| Martin Edward Lee | Spc other | Trustmont Advisory Group, Inc. other | Other | Dec 8, 2009 | Apr 13, 2010 (126 d) |
| Victor Lee Hess | Kms Financial Services, Inc other | Trustmont Advisory Group, Inc. other | Other | Nov 11, 2009 | Mar 3, 2010 (112 d) |
| Mark William Petro | Independent Advisers Group Corp other | Trustmont Advisory Group, Inc. other | Other | Nov 3, 2009 | Nov 2, 2009 |
| John Gererd Sonntag | Waterstone Financial Group, Inc. unclassified | Trustmont Advisory Group, Inc. other | Other | Aug 26, 2009 | Sep 2, 2009 |
| Donald John Barzak | Waterstone Financial Group, Inc. unclassified | Trustmont Advisory Group, Inc. other | Other | Aug 19, 2009 | Apr 27, 2016 (2443 d) |
| Robert Armando Ruffolo | Waterstone Financial Group, Inc. unclassified | Trustmont Advisory Group, Inc. other | Other | Aug 13, 2009 | Oct 26, 2009 (74 d) |
| David Neil Gordon | Integrity Alliance, LLC other | Trustmont Advisory Group, Inc. other | Other | Jul 22, 2009 | Dec 4, 2009 (135 d) |
| John Paul Reising | Voya Financial Advisors, Inc. other | Trustmont Advisory Group, Inc. other | Other | Jun 5, 2009 | Jun 9, 2009 |
| Merle Dean Koon | Osaic Fa, Inc. other | Trustmont Advisory Group, Inc. other | Other | Apr 13, 2009 | May 14, 2009 (31 d) |
| Robert John Kosty | Osaic Fs, Inc. other | Trustmont Advisory Group, Inc. other | Other | Mar 13, 2009 | May 8, 2009 (56 d) |
| Alan Stephen Pransky | Osaic Fs, Inc. other | Trustmont Advisory Group, Inc. other | Other | Feb 27, 2009 | May 8, 2009 (70 d) |
| C Gene Pavlikowski | First Montauk Securities Corp. unclassified | Trustmont Advisory Group, Inc. other | Other | Nov 17, 2008 | Jan 4, 2017 (2970 d) |
| John Joseph Navin | Envision Investment Advisors, LLC unclassified | Trustmont Advisory Group, Inc. other | Other | Jul 9, 2008 | Aug 14, 2008 (36 d) |
| Michael Andre Taylor | National Planning Corporation ("Npc Of America" In Fl & Ny) other | Trustmont Advisory Group, Inc. other | Other | Jan 23, 2008 | Mar 6, 2009 (408 d) |
| Robert Harwood | Kalos Management other | Trustmont Advisory Group, Inc. other | Other | Dec 31, 2007 | Apr 16, 2008 (107 d) |
| Steven Michael Hagofsky | Legacy Advisory Services, Inc. unclassified | Trustmont Advisory Group, Inc. other | Other | Jul 13, 2007 | Jan 7, 2008 (178 d) |
| Gregory Scott Teal | Voya Financial Advisors, Inc. other | Trustmont Advisory Group, Inc. other | Other | May 4, 2007 | May 10, 2007 |
| Anthony Charles Hladek | Dibiase & Ruscetti Associates, Inc. other | Trustmont Advisory Group, Inc. other | Other | Apr 24, 2007 | Apr 19, 2007 |
| Walter Pachniuk | Advisorsone,LLC unclassified | Trustmont Advisory Group, Inc. other | Other | Jan 14, 2005 | Jul 8, 2008 (1271 d) |
| David George Szabo | Integrated Asset Management, LLC other | Trustmont Advisory Group, Inc. other | Other | Oct 13, 2004 | Nov 9, 2004 |
| John Francis Millon | Hackett Associates, Inc. unclassified | Trustmont Advisory Group, Inc. other | Other | Aug 13, 2004 | Aug 30, 2004 |
| Wayne Washowich | Citizens Securities, Inc. other | Trustmont Advisory Group, Inc. other | Other | Aug 7, 2003 | Mar 25, 2009 (2057 d) |