| Brian David Bono | Brinker Capital Inc other | Park Avenue Securities LLC other | Other | Sep 22, 2009 | Feb 16, 2010 (147 d) |
| Roger Stephen Szczypien | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC other | Other | Sep 18, 2009 | Oct 29, 2009 (41 d) |
| Ann A Merkley | Principal Securities, Inc. other | Park Avenue Securities LLC other | Other | Sep 14, 2009 | Oct 7, 2009 |
| Peter August Zagrobelny | Chase Investment Services Corp. other | Park Avenue Securities LLC other | Other | Sep 4, 2009 | Jan 15, 2010 (133 d) |
| Jeffrey L Pawlowski | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Sep 3, 2009 | Oct 20, 2009 (47 d) |
| Tami K. Rovall | Wells Fargo Advisors wirehouse | Park Avenue Securities LLC other | Other | Sep 3, 2009 | Oct 9, 2009 (36 d) |
| Beth Berthelot Falkenstein | LPL Financial LLC other | Park Avenue Securities LLC other | Other | Aug 17, 2009 | Aug 25, 2009 |
| Devon Joel Cury | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Aug 17, 2009 | Sep 22, 2010 (401 d) |
| James Bradley Garner | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Aug 14, 2009 | Jan 29, 2010 (168 d) |
| Cole Smithers Koeniger | Valic Financial Advisors, Inc. other | Park Avenue Securities LLC other | Other | Aug 11, 2009 | Sep 9, 2009 |
| William James Fussell | Td Ameritrade Investment Management, LLC other | Park Avenue Securities LLC other | Other | Jul 27, 2009 | Oct 7, 2009 (72 d) |
| William James Fussell | Td Ameritrade, Inc. no RAUM | Park Avenue Securities LLC other | Other | Jul 27, 2009 | Oct 7, 2009 (72 d) |
| John D Margeson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Jul 13, 2009 | Jun 5, 2012 (1058 d) |
| Robin K Vernon | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Jul 9, 2009 | Nov 4, 2009 (118 d) |
| Clayton Harvey Riddell | Td Ameritrade Investment Management, LLC other | Park Avenue Securities LLC other | Other | Jul 9, 2009 | Sep 13, 2010 (431 d) |
| Clayton Harvey Riddell | Td Ameritrade, Inc. no RAUM | Park Avenue Securities LLC other | Other | Jul 9, 2009 | Sep 13, 2010 (431 d) |
| David Russell Lamb | Lockton Investment Advisors, LLC no RAUM | Park Avenue Securities LLC other | Other | Jul 7, 2009 | Aug 7, 2009 (31 d) |
| Neil Jeffrey Tendler | Wilmington Family Office, Inc. unclassified | Park Avenue Securities LLC other | Other | Jul 2, 2009 | Mar 6, 2015 (2073 d) |
| Tey H Kim | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Jun 29, 2009 | Mar 30, 2011 (639 d) |
| Gerald King Emerson | Woodbury Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Jun 25, 2009 | Jun 13, 2013 (1449 d) |
| Jonathan H Drewes | Sii Investments, Inc. other | Park Avenue Securities LLC other | Other | Jun 23, 2009 | Mar 20, 2012 (1001 d) |
| Brian David Kirk | Northwestern Mutual Investment Services,LLC other | Park Avenue Securities LLC other | Other | Jun 9, 2009 | Jul 16, 2009 (37 d) |
| Sunil Dutt Misra | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC other | Other | May 26, 2009 | Jun 23, 2009 |
| Shawn Christopher Smith | Lincoln Financial Distributors, Inc. unclassified | Park Avenue Securities LLC other | Other | May 11, 2009 | Oct 21, 2009 (163 d) |
| Andrew G Romano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | May 8, 2009 | Mar 7, 2012 (1034 d) |
| Marc Anthony Fusco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Park Avenue Securities LLC other | Other | Apr 29, 2009 | Nov 24, 2009 (209 d) |
| David John Guido | United Brokerage Services Inc other | Park Avenue Securities LLC other | Other | Mar 20, 2009 | Jul 28, 2009 (130 d) |
| Anthony S Ferrara | LPL Financial LLC other | Park Avenue Securities LLC BD affiliated | Other | Mar 12, 2009 | May 16, 2022 (4813 d) |
| Christopher Mitchell Kwilinski | MML Investors Services, LLC other | Park Avenue Securities LLC other | Other | Mar 12, 2009 | Jul 15, 2009 (125 d) |
| Nathan Lee Price | Nationwide Securities, LLC no RAUM | Park Avenue Securities LLC other | Other | Mar 11, 2009 | Oct 8, 2009 (211 d) |
