other | Sep 9, 2011 | Oct 12, 2011 (33 d) |
| Steven Brett Hart | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Aug 31, 2011 | Feb 21, 2012 (174 d) |
| Michael Bayer | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Aug 17, 2011 | Oct 31, 2011 (75 d) |
| Kelly F Sullivan | H. Beck, Inc. other | Park Avenue Securities LLC other | Other | Aug 17, 2011 | Dec 12, 2011 (117 d) |
| James M Desrocher | Signator Investors, Inc. other | Park Avenue Securities LLC other | Other | Aug 15, 2011 | Sep 14, 2011 |
| Kamran Ellini | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Aug 4, 2011 | Aug 9, 2011 |
| William Stephen Murray | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Aug 2, 2011 | Jul 12, 2013 (710 d) |
| Rheeta Anne Wilson-Fitzpatrick | Lifecare Financial Group, LLC unclassified | Park Avenue Securities LLC other | Other | Jul 1, 2011 | Sep 21, 2011 (82 d) |
| Patrick C Dickson | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jul 1, 2011 | Jul 28, 2011 |
| Raul A Gutierrez | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jun 27, 2011 | Jul 13, 2012 (382 d) |
| Kevin J Linsey | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Jun 22, 2011 | Jul 7, 2011 |
| Aron Adam Mestel | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jun 21, 2011 | Jun 28, 2011 |
| Handan Gencogluer | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | May 20, 2011 | Aug 18, 2011 (90 d) |
| Michael David Schwartz | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | May 10, 2011 | Feb 24, 2012 (290 d) |
| Jonathan N Carter | Edward Jones national BD | Park Avenue Securities LLC other | Other | May 6, 2011 | Nov 17, 2011 (195 d) |
| Michael Adam Sitzman | Cambridge Investment Research Advisors, Inc. other | Park Avenue Securities LLC other | Other | Apr 27, 2011 | Oct 26, 2011 (182 d) |
| Travis A Cloud | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Apr 19, 2011 | Sep 14, 2011 (148 d) |
| Ilona Brandt-Tom | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Apr 18, 2011 | Apr 17, 2013 (730 d) |
| Erik J Antener | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Apr 8, 2011 | May 24, 2011 (46 d) |
| Ronald Lee Geer | Financial Advocates Advisory Services no RAUM | Park Avenue Securities LLC other | Other | Mar 31, 2011 | Apr 11, 2012 (377 d) |
| Gregory J Morris | F&F Financial Advisory Group, Inc. unclassified | Park Avenue Securities LLC other | Other | Mar 28, 2011 | Feb 5, 2001 |
| Manuel Esparza | Oneamerica Securities, Inc. other | Park Avenue Securities LLC other | Other | Feb 28, 2011 | Mar 17, 2016 (1844 d) |
| Gordon Schurch Shearer | Prestige Wealth Management Group, LLC other | Park Avenue Securities LLC other | Other | Feb 14, 2011 | Jul 1, 2011 (137 d) |
| David Wayne Dick | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC other | Other | Jan 27, 2011 | Mar 8, 2011 (40 d) |
| William Morgan Watson | Esi Financial Advisors other | Park Avenue Securities LLC other | Other | Jan 5, 2011 | Mar 4, 2011 (58 d) |
| Mark C Pietsch | Securian Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Jan 4, 2011 | Apr 7, 2011 (93 d) |
| Christina Gutierrez Mondragon | Wells Fargo Investments, LLC unclassified | Park Avenue Securities LLC other | Other | Jan 3, 2011 | Dec 12, 2012 (709 d) |
| Darrell L Dawes | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jul 20, 2006 |
| Alfred P Robertson | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 20, 2006 |
| Donald B Stonecipher | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 22, 2006 |
| Samuel Eugene Lee | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Aug 14, 2003 |
| John T Shevlin | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 20, 2006 |
| Paul E Demersseman | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 26, 2006 |
| Keith R Dykes | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 26, 2006 |
| Kevin J Linsey | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 23, 2005 |
| Robert L Harbison | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 26, 2006 |
| David L Burch | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jan 2, 2004 |
| Patrick E Moore | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 31, 2010 | Jun 16, 2006 |
| Nicholas John Ingram | Edward Jones national BD | Park Avenue Securities LLC other | Other | Dec 20, 2010 | Mar 25, 2011 (95 d) |