| Joshua Wright Goulding | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Feb 24, 2009 | Mar 11, 2009 |
| Mordechai Meisels | Citigroup Global Markets Inc. other | Park Avenue Securities LLC other | Other | Feb 19, 2009 | May 12, 2009 (82 d) |
| Aleksandar S Jakovljevic | Morgan Stanley & Co. LLC unclassified | Park Avenue Securities LLC other | Other | Feb 18, 2009 | Mar 3, 2009 |
| Jay Bradley Wilen | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Feb 17, 2009 | Mar 5, 2009 |
| Susan Michele Mitcheltree | Equitable Advisors, LLC national BD | Park Avenue Securities LLC other | Other | Feb 17, 2009 | Mar 10, 2009 |
| Michael Edward Staggs | Financial Leadership Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Feb 11, 2009 | Mar 26, 2009 (43 d) |
| Tracy S Shinn | Sunset Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Feb 2, 2009 | May 28, 2009 (115 d) |
| Ji Michael Y Chung | Pruco Securities, LLC other | Park Avenue Securities LLC other | Other | Feb 2, 2009 | Mar 30, 2009 (56 d) |
| Johnny Farris Leech | Tlg Advisors, Inc. other | Park Avenue Securities LLC other | Other | Jan 14, 2009 | Mar 2, 2009 (47 d) |
| Wesley K Brown | On Investment Management Co other | Park Avenue Securities LLC BD affiliated | Other | Dec 31, 2008 | Nov 6, 2017 (3232 d) |
| Adam Moroni Dawson | LPL Financial LLC other | Park Avenue Securities LLC other | Other | Dec 22, 2008 | Jan 5, 2009 |
| Scott Bennett | Peachtree Planning Advisors, Inc. unclassified | Park Avenue Securities LLC other | Other | Dec 12, 2008 | Jun 20, 2006 |
| Mark D Lowe | First Montauk Securities Corp. unclassified | Park Avenue Securities LLC other | Other | Dec 11, 2008 | Dec 15, 2008 |
| Stephen Zelcer | Jasmijn Capital Management, LLC other | Park Avenue Securities LLC other | Other | Dec 11, 2008 | Jun 5, 2009 (176 d) |
| Stephen Zelcer | Osaic Wealth, Inc. other | Park Avenue Securities LLC other | Other | Dec 11, 2008 | Jun 5, 2009 (176 d) |
| Karriem H Pierre | Edward Jones national BD | Park Avenue Securities LLC other | Other | Nov 12, 2008 | Oct 25, 2010 (712 d) |
| Richard Dillard Dixon | G.M. Gower & Co., Ltd unclassified | Park Avenue Securities LLC other | Other | Nov 12, 2008 | Dec 2, 2008 |
| Joseph Fuschillo | Ast Investment Services, Inc. other | Park Avenue Securities LLC BD affiliated | Other | Nov 10, 2008 | Oct 21, 2025 (6189 d) |
| Adam Moroni Dawson | Financial Solutions Inc. unclassified | Park Avenue Securities LLC other | Other | Oct 1, 2008 | Jan 5, 2009 (96 d) |
| Peter John Holmes | Lincoln Financial Distributors, Inc. unclassified | Park Avenue Securities LLC BD affiliated | Other | Sep 30, 2008 | Jan 15, 2025 (5951 d) |
| Mustafa Ehimeakhe | Td Ameritrade, Inc. no RAUM | Park Avenue Securities LLC other | Other | Sep 10, 2008 | Jan 6, 2016 (2674 d) |
| Brad Michael Kreiner | Signator Investors, Inc. other | Park Avenue Securities LLC other | Other | Sep 9, 2008 | Nov 20, 2009 (437 d) |
| Carol Sue Chaney | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC other | Other | Aug 26, 2008 | May 4, 2011 (981 d) |
| Christopher Lawrence Cleland | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Aug 13, 2008 | Aug 22, 2008 |
| Christopher Shawn Hebert | New England Securities Corporation other | Park Avenue Securities LLC other | Other | Aug 8, 2008 | Mar 4, 2009 (208 d) |
| Brian Eugene Carden | Securities America Advisors, Inc. other | Park Avenue Securities LLC other | Other | Aug 7, 2008 | Sep 3, 2008 |
| David Yoon Chong | Crown Wealth Management, Inc. unclassified | Park Avenue Securities LLC other | Other | Aug 6, 2008 | Sep 26, 2008 (51 d) |
| James Edward Eastwood | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Aug 5, 2008 | Jan 21, 2009 (169 d) |
| Derrick Girard | Ameriprise Financial Services, LLC national BD | Park Avenue Securities LLC other | Other | Aug 5, 2008 | Dec 12, 2013 (1955 d) |
| John P Rutkowski | Msi Financial Services, Inc. other | Park Avenue Securities LLC other | Other | Aug 5, 2008 | Nov 25, 2008 (112 d) |